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Integrated Water

Resources Management

Training Programme for decision-

makers in the Middle East/

North Africa region Autumn 2009

The German Commission for UNESCO was founded in 1950. It is an intermediary of German foreign policy and links civil society with UNESCO. It advises the government and supports implementing UNESCO‘s programmes in Germany and abroad. The German Commission for UNESCO received a grant from the German Foreign Office for this training programme.

The UN-Water Decade Programme on Capacity Development started work in 2007. Its programme office in Bonn, Germany, strengthens the activities of the more than two dozen UN organizations cooperating within the inter-agency mechanism UN-Water.

The IHP/HWRP-National Committee coordinates the German contribution to the hydrological programmes of UNESCO and of WMO. It offers a forum for the hydrological sciences in Germany, thus linking national and international aspects of hydrology.

Programme developed in cooperation with:

Partner in Egypt:

With financial support of:

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Table of Contents

TITLE PAGE

Unit I: Course Introduction and Learning Objectives……………………………………… 5

Unit II: Overview of the MENA Region……………………………………………….…… 7

Unit III: Integrated Water Resources Management…..…………………………………...... 9

Unit IV: Policy making…...................................…………………………………………… 15

Unit V: Water use, impacts and benefits…....……………………………………………..... 19

Unit VI: Stakeholder participation and conflict resolution in IWRM…...………………..... 29

Unit VII: IWRM planning approaches….............…………………………………………... 39

Unit VIII: Institutional and organizational arrangements for IWRM…………………...… 45

Unit IX: Policy instruments ……………………………………………………...............… 51

Unit X: Transboundary water management……………………………...………………… 57

Unit XI: Project Management……………………………………………………................. 63

Unit XII: Team Role Management……………………………...…………………………... 67

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UNIT I: Course Introduction and Learning Objectives

Figure I.1: Map of MENA

Course introduction

Water scarcity is a problem, all countries in the Middle East and North Africa (MENA) region face. The current water stress has being exacerbated in the last years due to population growth, urban sprawl, increased industrialization and agricultural pressures. Limited availability of water can jeopardize among others economical development as well as state stability and fight against poverty. In this context an integrated, participatory and sustainable approach is necessary to balance the demand of different users and ecosystems for water with the available resources. Integrated Water Resource Management (IWRM) emerges as an approach to address these issues and to promote the development of appropriate water policy guidelines, management strategies and to contribute to the strengthening of institutions. This course focuses on the MENA region and its water management challenges. It is a part of the Training Programme on IWRM for decision-makers and professional managers.

Learning objectives This course aims at levelling the differences in background knowledge of the participants and developing a shared understanding of key Integrated Water Resources Management (IWRM) concepts, with a particular focus on the MENA region. At the end of the course, the participant will be able to:

Understand basic principles of Integrated Water Resources Management;

enhance his/her knowledge on legal and institutional frameworks for water management;

better understand decision-making processes in water management, and

apply structured planning procedures for water allocation and resource conservation.

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UNIT II: Overview of the MENA region

Improvement of the water sector’s

performance became highly

imperative in the Middle East and

North Africa. This involves

reforms in policies inside and

outside the water sector

Figure II.1: Map of MENA region

The MENA region According to the World Bank (2007) ―The Middle East and North Africa (MENA) is the world‘s driest region‖. Statistics show that the water availability per person is around 1100 m3 per person per year much lower than the worldwide average of 8900 m3 (World Bank, 2007).

Figure II.2: Share of water available or used by source

(World Bank, 2007) Note: External renewable water resources refers to surface and renewable groundwater that comes from other countries, net of that country‘s consumption. Virtual water refers to water embedded in food that is imported, net of exports, average over 1995–9.This figure does not include water used for environmental purposes.

Although three quarters of the population have access to water supply and sanitation, still half of the region‘s habitants live under conditions of water stress (Figure II.2). The water stress is fostered by population growth, urbanized sprawl, increased industrialization and increased use of water for irrigation in the agricultural sector. Most of the region‘s countries have prioritized water storage and more efficient water use as their best alternatives to cope with water scarcity. Some of the water management challenges that the countries in this region face are: Improvement of the efficiency of water supply,

especially in rural areas, by avoiding inappropriate technologies and inefficient management,

increasing the cost recovery in irrigation systems for agriculture, by changing non-water policies (e.g.

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subsidies), and Improvement transboundary cooperation, since

many basins and rivers are shared between countries and therefore (regional) cooperation is needed.

Figure II.3: Aridity zoning in the MENA region (World

Bank, 2007)

References

World Bank. 2007. Factors inside and outside the water sector drive MENA‘s water outcomes. www.worldbank.org

InWent. 2009. MENA water portal: Water sector in MENA Region. www.inwent.org

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UNIT III: Integrated Water Resources Management

Figure III.1: The Water Cycle

We should look upstream to assess

water availability, but also

downstream to assess possible third

party impacts on water quantity

and quality.

The water cycle

The annual water cycle from rainfall to runoff is a complex system where several processes (infiltration, surface runoff, recharge, seepage, re-infiltration, moisture recycling) are interconnected and interdependent with one main direction of flow: downstream. A catchment is therefore one single system and is more than the sum of its sub-catchments. Our water use is embedded in the hydrological system. It is therefore important that we consider the hydrological system and locate our water use in it. The hydrological system is the source of water. Whereas water is finite as a resource, it is renewable through the water cycle. The hydrological system generates the water that humans need for drinking and other domestic use, for agricultural production (both rainfed and irrigated), for industrial production, for recreation, etc. and the environment needs with its natural components. The hydrological system also receives return flows from human water use. This can be in a form often not immediately recognised, namely as water vapour from transpiration of crops and evaporation from natural and human created lakes (so-called moisture feedback). ―Grey‖ return flow, such as sewage water from cities and industries that flow back into rivers generally are more conspicuous. Such flows may also percolate into aquifers, often transporting pollutants (e.g. from irrigation with fertilizers and pesticides). In heavily committed catchment areas, downstream users may depend on return flows as the source of their water. Water use therefore influences the flow regime and has impacts downstream, both in terms of water quantity and water quality. My water use always implies ―looking upstream‖ in order to assess water availability, and ―looking downstream‖ in order to assess possible third party effects of my activity. Most people, however, forget the last part and tend to look only in the upstream direction, merely concerned with securing the personal supply of water.

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Water is vital, therefore a public

good

Water is finite and can be privately

appropriated, therefore a private

good

Water use is fugitive, therefore it is

also a common property resource

(Van der Zaag and Savenije, 2008)

What makes water so special? Fresh water is vital to sustain life, for which there

is no substitute. This means that water has a (high) value to its users.

Although water is a renewable resource, it is

practically speaking finite. Many uses of water are therefore subtractible, meaning that the use by somebody may preclude the use by somebody else.

Water is a fugitive resource. It is therefore difficult

to assess the (variations in) stock and flow of the resource, and to define the boundaries of the resource. This complicates the planning and monitoring of withdrawals as well as the exclusion of those not entitled to abstract water.

The vital nature of water assigns it characteristics of a public good. Its finite nature confers to it properties of a private good, as it can be privately appropriated and enjoyed. The fugitive nature of water, and the resulting high costs of exclusion, confers to it properties of a common pool resource. Water resources management aims to reconcile these various attributes of water. This is a demanding task as the property regime and management arrangements of a water resources system are often complex.

Figure III.2: The IWRM Cube

Integrated Water Resources Management (IWRM) IWRM has to consider the water resources from a number of different perspectives or dimensions. Once these various dimensions have been considered, appropriate decisions and arrangements can be made. The four dimensions that IWRM takes into account are: Water Resources: The water resources include all forms of occurrence of water including salt water and fossil groundwater. A distinction can be made between blue and green water. Blue water, the water in rivers, lakes and shallow aquifers, has received all the attention from water resources planners and engineers. Green water, the water in the unsaturated zone of the soil responsible for the production of biomass has largely been neglected but is responsible for 60% of the world food production and all of the biomass produced in forests and pastures. Fossil water, the deep aquifers that contain non-renewable water, should be considered a mineral

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IWRM has four dimensions:

resource, users, spatial and

temporal

The Subsidiarity Principle:

decision-making at the lowest

appropriate level

IWRM implementation is a

challenging process; not an over-

night shift

resource which can only be used once at the cost of foregoing future use. Water Users: There are many different users of water and its functions. Functions can be split into production functions (for economic production activities), regulation functions (for maintaining a dynamic equilibrium in natural processes), carrier functions (to sustain life forms) and transfer functions (as a contribution to culture, religion and landscape). The uses include: households, industries, agriculture, fisheries, ecosystems, hydropower, navigation, recreation, etc. Water users consist of consumptive and non-consumptive (often in-stream) users. Besides on quantity, the users depend largely on the quality of the resource. Spatial Scales: Water resources policies are implemented at different levels: the international level, the national level, the province or district level and the local level. Parallel to these (administrative) levels are hydrological system boundaries such as river basins, sub-catchments and watersheds. Hydrological boundaries seldom concur with administrative boundaries. River basins seem appropriate units for operational water management but present problems for institutions that have a different spatial logic. Different decisions on water resources management are made at different levels, meaning that the concept of subsidiarity (decision-making at the lowest appropriate level) needs to be a guiding principle in the development of IWRM. Interests and decisions at lower levels need to be carried upward to be taken into consideration at higher levels, particularly to the national and international level. An important element in this process is the participation of stakeholders in decision-making processes at all levels. Temporal Scales and Patterns: Both the water resources themselves and the water uses have distinct temporal patterns. The temporal distribution of water resources is crucial (floods, droughts, base flows, flooding patterns) and so is the distribution over time of the demands (peak demands, constant requirements, cropping patterns, etc.). To summarise, IWRM seeks to manage water resources in a comprehensive and holistic way, taking account of the entire water cycle and the interests of all water users, while acknowledging the temporal and spatial variability in availability and the interactions with water quality and ecology. Managing water resources is then characterised by transparent and participatory decision-making procedures that

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Figure III.3: The Wadi Mousa

Wastewater Treatment Plant in Jordan

(UNU-INWEH)

carefully weigh societal objectives and constraints, integrate these where possible, and set priorities where necessary. An alternative commonly used definition is that of the Global Water Partnership: ―Integrated Water Resources Management is a process which promotes the coordinated development and management of water, land and related resources, in order to maximise the resultant economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems.‖ (GWP, 2000)

Integrated Water Resources Management in drylands In drylands, as in other regions, any water transfer in and between river basins affects communities along those basins. Thus, it is important to view water resources strategically at the river basin level, particularly when water transfer schemes cross national and international boundaries. Appropriate management and maintenance of existing irrigation systems is critical for long-term sustainability. It is also important to manage demand of water resources, rather than managing the supply alone. While developing integrated water management approaches for drylands, the following should be considered:

Existing water management systems are often complex, with limited capacity for adoption of advanced technologies. Limited fiscal and human resources often affect the adequateness of the management practices. This is further exacerbated by a rapidly-increasing population in drylands.

The bureaucratic mechanisms in place to oversee water management at the national level are also complex. In contrast, the international water management mechanisms are currently in their infancy and are undergoing evolution.

Currently, functional water distribution systems often result in the uneven distribution of water between end-users. Poor drainage systems lead to salinization of soils.

Integrated water management approaches that account for all natural resources and have the full involvement of local communities have been successful. Another successful approach is the

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IWRM approaches for drylands are

multidisciplinary and multi-

stakeholder, and require

scientifically-based policy

guidelines

Water productivity improvement is

one of the main goals of the new

approaches for water management

in drylands

promotion of landscape architecture and the movement away from traditional, mono-cropping agricultural systems.

Governments sometimes provide perverse subsidies to projects that over-utilize the existing water resources and are detrimental to the environment in general.

Innovative water management in drylands

A number of innovative approaches and solutions to water resources management in drylands are available. These water management approaches are multidisciplinary and multi-stakeholder. A key element of successful water and resource management is building partnerships for joint action. These partnerships can be at the institutional or professional level and the scale can vary from local to international. It is most important to involve end-users, such as farmers, in the development and implementation of activities. Successful implementation of these approaches requires that scientifically-based policy guidelines are developed for governments. The long and short term evaluation of environmental and socioeconomic impacts of such policies should be a critical component of the policy development process. It is also important to consider demand management policies, rather than just focus on water supply. Although their application requires caution and careful evaluation, several new and innovative approaches are available for water management. Water productivity can be significantly improved through recently-developed methods of water harvesting, supplemental irrigation and deficit irrigation. These technologies have been quite successfully tested at a pilot scale and now require a broader implementation. The chronic shortage of water in arid areas requires looking for new and innovative solutions. One key option is to recycle and re-use as much of the available water as possible. This solution requires development and implementation of wastewater treatment technologies, as well as effective management of existing resources. Some of these methodologies have been evaluated at relatively small scale and require a more careful evaluation as broader-scale

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Water and desertification are two

of the main limiting factors for

crop productivity of drylands

Natural ecosystems can be used as

‚wastewater treatment facilities‛

implementation schemes are developed. Effectively managing and maximizing the productivity of existing water resources is critical in dry areas where water harvesting and supplemental irrigation can be useful. It is also important to keep in mind that often optimum crop production can be achieved by spreading supplemental irrigation over larger tracts of land. In other words, water – not land – is the limiting factor in determining the crop productivity of drylands. Although desertification has also became a concern in drylands due to increasing pressures on land use that derived in loss of top soil and erosion. For wastewater treatment technologies to be effective, they have to be relatively inexpensive and amenable to local production. In this respect, attention should be given to natural ecosystems as treatment processes, such as soil infiltration treatment and oxidation ponds. The long-term impacts of applying treated wastewater should be carefully evaluated. In particular, the long-term impact of heavy metals and other pathogenic pollutants commonly found in wastewater should be assessed. The impacts on both the environment and human health deserve our attention. Sustained monitoring is necessary in areas where treated waters are applied. This monitoring can be further enhanced through modeling and simulations.

References

Allan, T., 2003. IWRM/IWRAM: a new sanctioned discourse? Occasional Paper 50. School of Oriental and African Studies (SOAS), King‘s College. London.

Van der Zaag, P. And H.H.G. Savenije. 2008. Concepts and Definitions. In Principles of IWRM, UNESCO-IHE, Delft.

UNU-INWEH. Course 2 - Introduction to Integrated Water Resource Management. Lesson 9: Drylands. www.unu.edu

Biswas, A.K., 2004, Integrated water resources management: a reassessment. Water International 29(2): 248-256.

GWP. 2000. Integrated water resources management. TAC Background Paper No. 4, Global Water Partnership, Stockholm.

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UNIT IV: Policy Making

‚The success of an environmental

policy requires that all the layers

of the society, all its forces,

conscious of their responsibilities,

contribute to protect and improve

the environment‛

Proceedings of the Helsinki Conference,

1975 (adapted from Falloux and Talbot,

1993)

Environmental policy making in the Human-Nature nexus Management of the environment conceptually involves the understanding of inter-linkages between Humans and Nature, or Society and the Environment. Environmental protection through conservation often entails keeping humans out of nature (e.g., when establishing national parks etc.) for the benefit of certain habitats. Environmental management on the other hand deals with the interactions between the human society - through natural resource use - and the environment, or the natural resource base, acknowledging that natural resources supply the goods and services that secure human livelihoods. Here the three-part conceptual framework by Baines in Peet (1992) to describe the relations between society and the environment as part of a sustainable development, will be used as a basis (Figure IV.1).

Figure IV.1: Conceptual framework showing

development as a dynamic society process (after Baines

in Peet, 1992) The natural resource base is the major source of economic opportunity and the primary source of materials and services to which we ascribe a value and added value when used. The biogeophysical flows within the natural systems and the complexity and dynamics of them form inherent limitations or boundaries to their use. Natural resources use will depend on the social value tied to its use, the knowledge of the function of the natural system, management practices, technological know-how and institutional arrangements. Institutional arrangements

Institutional Arrangements

Natural Resource Base

Resource Use

Controllability Physical exchanges

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Societal acceptance will affect

policy at community, regional,

country and international level

will influence the manner in which we use natural resources.

Figure IV.2: Schematic chart showing inter-linkages

between the human and natural sphere (developed

on the basis of Baines in Peet, 1992 Environmental hazards caused by pollution, depletion or degradation of the natural resource base will trigger a response loop back to society. Society is also fed with knowledge, generated from science on the functioning, limitations, and complexities of the natural resource base. Recognition of threats from inappropriate resource use together with knowledge flows influence the process of public awareness and societal acceptance of a problem and result in the search for an adequate response. Societal acceptance will depend on prevailing perceptions and economic opportunities, which in turn emanate from complex issues like religious beliefs, social and cultural environment, societal structure, education etc. Moreover, societal acceptance will affect policy at several levels: community level, regional, country and international level. This societal sphere laying the ethic and moral foundation that filters hazard responses and knowledge into public awareness is denoted as the human web in Figure IV.2. Environmental policy making therefore can be defined as a societal response mechanism that is used in situations when the economic market mechanisms and/or "free" use model do not work. Factors influencing environmental policy making include not only knowledge of hazards and the fundamental principles of the natural resource base, but also the social and cultural characters embodied in a society.

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Policy design is a continuous

process that involves policy

making, implementation,

monitoring and evaluation

Design for environmental policies The design of environmental policies is primarily aimed at finding a way of dealing with public or common goods that are subject to negative external impacts. Consequently, in order to understand the design approaches to environmental policies it is essential to iterate the essential economic characteristics of common goods. Water flow is a perfect example of such a good. Water is subject to significant negative impacts through pollution and depletion as a result of market failure, where the invisible hand does not guide the individuals operating in the market. The tendency with a common pool good like water is a natural tendency of behaving as a free-rider, i.e., using the resource without worrying about its deterioration. Figure IV.3 indicates the general stages of the policy formulation cycle (Janssen, 1994 after Winsemius, 1986). Recognition of the environmental problem (which as discussed has strong social, political and power connotations) is followed by the design phase (policy-analysis and policy making). The design approach (state interventions, behaviour modifications or liability interventions) will determine the type of policy developed. The control phase includes implementation of the policy and the measures to enforce compliance among the affected actors.

Figure IV.3: The policy cycle

Policy analysis constitutes an important step in the policy cycle that aims to generate and present useful information for decision-makers. The analysis requires that the actors involved have among other characteristics common sense, experience, knowledge and coordination. This process should be systematic and methodical in order to find ―good solutions‖, since ―optimal solutions‖ hardly exist. Finally, uncertainties

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Policy analysis aims to generate

and present useful information for

decision-makers

should be taken into account and high risk strategies avoided. Policy analysis can be defined as a systematic investigation of complex policy alternatives as to assist decision-makers in choosing a preferred course of action in the public sector under uncertain conditions. Policy analysis is not the decision-making, and decisions or choices should not be made by the analyst but by the decision-makers. The analyst should go through the following phases in order to generate valuable information for the decision-maker: Problem analysis, establishing criteria, identifying alternatives, evaluating alternatives, and ranking alternatives (optional).

References

Baines, J.T. 1989. An integrated framework for interpreting sustainable development: Ecological principles and institutional arrangements for the sustainable development of natural and physical resources. In Peet, J. 1992. Energy and the ecological economics of sustainability. Island Press. Washington DC.

Falloux, F., and Talbot, L.M. 1993. Crisis and opportunity - Environment and development in Africa. EarthScan Publications Ltd, London, UK. p 355

Janssen, R. 1994. Multiobjective decision support for environmental management. Kluwer Academic Publishers, the Netherlands. p 231

Winsemius, P. 1986. Gast in eigen huis. Beschouwingen over milieu management. Samson, H.D. Tjeenk Willink, Alphen aan den Rijn.

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UNIT V: Water use, impacts, benefits and climate change

Water uses can be withdrawal or

non-withdrawal; and consumptive or

non-consumptive

Water consumption, use, requirement

and demand are often confused

The uses, demand for, and value of water There are a large number of water uses one can think of: rainfed agriculture, irrigation, domestic use, industrial and commercial use, navigation, recreation, hydropower generation, environmental uses etc. We can distinguish withdrawal uses (such us agriculture, mining, electric power) and non-withdrawal (such as navigation, recreation, waste water disposal by dilution) uses; as well as consumptive and non-consumptive uses. Consumptive use is the portion of the water withdrawn that is no longer available for further use, because of evaporation, transpiration, incorporation in manufactured products and crops, use by human beings and livestock, or pollution. Water ―demand‖ is a loosely used (and often abused) term. In purely economic terms, demand is defined as the quantity of a particular good (or service) that a consumer is willing to purchase at a given price. Demand is therefore a function of ―willingness‖ (to consume) and the ―ability‖ (to purchase at a given price). However, the term ―demand‖ is often used to imply the ―requirement‖ of a certain consumer or group of consumers, completely independent of their ―ability‖. The amount of water supplied will often differ from the amount demanded. Generally a portion of the water used is actually consumed. Return flows from a city, for example, may amount to as much as 40-80% of the amount of raw water abstracted. Return flows from irrigated fields may be 10-30%. In both cases the water quality of these return flows may make them unfit for re-use without further treatment or dilution. A similar confusion exists when talking about water losses. It depends on the scale whether water is considered a loss or not. At the global scale, no water is ever lost. At the scale of an irrigation scheme, a water distribution efficiency of 60% indeed means that slightly less than half of the water is ―lost‖, i.e. does not reach its intended destination (namely the roots of the plants). Part of this water, however, may return to the river and be available to a downstream user. At the scale of the catchment, therefore, it is the net consumptive use, i.e. the transpiration of crops (60% in this example) plus the evaporation part of the ―water losses‖ that can be considered as the loss.

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Water losses can be better understood

by considering the scale at which they

are to be measured

The value of water differs, depending

when and how it occurs

The different sectors of an economy have added values according to the various uses they give to water. Some sectors may use little water but contribute significantly to the gross national product (GNP) of an economy. Other sectors may use a lot of water but contribute relatively little to that economy. The added value of some uses of water is difficult, if not impossible to measure. Let us for instance consider the domestic use of water: how can the value of an adequate water supply to this sector be quantified? What is the value of water left in rivers in order to satisfy environmental water requirements? Although being part of one hydrological cycle, the value of water differs, depending when and how it occurs. Whereas rainfall is generally considered to be a free commodity, of all types of water it has the highest value. This is because rainfall represents the starting point of a long path through the hydrological cycle (infiltration, recharge of groundwater, transpiration, moisture recycling, surface runoff, seepage, re-infiltration) (Hoekstra et al., 2001). Rainfall therefore has many opportunities for use and re-use: in rainfed agriculture, irrigation, for urban and industrial use, environmental services etc. Water flowing in rivers has a lower value than rainfall. But also this ―blue‖ water has different values, depending on when it occurs. Water flowing during the dry season (the base flow resulting from groundwater seepage) has a relatively high value, because it is a fairly dependable resource just when demand for it is highest. In contrast, peak flows during the rainy season have a lower value, although these peaks provide many important services, such as recharging aquifers, water pulses essential for ecosystems, and filling of reservoirs for later use. The highest peak flows may occur as destructive floods and have, then a negative value assigned.

Water supply The amount of water supply including water conveyance losses refers to the total water volume supplied by various water source projects to water users. It is calculated in terms of surface water and groundwater sources (reuse of treated wastewater and supply of rain collection works). The amount of direct utilization of seawater (not including desalinated water) is calculated separately and is not summarized into the total amount of water supply. Although most countries give first priority to satisfying basic human needs for water, one fifth of the world‘s population is without access to safe drinking water and half of the population is without access to adequate

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Meeting water supply and sanitation

needs for urban and rural areas

represents one of the most serious

challenges for developing countries

The implementation of IWRM can

foster the achievement of the MDGs

in the water supply and sanitation

sectors

sanitation. These service deficiencies primarily affect the poorest sectors of the population in developing countries. In these countries, meeting water supply and sanitation needs for urban and rural areas represents one of the most serious challenges now and in the years ahead. Halving the proportion of the population lacking water and sanitation services by 2015 is one of the Millennium Development Goals1. Doing so will require a substantial re-orientation of investment priorities, and will be very much more readily achieved in those countries that are implementing IWRM. Some of the benefits that the implementation of IWRM can bring to the water supply and sanitation sector are: Above all, properly applied IWRM would lead to the

water security of the world‘s poor and unserved being assured. The implementation of IWRM based policies should mean increased security of domestic water supplies, as well as reduced costs of treatment, as pollution is tackled more effectively.

Recognizing the rights of people, and particularly women and the poor, to a fair share of water resources for both domestic and household-based productive uses, leads inevitably to the need to ensure proper representation of these groups in (governmental) bodies that make decisions on water allocation.

The focus on integrated management and efficient

use should be a stimulus to the water sector to promote recycling, reuse and waste reduction. High pollution charges backed by rigid enforcement have led to impressive improvements in industrial water-use efficiencies in the industrialised countries, with benefits for domestic water supplies and the environment.

Past sanitation systems often focused on removing

the waste problem from the areas of human occupation, thus keeping the human territories clean and healthy, but merely replacing the waste problem, with often detrimental environmental effects elsewhere. Introduction of IWRM will improve the opportunity for introduction of sustainable sanitation solutions that aim to minimise waste-generating inputs, and reduction of waste outputs, and to solve sanitation problems as close as possible to where they occur.

At a practical local level, improved integration of

1 The Millennium Development Goals are an ambitious agenda for reducing poverty and improving lives that world leaders agreed on at

the Millennium Summit in September 2000. For each goal one or more targets have been set, most for 2015, using 1990 as a

benchmark. More information can be found on the UNDP website at http://www.undp.org/mdg/.

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Achieving integrated management

will require a balance between trade-

offs and management decisions while

satisfying demands of the different

sectors

Figure V.1: The tendencies of the MENA

region constitute a complicated context for

the water sector (Varis, 2008 In (ed.)

Biswas et al 2008)

water resource management could lead to greatly reduced costs for provision of domestic water services. A measure is for instance the design of irrigation schemes with a domestic water component explicitly involved from the start.

Water demand vs. supply in the MENA region According to the World Bank (2007) in the past decades, in the Middle East and North Africa region, the water supply and sanitation services have expanded significantly, contrary to the wastewater collection and treatment. The emplacement of dams and reservoirs has allowed most MENA countries to store a large share of surface water, generating as well environmental problems due to reduced in-stream flows. Furthermore, low cost drilling technology has fostered uncontrolled, unsustainable water pumping from underground sources by individual users on a large scale. More than 85% of the totally available water is destined to irrigation use. Irrigation networks are widespread in the region and continuously expanding, creating excess demand and becoming a competition to the users in growing urban populations. Finally, high subsidies on water, expensive and low efficient water infrastructures, increased water demand by urban and agricultural sectors, absence of effective regulations, and reduced returns on irrigation investments have generated economical and social problems in various countries in the region (Figure V.1). Figure V.2 shows the water use in MENA compared to other regions worldwide. It indicates a low availability of water resources accompanied with inefficient water use.

Figure V.2: Percentage of total renewable water

resources withdrawn by Region (World Bank, 2007)

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Increasing anthropogenic green house

concentrations in the atmosphere can

lead to increased global average

temperatures

Changes in global trends of

hydrological variables have been

reported by many studies

Climate change and water resources

Since the Fourth Assessment Report (AR4) of the IPCC became public in 2007, there has been no dearth of scientific evidence about global climate change. Atmospheric warming is unequivocally evident from observed increases in global average air temperatures, ocean temperatures, widespread melting of snow and ice and rising global average sea level. Concerning the attribution of the observed increase in global average temperatures since the mid-20th century, the AR4 states that this is ―very likely due to observed increase in anthropogenic greenhouse gas concentrations‖ (IPCC, 2007a: 10). There is no doubt that this climate change is going to have impacts on water and many other sectors that are sensitive to climate variability and change. Therefore, it is imperative to develop a good understanding of some of the basic aspects of climate change and how it is detected before considering the impacts of such change.

Observed changes and trends in the water cycle Many studies have reported evidences of observed changes and trends in precipitation and other associated hydrological variables.

Hydrology and water resources

Recent evidence shows that areas most affected by increasing droughts are located in arid and semi-arid regions due to the already warm and dry climate (high confidence). In the last 20 years, there are documented increases in flash floods and landslides due to intensive and heavy rain in mountain areas during the warm season (high confidence).

Coastal processes and zones

Widespread coastal erosion and wetland losses are occurring under current rates of sea level rise, but at present these are mostly the consequences of anthropogenic modification of the shoreline (medium confidence). In many low-lying coastal areas, development in conjunction with sea level rise over the last century has exacerbated the damage to fixed structures from modern storms, which would have been relatively minor a century ago.

Marine and freshwater biological systems

Many of the observed responses in marine and freshwater systems have been associated with rising water temperatures (high confidence). Climate change,

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Precipitation intensity

Dry days

Figure V.3: Global projections of

precipitation intensity and dry days

(annual maximum number of consecutive

dry days) (Adapted from Bates et al., 2008)

in tandem with other human impacts, has already caused substantial damage to coral reefs (high confidence). The documented poleward movement of plankton by 10 degrees in the North Atlantic is larger than any documented terrestrial study. Observations indicate that lakes and rivers around the world are warming, with effects on thermal structure, lake chemistry, abundance and productivity, community composition, phenology, distribution and migration (high confidence).

Projected climate changes by region Although climate change is expected to increase global temperatures, its impact on water resources is more complex and varies across the world. While some regions are expected to receive more precipitation, other regions will face increased water stress due to significant reduction in net precipitation. The recent IPCC report (Bates et al., 2008) provides an overview of projected impacts on the water resources of different regions of the globe. Climate change is expected to increase the frequency and intensity of both floods and droughts in many parts of the world, as shown in Figure V.3, with stippling indicating regions where at least five of the models agree that the changes are statistically significant. The results show that precipitation intensity will increase in high latitude and subtropical regions, while drought conditions will intensify in the Mediterranean basin, western USA, South Africa and north-eastern Brazil. The following is a brief summary of expected impacts of climate change in regions related to MENA (Bates et al., 2008):

Africa

Climate change is expected to exacerbate water scarcity conditions in northern and southern Africa. In contrast, eastern and western Africa is expected to receive more precipitation. Severe drought conditions in the Sahel have persisted for the past three decades. The Nile Delta is expected to be severely impacted by rising sea levels.

Asia

Climate change is expected to reduce precipitation in the headwaters of the Euphrates and Tigris. Winter precipitation is expected to decrease over the Indian subcontinent, leading to greater water stress, while monsoon rain events are expected to intensify. Maximum and minimum monthly flows of the Mekong River are expected to increase and decrease, respectively. The observed decline of glaciers is

Page 25

The implementation of IWRM can

help vulnerable communities to cope

with climate change impacts, in part

due to its flexibility and adaptive

capacity

Increased reduction of vulnerability

in communities can be achieved

through provision of adaptation

assistance at a local level

expected to continue reducing water supplies to large populations.

Importance of IWRM for adaptation to climate change Water is the first sector to be affected by changes in climate. Climate change leads to intensification of the hydrological cycle and subsequently it has serious effects on the frequency and intensity of extreme events. Sea level rise, increased evaporation, unpredictable precipitation and prolonged droughts are just a few manifestations of climate variability directly impacting on availability and quality of water. Through management of the resource at the most adequate level, the organization of participation in management practices and policy development, and assuring that the most vulnerable groups are considered, IWRM instruments directly assist communities to cope with climate variability. In 2001 the Intergovernmental Panel on Climate Change (IPCC) recognized the potential of IWRM to be used as a means of reconciling varied and changing water uses and demands, and it appears to offer greater flexibility and adaptive capacity than conventional water resources management approaches. It is critical that climate change in water governance be considered in the context of reducing vulnerability of poor people, in maintaining sustainable livelihoods and supporting sustainable development. The IPCC report makes recommendations on adaptation, vulnerability and capacity enhancement; the main recommendation asserts that reducing the vulnerability of nations or communities to climate change requires an increased ability to adapt to its effects. Working to improve the adaptive capacity at community level is likely to have a broader and more long-lasting effect on reducing vulnerability. Tailoring adaptation assistance to local needs requires the following actions:

Addressing real local vulnerabilities;

Involving real stakeholders early and substantively; and

Connecting with local decision-making processes.

How can IWRM help address climate change? As demonstrated earlier in this chapter, IWRM offers these tools and instruments that deal with access to water and protecting the integrity of the ecosystem, thus safeguarding water quality for future generations. In this way, IWRM can assist communities to adapt to

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IWRM deals with access to water

through management at the most

adequate level, stakeholder

participation and capacity building

changing climatic conditions that limit water availability or may lead to excessive floods or droughts. Key water resources management functions are:

Water allocation;

Pollution control;

Monitoring;

Financial management;

Flood and drought management;

Information management;

Basin planning; and

Stakeholder participation.

These functions are instrumental for integrated resources management and can be of help in coping with climate variability. For example:

In monitoring water quantity and quality developments, management can pro-actively take action towards adaptation.

Management of floods and droughts, as a key function of WRM, allows for direct intervention in cases of extreme events.

In basin planning, risk assessment and adaptation measures can be incorporated.

Water can be allocated to the most efficient and effective use to react to climate variability in a flexible manner.

In brief, IWRM makes it easier to respond to changes in water availability. Risks can be better identified and mitigated in the process of basin planning. When action is needed, stakeholder participation helps to mobilize communities and generate action. Water users can be stimulated to use the resource sustainably in the face of changing water conditions.

References

Bates B.C., Kundzewicz Z.W., Wu S. and Palutikof J.P. (Eds) (2008) Climate Change and Water. Technical Paper of the Intergovernmental Panel on Climate Change, IPCC Secretariat: Geneva, Switzerland. http://www.ipcc.ch/ipccreports/tp-climate-change-water.htm

Cap-Net/GWP. 2006. Integrated Water Resources Management Plans. www.cap-net.org

CPWC (2009) Business. Perspective Paper on Water and Climate Change Adaptation. The Co-operative Programme on Water and Climate (CPWC): Den Haag, The Netherlands. http://www.waterandclimate.org/index.php?id=5thWorldWaterForumpublications810

Page 27

CPWC (2009) The Changing Himalayas. Perspective Paper on Water and Climate Change Adaptation.

Hoekstra, A.Y., H.H.G. Savenije and A.K. Chapagain, 2001. An integrated approach towards assessing the value of water: A case study on the Zambezi basin. Integrated Assessment 2: 199-208.

IPCC (2008) Technical Paper VI: Climate Change and Water. Intergovernmental Panel on Climate Change (IPCC).

Savenije, H.H.G., and P. van der Zaag, 2002, Water as an economic good and demand management, paradigms with pitfalls. Water International 27(1) pp. 98-104.

Varis, O. 2008. Right to Water: The Millennium Development Goals and Water in the MENA Region. In Biswas, A., Rached E., Tortajada C. 2008. Water as a Human Right for the Middle East and North Africa. Routledge publishers. pp 35-58

World Bank. 2007. Factors inside and outside the water sector drive MENA‘s water outcomes. www.worldbank.org

Page 28

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UNIT VI: Stakeholder participation and conflict resolution in IWRM

Analytical tools in natural resources

management presented limitations

dealing with stakeholders’ interests

and legitimacy of decisions

Public participation constitutes a key

component of good governance

Identification of key stakeholders and

assessment of their interests will

allow all the involved to gain better

understanding of the threats and

opportunities to be faced

Stakeholder participation Traditionally, natural resources management consisted in a set of analytical tools that provided data to decision-makers in order to better allocate resources and set policies on its use and exploitation. Through the years and the gained experience, it was observed that these methodologies presented limitations and weaknesses dealing with stakeholders‘ interests and legitimacy of the decisions. As a result, the participatory approach was introduced in the natural resources management. The processes and methodologies, directed to achieve an improved public involvement, ―can contribute to the creation of a more informed policy, provide a normative justification for governance, and foster social, psychological, and political empowerment‖ as principal benefits (Steelman and Ascher, 1997). In this sense, public2 participation in policy making stretches the gap between traditional representative governance and interest group involvement. It is also argued that policy-making effectiveness can be improved when including public participation or involvement, since the legitimacy of decisions will be higher. Although the final decisions will be taken by the decision-makers, the stakeholders involved can contribute to the process with additional knowledge about the situation at stake, either from their personal experience or from expert assessments (Grimble and Chan, 1995). In the water sector, IWRM constitutes a multidisciplinary approach and therefore has to be promoted as a collaborative framework among all relevant stakeholders. The first challenge is to establish a mechanism with a clearly stated purpose in order to join together all major groups involved in IWRM: government, municipalities, water regulatory bodies, local communities, academic institutions, industries, farmers, NGOs, etc. Thorough understanding among stakeholders of the cross-sectoral nature of water problems and the need for a new development paradigm towards integrating the technical, economic,

2 In this lecture note the terms ‗public‘ and ‗stakeholder‘ will be used indifferently to mean ‗all those affected‘

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The stakeholders can be identified as

influential, collaborators or

knowledge holders

environmental, social and legal aspects of water management will be the key to ensure mutual trust and transparency. Understanding stakeholders and their interests is crucial to gain insight in existing and emerging threats and opportunities - and vice versa. The engagement of a wide range of stakeholders can also contribute to the development of participatory forms of governance, collaboration or partnership that will sustain IWRM efforts over the long term. Three main stakeholder groups can be distinguished:

1. Influential stakeholders

Those who own, directly manage, or harvest

resources, or exert strong control over large

holdings or resource stocks. These include

individual, corporate and public agency entities

and relatively homogenous groups of

stakeholders, such as associations of small-

scale farmers or fishermen who vote as a block.

Those who strongly influence the allocation,

management and use of natural resources.

Again, this may be individual entities or powerful

consortia (e.g., selected sectors of the central

government, selected officials, land

management agencies and their key

representatives, corporate heads, major political

contributors, non-profit interest groups). It is thus

important to understand the laws, regulations,

policies, political alliances and cultural norms

that create or favour centres of influence.

Those who are marginalized. These are

significant stakeholders in terms of their

dependence on, desire to gain access to, or

influence over land, water, and natural

resources, but are hindered from doing so

because of their status in society. Examples

include indigenous peoples – in MENA region

for instance Nordic tribes (Bedouins) – who lost

access to, or control over large land areas and

wish to regain it, or small-scale fishermen, who

cannot compete with the large scale fishery

industry.

2. Potential collaborators

"Collaborator" is used loosely here to include

any individual, organisation, or group that can

contribute information to the IWRM process, is

willing to participate in a consultation process,

or, at a later stage, will work with other

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Although conflict can start as a

dispute over water, there are many

other interests guiding actors’

positions

stakeholders as a coalition partner in carrying

out a specific project or programme.

Collaborators are not necessarily allies or

groups that share similar values, but they are

willing to exchange information and views on a

regular basis. An effective network of

collaborators can often help generate quick

responses to threats and opportunities. The

term "partnership" implies a closer working

relationship with groups or entities (public or

private), whose objectives are complementary to

the basin-wide targets.

3. Knowledge holders

Those with both specialised and general

knowledge about basin-specific relevant key

issues and variables: these sources can map

and explain the human infrastructure and land-

use activities in the basin and identify most

important laws, regulations, policies,

agreements and economic forces that are

governing and influencing natural resource use

and management.

Those with knowledge of resource and

biodiversity management practices in the basin.

For example, which fisheries, agriculture, forest,

or mining management practices are compatible

with the healthy biological and socio-economic

functioning of the basin.

At a basin level, a number of different tools and approaches can be used to gather information about stakeholder groups and build collaborative relationships or even partnerships. Which tools or approaches are chosen is specific to the case.

Conflict resolution In natural resources management, conflicts can be defined as a competition and potential disagreement between two or more stakeholder groups over the use of one or more resource. In the water sector the most common causes for conflict are:

state boundaries and catchment areas do not match,

increase in water scarcity,

pollution/water quality issues,

water (ab)use,

―big engineering‖ projects (dams etc.),

few or conflicting laws,

culture on water,

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Figure VI.1: Scale of potential conflict

intensity according to Le Huu Ti

access to water/distribution of water, or

Information and communication deficiencies

To solve conflicts one should take into consideration a wide range of factors such as the water distribution, the presence and position of groups representing minorities, the culture of the people involved, the economic issues, feasibility, etc. The reason behind taking all these matters into account is that although a conflict may begin as a dispute over water, the reality is that there are more interests driving stakeholders‘ positions. In this sense, to solve the problem it should be looked from a broader perspective, that means ―enlarge the pie‖. The first step in conflict resolution will be the identification of (key) stakeholders and their interests. Then the assessment and comparison of their sets of interest and examination of inherent conflicts, compatibilities and trade-offs can be performed. However, there is no ―ideal‖ methodology or a ―rigid‖ set of steps to follow in order to solve a conflict. It is recommended to use a combination of different methods, disciplines as well as to take in consideration the policy used in other Ministries or Organizations. According to Le Huu Ti conflict intensity can range from harmony to war. Figure VI.1 shows that conflict prevention methods can be used until the dispute reaches tension. If no agreement is gained, conflict resolution methods should be applied to avoid violent extremes such as war.

Conflict resolution instruments While a conflict may be difficult, it is by no means a destructive process. As it has already been pointed out, a conflict can play a positive role if we have the necessary skills to create a synergy for the well being of all contending parties. There are no specifically standarized techniques, both formal and informal, to manage conflicts, although existent techniques are based on intuition, logics & commutation arts. The most commonly known methods of conflict resolution are (CAP-NET, 2008): Litigation

Short of coercion and physical violence, the ultimate formal mechanism for conflict resolution is taking recourse to the legal system of the country. In a legal proceeding, the parties to a dispute are heard by a court of law that decides upon the case on the basis of existing laws in force in the country. In many instances this, maybe the only way to resolve a conflict, but in many other cases, it may not be the case.

Page 33

Some conflict resolution instruments

are: litigation, alternative dispute

resolution, negotiation, facilitation,

mediation, arbitration and conflict

prevention

Alternative Dispute Resolution (ADR)

To overcome the limitations of litigation, alternative dispute resolution (ADR) techniques have been developed in the West in the past century and are frequently applied in many jurisdictions successfully. ADR techniques, with their emphasis on consensus-seeking outcomes, resonate with many traditional societies. We shall have a quick review of those techniques:

Negotiation Negotiation is a process where the parties to the dispute meet to reach a mutually acceptable solution. There is no facilitation or mediation by a third party: each party represents its own interest. Large disputes over public policy are increasingly being settled using processes based on mediation and negotiation, commonly referred to as negotiated rule making or regulatory negotiation. Representatives of interested parties are invited to participate in negotiations to agree on new rules governing issues, such as industrial safety standards and environmental pollution from waste sites.

Facilitation Facilitation is a process in which an impartial individual participates in the design and conduct of problem-solving meetings to help the parties jointly diagnose, create and implement jointly owned solutions. This process is often used in situations involving multiple parties, issues and stakeholders, and where issues are unclear. Facilitators create the conditions where everybody is able to speak freely but they are not expected to volunteer their own ideas or participate actively in moving the parties towards agreement. Facilitation may be the first step in identifying a dispute resolution process.

Mediation Mediation is a process of settling conflict in which an outside party oversees the negotiation between the two disputing parties. The parties choose an acceptable mediator to guide them in designing a process and reaching an agreement on mutually acceptable solutions. The mediator tries to create a safe environment for parties to share information, address underlying problems and vent emotions. It is more formal than facilitation, and parties often share the costs of mediation. It is useful if the parties have reached an impasse.

Arbitration Arbitration is usually used as a less formal alternative to litigation. It is a process in which a

2

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In a river basin context, the creation

of a setting where stakeholders can

meet and communicate with each

other can aid to prevent conflicts

Water problems are becoming

increasingly interconnected and

complex for only one institution to

handle with them

neutral outside party or a panel meets with the parties in a dispute, hears presentations from each side and makes an award. Such a decision may be binding or not according to agreements reached between the parties prior to formal commencement of hearings. The parties choose the arbitrator through consensus and may set the rules that govern the process. Arbitration is often used in the business world and in cases where parties desire a quick solution to their problems.

Preventing conflict before conflict begins:

Consensus building /Stakeholder approach It is generally recognised among water experts that stakeholder participation is key to sustainable resource use and management. Conflict resolution techniques are generally employed once a dispute has already arisen. However, anticipating the forms of future conflict is an important element of conflict resolution itself. In the context of a river basin, where disputes arise from time to time, it is useful to give a home to these issues through the creation of a setting where stakeholders can regularly meet and communicate with each other regarding interests, needs and positions. While there are no uniform methodologies for undertaking the process, the important thing is to create an enabling environment whereby the stakeholders are able to actively participate in the policy dialogues and subsequent planning and design process.

Network management It has become increasingly evident that the water problems of a country can no longer be resolved in a traditional approach by the water professionals and/or the water ministries alone. The water problems are becoming increasingly interconnected with other development-related issues and also with social, economic, environmental, legal, and political factors at local and national levels and sometimes at regional and even international levels. Already, many of the water problems have become too large, complex, interconnected to be handled by any one single institution, irrespective of the authority and resources given to it, technical expertise and management capacity available, level of political support, and all the good intentions The ‗traditional‘ model of governmental management is characterized by:

Policies being guided by a single, governmental actor

This guidance being based on centrally defined,

Page 35

Network management emerges as an

alternative to the ‘traditional’ model

of governmental management

Network management uses

consensus building, joint problem

solving and negotiation to reach

collaborative conflict resolution

hierarchically ranked goals

The goals serve as starting point in the search for alternative solutions

Once the alternative has been chosen, emphasis turns to instrument action to attain the goals

The choice of goals is based on scientific research which provides ‗certainty‘ with respect to choice of instruments

Network management is an alternative means to address this situation. Several of its characteristics differ from those of the traditional form of government control and management. The most obvious one is that the particular policy objectives are not pursued in isolation; rather, these targets are always related to other social goals. Furthermore, there is less concern for the intended final situation. In contrast, more attention is devoted to the process that has to be set in motion in order to achieve this situation. Finally, coercion as an instrument is replaced by consultation and negotiation among public actors and between public and private actors. This is suited to a government that puts less emphasis on regulation but instead encourages civil organizations to manage their own affairs. Network management is essentially based on collaborative or joint conflict resolution. The key concepts are consensus building, joint problem solving and negotiation. The methods aim at starting a structured negotiation process among the parties involved in the dispute. The objective of the negotiation is to convert win-lose negotiations into joint problem-solving efforts. The intended outcome of the negotiations is a package deal in which each party finds his or her interests sufficiently expressed. Such network management is applicable when there is a mixed-motive situation where the actors involved are facing cooperative and confrontational challenges; when parties involved perceive a mutual dependence; they must judge themselves to be incapable of achieving their self-interest independently and each of the parties must be of the opinion that voluntary participation in the joint dialogue to solve the problem will yield more benefits than losses.

Network management characteristics: interdependence of all actors involved

utilization of such dependencies and coaxing of most relevant actors into cooperation

establishment of a new organizational framework to facilitate such cooperation

Definition of the problem as a generic issue of social

Page 36

Parties (public and private actors)

will de dependant on each other in

some aspects and independent in

others, when trying to jointly solve a

problem

development (water policy objectives are not the only focus).

Network management seeks to rectify the fragmented problem-solving capacity. Generally, many public and private actors have an interest in resolving these problems, though none are able to handle them on their own. Yet these actors do not join forces, because they often represent divergent interests and usually entertain their own definition of the problem. Furthermore, it is unlikely that the parties will be organized in a strict hierarchy; they will probably be dependent on each other in some respects and independent in others.

Crucial aspects of the design of network management: Four stages in the interaction and

communication processes: a. An initiative stage: serves to create support for

network management, to develop organizational conditions and mobilization of relevant public and private parties

b. A cognitive stage: to map the different perceptions of the problem by way of an open dialogue and then to foster a concerted effort to form a shared perspective. If consensus is achieved on the definition of the problem, then policy objectives can be further specified.

c. A productive stage: decisions must be made, while compromises on directions for solutions, on measures, on targets, and on policy measures to be implemented must be prepared in detail. The sacrifices from and benefits to the various parties will become clear. The bargaining will be cut-throat at this point.

d. A formalizing stage: where the plan is formally worked out.

Selective activation of actors The success of selectively activating a policy network depends upon an accurate assessment of the indispensable actors, the willingness of other actors to participate and the opposition of actors who were not selected. Legitimacy is an essential source of power, particularly with regard to successful implementation of a plan. Formation of a specific organizational structure Organizational forms diverge widely. The main points that should be agreed on are financing of the organization, human resources: information delivery, and the time frame for reaching agreement. Putting a time limit on negotiations prevents the various parties from dragging their feet during the decision-making

Page 37

The involvement of a mediator in the

negotiation can impose structure on

the process as a neutral third-party

who has no authoritative decision-

making power

Four angles can be considered for

assessing network management:

initial situation, course of the

process, legitimation and policy

objectives

process. Definition of the policy problem One of the main challenges is actually to reach agreement on the specification of policy objectives. Put differently, the more room for negotiation — and thus the more leeway to bring up a party's own interests — the more willing the parties will be to take part in the policy process. In contrast, setting strict policy objectives beforehand will deter the actors from taking part and thus will usually be counterproductive. Enlistment of a mediator; A mediator may perform an important function by imposing structure on the processes of negotiation among parties with different interests. Mediation is the intervention into a dispute or negotiation by an acceptable, impartial, and neutral third-party who has no authoritative decision-making power to assist disputing parties. The mediator may assume a wide variety of roles and functions to help parties resolve conflicts: opener of communications channels, legitimizer, process facilitator, trainer, resource expander, problem explorer, scapegoat and leader. The role of a mediator is thus by no means straightforward. The tasks that a mediator should perform have to be determined anew for each bargaining process. Besides, the role of a mediator can change as negotiations proceed.

Formulation of conditions for implementation. Once a policy is formulated, it will not automatically be implemented by way of all manner of technical and administrative maneuvers.

Assessing network management Network management may be assessed from different angles:

Angle of the stagnant initial situation. The judgment is then based on the added value to be derived from the process of network management as compared to the original situation.

Angle of the course of the process. The criteria include the degree of mobilization, the (rapid) progress of the bargaining process, and good prospects for an all-gain outcome (that is, consensus among the parties concerned).

Angle of legitimation. The judgment is related to the democratic level of the decision-making process and to the support for the policy among society at large.

Angle of policy objectives. A judgment in terms of goal attainment and effectiveness.

Page 38

The process of consensus building is more effective under the following conditions:

It should be demonstrated that continuation of the existing situation is not advantageous to any of the parties involved.

It should be made clear that the parties concerned are not capable of independently breaking an existing impasse or of bringing a solution to the environmental problems any closer.

A structured process of interaction and communication should be set in motion involving the public and private actors who have the most interest in the issue. The objectives should be placed in a wider developmental perspective (for a policy field or region).

The interaction and communication process should lead to a developmental perspective that the actors involved take as a package deal. In the end, each of the participants should derive more benefits on balance than they stand to lose with this package.

Potential drawbacks Network management also has some major drawbacks. First, consensus may be reached whereby each party is satisfied but the particular problem is not resolved. Furthermore, it should be borne in mind that network management is risky. Of course, some degree of uncertainty is due to objective but unknown and unpredictable occurrences and developments in the arena. But some risks are caused by the strategic behavior of actors in the policy network.

References

Biswas A.K. 2004. Integrated Water Resources Management: A reassessment. Water International 29 (2), 248-256

Cap-Net. 2008. Training material: Conflict resolution and negotiation skills for Integrated Water Resources Management. UNDP. www.cap-net.org

Glasbergen P. 1995. Managing Environmental Disputes. Kluwer Academic Publishers

Grimble, R., Chan, M. 1995. Stakeholder analysis for natural resources management in developing countries: Some guidelines for making management more participatory and effective. Natural Resources Forum. Vol. 19. N°2. pp 113-124

Steelman, T., Ascher W. 1997. Public involvement methods in natural resource policy making: Advantages, disadvantages and trade-offs. Policy Sciences. Vol. 30. Kluwer Academic Publishers. The Netherlands. pp. 71 - 90.

Page 39

UNIT VII: IWRM planning approaches

Water resources planning is a

continuous process of making

policy choices and decisions about

alternative ways of using water

resources

Figure. VII.1: Steps in decision-making

(theoretical)

Theoretical base: planning, plans, principles, policies, strategies

Planning (used here in a generic sense as including

policy formulation) is a means to improve and support

operational management.

For our purpose, planning can be described as the

public and balanced prioritization of policy choices and

of intended decision-making after an elaborate process

of analyzing possible scenarios and assessing relevant

argumentations. Water resources planning can thus be

understood as the continuous process of making policy

choices and decisions about alternative ways of using

the available water resources with the aim of achieving

particular goals at some time in the future. Plans are

publicly accessible outputs of decision-making and

intended actions and activities. They can have general

internal binding (directed to the Government) or

external binding (directed to the public), aiming at

continuous use for the time horizon given. Plans can

have either a strategic or an operational or a merely

informative character, and they may be directed to the

government, the public or both. Plans are developed

after a careful survey on the vision, targets and policy

objectives to change from the present situation to a

desired future situation in a river basin. A good plan

poses clear and viable objectives, indicates (the access

to) the necessary means of implementation (financial,

technical, legal, organizational, social), is technically

feasible, socially acceptable and politically viable

(Mostert, 1998).

A planning activity is normally part of a process of

decision-making that starts with the development of a

vision, followed by the formulation of policy principles,

policies and strategies. The theoretical process is

displayed in Figure VII.1.

A vision is a projection of a new, desirable situation for

the future after a process of identification, description

and analysis of relevant issues and/or problems.

Policies can be understood as the comprehensive

Page 40

The character of the process of plan

development can be final output

planning or process planning.

formulation and formalization of principles, objectives,

targets and aims to reach specific goals at a defined

time frame or moment in the future.

Strategies are the subsequent sets of measures

needed to implement policies. They often include

various different scenarios for problem resolution.

Principles are general, widely approved and socially

accepted guidelines on how to behave in the future. So

they are generally applied and repeatedly handle the

same cases in a similar way. Principles can give

direction to planning, but also to decision-making in

general at all relevant administrative levels.

The iterative process depicted in Figure VII.1 should be

considered as conducted in a holistic manner with full

utilization of relevant platforms for stakeholder

participation. The character of the process of plan

development can be twofold: final output planning or

process planning. The first approach goes directly to a

known desired situation having the means for

implementation already at hand. This approach can

only be used for short term planning, often related to

operations or immediate developments. In process

planning, the ultimate goal is not formulated or not

known and the process and procedures of planning are

as important as the objectives or even constitute

objectives themselves. This planning concept is more

dynamic, long term oriented and gives room for public

participation. When circumstances or insights change,

the planning process should enable and facilitate

changes.

A specific approach is the so called ‗open planning

process‘ (Mostert, 1998). The responsible authority is

during all stages of plan development in contact with

other relevant authorities and the organized

stakeholders. The keywords in this process are

weighing and valuating interests. The approach is

based upon the concept that implementation and

enforcement of planning hinges on the local ownership

of the planning process by the relevant stakeholders

and actors.

River basin management plans

One of the targeted key-outputs of a system of

integrated river basin management is the production of

river basin management plans in which the aspects of

Page 41

River basin plans are one of the

main outcomes of integrated river

basin management

implementation.

water quantity, water quality and environmental

integrity are maximally integrated (horizontal co-

ordination).

An integrated planning process can support a system of integrated river basin management in various ways:

planning helps to assess the present and the

targeted situation in the basin and to develop a

comprehensive set of measures to reach the

targeted situation (Hofwegen and Jaspers,

1999);

planning delivers an opportunity to streamline

the participation process. It should increase the

transparency of the decision-making;

the production of plans urges the responsible

actors of decisions to participate in a process of

horizontal and vertical co-ordination.

River basin plans should contain a full consideration of the interests involved. It should be established according to procedures that enable full stakeholder participation in terms of decision-making. The river basin plan is to be composed of lower level sub-basin, catchment or watershed plans, if the scale of the river basin makes them necessary (vertical co-ordination). This is easier said than done! First of all, planning is not a uniform single level process. Plans can have a strategic or operational character. Sometimes the only objective is communication, sometimes far-going decision-making is involved. Plans may address government institutions or citizens or both. Plans may focus on very different time horizons. And then, of course, they may differ substantially in subject. Crucial is that the management of water quantity, water quality and environmental integrity is linked up as far as strategic (policy) planning is concerned. For the sake of uniformity and administrative simplicity, it is advisable to reduce the number of plans. All these aspects should not necessarily be covered in one plan. The system of (national) environmental planning in The Netherlands, for example, is linked up with the system of water resources planning. The separate plans allocate guidelines or tasks to one another and each plan indicates on how the issues earmarked by the other plan are dealt with. Every four years, the plans are revised in alternating sequence.

Shared vision development The articulation of a shared vision is a precondition for any process of policy and strategy development for

Page 42

A shared vision is expressed by

national decision-makers in

agreement with the interests of the

(relevant) stakeholders

Figure VII.2: Crucial steps in shared

vision development process

effective and efficient water resources management. The shared vision on the common and sustainable utilisation of the resources of the international river basin is expressed by the respective and applicable national decision-makers in line with the interests of the (relevant) stakeholders. What is a shared vision? A shared vision:

projects a new desirable future situation;

involves an identification, description and

analysis of issues and problems;

gives guidance to policy and strategy

formulation and aims at implementation;

is expressed through a platform of relevant

decision-makers; and

is underpinned by a confidence and capacity

building process.

Any process of shared vision development will be preceded by a stage in which partners are invited to express their interests and to establish a platform to identify challenges, opportunities, bottlenecks and to formulate the required policies, strategies and approaches (Figure VII.2). The platform should have decision-making authority, and it should reflect the interests of the various groups of stakeholders in the administrative regions or riparian states in case of international rivers catchments. Preferably, a mechanism is created to reflect the interests of the stakeholders directly. To constitute such a platform with a balanced political representation is probably the most difficult stage. Precondition for a group of states to be willing to establish a platform is the perception of a clear self-interest, the acknowledgement of a common problem or common opportunity. Full representation of riparian states is of prime importance. The absence of vital (upstream) partners in the platform might heavily jeopardise the process of developing an effective shared vision. The Mekong River Commission (1995), as was its predecessor, the Mekong Committee (1957), is hampered by the fact that the upstream states of China and Myanmar are not a member of the platform. These upstream states never saw the need to boost co-operation potential through this platform (Mekong Commission, 1999). The process of the water ministers of the Nile riparian countries to agree to come together and to discuss important issues was probably the most difficult stage in the process of the establishment of a Nile Basin Initiative (Nile Basin Initiative, 2000). Sometimes a disaster, like a drought or a flood, and the subsequent

Conflict resolution

Communication improvement

Platform creation

Institutional arrangements

Legal framework

Shared vision process

CA

PA

CIT

Y B

UIL

DIN

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NF

IDE

NC

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Commitment, values and

principles should be formulated in

a participatory manner

building up of international pressure can be an extra incentive or trigger to opt for co-operation potential rather than for potential conflict. The establishment of the International Rhine Commission and the enlargement of its mandate took place after a series of serious environmental disasters (Mostert, 1998), which influenced the public opinion and initiated cooperation. Existing and not resolved water disputes may heavily jeopardise the process of establishing and developing a shared vision.

The process of formulating a shared vision, based upon identification of opportunities, challenges and bottlenecks, might de facto contribute to the peacefully settling or avoidance of water disputes, although it is primarily not designed for that purpose. It is rather designed for fostering co-operation potential and capitalising on that.

Commitment, values and principles In addition to a central body and clarity about the role it plays, there must also be clear commitment of the entire basin community (rural and regional communities, landholders and managers, indigenous people, industries, businesses, special interest groups and individuals, local governments, etc.). A jointly formulated statement of commitment to the implications for the behaviour of the community could be a way to ensure buy-in, whilst at the same time it will require parties to be aware of the IWRM initiative and what it entails. Also among the most complex issues surrounding IWRM are joint agreements of shared values and principles. They set the "rules of the game" to which partners are expected to adhere. Again, these values and principles should be formulated in a participatory manner and not be enforced top-down.

Examples of shared values

Courage: to take difficult decisions and courage to

experiment with innovative, new approaches.

Inclusiveness: building relationships based on trust

and sharing, considering the needs of future

generations, and working together in a true

partnership. Ensuring the participation of all

partners and ensuring that all partners have the

capacity to be fully engaged.

Commitment: to be decisive and take the long-

term view, aiming for stability in decision-making.

Commitment to take a Basin approach.

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Respect and honesty: respecting each other's

views and the reality of each other's situation. Act

with integrity, openness and honesty, be fair and

credible and share knowledge and information.

Flexibility: willingness to accept reforms where is

needed and make changes to continuously

improve actions.

Mutual Obligation: sharing responsibility and

accountability and act responsibly with fairness

and justice. Supporting each other through

necessary change.

Generally accepted principles guiding IWRM

internationally are the Dublin principles. These

principles were agreed upon at the Conference on

Water and Environment in Dublin in 1992 and are:

1. As fresh water sustains life, development and the

environment, a holistic approach to water

management is needed, linking social and

economic development with the protection of

natural ecosystems.

2. Water management should be based on a

participatory approach.

3. Women take a central role in the provision and

management of water.

4. Water should be considered an economic good,

but people should have access to clean water and

sanitation at an affordable price.

The responsibility for the planning process itself inevitably rests with the authorities, whether they are national agencies, regional authorities, or river basin organizations. It is important that the responsible authorities design a planning process that allows for involvement and contribution from all affected parties, including the private sector, community groups and disadvantaged stakeholders.

References

Hofwegen van P., Jaspers F.G.W., 1999. Analytical Framework for Integrated Water Resources Management, IHE Monograph 2, Inter-American Development Bank, Balkema, Rotterdam.

Mostert, E., 1998. The Allocation of Tasks and Competencies in Dutch Water Management: Discussions, Developments and Present State, RBA Series on River Basin Administration, Research Report No 7, RBA Centre, Delft.

Mekong Commission, 1999 www.mrcmekong.org

Nile Basin Initiative, 2000 www.nilebasin.org

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UNIT VIII: Institutional and organizational arrangements for IWRM

Development of organizations,

institutional environment creation

and human resources development

are elements of the Institutional

Framework for IWRM

Decentralization is the process of

transferring tasks and

competencies from the centre of

authority to other departments,

agencies or administrative levels

Elements of institutional framework ‗Institutional framework‘ is a broad term and consists of the following elements: development of organizations, creation of institutional environment and human resources development.

Development of organizations

First of all, some form of organisation is needed to

enable management and planning. Various types of

organizations are possible, very much dependant on

the local situation. Participation of stakeholders in

decision-making is a key element.

Institutional environment creation A second element is the creation of an institutional environment that consists of legal and institutional frameworks, such as appropriate policies, legal frameworks and mandates and definitions of the interrelationships at different levels, as well as procedures and working rules mainly at the operational level.

Human resources development Human resources are a key to the previous two elements. Staff development, e.g. through training and education of staff, but also the establishment of managerial systems, are examples of this. In this unit on institutional aspects of IWRM, some of the cross-cutting issues will be addressed: decentralisation, stakeholder participation, forms of river basin organisation and capacity building.

Decentralisation Within the context of integrated water resources management, one is dealing with government functions. Public administration covers tasks and competencies. The term decentralisation entails the process of transferring tasks and competencies durably or for an indicated period of time, but not incidentally, from the centre of authority to other departments, agencies or administrative levels in order to organise or implement a government function. The purposes of decentralisation can be manifold. A driving force for decentralisation is to

Page 46

Decentralized entities can

contribute to IWRM with more

specific local information and

closer contact with the population

The three types of models for water

resources management at a basin

level are: hydrological,

administrative and coordinated

guarantee the effectiveness and efficiency of its measures. Another driving force for decentralisation is the creation of transparency and the stimulation of public accountability through participation and appeal procedures. A modern idea behind decentralisation of government functions is to put decision-making in the hands of people who are well informed, who are accessible for interested parties and are capable of making fundamental decisions in a timely manner. Further, for reasons of accessibility, decision-making is supposed to take place at a level as close as possible to the end-users. There are various ways to arrange decentralisation within public administration and from public administration to semi-public or private organizations. In case of integrated water resources management, the figure of functional decentralisation is often applied. Decentralisation is not general, but aims at specific functions of administration, in this case the tasks and competencies related to the function of water resources management. Decentralisation is not possible for tasks such as establishing the institutional structure and formulating policies that apply to a country as a whole. However, decentralised governments should be involved because of their superior information on local conditions and because of their - usually - closer contacts with the population. Decentralisation may also not be possible if the decentralised governments lack necessary managerial capacities. Solutions for this problem could include local capacity building and advisory services by specialised central governments. Other solutions for the shortcomings of large bureaucracies are privatisation and the involvement of local institutions for managing river basins.

Different forms of river basin organizations

Roughly speaking, three different models exist for IWRM (Mostert, 1998a); the hydrological model, the administrative model and the coordinated model. In the hydrological model, the organisational structure for water management is based on hydrological boundaries. In its extreme form, all water management is in the hands of a single entity: the ―river basin authority‖. The administrative model is in many respects the opposite of the hydrological model. In this model, water management is the responsibility of provinces, municipalities and other bodies not based on

Page 47

A clear set of standards and

regulations should determine the

aspects of representation and

distribution of tasks

hydrological boundaries. The coordinated model falls somewhere between the hydrological and the administrative model. In this model, water management is not conducted by river basin authorities, but there are river basin commissions with a coordinating task. Tasks and competencies of the river basin organizations may differ substantially from country to country. A ―common denominating‖ task distribution is difficult to give, because it highly depends on scale, physical, social and other characteristics. One could say that the river basin authority concentrates on collective choice functions and the sub-basin authorities/water users associations on operational functions (cf. Ostrom, 1990). It is crucial to arrange aspects of representation and task distribution in a clear set of regulations or standard by-laws that can be modified by the users. Apart from rules for representation and functioning, by-laws should also cover aspects of water resources planning; allocation and registration of water rights; tariff structures and fee collection; fund development and application; monitoring arrangements; penalties and sanctioning; conflict resolution and appeal procedures. Is there one ideal type of river basin organizations? No, this is not the case, as river basins show many differences, such as (Hooper, 2006):

Differences in the physical features, levels of

economic development, institutional

arrangements and natural resources

management in basin settings.

Differences in priorities, like pollution,

sediment build-up in rivers, degradation of

wetlands, access to water for drinking and

growing food, eradicating poverty, stopping

groundwater overexploitation.

Differences in the stage of organizational

development, capacity of organizations and

management style.

Different basin scenarios with different

degrees of political and legal complexity

(Millington, Olson and McMillan, 2005):

- basins with strong central governments (top-

down, directive);

- basins within federal nations with strong state

governments (transboundary);

Page 48

Social consensus on institutional

arrangements is crucial

Sufficient human resources and

institutional capacity are vital at

the moment of IWRM

implementation

- basins shared by nations (international

transboundary waters).

As there is no ideal type of river basin organizations,

what are key ingredients for successful river basin

management? Burton (2001) listed the following key

ingredients:

Political will

Knowledge / capacity

Sustainable technologies

Institutional arrangements

Building on existing expertise

Community involvement

Economic prosperity

Right timing

The need for capacity building In many countries, the need for integrated river basin management is widely accepted. Most countries have water policies and strategies in place or underway aiming at the implementation of integrated river basin management. Interpretations on how to implement may differ here and there on details, but there seems to be consensus on the main stream of key-aspects. The provision of legal frameworks is generally lagging behind as the law is always a conservative and slow reaction on changes in society. Crucial is the social consensus on institutional arrangements for implementation and the development thereof hinges heavily on institutional capacities. With regard to this, the picture in developing countries can still be improved. The capacity to implement the necessary institutional arrangements is very variable and hence the stage of implementation in developing countries may differ substantially. For developing countries, it is furthermore very important to have access to initial funds to kick-start the process of implementation. Systems of cost recovery, crucial tools in integrated river basin management, can only be successfully implemented when acceptable service levels are established and effective administrative arrangements are in place. Investments have to be done and not all countries can afford that. Most importantly, a major requirement for implementation is the presence of sufficient human and institutional capacity at the right time and at the

Page 49

right place. The development of human capacity is a long-term effort, complex in nature and resource demanding. It is not enough to train experts in the relevant technical disciplines only. There is also a need to train and foster experts in integration. The development of institutional capacity is even more complex. At a certain moment in time, a sufficient (threshold) level of relevant technical, organisational, administrative, social and financial capacity has to be available to kick-start and sustain the process of integrated river basin management (cf. Abrams, 1996). The aggregated sectors should be able to perform adequately, at present and in the future. In this field there is still a long way to go. To provide policies, strategies, legal and institutional arrangements, financial and economic instruments and relevant human and institutional capacities at the right time and at the right place and synchronised at (inter) national, regional and river basin level, is a task that can only be covered by the aggregated international community.

References

Abrams L. 1996. Capacity Building for Water Supply and Sanitation Development at the Local Level: The Threshold Concept, in Proceedings of the Second UN Symposium on Water Sector Capacity Building in Delft 1996, Water Sector Capacity Building: Concepts and Instruments (eds. Alaerts G.J, Hartvelt, F.J.A., Patorni F.M.), p. 301-311, Balkema, Rotterdam.

Burton, J. 2001. Integrated River Basin Management; a reminder of some basic concepts in: Proceedings of the International Workshop on River Basin Management, Delft, 2001, UNESCO-IHP, Paris

Hooper B. P. 2006. Key Performance Indicators of River Basin Organizations, Department of Geography and Environmental Resources Southern Illinois University. Carbondale. Draft submitted for publication as a Technical Note, Institute of Water Resources, US Army Corps of Engineers, Virginia. February 20, 2006

Millington, P., D. Olson, S. McMillan. 2005. Integrated river basin management – from concepts to good practice, briefing notes. World Bank. Washington DC.

Mostert, E. 1998. The Allocation of Tasks and Competencies in Dutch Water Management: Discussions, Developments and Present State, RBA Series on River Basin Administration, Research Report No 7, RBA Centre, Delft

Ostrom, E. 1990. Governing the Commons; the Evolution of Institutions for Collective Action, Cambridge University Press, Cambridge.

Page 50

Page 51

UNIT IX: Policy instruments

Economical instruments focus

primarily on physical regulations

and have the objective to adjust the

economic market

Environmental policy and environmental economics Mainstream environmental economics is based on the concept of internalizing externalities within the neo-classical economic framework. The instruments developed have the objective to adjust the economic market according to the Pigovian tradition through, e.g., charges or taxes on activities that pollute the environment or deplete natural resources (examples of some economic regulation tools are shown in Table IX.1. According to Dietz and van der Straaten (1992) such economic instruments are largely neglected in environmental policies, which focus primarily on physical regulations (like standards and requirements) to reduce environmental degradation.

Table IX.1: Examples of economic tools developed to

adjust the failure of the market to internalize

externalities.

2 Companies receive a certain quantitative right to pollute. Such pollutions

rights can then be bought and sold on artificial markets. A company that is very efficient at achieving production procedures below the pollution quota can trade the exceeding pollution right to companies with inefficient pollution abatement.

Figure IX.1 shows the basic relationship between economic tools and policies in managing environmental issues in the landscape, and the factors that influence the chosen mode of environmental management. The starting point is the landscape or the ecosystem, and the knowledge of the dynamics and functioning of the system(s). Internalization of externalities by estimating the costs and benefits of avoiding a certain environmental damage, and converting that into a cost (in case of negative externality) or benefit (in case of positive externality) is a prerequisite for economic instruments.

Page 52

The entry point of environmental

policy making is the understanding

of the biophysical cycles

Figure IX.1: Basic relationship between economic tools

and policies in managing environmental issues in the

landscape (Dietz and van der Straaten, 1992) Environmental policies on the other hand are rarely derived from the preferences (in monetary terms) of individuals according to the requirements of economic theory (Dietz and van der Straaten, 1992). Instead environmental policies are developed directly based on information about the physical environmental problem. These physical policy goals are formulated in terms of rates of emission reductions, standards for emissions and discharges, requirements regarding production and processes. However, the actual strength of the management instrument -be it derived from economic cost/benefit analysis or from a policy making process - will be influenced strongly by driving forces in society. The fundamental social driver is the perceptions of a community generally executed in form of social pressure via various forms of institutional interest groups. On top of this social "grassroot" pressure is added the often very strong vested economic interests from, e.g., large private companies. Such vested interests often affect environmental policy making very significantly, and are a result of the power imbalances found in a society. Finally, the instrument (standard, incentive, charge, tax etc.) that lands in the reality of the manager involved in environmental management at the landscape level, is a compromise between what nature really needs (based on information derived from the ecological system) and what society is prepared to offer nature (based on the social pressures and the vested economic interests from large powerful institutions). The entry point for environmental policy making is the

Page 53

A change on behaviour of the target

group can be achieved by the

implementation of policy

instruments

understanding of the biophysical cycles in nature and landscape. These biocycles of energy, nutrients, organics, air and water should be carefully surveyed and monitored in order to enable useful environmental policies.

Approaches to environmental management and economic instruments A central part of a policy making approach is the initiation of a process of behavior change of the target group of a policy. The actions or instruments available to policy makers to achieve behavior changes can be described as follows (INECE, 1992): 1. Voluntary Approaches

Voluntary approaches encourage or assist, but do not require change. Voluntary approaches include public education, technical assistance, and the promotion of environmental leadership by industry and nongovernmental organizations. Voluntary approaches may also include some management of natural resources (e.g., lakes, natural areas, ground water) to maintain environmental quality.

2. Command-and-control In command-and-control approaches, the government prescribes the desired changes through detailed requirements and then promotes and enforces compliance with these requirements.

3. Market-based/Economic incentive approaches Market-based/economic incentive approaches use market forces to achieve desired behaviour changes. These approaches can be independent of or build upon and supplement command-and-control approaches. For example, introducing market forces into a command-and-control approach can encourage greater pollution prevention and more economic solutions to problems. Market-based/economic incentive approaches include:

Fee systems, which tax emissions, effluents, and other environmental releases.

Tradeable permits, which allow companies to trade, permitted emission rights with other companies (e.g. carbon trades).

Offset approaches. These approaches allow a facility to propose various approaches to meeting an environmental goal. For example, a facility may be allowed to emit greater quantities of a substance from one of its operations if the facility offsets this increase by reducing emissions at another of its operations.

Page 54

Auctions. In this approach, the government auctions limited rights to produce or release certain environmental pollutants.

Environmental labelling/public disclosure. In this approach, manufacturers are required to label products so that consumers can be aware of the environmental impacts of the products. Consumers can then choose which products to purchase based on the products' environmental performance.

4. Risk-based approaches Risk-based approaches establish priorities for change based on the potential for reducing the risks posed to public health and/or the environment. They provide dynamic systems or mechanisms for identifying high-risk areas, quantifying them, comparing them, selecting focus areas and then managing them on a continuing basis (Sparrow, 2000).

5. Pollution prevention The goal of pollution prevention approaches is to prevent pollution by reducing or eliminating generation of pollution at the source. The changes needed to prevent pollution can be required, e.g., as part of a command-and-control approach, or encouraged as voluntary actions.

6. Liability Some environmental management approaches are based on laws that make individuals or businesses liable for the results of certain actions or for damages they cause to another individual or business or to their property. Examples of liability-based environmental management systems include nuisance laws, laws requiring compensation for victims of environmental damage, and laws requiring correction of environmental problems caused by improper disposal of hazardous waste. Liability systems reduce or prevent pollution only to the extent that individuals or facilities fear the consequences of potential legal action against them.

All regulatory approaches to environmental management will benefit if the underlying requirements are enforceable — that is, clear and practical.

Page 55

EXAMPLES OF ENVIRONMENTAL REQUIREMENTS (INECE, 1992)

Ambient Standards

Ambient standards (also called media quality standards) are goals for the quality of the ambient

environment (e.g., air, water). Ambient standards are usually written in units of concentration (e.g., the

level of nitrogen dioxide in the air cannot exceed 0.053 parts per million). In the U.S., ambient standards are

used as environmental quality goals and to plan the level of emissions from individual sources that can be

accommodated while still meeting the area wide goal. Ambient standards may also be as triggers, e.g.,

when the standard is exceeded, monitoring or enforcement efforts are increased. Enforcement of ambient

standards usually requires relating an ambient measurement to emissions or activities at a specific facility.

This can be difficult.

Performance Standards (Emissions and Effluents)

These standards are widely used for regulations, permits, and monitoring requirements. Performance

standards limit the amount or rate of particular chemicals or discharges that a facility can release into the

environment in a given period of time. Performance standards provide flexibility because they allow

sources to choose which technologies they will use to meet the standards. Often such standards are based

on the output that can be achieved using the best available control technology. Some requirements

introduce additional flexibility by allowing a source with multiple emissions to vary its emissions from

each stack as long as the total sum of the emissions does not exceed the permitted total. Compliance with

emission standards is measured by sampling and monitoring. Depending on the kind of instruments

required, compliance can be difficult and/or expensive to monitor.

Technology Standards

These standards require the regulated community to use a particular type of technology (e.g., the "best

available technology") to control and/or monitor emissions. Technology standards are particularly

appropriate when the equipment is known to perform well under the range of conditions generally

experienced by sources in the community. It is relatively

easy for inspectors to determine whether sources are in compliance with technology standards: the

approved equipment must be in place and operating properly. It may be difficult, however, to ensure that

the equipment is operating properly over a long period of time. Technology standards can inhibit

technological innovation and pollution prevention.

Practice Standards

These standards require or prohibit certain work activities that have significant environmental impacts. For

example, a standard might prohibit carrying hazardous liquids in uncovered buckets. Like technology

standards, it is easy for program officials to inspect for compliance and take action against non-complying

sources, but difficult to ensure ongoing compliance.

Information Requirements

These requirements are different from the standards described above in that they require a source of

potential pollution (e.g., a pesticide manufacturer or facilities involved in generating, transporting, storing,

treating, and disposing of hazardous waste) to develop and submit information to the government. Sources

generating pollution may be required to monitor, report on, and maintain records of the level of pollution

generated and whether or not it exceeds performance standards. Information requirements are often used

when the potential pollution source is a product such as a new chemical or pesticide, rather than a waste.

For example, a manufacturer may be required to test and report on a product's potential to cause harm if

released into the environment.

Product or Use Bans

A ban may prohibit a product outright (e.g., ban the manufacture, sale, and/or use of a product) or may

prohibit particular uses of a product.

Page 56

Legal framework for implementing environmental policy (INECE, 1992):

Laws provide the vision, scope, and authority for environmental protection and restoration. In some

countries, laws also encompass the types of general requirements described by other countries in

regulations (see below).

Regulations establish (in greater detail than can be specified by law) general requirements that must be

met by the regulated community, e.g., how harmful substances should be tested, registered, handled,

monitored, emitted, discharged, and/or disposed of. These requirements generally apply at a national,

state, or regional level (depending on the scope specified in the law). Some regulations are directly

enforced. Others provide the criteria and procedures for developing facility-specific requirements via

permits and licenses that provide the basis for enforcement. Some countries do not include the step of

developing regulations but rely solely on facility-specific permits or licenses to implement their laws.

Permits usually control activities related to construction or operation of facilities that generate pollutants.

The requirements in permits are often based on specific criteria established in laws, regulations, and/or

guidance.

General permits specify exactly what a class of facilities (e.g., gasoline stations) is required to do.

General permits and licenses are used when it is impractical and/or unnecessary to issue a specific

permit for each facility (e.g., when there are numerous small facilities that have very similar

operations).

Facility-specific permits specify exactly what a particular facility is required to do. Permits often take

into account the particular conditions at the specific facility.

Licenses are similar to permits. Licenses are permits to manufacture, test, sell, and/or distribute a product,

such as a pesticide, that may pose an environmental or public health risk if improperly used. Licenses may

be general or facility-specific.

Guidance and Policies. Often government regulators must interpret requirements, even those that have

been carefully drafted, because not all applications can be anticipated. Written guidance and policies for

interpreting and implementing requirements help ensure consistency and fairness as the requirements are

applied in practice. Guidance and policies are also useful in situations where regulation is achieved solely

by facility-specific permits or licenses (either because the regulatory system does not include more general

requirements or because it is impractical to issue general requirements, e.g., due to wide variability in the

regulated community). In this case, guidance and policies for creating requirements will help ensure

consistency and fairness.

References

Dietz, F., J. Van der Straaten. 1992. Rethinking environmental economics: Missing links between economic theory and environmental policy. Journal of Economic Issues 26 (1), 27-43.

INECE International Network for Environmental Compliance and Enforcement. 1992. www.inece.org

Sparrow, M. 2000. The regulatory craft. Controlling risks, solving problems, and managing compliance. Brookings Institution Press. Washington DC. 346 pp.

Page 57

UNIT X: Transboundary Water Management

While water flows downstream,

claims to water flow in the

opposite direction!

Figure X.1: Asymmetries in a River

Basin

Upstream - downstream linkages

Water flows create a fundamental asymmetry Water naturally flows only in one direction – downhill – thereby creating a fundamental asymmetry between different users within one watershed or catchment. Claims-to-water flow opposite of water itself As water flows downhill to the user, the water user looks expectantly in the upstream direction. So whereas water flows downhill, claims for water, and water entitlements flow in the upstream direction, towards the source of water. Whereas hydrology is mainly concerned with understanding the process of water generation, water resources management is concerned with balancing water use and water demand with water availability. Water resources models therefore always model flows in two directions: water flows in the one direction and water demands in the opposite direction.

Dealing with asymmetries Downstream users of ―blue‖ water rely on soil and water managers upstream, who influence the manner in which rainfall is converted into blue and green water (e.g. through crop husbandry, soil management etc.) and use all the green water for biomass production and part of the blue water for other purposes. In doing so, they, largely unilaterally, determine the availability of blue water to downstream users. In many situations, the physical link that connects the downstream user with the upstream user (through gravity flow) is not reciprocated by an institutional link. For example, if it is true that through diligent soil husbandry more rainfall water infiltrates to the saturated zone, becomes groundwater and will appear as (valuable) base-flow in the river downstream, why cannot those who helped to generate this water be considered

seasea

Page 58

Upstream users significantly

influence water availability

downstream. A reciprocal

institutional link, to balance the

physical link caused by gravity,

can create incentives for

maximization of collective gains

The reasonable and equitable

allocation of water, without

causing significant harm will

always imply that upstream

countries will have to forego some

of the potential water benefits.

the owner of it; and those who want to use it lease it from them? If this is done, an institutional link reciprocates the physical water link, and upstream users receive an incentive to good soil conservation and husbandry. The most difficult part is to attribute certain soil management activities to specific quantities of blue water generated. The sharing of international waters between riparian countries is, in principle, not different from the above situation; especially if such waters are shared between upstream and downstream countries. Water use in the downstream country does not affect water availability in the upstream country, but consumptive water use upstream does impact water availability in the downstream country. Countries will tend to achieve the highest individual benefits in negotiating shared water resources. International rules have put limits to the manner in which countries may utilize the international water resources occurring within their territories. Because of the asymmetrical situation in river basins, the reasonable and equitable allocation of water without causing significant harm, as prescribed by the 1997 UN Convention on the Law of the Non-Navigational Uses of International Watercourses, will always imply that upstream countries will have to forego some of the potential water benefits. A key question is whether upstream countries are willing to indeed accept this. If the negotiations would focus on formulating the strategy for the entire basin that achieves the highest total benefits, then countries that agree to forego certain developments for the benefit of other countries can be compensated by them.

Article 6 of the UN Convention: Factors relevant to equitable and reasonable utilization (UN, 1997)

1. Utilization of an international watercourse in an equitable and reasonable manner within the

meaning of article 5 requires taking into account all relevant factors and circumstances, including:

(a) Geographic, hydrographic, hydrological, climatic, ecological and other factors of a natural

character;

(b) The social and economic needs of the watercourse States concerned;

(c) The population dependent on the watercourse in each watercourse State;

(d) The effects of the use or uses of the watercourses in one watercourse State on other

watercourse States;

(e) Existing and potential uses of the watercourse;

(f) Conservation, protection, development and economy of use of the water resources of the

Page 59

watercourse and the costs of measures taken to that effect;

(g) The availability of alternatives, of comparable value, to a particular planned or existing use.

2. In the application of article 5 or paragraph 1 of this article, watercourse States concerned shall,

when the need arises, enter into consultations in a spirit of cooperation. The weight to be given to

each factor is to be determined by its importance in comparison with that of other relevant factors.

In determining what is a reasonable and equitable use, all relevant factors are to be considered

together and a conclusion reached on the basis of the whole.

River basins do not respect

administrative boundaries

Complexity of river systems makes

it difficult to recognize upstream-

downstream interactions

Groundwater and soil moisture

are important but often ignored

components of the water cycle

Resolving the ‘Sovereignty

Dilemma’ is critical to the success

of transboundary cooperation

Managing international waters River basins do not respect village, district, provincial, and national boundaries. Too often, we have attempted to fit the water into these administrative and institutional boundaries, rather than to design institutions that fit the (physical and spatial characteristics of the) resource. As a consequence, there often is an administrative/institutional void when dealing with the management of water resources. This is especially true at the trans-national level. Perhaps the biggest problem in sharing an international water resources system is its sheer scale and the complexity of system interactions over large distances (upstream and downstream). For instance, it is difficult to see, let alone quantify, the consequences of upstream land use changes on downstream flood levels. This complexity may result in unforeseen negative consequences of human interventions, which are difficult to correct and may give rise to tensions between riparian populations and countries sharing the basin. Further, management of water resources has generally concentrated on surface water, while insufficient attention has been given to groundwater and ‗green‘ water (soil moisture). Sometimes, within the same international river basin, national priorities might differ; thus nations may develop diverging and incompatible policies and plans. This is called the sovereignty dilemma and one of the biggest challenges in sharing international rivers is to identify development strategies whereby all riparian communities enjoy an equitable allocation of costs and benefits.

Some emerging principles The following general principles have emerged for the management of international water resources: Sovereignty Principle: Each nation has the right

Page 60

to develop its own policies, laws and institutions and its own strategies for natural resources development and utilization

Equity Principle: All people have basic rights of access to resources for their survival and development; no groups in society should be put at a disadvantage in this respect

Intergenerational Equity Principle: Future generations should not be deprived from access to an adequate resource base

Precautionary Principle: Governments are obliged to protect citizens against risks and from disasters, even if such risks have not yet been established by scientific proof

Transboundary Principle: Upstream water users have a responsibility towards downstream water users, and vice-versa; this principle is in a sense the extension of the equity and precautionary principles across national borders

Water-as-an-economic-good Principle: Users should pay the economic value of the water used, provided that the price of water is affordable and that this principle does not conflict with the equity principle

Polluter-pays Principle: Any who inflicts damage on the natural resources system should pay for the damage

Benefits of trans-boundary

cooperation can be ecological,

economic, political and catalytic

Benefit sharing in international rivers A river can be seen as the ecological river, the economic river, the political river and the catalytic river (Sadoff and Grey, 2002). In accordance with these four perspectives, a river can generate four types of benefits, provided its riparians cooperate: Benefits to the river (Ecosystem): Cooperation

between riparian countries allows better management of ecosystems, which will provide benefits to the river, underpinning all other benefits that can be derived.

Benefits from the river (Economic): Efficient, cooperative management and development of transboundary rivers can yield real and direct benefits, for example increased food production and energy generation.

Reduction of costs because of the river (Political): There will always exist some tensions between riparian countries and those tensions will generate costs. Cooperation on transboundary river basin management will reduce those tensions and costs.

Benefits beyond the river (Catalytic):

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Figure VII.2: Public Participation

Cooperation on rivers may strengthen the cooperation and trade between riparian states and even economic integration, which may catalyze benefits beyond just the river / water context.

Integrated management of shared basins Savenije and Van der Zaag (2000) identify three critical elements of any management strategy for international river basins: 1. Integrated Demand and Supply

Management The dwindling water yields from our river basins, coupled with a continued increase in the demand for water, call for urgent, systematic, sustained and concerted actions at the basin scale. These actions should focus on reducing the water losses at the basin level; improving the efficiency of rainfall use; and developing a mix of institutional, educational, economic and legal measures to reduce water demand.

2. Public Participation An institutional strategy should contain appropriate institutional arrangements for sharing international water both at the national level and at the river basin level. Integrated management of water resources requires strengthening capacities at the highest and lowest levels within a basin. This insight calls for commitment at the highest political levels, as well as for the active participation of stakeholders and the general public in the process of international river basin management. The participation of stakeholders will assist in elaborating solutions that are sustainable and equitable, and may help to make national laws compatible with traditional norms and customs found at the local level. In this respect, two major challenges exist: [a] improve and strengthen two-way communication between state and user levels within country, by means of effective river basin organizations; and [b] harmonise platforms of representation of user interests across borders, and foster linkages between river basin organizations across national borders. Strengthening these vertical and horizontal linkages will deepen, and give a more practical meaning to, the existing bilateral and multilateral agreements between States.

3. Exploiting Interdependencies Interdependencies can then be made visible and quantified, both in technical and socio-economic

river basin

sub catchments

within the catchment

catchments

within the basin

water user boards

within the sub-catchment

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terms. The dissemination of this knowledge and the creation of awareness among water users, politicians and the public at large, should lead to the realisation that it is in everybody's interest to share the resources in a sustainable manner.

References

Sadoff, C.W., Grey, D., 2002. Beyond the river: the benefits of cooperation on international rivers. Water Policy 4: 389-403.

Van der Zaag, P., Jaspers, F. and Gupta, J. 2007. Legislation of international waters. Selected chapters from Lecture Notes. UNESCO-IHE, Delft.

PWCMT. nd. List of Publications on website of the Program in Water Conflict Management and Transformation. http://www.transboundarywaters.orst.edu/publications/index.html

Savenije, H.H.G. and Van der Zaag, P. 2000. Conceptual framework for the management of shared river basins, with special reference to the SADC and EU. Water Policy, 2 (1-2), pp.9-45.

UN, 1997, Convention on the Law of the Non-Navigational Uses of International Watercourses. Adopted by the United Nationals General Assembly in resolution 51/229 of 21 May 1997. New York, United Nations

Van der Zaag, P. and Savenije, H.H.G. 2000. Towards improved management of shared river basins: lessons from the Maseru conference. Water Policy, 2 (1-2), pp.47-63.

Van der Zaag, P., Seyam, I.M. and Savenije, H.H.G. 2002. Towards measurable criteria for the equitable sharing of international water resources. Water Policy, 4 (1), pp.19-32.

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UNIT XI: Project Management

Projects are means of

organizing unique and

complex activities that

cannot be addressed within

an organization’s normal

operational limits

Project Management in IWRM

Many specific tasks faced by institutions engaging with IWRM are new and unique, complex and hard to address within the normal operational limits of the organization. Setting up multi-stakeholder negotiation platforms, conducting multi-scale analyses, drafting policies, or implementing institutional changes – the very nature of these tasks suggests to tackle them in the form of projects and with the support of project management tools and techniques. Turning an idea or plan into a successful project requires carefully defined goals, non-goals, and a clear understanding of the projects boundaries and temporal, thematic, and social context. Projects have their own history and lead to consequences in the future. They interact with other activities and projects of the engaged institutions and their result may even affect wider policies and strategies. And they rely on and affect stakeholder groups, both inside and outside of the institutions involved. Similar to the policy making process, the quality of the project planning and context analysis heavily influences the quality and potential of its outcomes.

Figure XI.1: Project Boundaries (source: PMI)

Projects as a Social Systems and temporary Organizations For project involving multiple stakeholders and partners, the project organization, the project team and the roles of its members as well present the most crucial decision in project design.

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Projects are part of

organizations larger than the

project

Project teams form social

systems with a distinct role,

identity and shared

understanding of its

members

Project Management

supports the planning,

organizing, and managing of

resources to bring about the

successful completion of

specific project goals and

objectives

Figure XI.2: The Relationship between Stakeholders and the

Project (Source: PMI) We speak of teams when tasks, competencies or responsibilities of any kind are transferred collectively to a group of people. Since project teams are assembled for activities outside of the normal operational organization of its sponsor institutions, they typically involve staff selected strictly for technical competence from several functional units, departments or agencies. The integration of the team into the existing hierarchical structures poses one of the biggest challenges in project organization. The authority of the project manager can range from pure coordination of staff ―loaned‖ to the project by their supervisors to full line authority over the staff for the duration of the project. Projects in IWRM often bridge across several institutions. Delegating real authority to a project manager will therefore present a particularly difficult challenge. An independent project team with a coherent approach to their teamwork and a shared understanding typically improves the outcomes of a project, but this potential heavily relies on the support of their home institutions and the interactions and influence of their hierarchies.

The Project Management Toolbox Project Management in itself means the application of knowledge, skills, tools, and techniques to project activities to meet project requirements. In a way, every ad hoc structure for a complex activity can be understood as project management. Since the 1950s, project management also emerged as a discipline, with a large body of tested techniques available. However, project management is a toolbox, and will not in itself guarantee a good project result. Applying tested techniques to all stages of a project can help to ―build-in‖ quality, ensure that typical questions and problems are easily identified, and provide templates for typical activities. But the project management team

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determines, which tools are appropriate for any given project. Project Management addresses two challenges in projects: The primary challenge is to achieve the goals and objectives of the project within the given constraints of time, budget, and scope. The second challenge is to actually optimize the allocation and integration of the given resources. ―How much‖ project management is needed depends on the scope and priority of these challenges. Project management standards shortly introduced here support wide range of management tasks, including

• Project Integration with the project context and stakeholders

• Project Scope management ensuring that the project is able to effectively deliver on its goals

• Time Management techniques to accomplish completion of the project including monitoring of critical bottlenecks and dependencies

• Project Cost Management supporting estimation, budgeting and expense controlling

• Project Human Resources addressing the critical function of roles and responsibilities in a project context

Project Communication coordinating the flow of essential information in particular in multi-party projects

References

Project Management Institute (2006): A Guide to the Project Management Body of nowledge (PMBOK Guide), 3rd edition, PMI. (International Standard, basis of the Project Management Professional (PMP) certification) International Project Management Association (2006): ICB – IPMA Competence Baseline, version 3.0, IPMA. (International Standard, basis of the IPMA certification) Wirick, David (2009): Public-Sector Project Management: Meeting the Challenges and Achieving Results, Wiley.

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UNIT XI:I Team Role Management

According to Belbin (2009) Team

Roles is "a tendency to behave,

contribute and interrelate with

others in a particular way‛

Team role principles and history Team Role can be defined as "A tendency to behave, contribute and interrelate with others in a particular way." (Belbin, 2009).A group or researchers, under the head of Dr. Meredith Belbin, conducted an investigation of over nine years on the behaviour of managers from all over the world. Those participating in the study completed a battery of psychometric tests. They were then placed in teams of varying composition to take part in a complex management exercise. Participants' core personality traits, intellectual styles and behaviours were assessed during the simulation. As the research progressed, different clusters of behaviour were identified, called "Team Roles". It was discovered that the Team Role composition of a team could spell its success or failure.

Research results Nine clusters of behaviour were identifying termed Team Roles. Each Team Role has its particular strengths and allowable weaknesses (negative side of the positive strength), and each has an important contribution to make to a team. Very few people display characteristics of just one Team Role. Most people have 3 or 4 preferred roles, which can be adopted or eschewed as the situation requires. Some of the benefits of Team Roles are that they improve self-knowledge and understanding among individuals and teams. Also depict a current behavioural pattern - a snapshot of your behaviour at one time. Preferences aren't fixed, since many factors can influence behaviour, whether a new job, promotion or circumstances outside work. Most psychometric tests rely on self-reporting. However, the behaviours identified may not correspond with what others observe. In order to identify the clusters the degree of consensus on observed behaviour was taken into account. Also disparities between self-analysis and the perceptions of others can provide valuable leads for action.

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Action Social Thinking

Completer Finisher

Co-ordinator Monitor Evaluator

Implementer Resource

Investigator Plant

Shaper Teamworker Specialist

Figure XII.1: The nine Belbin Team

Roles

The self and observer assessments feature several different behavioural traits for each Team Role. To be a good example of a particular Team Role, an individual would have to demonstrate the cluster of positive traits for that role.

The 9 Belbin team roles

The nine clusters of behaviour identified are (Figure XII):

Completer Finisher Co-ordinator Monitor Evaluator Implementer Resource Investigator Plant Shaper Teamworker Specialist

Team roles in an individual develop and mature, and may change with experience and conscious attention. Different team roles can come to the fore in response to the needs of particular situations. In general, a person‘s overall strongest roles are the ones most appreciated by other people. In this sense, one should try to develop them and play these roles with enthusiasm. At the same time, one should take note of the lowest roles and find a strategy to avoid exposure by trying to play them (e.g. try to work with people who are strong in the roles one is weak).

References

Belbin, M. 2009. Belbin® Team Role Theory. www.belbin.com

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Trainers

Prof. Jan Leentvaar PhD, MSc is currently Senior Advisor at UN-Water Decade Programme on Capacity Development in Bonn. He is also Professor of Environmental Policy Making at UNESCO-IHE in Delft and the Agricultural University Wageningen, Netherlands. He has served the Netherlands Ministry of Water Management since 1988 in his last position as Director Chief Inspector of the Water Management Inspectorate and Advisor of the Minister.

Martin Bijlsma, MBA, MSc, is a self-employed consultant in the field of water and environment. He has conducted projects related to public participation in the European Framework Directive Water in the Netherlands for the Netherlands Ministry of Water Management and other governmental bodies. Before becoming self-employed in 2004, he worked as university lecturer for UNESCO-IHE in Delft, where he is still a regular guest lecturer.

Ine Frijters, MSc in International Relations, is currently policy advisor at the Water Management Inspectorate in the Netherlands. She is in charge of the international affairs of the Inspectorate. She has served the Netherlands Ministry of Water Management since 1998.

Ms. Ellen Pfeiffer, MBA, is currently Head of Administration and Network Development at the IHDP Secretariat (UNU-IHDP). During her previous engagement with the Center for Development Research Bonn she served on the German Ministry for Development Cooperation's consultative group for ICT in Development and gathered more than ten years of practical project management experience with various NGOs and organizations, both nationally and internationally.

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