BAHIR DAR UNIVERSITY

COLLEGE OF AGRICULTURE AND ENVIRONMENTAL SCIENCES

GRADUATE PROGRAM

DEPARTMENT OF AGRICULTURAL ECONOMICS

IMPACTS OF SMALL-SCALE IRRIGATION PARTICIPATION ON

AGRO-PASTORALIST HOUSEHOLD FOOD SECURITY IN THE CASE
OF GEWANE DISTRICT AFAR REGION, ETHIOPIA

MSc. Thesis Research Proposal

BY

Adino Molla

Department: Agricultural Economics

PROGRAME: MSc. in Agricultural Economics

Major advisor: Berihun Tefera (PhD)

March 2016

Bahir Dar, Ethiopia

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 TABLE OF CONTENTS

Contents Page
TABLE OF CONTENTS ........................................................................................................................... i
ACRONYMS /ABBREVIATIONS ....................................................................................................... iii
1. INTRODUCTION ............................................................................................................................. 1
1.1 Background and Justification ................................................................................................ 1
1.2. Statement of the Problem ..................................................................................................... 3
1.4. Objectives of the Study ........................................................................................................ 4
1.5. Significance of the Study ..................................................................................................... 4
2. LITERATURE REVIEW ..................................................................................................................... 6
2.1 Definitions of Basic Concepts ............................................................................................... 6
2.2. Food Security Status in Ethiopia .......................................................................................... 7
2.3. Household Food Security and Measurement ....................................................................... 8
2.4. Overview of Small-Scale Irrigation in Ethiopia ................................................................... 9
2.5. Small-Scale Irrigation and Food Security ............................................................................ 9
2.6. Empirical Literature Review .............................................................................................. 10
3. METHODOLOGY .............................................................................................................................. 15
3.1 Description of the study area ............................................................................................................ 15
3.2 Sampling procedure............................................................................................................. 15
3.3. Sources of data and method of collection .......................................................................... 16
3.4. Method of data analysis ..................................................................................................... 17
3.4.1. Descriptive statistical analysis ..................................................................................... 17
3.4.2. Econometric analysis ................................................................................................... 17
3.5.2. Outcome Variables ...................................................................................................... 21
3.5.3. Independent Variable ................................................................................................... 23
4. WORK PLAN AND BUDGET BREAKDOWN ............................................................................ 24
4.1 Work Plan............................................................................................................................ 24
4.2 Budget breakdown ............................................................................................................................. 25
REFERENCES ......................................................................................................................................... 26

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ACRONYMS /ABBREVIATIONS

EPI Expanded Program on Immunization

USAID United States Agency for International Development

WFP World Food Program

UNICEF United Nations International Children's Emergency Fund

WHO World Health Organization

FEWS NET Famine Early Warning Systems Network

MOA Ministry of Agriculture

FAO Food and Agriculture Organization

FDRE Federal Democratic Republic of Ethiopia, Ethiopia

FCS Food Consumption Score

NGO Non-governmental organization

PRB Population Reference Bureau

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1. INTRODUCTION

1.1 Background and Justification

In 2022, there were an estimated 690–783 million hungry people in the world. In addition, it is
predicted that by 2030, about 600 million people will suffer from chronic malnutrition. Likewise,
roughly 20 percent of Africa's population, or 282 million people, suffer from undernourishment.
Sub-Saharan Africa is home to some 157 million people who are suffering from severe food
shortages(WFP et al., 2023). In eastern Africa, pastoral and agro-pastoral farmers have long been
regarded as peripheries, especially in economic terms, and also in terms of social and cultural
accomplishments (Lind et al., 2020). Because biased perceptions of the “unproductive” uses of
pastoralism have become outdated, government policies including Ethiopia still do little to
formally recognize or integrate pastoral lands as critical parts of rural livelihood systems and
economic development models.

Ethiopia suffers from some of the worst food insecurity in the world, with a high reliance on
subsistence farming due to the agricultural sector's heavy reliance on rain-fed farming, recurrent
droughts, climate change, and an unbalanced population growth rate. As a result, smallholder
farmers, agro-pastoralists, and pastoralists in rural communities are facing widespread chronic
and acute food insecurity(FEWSNET, 2023).

Most pastoral and agro-pastoral households' income from farming is not enough for the whole-
year consumption. Some of the factors can be linked to low food production and productivity
thereby leading to pervasive poverty (Mayanja et al., 2015). Here, the government of Ethiopia
has taken the irrigation agriculture subsector as the main strategy in the overall country's
development agenda and gives high priority to irrigation development to stabilize household
income and further reduce poverty (MOA, 2011). Moreover, scarcity and imperfect land market
enable to creation of more job opportunities for some pastoralists and agro-pastoralists and this
contributes to the reduction of rural unemployment.

For instance, in pastoral and agro-pastoral areas of Ethiopia, livelihood strategies include
charcoal production and firewood collections; sale of livestock, government support in the form
of a safety net and their indigenous social support mechanisms; petty trading especially by
women; brokering on livestock trade; engagement in contraband trade; searching for daily labor

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and others (Tadesse et al., 2015). In addition, there is poor infrastructure development and
pastoralists and agro-pastoralists have little know-how about irrigation farming.

Chronic and acute food insecurity disproportionately affects pastoralists and agro-pastoralists
due to their predominant residence in arid and semi-arid regions. The sustainability of their
traditional practices is under threat from droughts and climate change, which directly impact the
ability of livestock production to meet the community's food demands.(Ndlovu et al., 2020).
Fekad Metadel and Bekalu Yihunie (2020) emphasize that Ethiopian pastoralists were the most
severely affected by drought, highlighting the imperative of proper agricultural development and
efficient water resource utilization for irrigation to achieve household food security. Small-scale
irrigation emerges as a feasible remedy to alleviate these issues, enhancing production,
productivity, and food security for smallholder farmers(Wondimu, 2023).

This study focuses on the nuances of food insecurity, particularly in the Gewane district of the
Afar region. The study area plays a vital role as a major pastoralist hub, relying on animal
husbandry for sustenance. a region facing recurrent drought, with severe consequences for
development, the need for irrigated agriculture cannot be over-looked however, The Afar region
is endowed with significant irrigation water and irrigable land resources, with only 47.05% of the
total irrigable land utilized, both in traditional and modern schemes(Goshu et al., 2021).
Information from the Gewane district's Agriculture and Rural Development Bureau (2024)
indicates a high potential for irrigation water and irrigable land, with six out of Ten rural and two
urban kebeles having irrigation access. The estimated irrigation potential of the Gewane district
exceeds 10,235 hectares.

Various scholars argue that irrigation serves as a viable strategy to enhance crop yields and
achieve food security in developing nations. For instance, Giordano et al. (2019) emphasize the
role of irrigation in reducing global poverty by improving production, creating employment
opportunities, and stabilizing income and consumption. Similarly, Dawid et al. (2023) contend
that irrigation enhances livelihood options, increases food resilience for smallholder farmers, and
achieves food self-sufficiency. There is a gap in empirical analysis regarding the impact of
small-scale irrigation on household food security, factors influencing farmers' participation, and
factors affecting household food security in the Gewane district. This study aims to address these
gaps, advocating for a comprehensive analysis of the aforementioned aspects in the study area.

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Therefore, the research advocates for the impact of small-scale irrigation on household food
security, factors affecting farmers' participation in small-scale irrigation, and factors affecting
household food security in the Gewane district will be analyzed.

1.2. Statement of the Problem

In Ethiopia, there is a wider gap between irrigation potential and the current level of
implementation in terms of irrigated land and the number of participating farmers. This is
because of technical, physical, and economic challenges. Unlike the potentials, about 97 percent
of production in the country is being produced using rain-fed and irrigation contributes only 3
percent to production (Kebede, 2021). Similar to the country, the utilization of irrigation
potential for the Gewane district Afar region is also below the potential. Even if a district has
potential in terms of Awash River availability which are in most cases suitable for irrigation.

Small-scale irrigation has been advocated for its role in household seasonal food security, dietary
diversity, health, drought, and climate change resilience(Dawit et al., 2022). For instance,
irrigation is an excellent way to augment rain-fed agriculture while also assuring food security,
particularly in places with limited rainfall areas (Jaramillo et al., 2020).

This issue is particularly relevant given that the Afar region faces a critical challenge in ensuring
food security for its households. Factors such as recurrent droughts and climate changes, impact
livestock production, leading to a widening gap between food supply and demand (Kahsay et al.,
2020).

Small-scale irrigation emerges as a potential remedy for enhancing agricultural productivity,

diversifying crops, and ultimately improving food security. However, it's essential to understand
how these interventions affect local food security dynamics, especially considering the unique
socioeconomic and environmental characteristics of the Afar region. there remains a notable gap
A lot of research work has been carried out on the determinants and impact of small-scale
irrigation participation on food security in general and in particular in Ethiopia, with a focus on
farmers that practice mixed farming in the highland and central part of the country, but the
lowland pastoral and agro-pastoral areas which constitute a large size of the country’s land have
not been very well addressed. The research question seeks to provide insights into the potential
benefits and drawbacks associated with small-scale irrigation projects, such as increased crop
production, diversification of livelihood strategies, and improved resilience against climatic

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shocks. By addressing this problem, the study will contribute valuable knowledge to inform
policy decisions aimed at promoting sustainable development and reducing poverty in the Afar
region through innovative approaches to agriculture and natural resource management.

1.3. Research Questions

This study has tried to answer the following questions:

1. What are the factors that affect households’ participation in irrigation in the study area?

2. What are the factors that affect households’ food security in the study area?

2. What is the impact of small-scale irrigation on household food security in the study area?

1.4. Objectives of the Study

The general objective of the study is to analyze the impacts of small-scale irrigation on the food
security status of the households in the study area.

The specific objectives of the study are:

1. To examine factors influencing household participation in small-scale irrigation:

2. To examine factors that affect households’ food security in the study area:

3. To assess the impact of small-scale irrigation on household food security:

1.5. Significance of the Study

This research examined how small-scale irrigation influences the food security of agro-pastoral
households at a local scale. The outcomes of this study are expected to offer valuable data for
district agriculture experts, enabling them to address obstacles to small-scale irrigation and
preserve food security. Notably, the investigation into small-scale irrigation holds significance
for agro-pastoral communities as it may reveal key determinants affecting their participation in
enhancing their livelihood standards and highlighting the advantages of irrigation on their food
security. Additionally, the results from this study have potential implications for non-
governmental organizations (NGOs) and government agencies working towards addressing
matters pertinent to its objectives.

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 2. LITERATURE REVIEW
2.1 Definitions of Basic Concepts

There are many definitions of food security given by many scholars and organizations. However,
the recent and widely accepted definition of food security is the definition including the quantity,
quality, safety, and socio-cultural acceptance of food, which can be mentioned as follows:

Food Security: refers to the state in which all individuals have consistent access to enough safe
and nutritious food to satisfy their dietary requirements and preferences, promoting an active and
healthy lifestyle (Michalos, 2014).

Food Availability: This is attained when ample quantities of food are consistently accessible to
households, whether through household production, domestic sources, imports, or food aid. It
assesses whether food is physically present and obtainable for consumption (World Bank.,
2022a).

Food Access: Food Access is ensured when households and individuals possess adequate
resources to obtain suitable food for a balanced diet. This hinges on factors such as household
income, income distribution, and food prices. It encompasses various sources of food
procurement, including production, purchases, gifts, aid, and gathering, while also considering
the household's ability to obtain enough food to meet its nutritional needs from available sources.
The ability to access sufficient food depends on physical (e.g., proximity to markets, own
production), financial (e.g., purchasing power, access to credit), and social factors (e.g.,
leveraging social networks for food acquisition based on family ties, ethnicity, religion, or
political affiliation)(World Bank., 2022a).

Food Utilization: Food utilization involves effectively using food for biological purposes,
ensuring it provides adequate energy, essential nutrients, clean water, and proper sanitation. It
addresses whether households are maximizing the intake of necessary nutrition and energy,
influenced by factors such as food preferences, preparation methods, storage conditions, and
access to sufficient quantity and quality of water(World Bank., 2022a).

Food Stability: Food stability refers to a household’s ability to consistently access food over
time. It represents the final aspect of food security, focusing on the overall stability of the system
and ensuring that households will remain food-secure in the future (World Bank., 2022a).

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Household: A household is defined as a group of individuals living together under the leadership
of a household head, who primarily derive food from shared resources, typically obtained
through farming activities. While the household head is typically male, a female may assume this
role in the absence of a male head. In certain cases, grandparents or adolescents may act as
household heads when both parents are deceased(PRB, 2020).

Farm households are comprised of individuals or a group of people living together, sharing a
common residence, and obtaining their food primarily from farming activities, under the
leadership of a household head. They derive their income predominantly from farming
activities(Vogel & United States. Department of Agriculture. Economic Research, 2012).
Understanding the distinction between national food security and household food security is
fundamental, as strategies for improving household food security differ from those aimed at
enhancing national food security.

In this study, following the arguments of Barnum and Squire (1979) a farm household is
considered as either an individual or a group of people sharing a single home, led by a household
head, obtaining their food from shared resources, and deriving more than 50% of their income
from farming activities.

Irrigation: Irrigation is the practice of artificially applying water to soil to increase soil moisture
levels, essential for plant root growth, and plant development, and to mitigate stresses that could
negatively impact crop yield and quality(Jones, 2024).

2.2. Food Security Status in Ethiopia

Ethiopia is one of the region's fastest-growing economies with an estimated 6.4% growth in
FY2021/22 (World Bank., 2022b). Faces numerous challenges that hinder its development and
food security. Factors such as extreme poverty, chronic malnutrition, civil and political conflicts,
displacement of populations, unemployment among urban youth, recurrent droughts, crop-
threatening pests, and others significantly impact rural livelihoods, income, and food security
(Ameni, 2022).

Persistent poverty and both chronic and acute food insecurity remain prevalent in Ethiopia.
Approximately 10 percent of the population consistently faces food insecurity, a figure that can
escalate to over 15 percent during drought years. Contributing factors include population growth,

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drought, inadequate technology utilization, poor extension services, and post-harvest crop losses
(WFP, 2023).

According to a poverty assessment report by the World Bank. (2015), 55.3 percent of the citizens
of Ethiopia were living under the international poverty line, and 44.2 percent of the population
were living below the national poverty line during 2000. However, the national poverty rate has
declined since then, with poverty decreasing from 30% of the population in 2011 to 24% in
2016,(EPI, 2017).

Food insecurity has been a critical challenge to Ethiopia for decades. Efforts made during the
past 30 years to improve food security status in the country have resulted in improvements both
in food security and health. However, the problems of food security nutrition, and health status
continue to be a challenge yet. When we see the health status of children under five years and
women of reproductive age, according to a report by USAID in 2018, 57 percent of children
under five years were anemic, 38 percent were stunted, 24 percent were underweighted, 13
percent were born with low birth weight, 10 percent were wasted, and 1 percent were
overweight.

Additionally, the report stated that 24 percent of women of reproductive age were anemic during
2016. Similarly, despite the attempts made to improve the food security situation, the actual
number of people exposed to food shortages in Ethiopia has remained significantly high. A
rapidly increasing population, slow productivity growth, and climate-related disasters such as
droughts increase food insecurity. Thus, the agricultural sector of the country has been unable to
produce sufficient food to feed the ever-growing population of the country. In recent years,
commercial food import and food aid have been accounting for a significant proportion of the
total food supply in the country(Sciences, 2001).

2.3. Household Food Security and Measurement

Household food security can be measured using either a supply-side approach or a demand-side
approach. The food supply equation deals with food availability issues, for example, food
production index, per capita output, food aid delivery, livestock index, crop index, and others.
The food demand equation, on the other hand, studies accessibility mainly focusing on income,
anthropometrics index, consumption expenditure, nutrition index, diet score, calorie intake
index, hunger index, and other derived indicators.

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According to Wanyama et al. (2019), food security measurements can be dietary diversity and
food frequency and consumption behaviors. Dietary diversity and food frequency capture the
number of different kinds of food or food groups that people eat and the frequency with which
they eat them to be significantly correlated with caloric adequacy measures while consumption
behavior measures capture food security indirectly, by measuring behaviors related to food
consumption.

2.4. Overview of Small-Scale Irrigation in Ethiopia

Overview of Small-Scale Irrigation in Ethiopia Small-scale irrigation varies in definition but

generally refers to irrigation on small plots controlled and managed by individual farmers or
farmer groups. According to (Mengesha, 2018), SSI is defined as the development of traditional
irrigation systems, which are used as a complement to rain-fed crop production involving
predominantly horticultural crops. Similarly, Snellen (1996) defined SSI as farmer-managed
irrigation schemes of a few hundred square meters to several thousand hectares, developed,
operated, and maintained by individuals, families, communities, or local rulers and landowners,
independently of government, and generally for the production of basic food or fiber crops and
vegetables for local markets. Indeed, small-scale schemes are defined as schemes that are
controlled and managed by the users themselves.

2.5. Small-Scale Irrigation and Food Security

The expansion of small-scale irrigation schemes was taken as the main development strategy to
reduce crop failure due to drought and erratic rainfall conditions in Ethiopia. Both irrigated and
rain-fed agriculture are important in the Ethiopian economy by reducing poverty and promoting
food security. Virtually all food crops in Ethiopia come from rain-fed agriculture with the
irrigation sub-sector accounting for only about 3 percent of the food crops. Export crops such as
coffee, oilseed, and pulses are also mostly rain-fed, but industrial crops such as sugar cane,
cotton, and fruit are irrigated. Other important irrigated crops include vegetables and fruit trees in
medium- and large-scale schemes and maize, wheat, vegetables, potatoes, sweet potatoes, and
bananas in small-scale schemes. There is a marked value added in irrigated agriculture(Tafes et
al., 2021).

Moreover, irrigation development in Ethiopia is considered to be an important investment for

improving rural household food security status through increased agricultural production and for

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reducing the pressure on currently cultivated land by bringing unused land under cultivation. The
rapidly rising food needs due to increasing population and progressively shrinking per capita
agricultural land availability warrant the intensification of cropping systems in the country. To
cope with both population growth and limitation of agricultural 18 production, irrigation
development is identified as a vital strategy for food security and alleviating rural poverty. In this
regard, most small-scale irrigation systems involve effective management and institutional
support from the local government and are likely to be successful in contributing to poverty
reduction and household food security(Adela et al., 2019).

Even though Ethiopia has abundant rainfall and water resources, its agricultural system does not
yet fully benefit from the technologies of water management and irrigation. Improved water
management for agriculture has many benefits in efforts to reduce vulnerability and improve
productivity such as increased productivity of land and labor, reduced reliance on rainfall,
reduced degradation of natural resources, increased job opportunities, and promotion of a
dynamic economy with rural entrepreneurship(Nhemachena et al., 2020).

2.6. Empirical Literature Review

Despite the potential benefits of small-scale irrigation on household food security, there is a
dearth of research specifically examining its effects on agro-pastoralist households in the
Gewane District, Afar Region. Existing studies in Ethiopia have highlighted the positive impact
of small-scale irrigation on food security, income generation, and overall livelihood
improvement for rural populations (Yilma et al., 2021b). However, these studies have primarily
focused on other regions and farming communities, leaving a gap in understanding how small-
scale irrigation participation influences food security among agro-pastoralist households in the
unique context of the Gewane District. Therefore, there is a critical need to investigate and assess
the specific impacts of small-scale irrigation practices on agro-pastoralist household food
security in this particular region.

Ashenafi (2020) in the study of factors affecting the participation decision in small-scale
irrigation practice: the case of Dugda Woreda in the east Shoa Zone of the Oromia region,
Ethiopia by using the Binary logit model indicated that owning irrigation land, having a pumping
motor and dissatisfaction with the existing irrigation schemes are the most influencing factors
that influence irrigation participation.

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A review study conducted by Dagninet Asrat and Adugnaw Anteneh (2019) on The determinants
of irrigation participation and its impact on the pastoralist and agro-pastoralists income in
Ethiopia: impact studies differ in terms of geographic coverage, the scale of analyses, and
approach adopted in measuring impacts. Accordingly, different studies adopted various scales of
analyses, ranging from household to village, region, and national to international levels.

In the study conducted by Zekarias et al. (2022) the study of factors that influence small-scale
irrigation for poverty reduction among small-holder farmers in the Offa Woreda, Wolaita Zonea
binary logistic regression model was employed to investigate factors influencing household
dynamics. The findings revealed that household age, annual income, proximity to the nearest
farm, farm experience, participation in training, access to irrigation, and gender were significant
and positive influencers in the model. Conversely, total ownership of livestock and the health
status of households emerged as negatively significant variables.

Tarekegn (2020) reported that in the study determinants of small-scale irrigation participation
and its impact on household food security in Angacha District Kambata Tembaro Zone, southern
nations, nationalities people, Ethiopia, utilized the probit part of the double hurdle model,
demonstrating that education status, livestock holding, frequency of extension contact, access to
credit, and proximity to irrigation water sources played pivotal roles in determining participation
in small-scale irrigation. Additionally, the truncated part of the double hurdle model reveals that
factors such as land holding size, access to credit, and livestock ownership were identified as key
determinants influencing the intensity of participation.

Beneberu and Biazin (2020) study of Small-scale irrigation and its effect on the food security of
rural households in North-West Ethiopia, utilized a binary logistic regression model to
investigate factors affecting household food security. Their findings emphasized the significance
of household size, farmland size, access to irrigation, access to credit, and income from rain-fed
crop production in determining food security. Furthermore, small-scale irrigation emerged as a
positive factor in enhancing food security.

Yemataw et al. (2022) investigated the study of Food security status and determinants in the
North-Eastern Rift Valley of Ethiopia and employed a logit regression model, revealing that age,
marital status, and family size negatively impacted household food security, while irrigation land
use, livestock ownership, and access to credit positively influenced it.

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Hussayn et al. (2020) The study was carried out to estimate the extent of food security and its
determinants among rural households in Nigeria by using Data obtained from 180 rural
households consisting of 1260 members through the use of a structured questionnaire. Data was
analyzed with a descriptive technique and a multinomial logistic regression model to explore
factors influencing food security categories. Age, gender, marital status, access to credit,
dependency ratio, household size, ownership of farmland, and farming experience were
identified as significant contributors.

Engdasew et al. (2020) research examined the impacts of small-scale irrigation on income and its
implication on rural livelihood sustainability in the drought-prone central rift valley of Ethiopia
by utilizing the Heckman two-step model, finding that small-scale irrigation significantly
increased gross and farm income, enhancing resilience and access to food during challenging
times.

Dagninet et al. (2022) Impact of Awash irrigation on the welfare of smallholder farmers in
Eastern Ethiopia. Two-stage stratified sampling technique was employed to select sample
households. Cross-sectional household level data from a survey of 315; 165 irrigation users and
151 non-users smallholder farmers, The study employed an endogenous switching regression
model Results indicated, that irrigation users' per capita consumption expenditure and income
were 16 percent and 35 percent, respectively, higher compared to non-irrigation users
significantly and also Endogenous switching regression model further identified amount of own
land cultivated, education status, number of extension contact, livestock holding, nearest market
distance, access to non-farm job and nearest canal distance significantly determine irrigation
participation.

Eliyas et al. (2022) the study conducted in Mekdela Woreda, North-East Ethiopia also used an
endogenous switching regression model, demonstrating the positive and significant impact of
irrigation on farmers' livelihood and total household income.

Mohammed (2023) evaluated the impact of small-scale irrigation on household food security in
the Gurawa district of Eastern Oromia Regional State 220 randomly selected sample households
of which 108 are irrigation users and 112 are non-users both descriptive and econometric
statistical methods were used to analyze the data. The descriptive results based on daily calorie
intake measure of food security revealed that out of 220 sample households’65 percent were food

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secure and 35 percent were food insecure. the result obtained using the PSM model found that
irrigation increased the daily per capita caloric intake of user households by 321.56kcal than
non-user households.

Gadisa Muleta et al. (2021) study was conducted to assess the impact of small-scale irrigation
on household food security using the primary data collected from 220 sample households from
Walmara district, Finfinnee surrounding Oromia special zone, By utilizing propensity score
matching (PSM) the method used to measure the impact of irrigation use on household food
security. Using the result of PSM, 118 irrigation non-irrigators were matched with 83 irrigators
by discarding 19 observations that were out of the common support. Then, the average treatment
effect on the treated (ATT) was estimated and the result was 529kcal. Finally, the sensitivity
analysis was done and the result showed that the estimated ATT was insensitive to unobserved
bias up to 200%. This means family members of irrigation user households on average consume
more calories of 529 kcal than irrigation non-users per day and this result is statistically
significant.

Generally, Small-scale irrigation has been recognized as a potential contributor to household

food security in rural Ethiopia. However, there is a lack of research focusing specifically on its
impact on agro-pastoralist households in the Gewane District of the Afar Region. Previous
studies in Ethiopia have highlighted the positive effects of small-scale irrigation on food security,
income generation, and overall livelihood improvement for rural populations, but they have
primarily focused on other regions and farming communities, leaving a gap in understanding its
influence on agro-pastoralists in Gewane.

Several studies have explored factors influencing participation in small-scale irrigation and its
effects on household food security and income. Factors such as owning irrigation land, access to
pumping motors, dissatisfaction with existing irrigation schemes, household demographics,
proximity to farms and markets, access to credit, livestock ownership, and participation in
training have been identified as significant influencers. Studies employing various regression
models such as binary logistic regression, probit part of the double hurdle model, logit
regression, multinomial logistic regression, and endogenous switching regression have provided
insights into the complex dynamics of small-scale irrigation participation and its impacts.

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Findings from these studies consistently suggest that small-scale irrigation positively affects
household food security and income, leading to an increase in per capita calorie intake and
higher consumption expenditure among irrigation users compared to non-users. Additionally,
small-scale irrigation enhances resilience to challenges such as drought, improves access to food,
and contributes to rural livelihood sustainability. Overall, these findings emphasize the
importance of understanding the specific impacts of small-scale irrigation on agro-pastoralist
households in different regions to develop targeted interventions for improving food security and
livelihoods in rural Ethiopia

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 3. METHODOLOGY

3.1 Description of the study area

Gewane district is one of 32 districts of the Afar National Regional State. It is located 365 km
away from Addis Ababa. Part of the Administrative zone3, Gewane is bordered on the south
byAmibara, on the west by Bure Mudaytu and Administrative zone 5, on the north by
the Administrative Zone 1, and on the east by the Somali Region; the Awash River defines parts
of the boundary with Administrative Zone 5. Gewane wereda is generally semi-arid with an
average temperature of 35c. The wereda receives an average annual rainfall of less than 600mm.
Most of the rain is concentrated in July and August.

Crop cultivation in Gewane started only after the 1990s. The dominant crop being cultivated by
subsistence producers is maize, followed by horticultural crops including onion, tomato, and
recently wheat. Maize and vegetables (mainly onion, tomato, and pepper) are grown in sizeable
plots along the Awash River and its tributaries. For smallholder pastoralists, whose crop
production is for immediate consumption, there is no crop storage but instead harvested crops are
transported for home consumption. With no proper storage of crops, yield loss occurs. The
common vegetable crops grown in the study area were onion, pepper, and tomato. Over a short
period, onion and tomato crops have steadily increased. Based on CSA (2023) this woreda has a
total population of 48,481, of whom 25,921 are men and 22,560 women; with an area of 967.85
square km. The District has 10 rural and 2 urban Kebeles. From 12 rural Kebeles 6 of them have
access to Awash River.

3.2 Sampling procedure

The study adopted a multi-stage sampling technique of purposively selecting Gewane District
due to its implementation of a small-scale irrigation scheme and selecting the representative
respondents from the study area. The focus of the study will be on small-scale irrigation schemes
using traditional river diversion, motorized pumps, and surface (gravity) or storage canal water
distribution systems.

In the first stage, from the total 10 rural Kebeles, irrigation users Kebeles of the District will be
stratified into two, those having small-scale irrigation schemes and those not. Following this

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step, six Kebeles will identify having small-scale irrigation schemes. Thus, attention will be
given to the small-scale irrigation scheme user Kebeles of the District.

Secondly, to select representative Kebeles, a discussion is held with the district-level agricultural
experts and development agents. Three Kebeles will be selected based on irrigation potential.
These Kebeles have one small-scale irrigation scheme each, namely the Awash River irrigation
scheme. Then, the sampling frames identified from the selected Kebeles and households will
then stratified into two strata. The first stratum consists of households that are using small-scale
irrigation farming referred to as the treatment group (users) and the second stratum consists of
households that are not using referred to as the control group(non-users).

For every selected sample size of irrigation scheme beneficiaries (irrigators), proportional sample
sizes of non-irrigators will be selected. Based on the information from the district
administrative/agriculture office, the total irrigator and non-irrigator households found in the
scheme are estimated to be 1,600. Therefore, to select the sample household, the researcher used
the below formula (Taro, 1967):

( )
=1600/(1+1600….) = 237

Where: n = the number of required samples of each irrigation scheme (sample size); N = total
households of each irrigation scheme (population size); e = confidence level (0.06 (95%) level of
precision) and ∑N = total households of the irrigation schemes. Finally, by applying the
proportional probability to size method, a sample from the treatment group and the control group
will selected by applying a simple random sampling technique in each stratum. In sum, the total
sample size is 237 households. But, to minimize error and increase the chance of getting
counterfactual, adding 10 % of the sample size will decide to be 261.

3.3. Sources of data and method of collection

This research will utilize both quantitative and qualitative data obtained from primary and
secondary sources. Primary data will be gathered from selected households through interview
schedules, focus group discussions, key informant interviews, and field observations.

The focus group discussions will involve members of the sampled households, irrigation water
committee members, local administrators, and development agents, using a checklist to elicit the
necessary information.

16
Key informant interviews will be conducted with top and middle-level management members of
the agriculture water, mines, and energy bureau, senior experts in small-scale irrigation
development, other relevant development stakeholders, and elders in the community.

Secondary data will be sourced from government line offices, NGOs, and other pertinent sources
like books, journals, and related documents.

3.4. Method of data analysis

3.4.1. Descriptive statistical analysis

The data analysis will be conducted using descriptive and inferential statistics. Means,
percentages, standard deviation, maximum, minimum, and variance will be utilized for
descriptive statistics. T-test and chi-square tests will be performed to assess the statistical
significance of the continuous and dummy variables, respectively.

3.4.2. Econometric analysis

The dependent variables in this study are the participation decision of the farmers in small scale
irrigation practice and intensity of participation in small-scale irrigation practice. Since one of
the dependent variables of this study, household’s participation decision in small-scale irrigation
practice is dichotomous (binary), it takes a value of 1 if the household has participated in small-
scale irrigation practice and zero otherwise.

logit or probit models are widely applied to analysis of determinant studies for a limited
dependent variable and their result is similar output. This two models are used only for the
analysis of probability of participation in particular technology. This means they are only suited
in determining the probability models but not for linear models. Tobit model, Heckman two step
and Double hurdle model are the models suited to analyze the factors determining the probability
of participation and intensity of participation under different underlying assumptions. Therefore,
the Double hurdle model will be selecte and using for the sake of analyzing the determinants of
participation decision (first hurdle) and intensity of participation in small-scale irrigation (the
second hurdle).

Intensity of participation in irrigation practice by the farmers is measured in terms of the

proportion of land allocated to irrigated farming by farmers. Therefore, this variable (proportion

17
of irrigated land) is continuous limited dependent variable. It can be zero or some value greater
than zero. Truncated regression as one part of double hurdle model has been used in estimating
the intensity of participation in irrigation practice by farmers by using the data that is truncated
from below with the lower limit of proportion of Irrigated land at zero.

Double hurdle model have two parts which are estimated by two hurdles. The first one is the
probit model used in estimating the factors determining the probability of participation in small-
scale irrigation practice and the second one is truncated regression that is used to estimate the
intensity of participation in small-scale irrigated farming by the farmers. Based on Burke (2009)
the double hurdle model with the two parts is specified using two different latent variables, to
model each decision process, with a probit model to determine participation decision and a
truncated regression model to determine the intensity of participation in small-scale irrigation.
Participation decision equation is specified as follows:

( )

Intensity of Participation Equation is specified as:

( )

To assess factors affecting household food security, Double hurdle model will used again to analyzing
the determinants food security (first hurdle) and intensity of food security in small-scale
irrigation (the second hurdle). Intensity of food security by the farmers is measured in terms of
the proportion of production to irrigated farming by farmers.

Where is unobserved (latent) variable for the participation decision in small-scale irrigation,

18
 is the observed discrete decision of the farmer whether he/she has participated or not in
small-scale irrigation practice,

The subscript i refers to the ith household,

the subscripts 1 and 2 refers to the variable and parameters related with the participation equation
and the intensity of participation, respectively.

are the index of explanatory variables determining the participation decision of the farmers in
small-scale irrigated farming,

refers to the index of parameters related with explanatory variables determining participation
decision of the farmer,

is the error term of the participation equation which is normally distributed ( ) with
zero mean and constant variance,

is unobserved (latent) variable for the intensity of participation in small-scale irrigation,

is the observed actual proportion of land allocated for small-scale irrigation by the farmer,

are the index of explanatory variables determining the intensity of participation in small-scale
irrigated farming by the farmers,

refers to the index of parameters related with explanatory variables determining intensity of
participation in small-scale irrigation by the farmers,

is the error term of the intensity of participation equation which is normally distributed
( ) with zero mean and constant variance,

19
Impact of small-scale irrigation on household food security

Propensity Score Matching (PSM) is used to compare irrigation user households (treatment
group) and non-irrigation user households (control group) lying in the common support region.
Propensity Score Matching (PSM) is a statistical matching technique that estimates the effect of
treatment or intervention given covariates. It allows a comparison group from a sample of
nonparticipants closest to the treatment group in terms of observable characteristics so that both
groups are matched based on the propensity score, which is a predicted probability of
participation given observed characteristics (Ravallion, 2003). Propensity value is estimated
using logit or probit and used to estimate the average treatment effect of the outcome in the
absence of baseline data using observable variables (Villa, 2016).

This study will make use of propensity score matching (PSM) for several reasons. These include
the use of cross-sectional survey data to match participant and non-participant groups, the
possibility of self-selection bias because small-scale irrigation participant households may
choose to participate voluntarily, and the lack of baseline data to compare differences before and
after. By establishing a statistical comparison group and comparing individual observations from
the treatment group with those from the control group that have comparable observable
characteristics, PSM will account for the bias caused by self-selection. Propensity scores, which
indicate the expected likelihood of participation given specific observed variables, will be used
to determine these matches.

20
3.5. Definition Of Variables Measurement and Hypothesis

3.5.1. Dependent Variable

Participation decision of farmers in small-scale irrigation practice:- The first dependent

variable is participation in small-scale irrigation practice taking value of 1 if the farmer
participated and 0 if not participated in small-scale irrigation practice. The main intension here is
to identify the factors determining the participation of the farmers in small-scale irrigation
practice.

Intensity of participation in small-scale irrigation practice by farmers

This variable is a continuous variable measured in terms of proportion of land irrigated by the
farmers. It represents the actual proportion of land under small-scale irrigated farming by the
households. It take zero value if the farmer is non participant and takes continuous value greater
than zero if the farmer is participant.

Household food security: This is also a dummy variable of one of the HHs being food secure
and zero otherwise. It represents the daily calorie intake of the household per adult equivalent
and household consumption score.

Intensity of household food security in total production by farmers

This variable is a continuous variable measured in terms of proportion of production by farmers.

It represents the actual proportion of production farming by the households. It take zero value if
the farmer is non production and takes continuous value greater than zero if the farmer is
participant.

3.5.2. Outcome Variables

Daily Calorie Intake per Adult Equivalent: It is a continuous variable measured by using
Household food balance sheet model(HFBM):

NGA = (GP +GB +FA +GG) – (GS +GU + GV + HL)

NGA= Net grain available

GP= Total grain produced per year per household

21
GB= Total grain bought per year per household

GA= Total grain obtained from aid per year per household

GG= Total grain obtained as gift from others or remittance per year per household

GS= Quantity grain sold per year per household

GU= Amount of grain reserved for seed per year per household

GV= Total grain given for others per year per household

HL= Post-harvest loss per year per household

In assessing the food security status of sampled households in the study area, the following steps
will followed. First, all stable food sources of cereals and non-cereal grains available to sample
households for the past one year will be collected. Secondly, the collected data will be structured
in HFBM equation to determine the net food availability situation of the sample households.
Finally, the food energy requirement for each sampled household members will be calculated by
converting into adult equivalent ratio.

In this study, food security status will measured as the extent of food grain available for home
consumption stated in kilocalories per adult equivalent per day. In the end, an attempt will be
made to convert food grain available for sampled households into dietary calories. By doing this,
all sampled households daily dietary status at adult equivalent per day will identified. Then,
households who will found to fall above the national minimum daily calorie requirement level,
i.e. > 2100 kcal/day/ adult equivalent categorize as food secure and households who fall below
the national daily calorie requirement will categorized as food insecure.

Food Consumption Score (fcs): It is a continuous variable measuring the types of food
consumed by the household and also the frequencies of the food consumed within seven days. In
measuring it, first the type and frequency of consumed food were collected. Second, the
consumed foods were grouped into specific food groups. Third, the consumed food under groups
were added up. Fourth, the value under each group was multiplied by the weight given to each
food group. Fifth, all are added together and the food security profile of the household was
decided. Accordingly, the households with score value less than 28 were considered as food
insecure, those whose food consumption score value between 28 and 42 were considered as
borderline, and food secure if their score values are greater than 42 (WFP, 2008).
22
3.5.3. Independent Variable

Independent variables are the variables affecting the dependent variables, participation in
irrigation, and household food security. This effect is a combined effect of various factors such
as demographic, socio-economic, and institutional factors. The independent variables that are
proposed to affect the dependent variable are defined and hypothesized as follows:

Sex of the household head: Sex is a dummy variable with values of one of the household heads
being male and zeroes otherwise. As identified by scholars, Beneberu Assefa and Biazin Alemu
(2020) male-headed households are more likely irrigation participants compared to female-
headed households. According to the findings of, Gemechissa (2021), male-headed households
are more food secure than female-headed households. Therefore, this study hypothesizes that
male household heads will be more likely to participate in irrigation and to be more food secure
than female-headed households.

Age of the household head: Age is a continuous variable measured in years. In Ethiopia, the
household is the decision-maker for farm activities. According to Mota et al. (2019), keeping
other things constant, household age was negatively related to food security. According to
Gadisa Muleta et al. (2021), the age of the household head is negatively related to participation
in irrigation. Thus, the age of the household head will hypothesized to negatively affect
participation in irrigation and food security.

Educational Level of the Respondents: It is a categorical variable. The level of education will
be assumed to increase farmers' ability to obtain and use information relevant to the use of
technology. Education is therefore expected to increase the probability of participation in
irrigation technology Tekle et al. (2020) found education level of household heads was higher
for irrigating households than for non-irrigating households.

Access to Credit: It is a dummy variable, which takes a value of 1 if the farm household had
access to credit and 0 otherwise. Households having credit access are more likely to use inputs
like fertilizer, improved seed, and agricultural chemicals and adopt agricultural technologies.
According to Ingutia and Sumelius (2022), households with access to credit and members in
cooperative unions are more food secure. the research finding reported by Gadisa and

23
Gebrerufael (2021) households with access to credit services are more likely to participate in
irrigation. Therefore, access to credit will hypothesize to positively affect households' decision to
participate in irrigation and their food security status.

Non-farm Income Source: This variable is a dummy variable that takes a value of one if the
household participates in non-farm activities and zero otherwise. It represents income out of
agriculture like from trade, salary, wage, remittance, etc. As reported by Eskedar Mulatu (2023)
non-farm income earners are more likely to participate in small-scale irrigation than non-earners.
According to Duong et al. (2021), access to off-farm income is positively related to household
food security status. Thus, non-farm income is hypothesized to positively affect participation in
irrigation and household food security.

Dependency Ratio: It is a continuous variable that refers to the ratio of the economically
inactive labor force, children and elders (below 15 and greater than 65 years), to the active labor
force (from 15 to 65 years) existing in the household. As economically inactive individuals are
dependent on active family members to fulfill their food demands, it has a negative relation with
the food security of the household. According to Yilma et al. (2021a) dependency ratio is
identified as the factor that negatively affects participation in irrigation.

Extension contacts: This variable is a discrete variable measured by whether or not the
household has made contact with extension agents per month. The contact frequency between the
farmers and the extension agents will potentially accelerate the dissemination of information to
the farmers. As reported by Osewe et al. (2020) extension service is positively related to
irrigation participation. Moreover, according to Zhou et al. (2019), access to extension services
is positively related to household food security status. Hence, this variable will hypothesize to
positively affect the farmers' decision to participate in irrigation and food security status.

Household size: It is a continuous variable measured in adult equivalent. Households having

more adult equivalent household size are expected to adopt agricultural technologies, irrigation
in this context, than those having less household size since improved agricultural technologies
require more labor. The findings of the research conducted by Getasew et al. (2024) indicated
that family size was positively related to participation in small-scale irrigation. According to the
findings reported by Drammeh et al. (2019), family size is negatively related to household food

24
security status. Thus, family size was hypothesized to be positively related to irrigation
participation and negatively related to household food security status.

Distance from the Nearest Market: This is a continuous variable measured in kilometers. It
affects the probability of participation in irrigation. (Gutu, 2022) reported that the probability of
participation in irrigation for households with good market information is more than two-fold the
participation probability of those households that are far from information. According to
Getasew et al. (2023), the market distance was reported to have a negative relation with
household food security. Thus, market distance is hypothesized to negatively affect participation
in irrigation and household food security.

Pests and Diseases: These variables are dummy variables of value one if pests and diseases
occurred during the main season of the year under investigation and zero otherwise. Plant pests
and diseases potentially affect the production and productivity of the farmers. Households whose
agricultural production was affected by pests and diseases are more likely to be food insecure
than those households that are not affected by pests and diseases. According to Savary and
Willocquet (2020), infestations of crop pests and diseases negatively affect household food
security. So, pests and diseases are hypothesized to negatively affect household participation in
irrigation and food security status.

Distance from irrigation water source: This variable was a continuous variable measured in
kilometers. Fitsum et al. (2019) reported that the distance of irrigation water sources affects
households' participation in irrigation negatively. The nearer the household is to the source of
irrigation water, the higher the probability the farmer will participate in irrigation. This is
because the operation cost and time lost in traveling will be reduced. According to Ingutia and
Sumelius (2022) households living nearer to irrigation water sources are more food secure
compared to those farmers that are far from the irrigation water source. Hence, distance to an
irrigation water source was hypothesized to negatively affect participation in irrigation and food
security.

Size of farmland: It was a continuous variable that determines household food security. It is the
total size of the land on which food and cash crops are cultivated by households, measured in
hectares. Kumala and Mulubrihan (2020) identified that the size of cultivated land has a positive
effect on household participation in small-scale irrigation. Similarly, Adimasu et al. (2019)

25
reported that households having more land are more food secure than those having less land.
Thus, this variable will be hypothesized to have a positive impact on household food security and
participation in small-scale irrigation.

Farming experience: This is a continuous variable that refers to the total number of years
that the sampled household has spent in farming. A farmer with longer experience in farming
has a wider knowledge and experience gained on the operation and conduct of agricultural
activities and methods of production. Thus, this variable was hypothesized to have a positive
relationship with participation in the small-scale irrigation scheme. That is more likely that
farmers with longer farming experience are ready to accept changes and adopt new ideas and
techniques (Adeoti et al., 2007).

Livestock holding: It is a continuous variable representing the number of livestock measured in

the Tropical Livestock Unit (TLU) owned by the household. Livestock is an important source of
income, food, and draft power and represents an asset, which indicates the wealth and social
status of the household and a source of finance. Nuradin (2022) reported that more livestock-
holding households are more likely to participate in small-scale irrigation. Similarly, according
to Mutea et al. (2019), livestock holding was reported to positively affect household food
security. However, Gadisa and Gebrerufael (2021)reported that more livestock-holding
households are less likely to participate in small-scale irrigation. Therefore, livestock holding is
hypothesized to positively affect participation in irrigation and food security of the households.

26
 4. WORK PLAN AND BUDGET BREAKDOWN
4.1 Work Plan

No. Activity Period (Month and year)

Dec/ March April May Jun July Aug Sep Oct

2024 2024
2023 2024 2024 2024 2024 2024 2024

1 Assessing the problem and outlining the

research gap (title) and literature review

2 Proposal development

3 Questionnaire preparation

4 Questionnaire pre-test survey

5 FGD and KII

6 Data collection

7 Data processing, codding& entering

8 Data analysis

9 Dissertation writing revising and correcting

10 Dissertation submission defense & final

submission

24
4.2 Budget breakdown

Activities Unit price Total Price

 Stationary

o Paper 2 Desta*600 1,200

o Pen 2package *500 1,000
o Note book 12 single *150 1,800

 Accommodation fee

o Coffee/tea Cub *2day*15birr*12person 360

o Water (highland) liter *2day *25birr*12 person 600

 Enumerator training
o Trainer 2person*4day *1000 8,000
o Enumerator 10 person *2day *500 10,000
Total 22,960
Contingency (10%) 2,296
Grand total 25,256

25
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