Document of
The World Bank
FOR OFFICIAL USE ONLY
Report No: 82700-AFR
INTERNATIONAL BANK FOR RECONSTRUCTION AND DEVLOPMENT AND
INTERNATIONAL DEVELOPMENT ASSOCIATION
PROJECT PAPER
ON A
PROPOSED ADDITIONAL GRANT
IN THE AMOUNT OF
US$ 45.0 MILLION
TO THE
FORUM FOR AGRICULTURAL RESEARCH IN AFRICA (FARA)
FOR A
FARA MULTI-DONOR TRUST FUND
December 13, 2013
Agriculture, Rural Development, Irrigation (AFTA2)
Africa Region
This document has a restricted distribution and may be used by recipients only in the
performance of their official duties. Its contents may not otherwise be disclosed without World
Bank authorization.
CURRENCY EQUIVALENTS
Currency Unit = US$1
FISCAL YEAR
January 1 – December 31
ABBREVIATIONS AND ACRONYMS
AF
AFAAS
ANAFE
ARD
ASARECA
AUC
CAADP
CCARDESA
CGIAR
CIDA
CILSS
CIRDES
CORAF/
WECARD
CRP
DfID
DONATA
EC
FAAP
FARA
IAR4D
ICIPE
IFR
IPF
ISR
ITC
KPI
M&E
MDG
MDTF
MTOP
Additional Financing
African Forum for Agricultural Advisory Services
African Network for Agriculture, Agroforestry and Natural Resources
Education
Agricultural Research and Development
Association for Agricultural Research in East and Central Africa
African Union Commission
Comprehensive African Agricultural Development Progra
Centre for Coordination of Agricultural Research and Development for
Southern Africa
Consultative Group on International Agricultural Research
Canadian International Development Agency
Comité Permanent Inter-Etats De Lutte Contre la Sécheresse dans le
Sahel/Permanent Interstates Committee for Drought Control in the Sahel
Centre international de recherche-développement sur l'elevage en zone
subhumide
West and Central African Council for Agricultural Research and
Development
CGIAR Research Programs
UK’s Department for International Development
Dissemination of New Agricultural Technologies in Africa
European Commission
Framework for African Agricultural Productivity
Forum for Agricultural Research in Africa
Integrated Agricultural Research for Development
International Centre of Insect Physiology and Ecology
un-audited Interim Financial Report
Investment Project Financing
Implementation Status and Results Report
International Trypanotolerance Centre (The Gambia)
Key Performance Indicators
Monitoring and Evaluation
Millennium Development Goal
Multi-Donor Trust Fund
Medium-Term Operational Plans
NARS
NASRO
NEPAD
NGO
NPCA
NSF
OM
PAFFO
PanAAC
PANGOC
PDO
PMP
RAILS
RUFORUM
SABIMA
SCARDA
SRO
SSA CP
TEAM Africa
UNIBRAIN
National Agricultural Research System
North African Sub-Regional Organization
New Partnership for Africa’s Development
Non-Governmental Organization
NEPAD Planning and Coordinating Agency
Networking Support Functions
Operational Manual
Pan-African Farmers Forum
Pan-African Agribusiness and Agro-Industry Consortium
Pan Africa NGO Consortium
Project Development Objective
Performance Monitoring Plan
Regional Agricultural Information and Learning System
Regional Universities Forum for Capacity Building in Agriculture
Strengthening Capacity for Safe Biotechnology Management in Sub-Saharan
Africa
Strengthening Agricultural Research in Africa
Sub-Regional Organization
Sub-Saharan Africa Challenge Programme
Tertiary Education for Agriculture Mechanism for Africa
Universities, Business and Research in Agricultural Innovation
Vice President:
Director:
Sector Manager:
Task Team Leader:
Makhtar Diop
Colin Bruce
Severin Kodderitzsch
David J. Nielson
FORUM FOR AGRICULTURAL RESEARCH IN AFRICA (FARA)
FARA MULTI-DONOR TRUST FUND
CONTENTS
Project Paper Data Sheet
i
Project Paper
1
I.Introduction
1
II. Background and Rationale for Additional Financing
1
III. Proposed Changes
7
IV. Appraisal Summary
11
Annexes
1. Comparison of Current and Proposed Indicators
16
2. Revised Results Framework and Monitoring Indicators
20
3. Operational Risk Assessment Framework
23
FORUM FOR AGRICULTURAL RESEARCH IN AFRICA (FARA)
FARA MULTI-DONOR TRUST FUND
ADDITIONAL FINANCING DATA SHEET
Basic Information - Additional Financing (AF)
Country Director:
Colin Bruce
Sectors: Agricultural extension and research
Sector Manager:
Severin Kodderitzsch
(80%), Tertiary Education (10%), Vocational
Sector Director:
Jamal Saghir
Training (5%), Adult Literacy/Non-formal
Team Leader:
David Nielson
Education (5%)
Project ID:
P147000
Themes: Rural policies and institutions
Expected Effectiveness Date: January 1,
(50%), Rural services and infrastructure
2014
(50%)
Lending Instrument:
Environmental category: C
Additional Financing Type: Scale-Up
Expected Closing Date: December 31, 2018
Joint IFC: No
Joint Level: No
Basic Information - Original Project
Project ID:
P112684
Environmental category: B - Partial
Project Name:
FARA MDTF
Expected Closing Date: December 31, 2018
Joint Level:
Joint IFC:
Lending Instrument:
Investment Project
Fragility or Capacity Constraints [ ]
Financing
Financial Intermediary [ ]
Series of Projects [ ]
AF Project Financing Data
[ ] Loan [ ] Credit [ X ] Grant [ ] Guarantee [ ] Other:
Proposed terms:
AF Financing Plan (US$m)
Source
Total Amount (US$m)
Total Project Cost:
45.0
Cofinancing:
Borrower:
Total Bank Financing:
IBRD
IDA
FARA MDTF
20.0
Future expected contributions
25.0
Recommitted
Page | i
Client Information
Recipient:
Forum for Agricultural Research in Africa (FARA)
Responsible Agency:
Forum for Agricultural Research in Africa (FARA)
Contact Person:
Yemi Akinbamijo, Executive Director
Telephone No.:
+233 302 772 823
Fax No.:
+233 302 773 676
Email:
yakinbamijo@fara-africa.org
AF Estimated Disbursements (Bank FY/US$m)
FY
2014
2015
2016
2017
2018
Annual
8.4
8.5
10.0
9.0
9.1
Cumulative
8.4
16.9
26.9
35.9
45.0
Project Development Objective and Description
Original project development objective: To align African agricultural institutions at the
national, regional and continental levels with the principles and objectives of the
Comprehensive African Agricultural Development Program (CAADP) – Pillar IV, for effective
agricultural research, extension, technology adoption, and training and education.
Revised project development objective:
To strengthen Africa’s capacity for agricultural innovation with purposefully determined
outcomes, creating capacity for innovation and enabling environments for implementation.
Project description:
Component
Component
Component
Component
1:
2:
3:
4:
Strategic Priorities (recipient)
Corporate Governance Reform Stream and Program Management (recipient)
Sub-Grants for Sub-Projects (recipient)
Management and Supervision of the MDTF (Bank)
Safeguard and Exception to Policies
Safeguard policies triggered:
Environmental Assessment (OP/BP 4.01)
[ ]Yes [X] No
Natural Habitats (OP/BP 4.04)
[ ]Yes [X] No
Forests (OP/BP 4.36)
[ ]Yes [X] No
Pest Management (OP 4.09)
[ ]Yes [X] No
Physical Cultural Resources (OP/BP 4.11)
[ ]Yes [X] No
Indigenous Peoples (OP/BP 4.10)
[ ]Yes [X] No
Involuntary Resettlement (OP/BP 4.12)
[ ]Yes [X] No
Safety of Dams (OP/BP 4.37)
[ ]Yes [X] No
Projects on International Waterways (OP/BP 7.50)
[ ]Yes [X] No
Projects in Disputed Areas (OP/BP 7.60)
[ ]Yes [X] No
Is approval of any policy waiver sought from the Board (or MD if
RETF operation is RVP approved)?
Has this been endorsed by Bank Management? (Only applies to
Board approved operations)
Does the project require any exception to Bank policy?
Has this been approved by Bank Management?
Page | ii
[ ]Yes [X] No
[ ]Yes [ ] No
[ ]Yes [X] No
[ ]Yes [ ] No
Financing Agreement
Reference
N/A
Page | iii
Conditions and Legal Covenants:
Description of
Condition/Covenant
N/A
Date Due
N/A
I. Introduction
1. This Project Paper seeks the approval of the Regional Vice President (RVP) to provide
additional financing (AF) in an amount of US$45 million to the Multi-Donor Trust Fund (MDTF)
for the Forum for Agricultural Research in Africa (FARA) (P147000/TF095129) to implement
additional and expanded activities that scale up impact and development effectiveness. It also seeks
to restructure some aspects (revision of the PDO, results framework, components 1 and 3,
environmental category rating and 5-year extension of the closing date) and similar changes at the
parent level (TF071192).
2. The FARA Secretariat, established in 2002, has been operating under a ten-year Strategic Plan
(2007-2016) developed to support sustainable improvements to broad-based agricultural
productivity, competitiveness and markets. The Strategic Plan was to have been implemented
through two successive five-year Medium-Term Operational Plans (MTOP I and II), however, due
to delays in mobilizing the original MDTF financing, the implementation of MTOP 1 only begin in
2009 and was available for roughly 4 years (2009-2013). Furthermore following the emergence of
new priorities and increased capacity on the part of FARA’s main partners, FARA updated its
Strategic Plan in 2013 and accordingly developed a new MTOP to cover the period 2014-2018.
The proposed AF reflects FARA’s revised Strategy and new MTOP, both of which were elaborated
through a consultative process with African stakeholders1. The Strategic Plan and MTOP were
approved by FARA's General Assembly (its highest governing body) and the proposed AF would
be made available on the basis of agreement by the World Bank on MTOP II. MTOP I supported
by the current MDTF ends on December 31st, 2013 and MTOP II begins on January 1, 2014.
3. In keeping with improvements made to FARA’s Strategic Plan (and subsequently to MTOP II),
the PDO, results framework and component descriptions have been modified to align them to
FARA’s new Strategic Priorities. No changes are proposed to the implementation arrangements of
the original Trust Fund. The proposed AF will therefore contribute to ensuring implementation of
FARA’s updated Strategic Priorities and MTOP II by building on the lessons learned and
achievements from MTOP I. The AF will allow FARA to provide strategic leadership and
foresight, facilitate collective action on priority areas that require regional solutions and strengthen
the capacity of national programs to make them more effective partners in solving regional issues.
4. The MDTF is currently funded by the UK’s Department for International Development (DfID),
Canadian International Development Agency (CIDA), European Commission (EC), and the
Netherlands.
II. Background and Rationale for Additional Financing in the amount of US$45.0 million
and Restructuring
5. Background. The Forum for Agricultural Research in Africa (FARA) is the apex organization
for agricultural research for development in Africa and the AUC/NEPAD mandated body to play a
1
These included the African Union Commission (AUC), NEPAD Planning and Coordinating Agency (NPCA), Regional
Economic Community (RECs), Sub-Regional Organizations (SROs), African Forum for Agricultural Advisory Services
(AFAAS), Tertiary Education for Agriculture Mechanism for Africa (TEAM Africa) and Development Partners.
Page | 1
lead role in the implementation of Pillar IV of the Comprehensive Africa Agriculture Development
Programme (CAADP) focusing on generation, dissemination and adoption of agricultural
innovations. The forum encompasses all stakeholders, African and non-African, who are
committed to enabling African agricultural development and the achievement of the Millennium
Development Goals (MDG).
6. FARA’s development objective is to ‘align African agricultural institutions at the national,
regional and continental levels with CAADP Pillar IV FAAP Principles for effective research,
extension, and training and education’. The MDTF has the following four main components, three
of which are recipient-executed and one is Bank-executed:




Component 1:
Component 2:
Component 3:
Component 4:
Networking Support Functions (NSFs)
Corporate Governance Reform Stream & Program Management
Sub-grants for Sub-projects
Management and Supervision of the Trust Fund (Bank-executed)
7. FARA currently delivers on its mandate through four mutually-reinforcing NSFs, namely:
Advocacy and Policy (NSF1/3)2; Knowledge Sharing and Dissemination (NSF2); Capacity
Strengthening (NSF4); and Partnerships and Strategic Alliances (NSF5). The NSFs mobilize and
support FARA’s constituents and partners (SROs, National Agricultural Research Systems
(NARS), and regional agro-focused networks) to undertake activities that generate continental spill
overs and pro bono innovations in the agricultural sector.
8. The FARA MDTF became effective on September 4, 2009 with financing committed by CIDA,
DfID, the EC, and subsequently the Netherlands. The MDTF was prepared with expected donor
contributions of US$45.9 million, however, only US$ 33.5 million has been secured to date3 (see
table below for details). Despite a funding gap of roughly US$12.4 million that has constrained
FARA’s ability to implement activities to the level anticipated in the MTOP, FARA has made
reasonable progress in its overall implementation, and in particular in the areas specified for
support from the MDTF. A grant in the amount of US$31 million has been disbursed to FARA and
the current closing date is December 31, 2013.
2
3
Page | 2
Originally, Advocacy and Policy were two separate NSFs – NSF1 and NSF3. Later the two were merged into one NSF, NSF1/3.
DfID was originally expected to contribute £10 million, but only ended up committing £500K, which was never paid into the
MDTF. DfID did not ask to withdraw its support at any time from the MDTF, therefore it remains a donor in name only. It is
possible that given FARA’s new strategic direction and new leadership DfID may consider providing support over the next 5
years.
Table 1: Existing donors to the MDTF and their contributions:
Donor
EC
CIDA
Netherlands
DfID*
Total
Agreement
Sign Date
12/23/08
07/14/09
12/15/10
04/01/09
Transaction
Currency
EUR
CAD
USD
GBP
Contribution
Amount
14,000,000
10,000,000
4,195,804
500,000
Contribution
Amount (USD)
18,634,463
9,875,558
4,195,804
800,000
33,514,825
Funds Received
to date (USD)
17,696,570
9,875,558
4,195,804
0
31,767,932
*See footnote 2.
9. Project Performance. Over the life of the MDTF, the FARA Secretariat implemented its
current MTOP covering the period 2009 – 2013. During this period FARA more firmly established
itself as the lead African institution providing technical assistance in Integrated Agricultural
Research for Development (IAR4D) to the AUC and NPCA, within the context of implementing
CAADP. FARA promoted trans-continental learning and knowledge sharing among stakeholders;
strengthened the capacities of relevant actors at country level in planning processes, policy design
and the design and implementation of programs; coordinated platforms for enabling IAR4D actors
to align and streamline their actions, and convened, coordinated and mobilized research, extension
and education stakeholders to align their actions to common strategies (collective actions).
10. FARA also played a key role in successfully promoting continental and sub-regional
organizations to lead different aspects of agricultural development:
for farmers’
organizations
for research
the Pan-African Farmers Forum (PAFFO)
North African Sub-Regional Organization (NASRO) and the Centre for
Coordination of Agricultural Research and Development for Southern
Africa (CCARDESA), the Association for Agricultural Research in East
and Central Africa (ASARECA) and the West and Central African
Council for Agricultural Research and Development (CORAF)
for education
TEAM Africa
for extension
African Forum for Agricultural Advisory Services(AFAAS)
for agribusiness and Pan-African Agribusiness and Agro-Industry Consortium (PanAAC)
agroindustry
for NGOs
Pan Africa NGO Consortium (PANGOC)
FARA has participated in important international forums such as the G8 and the United Nations
Food Security Summit representing the continent in matters pertaining to agricultural innovation
systems. Moreover, FARA has been designated, along with the Consultative Group on International
Agricultural Research (CGIAR), as the co-lead institution for the work stream on technology
innovation platforms within the G8’s New Alliance for Food Security and Nutrition.
11. In consultation with stakeholders, FARA has developed, convened and catalyzed a
number of Africa-wide initiatives, including the Sub-Saharan Africa Challenge Programme
(SSA CP), which has validated and institutionalized IAR4D, and commissioned an
Page | 3
assessment of NARS’ capacities, which led to the development of the program for
Strengthening Agricultural Research in Africa (SCARDA). Moreover, FARA has assumed
the lead role for the formulation of an African-owned and led Science Agenda for
Agriculture in Africa. This is expected to serve as an organizing framework for Africa’s
agricultural science and technology programs (research, extension, education) with those of
CGIAR and other partners. With active participation and involvement of FARA, the process
to develop the Science Agenda has transitioned from planning to implementation phase.
12. FARA has also developed several other initiatives based on the requirements of its
stakeholders, such as the Regional Agricultural Information and Learning System (RAILS),
which enables stakeholders to receive and process information; the Dissemination of New
Agricultural Technologies in Africa (DONATA), which has proved the merit of creating
platforms for the interaction of diverse stakeholders involved in technology adoption;
Strengthening Capacity for Safe Biotechnology Management in Sub-Saharan Africa
(SABIMA), which has strengthened African national capacities for stewardship that will
encourage the transfer of proprietary technologies; and the UniBRAIN initiative, which is
breaking down the barriers between African universities, business and research to release the
talent and capacities within these institutions to participate in joint innovations. All of these
are aimed at enhancing Africa’s capacity for innovation in agriculture.
13. Through its NSF Units, FARA has played a key role in the formulation of 35 CAADP
Country Compacts and 27 National Agricultural Investment Plans that incorporate CAADP
Pillar 4 elements. Support to NARS was also provided mainly by producing 8 country case
study reports in four sub-regions thus identifying priority areas for agriculture investment.
About 33 policy briefs on strategic analysis of policy and market issues were produced and
more than 60 recommendations generated from the FARA Regional Policy Dialogue
workshops, available in Policy Dialogue Reports. More than 50 functional innovation
platforms (platforms that engage all relevant stakeholders) have been established and more
than 20 institutions (SROs, NARS, NGOs etc.) have adopted the innovation platform
approach. FARA has increased the number of stakeholders who use knowledge management
tools for knowledge exchange at continental level from 200 in 2008 to 2500 in 2013. This
refers to membership in FARA’s online networks, RAILS and Africa Adapt platforms.
Furthermore, 25 national information and learning systems on agricultural innovations and 6
continental platforms on knowledge exchange and technology dissemination for agricultural
research and development (ARD) were established, and 25 country platforms were integrated
into continental platforms.
14. FARA has clearly established itself as the lead voice and coordinating institution for the
African continent with respect to agricultural innovation through agricultural research,
agricultural advisory services, and agricultural education. Through its leadership on the
CAADP – CGIAR Alignment initiative (often referred to as the Dublin Process), FARA has
established a new well-defined relationship between Africa (and FARA itself) and global
agricultural research institutions. This is codified in the MoU between FARA and the AUC
– and also in the MoU between the AUC and the CGIAR. Through its engagement with
CAADP, FARA has clarified its role on the continent and developed well-functioning
partnerships with the SROs. Through CAADP, FARA has worked very closely and
effectively with AUC, NPCA, the RECs, and the SROs, in providing support for the
Page | 4
development of agricultural innovation aspects of national and regional agricultural
investment plans in more than 35 countries as well as at the regional level. These
engagements have led to a much clearer understanding of respective roles and capacities and
relationships between the various levels which are very consistent with the principle of
subsidiarity. The activities described in the paragraphs above are examples of FARA
fulfilling its continental role.
15. ISR ratings over the life of the project for implementation progress and progress towards
achievement of the PDO have consistently been rated “satisfactory” and FARA is on course to
meet the MDTF’s development objective. The MDTF is in compliance with all grant covenants.
Rationale for Additional Financing and Restructuring
16. FARA’s new strategy is rooted in the requirements of Africa’s agricultural transformation
agenda. The Sixth Joint Annual Meeting of the United Nations Economic Commission for
Africa (UNECA), the Conference of African Ministers of Finance, Planning and Economic
Development and the African Union (AU) Conference of Ministers of Economy and Finance
in March 2013 agreed on the need for a refocused program for UNECA that supports the
transformation agenda for Africa. The reconfigured programs will focus on conducting
research and normative work to support African member states in transforming their
economies from low-income to middle-income status. Programming will emphasize the
central role of regional integration in African development by promoting the nexus between
trade, industry, agriculture, land, infrastructure, investment, intra-Africa trade and
participation in international trade.
17. Africa’s IAR4D context is also changing. There is increased global interest in publicand private- sector investment in agricultural research and development. This interest
provides an expanded space for FARA to serve as the voice for African agriculture, and to
engage in, and connect with global initiatives. Stakeholder appreciation of the contribution of
the private sector to agricultural development, and to the subsequent benefits to people’s
livelihoods, has grown significantly too. At its Camp David Summit in May 2012, the G8
announced the formation of the New Alliance for Food Security and Nutrition. FARA has
been designated – along with the CGIAR – as a co-leading institution for the Alliance workstream on technology innovation platforms. This means that there is a need for FARA to
deepen its efforts to engage the private sector in research, extension and education.
18. It is widely accepted that Africa’s poor agricultural performance is traceable to
inappropriate policies and weak planning processes. There is therefore a need to strengthen
Africa’s capacity to determine the kind of agriculture it wants, as well as how this might be
achieved. Already, FARA has championed the establishment of the African chapter of the
Global Foresight Academy under the Global Forum on Agricultural Research (GFAR).
However, there is a further need to catalyze the actions necessary to develop the capacity for
Africa to conduct its own foresight and associated strategic analyses.
19. Africa is home to the world’s youngest population. FARA has demonstrated its
commitment to supporting Africa’s efforts in making the most of the demographic bonus of
having a young population. FARA hosts the Africa chapter of the Young Professionals in
Page | 5
Agricultural Research for Development (YPARD). FARA has already intensified its focus
on improving the quality and relevance of agricultural education and initiated work with
research, extension and education institutions and organizations to build or strengthen their
knowledge, information and skills (KIS) capacities. Nevertheless, more needs to be done to
strengthen Africa’s ability to build capacity in these areas. Another area is gender
mainstreaming which is addressed as a cross-cutting theme in FARA’s programs, policies
and activities, and those of its stakeholders, including SROs, NAROs and farmer
organizations. To ensure a proper commitment to addressing gender, FARA’s Gender
Strategy (approved in 2013) is an integral component of FARA’s Strategic Plan and MTOP
II. The Gender Strategy presents the broad strategic framework within which FARA will
pursue the goal of mainstreaming gender in facilitating the improvement of agricultural
productivity in Africa.
20. The leadership role that FARA played in the implementation of CAADP Pillar IV
widened the scope set by this original mandate (which focused on agricultural research), to
embrace legitimate involvement with actors spanning the whole agricultural innovation
system. The AUC has renewed its Memorandum of Understanding (MoU) with FARA,
according to which FARA will continue to provide IAR4D technical assistance to the AUC
and its technical agencies, including NPCA, while sustaining the CAADP momentum.
21. All the above changes in the context within which FARA operates, call for a strategy
that refocuses FARA on its core functions that are best done at the continental level without
duplicating what its partners are doing, but instead creates synergies with them. The strategy
needs to be clear on FARA’s value proposition and how to deliver on it, know its target
clients, to reach out to them, and how to sustain their interest in the services offered. It is also
essential for FARA to know what resources are required to carry out the actions, and who to
partner within the delivery of its mandate.
22. The new Strategic Plan refocuses and realigns FARA’s contribution to meeting these
challenges to set African agriculture on the transformation growth phase. FARA’s
contribution intends to build upon its achievements, the central one being that FARA is
recognized as the apex body of a multi-tier, multi-stakeholder system for ARD in Africa. The
need for a new strategy is also occasioned, in part, by the fact that the SROs have grown in
number with the establishment of NASRO and CCARDESA, and have acquired the
experience and confidence to re-define their own mandates and comparative advantages in
contributing to agricultural research and the complementarities between them and FARA
have been clarified. Furthermore, its international counterpart, the CGIAR, has undergone a
major reform process that has culminated in the adoption of a multi-center approach in the
CGIAR Research Programs (CRPs).
23. Given that the MDTF is already active with well-established and adequate institutional
and fiduciary arrangements, an extended MDTF aligned with the MTOP II timeframe offers
a suitable mechanism and opportunity to ensure continued and uninterrupted implementation
of the MDTF in support of the MTOP II. Both donors and FARA recognize this and have
expressed satisfaction with the MDTF as a mechanism for channeling support to FARA.
Accordingly, all parties have agreed that support to FARA should continue over the next five
years through the existing mechanism, hence the request for additional financing in the
Page | 6
amount of US$45 million and 5-year extension of the closing date. The European
Commission has made a firm commitment of €14 million (~US$20 million) to support
implementation of MTOP II. This leaves a funding gap of approximately US$25 million that
is expected to be filled by donors (e.g. CIDA, the Netherlands, USAID) over the coming
years. In the interim, the other existing donors (CIDA, DfID and the Netherlands) will
withdraw from the MDTF on the original end disbursement date and rejoin the trust fund
when they are ready to commit new funding.
24. Realizing that funding for the MTOP II may not come readily, FARA has developed a
resource mobilization strategy and has initiated its implementation. FARA’s long-term
sustainability and ability to pursue African agricultural research priorities depends on
attracting funding from African sources. For this, FARA is closely working with the AUC
and identifying champions who can influence financing decisions. Changes in the way
FARA conducts its business will also be directed at attracting private-sector funds. First, by
becoming more proactively involved with the private sector through demonstrable value
addition and second, by adopting a more business-like approach to the way it conducts and
presents itself in relations with third parties. To that end, each strategic priority will develop
a well-articulated business model that sets out who it is serving, what it is offering, how it is
reaching them, how it will keep them, what has to be done, what contribution its partners
will make, what it will do itself, what its activities will cost and how they will be financed.
Other non-traditional donors will also be approached to raise funds to fully implement the
MTOP.
25. FARA’s MTOP proposes three budget scenarios (high, low and base case). Given
current funding constraints, FARA has opted to implement the low case and the associated
2014 annual work plan and budget were approved by the Bank task team and the FARA
Board of Directors in November, 2013. Should no additional funding materialize by the
second year of MTOP II implementation, FARA will re-assess its work plan and operational
costs (including staffing) with a view towards downsizing to fit the available resources.
FARA will continue to exercise the caution used over the past several years by applying
criteria agreed with the Bank for the prioritization of its annual work plan activities.
III. Proposed changes
26. The current overall structure of the MDTF will remain as is. Likewise, grant
implementation and institutional arrangements will remain as is under the parent MDTF.
However, the following changes are envisaged in relation to the proposed AF.
a) Extension of closing date: FARA MDTF grant closing date would be extended from
December 31, 2013 to December 31, 2018.
b) Modifications to the Results Framework (RF): The RF of the MDTF will be adjusted to
reflect the reorientation of the NSFs (now Strategic Priorities). See Annex 1 for the revised RF
with updated indicators and five-year targets.
Page | 7
c) Modification to the Environmental Category rating from B to C. No safeguards policies
were triggered under the current MDTF and the two sub-projects financed from FARA MDTF
supported set-up and operational costs of a continental (AFAAS) and sub-regional
(CCARDESA) organization. In keeping with the principle of subsidiarity, FARA will not be
undertaking any activities that will require physical or civil works.
d) Alignment of the PDO with MTOP II: With the strengthening of the SROs and the other
institutions over the past 5 years, many of the tasks set out in FARA’s 2007–2016 Strategic
Plan with respect to Networking Support Functions are due to be handed over to other
organizations. To fulfill FARA’s redefined role as lead institution for agricultural research on
the continent , the PDO and components of the current MDTF will be modified and aligned to
the Strategic Priorities of the FARA Strategic Plan/MTOP II, namely, (i) envisioning the
agricultural transformation that Africa wants and how to achieve it; (ii) ensuring that Africa
has sufficient human and institutional capacity integrated to implement its agricultural
ambitions; and (iii) making sure that policy makers get the evidence-based information they
require to create enabling policy environments and that their constituents are well informed
and support the changes.
The PDO of the current MDTF and that of the MTOP is:
“To align African agricultural institutions at the national, regional and
continental levels with CAADP Pillar IV FAAP Principles for effective
research, extension, and training and education.”
To make it consistent with the Strategic Priorities, the proposed revised PDO for the
new MTOP is as follows:
“To strengthen Africa’s capacity for agricultural innovation with
purposefully determined outcomes, creating capacity for innovation and
enabling environments for implementation.”
Under the current MTOP, the modified objective was pursued in the course of
implementing CAADP Pillar IV FAAP Principles. The new MTOP states the objective
clearly assuming that all activities will be grounded in the FAAP Principles and guided by
the CAADP Country Compact and National Agricultural Investment Plans.
e) Changes to Components 1 and 3. The three Strategic Priorities described in paragraphs (i)
through (vi) below will replace the current Networking Support Functions (NSFs) of
Component 1.
(i) Alignment of Component 1 with the new Strategic Priorities Structure. Component 1 is
aligned to the revised Strategic Plan and focuses on: (i) envisioning the agricultural
transformation that Africa wants and how to achieve it; (ii) ensuring that Africa has
sufficient human and institutional capacity integrated to implement its agricultural
ambitions; and (iii) making sure that policy makers get the evidence-based information they
require to create enabling policy environments and that their constituents are well informed
Page | 8
and support the changes. These vital roles attributed to FARA are distilled into three
Strategic Priorities that make up the new component structure of the MTOP:
(ii) Strategic Priority 1: Visioning Africa’s agricultural transformation – with foresight,
strategic analysis and partnerships. The objective of this component is to enable more
productive engagement between the public and private sectors in all aspects of supply and
value chains. This will lead to the ‘creation’ of an integral agricultural innovation system
along with improved trade (especially intra-Africa trade) and marketing. This component
will promote new models that are sufficiently open and resilient enough to cope with future
risk and uncertainty and able to accommodate socio-political discontinuities. The models
must allow for anticipation and proactive input, leading to the development of robust
investment planning. FARA will underpin this by promoting analyses to guide internal and
external private and public investment.
(iii)In this endeavor, FARA will become more engaged with the AUC’s political/ collaborative
frameworks. This includes providing evidence for decision-making on IAR4D at AU
Ministerial Conferences (e.g. Conference of African Ministers of Agriculture); AU Heads of
States and Governments Summits; the CAADP Partnership Platform; Africa-European
Union Joint Strategy; Africa–India, Africa–Brazil, Africa–China and Africa–Australia and
the Africa–Arab research exchange in the context of the Joint Action Plan on Agriculture
and Food Security. Spearheading the African science agenda for agriculture, FARA will
continue to fulfill its mandate by spearheading and facilitating the Dublin Process for
developing the African Science Agenda for Agriculture. In this process, FARA will ensure
that African regions are brought into the science agenda and enabled to contribute and build
Africa’s self-reliance in agricultural sciences. Additionally, FARA will continue to promote
intra- and inter-continental platforms and partnerships, building on experiences from the
North–South and South–South partnerships that have developed over the last ten years.
(iv) Strategic Priority 2: Integrating capacities for change – by connecting and learning. The
objective is to advocate, catalyze and facilitate the strategic reforms, processes and
mechanisms that will connect and combine the capacities of actors within the knowledge
system. FARA will strengthen interactions and partnerships among farmers, research,
education, extension, and trade and agribusiness organizations. It will continue to support
such recently established regional organizations as AFAAS, CCARDESA, NASRO, PAFFO
and TEAM Africa, until they become fully established. It will also continue to encourage
and foster links between these organizations and others4 and the specialized agencies of the
AU. FARA will support the development of partnerships between countries, institutions and
local programs as a means to enhance capacity strengthening, while bringing together the
critical mass needed to undertake complex agricultural training and advisory tasks.
4
Including the African Network for Agriculture, Agroforestry and Natural Resources Education (ANAFE), Permanent
Interstates Committee for Drought Control in the Sahel (CILSS), Centre international de recherche-développement sur
l'elevage en zone subhumide (CIRDES), International Centre of Insect Physiology and Ecology (ICIPE), International
Trypanotolerance Centre (The Gambia) (ITC), PanAAC, PANGOC and Regional Universities Forum for Capacity Building in
Agriculture (RUFORUM)
Page | 9
(v) FARA will undertake activities to link research, education and business for agricultural
innovation. Particular attention will be paid to creating entrepreneurs by establishing
appropriate courses and including soft skills, internships and industrial attachments. FARA
will therefore deepen its engagement by creating the appropriate conditions for the
involvement of the private sector in research, extension and education. This should enable
the private sector to become a genuine partner in terms of setting the agenda, carrying out
research and investing in research. These actions will make graduates and research products
more fit-for-purpose in Africa’s present and future agricultural industry and lead to faster
dissemination and uptake of new technologies. Since smallholder producers and farmers –
particularly women – constitute the largest sub-sector within the private sector, particular
attention will be paid to their needs, extending beyond access to information to empowering
their learning and acquisition of knowledge.
(vi) Strategic Priority 3: Creating an enabling environment for implementation – by advocating
and communicating. The objective for pro-agricultural development advocacy is to convince
African governments that strong agricultural innovation systems are the linchpins of
economic development and food security and they must invest more themselves and rely less
on donors. Moreover, FARA will maintain a knowledge hub to support strategic agricultural
policy formulation and improve the performance of agricultural markets; focus will be on
promoting evidence-based enabling policy options, encouraging and facilitating increased
and sustained investments in agricultural science and innovation, creating a network of
appropriate policy analysis institutions and encouraging them to work synergistically in
undertaking policy analysis and market research based on their different comparative
advantages. It will promote networking and facilitate engagement among the economic
research community and policy makers concerning strategic policy issues affecting
agricultural development in Africa. It will also promote the exchange of economic policy
research results and the sharing of best practice policy options among policy research
institutions, policy makers and the broader community of CAADP stakeholders through
several avenues, including workshops, seminars, conferences and publications.
(vii) Component 3. The original Component 3 was to provide sub-grants to beneficiaries for
specific development projects involving research and advocacy in support of NSFs 1 through
4. SROs, NARS, agricultural ministries, agencies responsible for leading CAADP
roundtable processes, sub regional agricultural policy organizations, and secretariats of subregional and regional higher education fora were expected to receive support through ongranting arrangements. Due to delays in obtaining FARA Board approval on the Sub-grants
manual, most activities were implemented by consultants contracted directly by the FARA
Secretariat. Furthermore, the overall approach to FARA sub-grants was redesigned with
sub-projects no longer financing research or civil works. Under the additional financing,
FARA will provide sub-grants for specific sub-projects for advisory services, agricultural
education and research and development to regional and sub-regional organizations. These
sub-projects will support capacity building, training, networking and advocacy.
Page | 10
Table 2: Revised Project Costs as a Result of the Additional Financing
Component
1. Networking Support Functions (original) /
Strategic Priorities (recipient)
2. Corporate Governance Reform Stream and
Program Management (recipient)
3. Sub-Grants for Sub-Projects (recipient)
4. Management and Supervision of the MDTF
(Bank-executed)
Total
Original
PAD
budget
(US$M)
Disbursed &
Committed
MDTF
Funds
Proposed
Additional
Financing
(US$M)
Total revised
budget with
Additional
Financing
10.43
8.79
11.66
20.45
21.57
21.88
29.08
50.96
12.30
1.3
2.72
4.02
1.60
1.58
1.53
3.11
45.90
33.55
45.00
78.55
IV. Appraisal Summary
27. Technical Analysis: The project approach and design are technically sound. The
proposed structure of the AF builds on and utilizes the existing MDTF structure. FARA’s
interventions will address the need for better regional representation of research,
extension, education, policy and business in the implementation of CAADP. It will strengthen
interactions and partnerships among farmers’, research, education, extension, trade and
agribusiness organizations. It will continue to support such recently established regional
organizations as AFAAS, CCARDESA, NASRO, PAFFO and TEAM Africa, until they
become fully established. The design of the AF activities is based on the existing technical
and institutional arrangements that have been strengthened during implementation of the
original MDTF. It also assumes that there will be flexibility both in the structure of the
organization as well as the Secretariat’s skill-mix in response to the changes in strategic
priorities and changed directions (including specialists in foresighting, capacity building,
etc.), in addition to adjustment that may be required due to shortage of funds.
28. Economic Analysis. Public sector provision and financing as an appropriate vehicle.
Important aspects of agricultural research and agricultural extension are public goods in the
sense that they have large returns that cannot be captured by the private sector. This is
particularly true for research related to staple and non-commercial crops that are important
for the welfare of poor households (farming and otherwise). For this reason, public sector
financing of agricultural research and agricultural extension at the national level has long
been understood as well-justified in order to overcome underinvestment in these activities
that would otherwise not be obtained in the absence of public sector funding. Collaborative
public sector financing of regional ARD efforts is also needed at the regional and continental
level to address the failure of national or sub-national systems to create ARD spillovers.
Since many of the actual benefits of agricultural research spill across borders, individual
countries planning on their own substantially underinvest in programs that are relevant
beyond their own borders. Further, without collaboration, there is significant overlap (and
re-inventing of the wheel) between national programs and failure to take advantage of
possible economies of scale in ARD efforts where it would be beneficial. Without
Page | 11
collaborative public funding at the regional and continental levels, the impact of research
programs will be well below what it could otherwise be. The creation of larger shared
technology spaces (i.e., spaces larger than the geographic boundaries of individual countries)
has proven to be an effective solution for increasing efficiency in the face of common
problems, reducing duplication and addressing issues of the fragmentation associated with
small country systems. FARA is a not-for-profit international organization which addresses
this issue directly by coordinating the efforts of national ARD programs and by making
additional resources available to them to collaborate in their priority setting as well as in the
implementation of their programs. These programs encourage and nurture private sector
ARD initiatives, and sometimes employ private sector actors in the implementation of
programs that have public sector financing. It should be noted that at present private sector
involvement in agricultural research remains relatively limited in Africa and often targets a
narrow range of commercial crops and focuses almost exclusively on new varietal
development. Staple food crops – which are key to addressing food security and nutrition
issues – are often not part of the private ARD research agenda, which focuses on maximizing
sale of commercial seed. Private sector research does not address the wider technology space
which includes agronomic practices, socio-economic studies and the issues of gender and
climate change adaptation.
29. World Bank value added. The World Bank has been instrumental in identifying the
need for investment in regional and continental approaches to ARD in African agriculture
and in the design of programs to address this need, as well as in the mobilization of resources
to launch and fund these programs. The Bank has played a key convening role with a core
group of development partners (the World Bank, CIDA, DfID, EC, and USAID) as well as
with African institutions at every level (including key CAADP lead organizations). The
Bank has also provided critical support toward building the capacity of FARA and other
SROs to be able to develop and implement their programs effectively. These are roles that
no other actor or institution would have been able to play, and this continues to be the case.
30. Economic viability of the proposed levels of investment in FARA. Currently, FARA’s
annual budget is in the range of US$15-20 million per year. FARA makes important
contributions in several areas including: improving collaboration across national and regional
ARD efforts; developing the capacity of ARD programs at every level; improving
coordination between African ARD efforts and those of global partners; and improving the
enabling environment for ARD at every level in Africa through CAADP. It has been
estimated (through an enormous literature entailing thousands of studies) that returns to
agricultural research globally are on the order of a very impressive 75%. In Africa, returns
have also been impressive, but have been on the order of 50%. FARA contributes toward
raising African returns to agricultural research above this historical level toward global
standards. If FARA succeeds in raising returns to agricultural research on the continent by
one half of one percent (to 50.5%), this alone would more than justify FARA’s entire budget.
FARA’s contributions in other areas would be in addition to this. This level of impact
appears to be a very modest expectation relative to reasonable expectations of FARA’s
impact – and suggests the strong economic viability of the investment in FARA’s budget.
Page | 12
31. Institutional set up and implementation arrangements. All AF activities will be
implemented and managed through the MDTF’s existing institutional, implementation,
fiduciary, safeguards and monitoring arrangements. FARA has developed the required
management capacity with highly qualified and skilled staff, and functioning procurement,
financial management and M&E systems and will continue to have overall responsibility for
the management of the AF activities. This would include the carrying out of procurement,
monitoring, evaluation and reporting functions in accordance with World Bank Procurement
Guidelines dated January 2011, Anti-Corruption Guidelines5, FARA’s Operational Manual
and the Grant Agreement. The Bank will carry out its usual implementation support function
through regular supervision of the MDTF support and FARA’s implementation of it SP and
MTOP.
32. FARA implemented its last Strategic Plan with a full complement of governance structures.
These have been tested and have evolved to meet the demands faced by FARA as a continental
forum that acts in accordance with the subsidiarity principle and with the other principles set
out in FAAP.
33. Financial management. Financial management at the FARA Secretariat has been rated
“satisfactory” for most of the grant life, and over the past year, “highly satisfactory”. The
risk rating is low. The FARA Secretariat has been submitting timely and acceptable semiannual IFRs and withdrawal applications to the Bank. All audits reports are current and there
are no pending audit issues. The financial management assessment conducted during the last
Implementation Support Mission determined that FARA’s arrangements satisfied the Bank’s
minimum requirements as set out in OP/BP 10.00. All audits are current and unqualified.
The FM capacity of the existing team at the FARA Secretariat level is strong. It has per the
Bank’s recommendation, been further strengthened through the recent recruitment of an
additional financial management officer. For purposes of the proposed AF, an update to the
financial management assessment conducted at preparation of the parent MDTF was carried
out. The conclusion is that the current FM arrangements will remain the same and are
sufficient to properly handle the additional resources.
34. Flow of Funds: Funds will continue to be channeled through FARA’s existing designated
account (DA) denominated in United States Dollars.
35. Disbursement Arrangements: FARA will continue to use the agreed report based method
of disbursement. Withdrawal requests will comprise a cash flow forecast projection and unaudited Interim Financial Report (IFR) for a six month period. The IFR will show the
accountability of funds utilized during the six month period.
36. Procurement: FARA’s current procurement performance is rated as “satisfactory” and its
risk rating is low. Procurement capacity at the FARA Secretariat is deemed adequate for the
new MTOP. Procurement activities will continue to be carried out in accordance with the
World Bank’s “Guidelines: Procurement of Goods, Works and Non-consulting Services
under IBRD Loans and IDA Credits and Grants by World Bank Borrowers” dated January
2011 (“Procurement Guidelines”) and “Guidelines: Selection and Employment of
“Guidelines on Preventing and Combating Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants”, dated January 2011
(“Anti-Corruption Guidelines”).
5
Page | 13
Consultants under IBRD Loans and IDA Credits and Grants by World Bank Borrowers”
dated January 2011 (“Consultant Guidelines”).
37. Environmental and Social Safeguards. The proposed AF is a category C. However,
the original MDTF was classified as a category B – Partial Assessment, triggering forestry,
pest management and international waterways safeguard policies. During project
implementation, the overall approach to FARA sub-grants was not designed to finance any
research or civil works. Therefore, none of the three policies were triggered during the
current project implementation. Under the additional financing, the support to be provided
through sub-grants would be of the same nature, so again, no safeguard policies are expected
to be triggered. Accordingly, the Environmental Category was re-categorized from B –
Partial Assessment (original) to Category C – Not Required (additional financing).
38. Monitoring and Evaluation: FARA’s current M&E arrangements are satisfactory.
Overall monitoring and evaluation of the MTOP will continue to be the responsibility of the
FARA Secretariat, although the results and outcomes and outputs of the Strategic Priorities
outlined above will be implemented largely through partnerships and alliances between and
within Forum members, the Secretariat and external partners. This mechanism of delivering
results through a network of implementing partners, over whom the FARA Secretariat has no
direct control, is a challenge, and requires an M&E framework and plan that facilitates
collective responsibility, and harmonizes guidelines and processes. FARA’s M&E system is
designed to meet this challenge and will be centered on tracking and reporting performance
against activity milestones and output, outcome and impact indicators. A detailed
performance monitoring plan (PMP) has been developed on the basis of the indicators and
targets specified in the results framework (see Annex 1) as part of an embedded performance
monitoring system at continental, sub-regional and national levels. An implementation
monitoring system will assess the degree to which the implementation process complies with
work plans and budgets in order to ensure timely delivery of outputs. All the data and
information will be generated by the implementing agencies/units following well-defined
reporting formats. Significant efforts will also be put into refining the Key Performance
Indicators (KPIs) in the results framework, so that implementers report on milestones on a
regular basis. There are higher level indicators in the results framework to link FARA
outputs to the anticipated higher level benefits. Finally, since there are several new indicators
for which the baselines are not available, a baseline survey will be undertaken within the first
6 months of effectiveness of the additional financing to the FARA MDTF (i.e. by June 30,
2014).
39. Risk Assessment: The overall risks for implementation of the AF activities are
moderate. FARA will continue to use its well-established governance and operational
systems and procedures for implementing MTOP II, as detailed in the World Bank and
FARA Board of Directors approved Operational Manual (OM). FARA staff have acquired
the experience and skills necessary to ensure successful implementation of the AF activities.
Implementing partners, however, may not be sufficiently responsive, particularly with
respect to provision of data or progress reports. Given the current global economic situation,
securing funding for MTOP II from both traditional and non-traditional sources will be
critical and a concerted fundraising exercise will be required during MTOP II
Page | 14
implementation to avoid a financing gap and the risk of partial implementation of MTOP II.
Details of the risks and risk management measures are in the attached ORAF.
40. Sustainability: The revised Strategic Plan requires FARA to undertake actions that will
minimize the current heavy reliance on development partners6. The recommended actions
include resource mobilization from African governments and the private sector. The
Secretariat will also strengthen its approach to mobilizing resources by working more closely
with the private sector and promoting a meeting of minds between the leaders of agribusiness
and African agricultural research institutions, universities and capacity-strengthening
organizations. From the perspective of capacity building and long-term sustainability, FARA
has supported the establishment of regional organizations such as AFAAS, CCARDESA,
NASRO, the PAFFO and TEAM Africa. Some of these are fully established and ready to
assume responsibilities that FARA has been handling so far; and will support the others to
assume more responsibility so that it can focus on its new strategic priorities. Moreover,
FARA’s interventions have and will ensure sustainability by supporting the development of
partnerships between countries, institutions and local programs as a means to enhance
capacity strengthening, while bringing together the critical mass needed to undertake
complex agricultural training and advisory tasks. The participatory and inclusive approach
FARA used to prepare the Strategic Plan and the MTOP will help in understanding roles and
responsibilities among various actors and will mobilize partners towards achieving its goals
and objectives.
41. Implementation Support. The Bank’s task team will primarily consist of a Lead
Agricultural Specialist and a Senior Operations Officer who will handle the day to day
management of the MDTF. The team will be supported by the relevant representatives of the
Bank’s service units (FM, procurement, legal, loan, TF administration, etc.). To ensure that
grant resources are being used effectively in pursuit of the PDO, the World Bank (as
administrator of the MDTF) will undertake biannual implementation support missions. In
addition, a mid-term review (MTR) is envisaged over the five-year implementation period.
This is a hybrid MDTF with Bank and recipient-executed components, hence customized
fees will be applied to allow for 100% recovery of the Bank’s supervision and TF
administration costs.
Approximately 50% of FARA’s budget is derived from the MDTF, and the other 50% from bilateral support to time-bound
activities. A minimal amount is contributed by member countries, but this is expected to increase based on recent pledges (e.g.
Nigeria).
6
Page | 15
Annex 1. Comparison of Current and Proposed Indicators
Revisions to the Results Framework
Comments/Rationale for Change
PDO
Current (PAD)
To align African agricultural
institutions at the national,
regional and continental levels
with CAADP Pillar IV FAAP
Principles for effective
research, extension, and
training and education.
Proposed
To strengthen Africa’s capacity for
agricultural innovation with purposefully
determined outcomes, creating capacity for
innovation and enabling environments for
implementation.
The CAADP transformative phase
requires a major strategic reorientation to align the FARA
strategic plan and MTOP with the
“sustaining CAADP momentum”
agenda that focuses on engaging
Africa’s political leadership to ensure
conducive and stable policy
environment; and increased systemic
capacity, inclusiveness and evidence
based action to improve public sector
planning, implementation and review.
PDO indicators
Current (PAD)
Sub-regional agricultural
research, extension and
education institutions have
developed and implemented
FAAP compliant policies and
programs.
National agricultural research,
extension and education
institutions have developed
and implemented FAAP
compliant policies and
programs.
Number of FAAP compliant
CAADP country compacts
addressing agricultural
research, advisory services,
and higher education
Number of FAAP compliant
regional CAADP compacts
addressing agricultural
research, advisory services,
and higher education signed.
% of AWP programs/
activities implemented on
target, on budget and time
Proposed change*
Dropped.
Dropped.
PDO changed. Captured under revised
indicator at intermediate results level.
Dropped.
PDO changed. Captured under revised
indicator at intermediate results level.
Dropped.
PDO changed. Captured under revised
indicator at intermediate results level.
Dropped from PDO but continued as
indicator at intermediate results level.
See indicators at intermediate results
level
Percentage increase in number of
individuals, groups, organizations directly
affected or reached by FARA interventions
(disaggregated by gender)
New. Stated to reflect changes in
inclusiveness and participation in the
African agriculture innovation system
resulting from the implementation of
FARA (the Forum) interventions.
New. Stated to reflect changes in
systemic capacities for African
agriculture innovation resulting from
the implementation of FARA (the
Percentage increase in core competencies,
capabilities and capacities for innovation
among targeted (individual,
organizational/inter-organizational and/or
Page | 16
PDO changed. Captured under revised
indicator at intermediate results level.
Revisions to the Results Framework
institutional) ARD actors7
Degree of stakeholder satisfaction with
FARA performance and quality of
products and services
Level of annual contributions by African
Governments and institutions to FARA
funding
Comments/Rationale for Change
Forum) interventions.
New. Introduced to capture how
effective and relevant FARA is in
terms of advancing the Africa agenda.
New. Introduced to reflect concern for
increased African ownership and
investment.
Intermediate Results indicators
Current (PAD)
NSF 1. Number of CIPs that
integrate CAADP Pillar IV
elements (agricultural
research, advisory services,
and education)
NSF 2(a). Number of gendersensitive continental platforms
on knowledge exchange and
technology dissemination for
ARD in Africa established.
NSF 2(b). Number of
stakeholders using gendersensitive knowledge
management tools for
knowledge exchange at
continental level
(disaggregated)
NSF 3(a). Number of briefs on
strategic analysis of policy and
market issues produced.
NSF 3(b). Number of policy
recommendations synthesized
from policy dialogues.
NSF 4(a). Number of capacity
strengthening initiatives
developed & implemented.
NSF 4(b). % targeted
organizations showing
improved performance.
NSF 5(a). Number of
functional innovation
platforms established.
NSF 5(b). Number of
institutions (SROs, NARS,
NARS, private sector, farmer
organizations) that have
adopted the innovation
7
Proposed change*
Number of countries and RECs in which
FAAP principles and guidelines have been
embedded in CAADP national and/or
regional compacts and AFSIPs
Revised to capture current indicator
and the 4 dropped from PDO level
Number of platforms used for information
delivery and exchange
Revised
Number of stakeholders (individuals,
institutions disaggregated by country,
region, gender, stakeholder category)
reached with information through
continental information and knowledge
sharing platforms (websites, publications,
visual and social media)
Number of information and knowledge
products/packages (briefs, reports,
scientific papers and publications
documentaries) produced and made
available to stakeholders
Revised
Dropped
Covered under new improved
indicator
Dropped
Covered under new improved
indicator
Number of functional partnerships and
platforms for agricultural innovation and
trade among African stakeholders and
between them and northern and southern
partners established
Dropped
Revised and merged 5(a) and 5(c)
Revised to capture 3(a), 3(b) and other
publications
Covered under new improved
indicator on participants reached
Competencies are the ‘energies, skills and abilities of individuals’; capabilities the ‘collective ability of a group or a system to do something either inside or outside the system. The collective skills involved
may be technical, logistical, managerial or less tangible (i.e. the ability to earn legitimacy, to create trust to adapt, to create meaning etc.)’ whilst capacity refers to the ‘overall ability of an organization or
system to achieve technical results (perform), build more effective and dynamic relationships among multiple actors, facilitate resourcefulness, continuously learn and adapt to new challenges and create
value for others’, whereby the system must balance and integrate the many capabilities it has developed through both formal human capital formation (training) and organizational/institutional
development/strengthening interventions.
Page | 17
Revisions to the Results Framework
platform approach.
NSF 5(c). Number of
partnerships and Strategic
Alliances established.
CGRS (a). Unqualified
external audits endorsed by the
Board.
CGRS (b). All agreed
recommendations from
reviews and Board resolutions
incorporated into governance
documents, operations and
policy manuals.
CGRS (c). Number of CAADP
Pillar IV institutions that
integrate elements of the
Gender Mainstreaming
Strategy into their programs.
Page | 18
Comments/Rationale for Change
Dropped
See 5(a) above
Dropped
Covered under new improved
indicator on compliance
Dropped
Covered under new improved
indicators on compliance and
pluralism
Dropped
Gender disaggregation for majority of
indicators
Number of Countries with ARD agendas
being influenced by the outcome of
foresight studies
Number of participants reached,
participating or contributing to innovation
platforms, consultations, workshops,
meetings (individuals, institutions
disaggregated by country, region, gender,
stakeholder category).
Number of institutions adopting FARAinitiated interventions or mechanisms for
identifying, articulating and/or addressing
capacity needs
Number of institutions (disaggregated by
category) whose capacity development
needs have been assessed and/or supported
(enhanced knowledge, skills and attitudes
of individuals delivered through training
workshops; changes in organizational
design and culture, accountability,
responsiveness , transparency and
efficiency)
Number of functional Communities of
Practice for creating gender-sensitive
capacities formed and addressing
identified capacity deficits in the design &
implementation of AR&D programs
Degree of improvement in availability of
ICTs (magnitude of ICT speed and
capacity performance, reliability of
internet access, equity, service quality,
cost-effectiveness)amongst targeted NARS
institutions
Pluralistic decision making processes
(stakeholder representation in governance
New
New. Incorporates elements of 5(b)
New
New
New
New
New
Revisions to the Results Framework
bodies, program management)
Compliance with operational procedures
and standards
Percentage annual growth of FARA
reserve fund
Percentage of AWP activities implemented
on target, on budget and time
Page | 19
Comments/Rationale for Change
New
New
New for intermediate results,
originally at PDO level
Annex 2. Revised Results Framework and Monitoring Indicators8
for FARA MTOP 2014–2018
Performance Indicators
Unit of
Measure
Baseline9
2013
YR 1
2014
Target and
(Actual) Cumulative Values
YR 2
YR3
YR 4
2015
2016
2017
YR5
2018
Project Development Objective: To strengthen Africa’s capacity for agricultural innovation with purposefully determined
outcomes, creating capacity for innovation and enabling environments for implementation.
Indicator 1: Percentage increase in
number of individuals, groups,
organizations directly affected or reached
by FARA interventions (disaggregated by
gender) (10% annual increment)
Number
& Percent
TBD
Indicator 2: Percentage increase in core
competencies, capabilities and capacities
for innovation among targeted (individual,
organizational/inter-organizational
and/or institutional)ARD actors10
(cumulative improvement)
Percent
TBD%
Indicator 3: Degree of stakeholder
satisfaction with FARA performance and
quality of products and services (10%
annual increment)
Percent
TBD
Indicator 4: Level of annual contributions
by African Governments and institutions
to FARA funding (as % of FARA revenue)
Percent
0%
10%
10%
10%
10%
10%
(#)
(#)
(#)
(#)
(#)
5%
10%
15%
20%
25%
(%)
(%)
(%)
(%)
(%)
10%
10%
10%
10%
10%
(%)
(%)
(%)
(%)
(%)
0.5%
1.0%
1.5%
2.0%
2.5%
(%)
(%)
(%)
(%)
(%)
INTERMEDIATE RESULTS
Key Result 1: African agricultural stakeholders determining how the sector should be transformed and establishing the
needed collective actions in a gender sensitive manner
8
Indicator 1: Number of Countries with
ARD agendas being influenced by the
outcome of foresight studies (at least 1
country in each of 3 SROs every year)
Number
0
Indicator 2: Number of functional
partnerships and platforms for
agricultural innovation and trade among
African stakeholders and between them
and northern and southern partners
established (10% annual growth)
Number
133
Indicator 3: Number of participants
reached, participating or contributing to
innovation platforms, consultations,
workshops, meetings (individuals,
institutions disaggregated by country,
region, gender, stakeholder category).
(10% annual increment)
Number
TBD
3
6
9
12
15
(#)
(#)
(#)
(#)
(#)
146
161
177
195
214
(#)
(#)
(#)
(#)
(#)
10%
10%
10%
10%
10%
(#)
(#)
(#)
(#)
(#)
This Results Framework only captures the indicators relevant to the additional financing.
9
There are several new indicators for which the baselines are not available, therefore, a baseline survey will be undertaken within the first 6 months of effectiveness of the additional financing to the FARA
MDTF (i.e. by June 30, 2014).
10
Competencies are the ‘energies, skills and abilities of individuals’; capabilities the ‘collective ability of a group or a system to do something either inside or outside the system. The collective skills
involved may be technical, logistical, managerial or less tangible (i.e. the ability to earn legitimacy, to create trust to adapt, to create meaning etc.)’ whilst capacity refers to the ‘overall ability of an
organization or system to achieve technical results (perform), build more effective and dynamic relationships among multiple actors, facilitate resourcefulness, continuously learn and adapt to new
challenges and create value for others’, whereby the system must balance and integrate the many capabilities it has developed through both formal human capital formation (training) and
organizational/institutional development/strengthening interventions.
Page | 20
Performance Indicators
Unit of
Measure
Baseline9
2013
YR 1
2014
Target and
(Actual) Cumulative Values
YR 2
YR3
YR 4
2015
2016
2017
YR5
2018
Key Result 2: Strengthened and integrated continental capacity responding to stakeholder demands within the agricultural
innovation system in a gender sensitive manner
Indicator1: Number of institutions
adopting FARA-initiated interventions or
mechanisms for identifying, articulating
and/or addressing capacity needs
Number
0
Indicator 2: Number of institutions
(disaggregated by category) whose
capacity development needs have been
assessed and/or supported (enhanced
knowledge, skills and attitudes of
individuals delivered through training
workshops; changes in organizational
design and culture, accountability,
responsiveness , transparency and
efficiency)
Number
0
Indicator 3: Number of functional
Communities of Practice for creating
gender-sensitive capacities formed and
addressing identified capacity deficits in
the design & implementation of ARD
programs (10% annual increment)
Number
TBD
30
60
90
120
150
(#)
(#)
(#)
(#)
(#)
30
60
90
120
150
(#)
(#)
(#)
(#)
(#)
10%
10%
10%
10%
10%
(%)
(%)
(%)
(%)
(%)
Key Result 3: Enabling environment for increased AR4D investment and implementation of agricultural innovation systems in
a gender sensitive manner
Indicator1: Number of countries and RECs
in which FAAP principles and guidelines
have been embedded in CAADP national
and/or regional compacts and AFSIPs
Number
32
Indicator 2: Number of information and
knowledge products/packages (briefs,
reports, scientific papers and publications
documentaries) produced and made
available to stakeholders (10% annual
increment)
Number
TBD
Indicator 3: Number of people reached
with information through continental
information and knowledge sharing
platforms (websites, publications, visual
and social media)
Number
78,986
(FARAnet
– 2821;
eRAILS –
73,785;
FARA
Facebook –
691; and
Twitter –
1,689).
Indicator 4: Number of platforms used for
information delivery and exchange
Number
54
Indicator 5: Degree of improvement in
availability of ICTs (magnitude of ICT speed
and capacity performance, reliability of
internet access, equity, service quality, costeffectiveness)amongst targeted NARS
institutions (cumulative improvement)
Percent
TBD%
Page | 21
33
34
35
36
37
(#)
(#)
(#)
(#)
(#)
10%
10%
10%
10%
10%
(#)
(#)
(#)
(#)
(#)
95,573
105,130
115,643
127,208
139,929
(#)
(#)
(#)
(#)
(#)
70
91
119
154
200
(#)
(#)
(#)
(#)
(#)
50%
60%
65%
70%
75%
(%)
(%)
(%)
(%)
(%)
Performance Indicators
Unit of
Measure
Baseline9
2013
YR 1
2014
Target and
(Actual) Cumulative Values
YR 2
YR3
YR 4
2015
2016
2017
YR5
2018
Strengthened gender responsive governance and management systems
Indicator 1: Pluralistic decision making
processes (stakeholder representation in
governance bodies, program
management)
Percent
Indicator 2: Compliance with operational
procedures and standards
Percent
OM & GM
Percent
US$1m
Indicator 3: Percentage annual growth of
FARA reserve fund (10% annual growth)
Indicator 4: Percentage of AWP activities
implemented on target, on budget and
time
Page | 22
Percent
96%
On
course
On
course
On course
On course
On course
On
course
On
course
On course
On course
On course
US$1.10
m
US$1.21
m
US$1.33m
US$1.46
US$1.61
(%)
(%)
(%)
(%)
(%)
100%
100%
100%
100%
100%
(%)
(%)
(%)
(%)
(%)
Annex 1 Operational Risk Assessment Framework (ORAF)
Africa: Forum for Agricultural Research in Africa Multi-Donor Trust Fund (P147000)
Risks
.
Project Stakeholder Risks
Stakeholder Risk
Rating
Risk Description: The scale and scope of
FARA’s activities expose it to a large
number of external variables over which it
has limited or no control. These include,
for example: (i) donors may not adhere to
FAAP and the Paris Declaration on Aid
Effectiveness and the Accra Declaration;
(ii) SROs limited resources and
institutional capacity to be effective; (iii)
African governments and institutions
support for FARA’s initiative limited; and
(iv) lack of implementation of enabling
policies effectively at the appropriate
levels.
Risk Management: FARA is aware that certain risks are beyond its control and will carefully
monitor their importance and the likelihood of the assumptions in these respects failing to hold. As far
as possible, such threats have been brought under control by addressing them in the design of the
Strategic Plan. Moreover, appropriate action will be taken when necessary to address any threats to
successful implementation of this MTOP, through AUC/NEPAD, the Board and the General Assembly
of the Forum.
Moderate
Resp: Client
Stage:
Implementation
Recurrent:
Due Date: N/A
Frequency:
Annually
Status:
On-going
Implementing Agency (IA) Risks (including Fiduciary Risks)
Capacity
Rating
Risk Description:
Risk Management:
Due to possible funding limitations, FARA
may need to rely more heavily on its own
staff, rather than external consultants to
undertake implementation of the MDTF
activities. In this regard, FARA may be
constrained to deliver continental outputs
and outcomes envisaged in its strategic
priorities and presented in detail in its
MTOP II.
The FARA Secretariat will maintain a lean staffing structure. It will follow a strategy whereby the
Secretariat provides the services required by FARA stakeholders capturing the added value of thinking
and acting across the four sub-regions (ASARECA, CORAF, CCARDESA, NASRO). FARA’s
participatory approach also requires considerable and continuous consultation among stakeholders in
the form of workshops, meetings, conferences and other events, many of which are convened and
organized by the Secretariat. The Secretariat’s activities are developed in consultation with the SROs
and stakeholders in order to assert that they are indeed stakeholder priorities and that there are
substantial advantages to be gained from engaging in them at continental level.
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Resp: Client
Moderate
Stage: Design & Recurrent: 
Due Date: N/A
Frequency: N/A Status:
implementation
On-going
Governance
Rating
Risk Description: There are no governance
risks anticipated. FARA has a solid
governance structure in place, which has
been tested for the past 4.5 years of
implementation.
Risk Management: The original MDTF has a dedicated component on strengthening FARA’s
governance and management structures. Under the proposed AF, FARA will continue to allocate
resources for governance and management related activities.
Low
FARA’s existing internal control systems have been effective and this system will be strengthened to
carry out the needed controls per the institution's administrative and management procedures and
regulations, and recommend follow up actions when needed.
Resp: Client
Stage: Design and Recurrent: 
implementation
Design
Rating
Low
Risk Description: The SPs use FARA’s
human and physical resources to deliver a
series of results. In stating what it will
deliver through the activities and results
detailed in this MTOP, FARA assumes that
these variables will have no significant
negative influence on its performance and
most are mitigable.
Risk Management: The Bank Team, Development Partners and FARA review implementation twice
a year. If there are noticeable deficiencies in the project design, the joint implementation review team
will take appropriate measures, including restructuring of the project, if necessary.
Social and Environmental
Rating
Risk Description: Women play a dominant
role in African agriculture and yet
inadequate attention is given to women’s
issues when programs and projects are
formulated. Either FARA or its partners
could give inadequate attention to gender
specific circumstances resulting in a gender
gap in terms of socio-economic benefits.
Risk Management: To position gender in its rightful place in the innovation system, FARA’s Gender
Strategy (approved by the FARA Board of Directors in April 2013) defines the stimulating and
facilitating role of FARA both in-house and with partners in order to mainstream gender at various
levels. This will ensure that there is gender responsiveness in actions, results and systems, as well as
resource allocation both within FARA and among partner institutions.
This MDTF will remain a category C
Risk Management: N/A
Due Date: N/A Frequency: N/A Status:
On-going
Project Risks
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Resp: WB & Stage:
Client
Implementation
Resp: Client
Recurrent:
Due Date: N/A
Frequency: Biannually
Status: Not Yet
Due
N/A
Stage:
Implementation
Recurrent: 
Due Date: N/A
Frequency: N/A Status: Ongoing
Recurrent: 
classification for social and environmental Resp: N/A
safeguards, therefore ratings and mitigation
measures are not applicable.
Stage: N/A
Program and Donor
Rating
Substantial
Risk Description: Currently FARA’s
source of funding depends largely on the
MDTF, with a limited amount coming from
bilateral donors in the form of non-MDTF
funding. The extent to which the donor
support will continue to be strong is hard to
establish at this stage. A funding gap
during the MTOP period is likely and a
concerted effort will be necessary to
mobilize resources during implementation
of MTOP II.
Risk Management: The FARA Multi-Donor Trust Fund (MDTF) will be the primary source of
sustained funding and will continue to be managed by the World Bank. FARA has developed and will
implement a resource mobilization strategy which focuses on nurturing and maintaining partnerships
with existing “traditional donors” to garner higher levels of contributions. It also targets non-traditional
donors, including the private sector.
Risk Description: Fragmented and weak
monitoring capacities at the SRO and other
partner organizations may affect the
delivery of high quality monitoring data.
Rating
Overall Implementation Risk: Moderate
Page | 25
Stage: Design & Recurrent: 
implementation
Due Date: N/A
Frequency: N/A Status:
On-going
Moderate
Risk Management: A detailed performance-monitoring plan (PMP) will be developed on the basis of
the indicators and targets specified in the results matrix as part of an embedded performance
monitoring system at continental, sub-regional and national levels. Through the process of indicator
integration, the standard and custom indicators identified for MTOP II (in accordance with the CAADP
M&E framework) will be further discussed and refined with input from stakeholders. Additionally,
FARA will support the continental organizations in developing effective structures and systems for data
collection, analysis and reporting. Similarly, an automated data collection, analysis and reporting
system will be developed and promoted among key institutions participating in the African agriculture
innovation system.
Resp: Client
Overall Risk
Frequency: N/A Status: N/A
The Strategic Plan requires FARA to undertake actions that will minimize the current heavy reliance on
development partners. The recommended actions include resource mobilization from African
governments. The FARA Secretariat will intensify its engagement with African governments by
engaging key stakeholders as expert representatives for FARA in international forums with a view to
benefiting from a wider pool of expertise than already present in the Secretariat. This will also raise
awareness of FARA and promote commitment to it among those in a good position to influence
funding decisions in African governments and regional institutions.
Resp: Client
Delivery Monitoring and
Sustainability
Due Date: N/A
Stage: Design & Recurrent: 
implementation
Due Date: N/A
Frequency: N/A Status: Ongoing
Risk Description: The overall implementation risk for the AF activities is moderate. Implementation of the activities will be carried out through the
existing and well established implementing arrangements (procurement, financial management, M&E) that have been improved during the course of
implementation of the present MDTF. The reorientation of FARA’s strategic priorities has removed some of the risks that were associated with the
implementation of MTOP I, namely those activities that were not directly under the control of the forum, as well as the Secretariat. However, the
uncertainty regarding donor financing and resource mobilization efforts could have a serious impact on FARA’s ability to implement its program,
resulting in an overall risk of moderate.
Page | 26