promoting and institutionalising participation for integrated watershed management (phong &...
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Nguyen Tung Phong, Ph.D., Vietnam Institute for Water Resources (VIWRR) and Dann Sklarew, Ph.D. GEF IW:LEARN Asia Regional Workshop on Stakeholder Engagement in International Waters Management Hanoi, Vietnam, 2-4 April 2008TRANSCRIPT
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Promoting and Institutionalising Participation
for Integrated Watershed Management
by Nguyen Tung Phong, Ph.D., Vietnam Institute for Water Resources (VIWRR)
and Dann Sklarew, Ph.D.GEF IW:LEARN
Asia Regional Workshop on Stakeholder Engagement
in International Waters Management
Hanoi, Vietnam, 2-4 April 2008
Objectives
• To elaborate needs, scales and strategy for institutions promoting participation
• To apply the strategy to the working situation of participants
• To discuss the roles and comparative advantages of existing or new institutions to promotes participation at local through international scales
Need to institutionaliseparticipation?
Scales for Institutionalising Participation
1.Family (the Nguyen household)
2.Neighborhood/Village (Hoàn Kiếm)
3.Local/Municipal (Hanoi)
4.Province/State/Prefecture (North Vietnam)
• National Level (Vietnam)
1.Transboundary Level (Mekong R., Yellow Sea)
2.Regional Level (East Asia)
3.Global Level (Earth)
Scales for Institutionalizing Participation
1.Family (the Nguyen household)• Neighborhood/Village (Hoàn Kiếm)
1.Local/Municipal (Hanoi)
2.Province/State/Prefecture (North Vietnam)• National Level (Vietnam)
1.Transboundary Level (Mekong R., Yellow Sea)
2.Regional Level (East Asia)
3.Global Level (Earth)
Process
Elaborating a strategy• Main steps of a strategy to promote participation• Specific aspects of a strategy, like for example
on the role of villagers, of promoting institutions, and the individual promoters of change processes.
Identifying suitable methods• For each step of the strategy, the most
appropriate methods for promoting participation Institutionalisation of participatory strategies• The main challenges in participatory strategies
on a sustain-able basis
Planning cycle
Strategy for institutionalising participation at village level
Initial phase• Clarifying the objectives
and commitment of the promoting organisation
• Identifying the key actors. groups and organisations at community level
• Creating an awareness of the issues among them
• Identifying other internal and external supporting agencies for networking
• Obtaining the approval and commitment of local authorities
Strategy for institutionalising participation at village level
Analysis of the local situation • Contacting active groups and key
persons at community level• Planning and implementing jointly a
participatory situation analysis• Identifying needs and problems at
individual, organisational and village level
• Clarifying the expectations of different individual, local groups and organisations
• Documenting villagers' experiences with participatory approaches
Strategy for institutionalising participation at village level
Identifying objectives of local people and local organisations (Why?)• Discussion with villagers, local authorities, key
persons• Discussing with groups who may support and
who may oppose the activities• Prioritising objectives and expectations of
villagers• Looking for village opportunities, weaknesses,
opportunities and threats (SWOT)
Strategy for institutionalising participation at village level
Action planning at community level (What? How? When? Who?)• Identifying the strengths and weaknesses of each
proposal • Designing a plan of operation for introducing
participatory processes• Agreeing on the contributions of villagers, authorities and
agencies (What?)• Listing the activities of everybody involved (How?)• Fixing a time frame for the implementation of activities
(When?)• Agreeing on responsibilities to local groups, authorities
and agencies (Who?)
Strategy for institutionalising participation at village level
Implementation of
participatory activities• Putting the village
action plan into action• Handling conflicts in
the implementation phase
• Experimenting and trying out new things
Strategy for institutionalising participation at village level
Participatory Monitoring and Evaluation• Monitoring the implementation• Evaluating results and impacts• Sharing insights gained with all actors
involved• Feeding the results back to the villagers,
authorities and organisations involved• Thinking about ways to improve the future
impact of participatory processes
Strategy for institutionalising participation at village level
Institutionalisation
• Promoting the results and experiences to other areas
• Scaling-up activities
• Multi-sectoral networking and collaboration
Strategy for promoting participation
• 2-3 Groups discussions
Step 4. Action Planning
Step 6. Monitoring & Evaluation
Step 7. Institutional-ization
Step 5. Project Implement-ation
Step 3. Defining objectives
Step 2.
Situation analysis
Step 1. Orientation phase
Methods we may use
Role of commu- nity
Role of private sectors
Role of NGOs
Role of Govern- ment
Role of your organiz-ation
Role of individ-ual
Venn diagramStakeholder analysisDefine problem causeVisioning
Contributor (explain problems and solutions)
Supporter/ Consultant
FacilitatorEncourage participation of other stakeholders
Organize the cooperation and involvement of ministries, agencies... to define strategic objectives
Supporter and facilitatorFacilitator (get feedback from community)Co-organizer/ facilitator in community meeting
Contributor/Participant in defining objectivesSolution analysisProblem- rankingProblem raisingResource assessment
Step 3Defining objectives
PLA/PRA toolsCollect dataUse SWOT analysis
Provided of data and information
Facilitator/ Consultant Help to identify needs
Consultation with stakeholderFacilitate analysis of general information
Supporter and facilitatorEncourage the involvement of different functional organizations to do macro and micro analysis
Organizer/ Implementer/Facilitator/Researcher/Director/ ConsultantProcess data and informationGather data and informationMake proposalsParticipatory initial research
Provider of information/dat-aData collection and sharingResearchData analysisParticipation and consultation
Step 2Situation Analysis
Semi-structured dialogue/Mass Communication (TV, radio....)Field consultations
Provide ideas (initiator)Information sharing
Innovator (give new ideas)
Idea ProviderDiscussionSuggest strategies
Strategy makerVision makerPolicy makerGuideline providerDecision maker
Facilitator Exchange information from local levelDefine who will be involved
Site visit and sharing informationReview on institutional frame workReview on legal framework and share ideas
Step 1Orientation Phase
Methods we may useRole of community
Role of private sectors
Role of NGOsRole of Government
Role of your organization
Role of individual
Methods we may useRole of community
Role of private sectors
Role of NGOs
Role of Government
Role of your
organization
Role of individual
Problem rankingProblem analysisSWOT analysisParticipatory M&EConflict management
EvaluatorMonitorDecision maker
ConsultantDiscuss new adjustments to improve performance
Coordinator/ Consultant
FacilitatorSupporterProvides consultation period to monitoring and evaluation processTo encourage all the stakeholder to join in M&E
Steering committeeGet feedback
Consultant/Supporter/ ImplementerGive recommendationsDefining milestones and indicators for M&EParticipate in monitoring and evaluation
Step 6Monitoring and Evaluation
Community mobilizationTechnical training
Project leader/ Planer/ Implementer
DonorTechnical supporterTrainerBudget providerTechnical assistance
FacilitatorTechnical supporterFund provider
Facilitator/ Monitor/AuditorDecentralizeTo create favorable conditions for co-operation among stakeholders and encourage the involvement of stakeholder
Supporter/ConsultantProvide technical assistance
Implementer/ SupporterShare experiences and knowledgeShare resourcesShare responsibilityParticipate in implementation
Step 5Project Implementation
DiscussingOnsite study and consultationsNegotiationStakeholder analysisVenn diagram
Initiator/ Decision maker on planning/ Steering committee member
Fund provider/ Technical support
Facilitator/ Coordinator/ Trainer on methodology of planning/ Consultant
Approve the planSupporter/Organizer of action planning process
Facilitator/ Supporter/ ParticipantShare experiencesParticipate in decision making Participate in preparing action plan
Step 4Action Planning
Consulting/ Training (TOT, on local and central level stakeholders)
Workshop
Meeting
Venn diagram
Supporter/
Coodinator/
Support data and information
Facilitator/
Consultant
Meeting
Discussion group
Project Committee member
Working group member
Facilitator
Support scaling up and expansion to other areas
Initiator
Policy support
Provide regulations and rules
Analyze and define relevant partner institutions
Step7Institutionalization
Methods we may use
Role of community
Role of private sectors
Role of NGOs
Role of Government
Role of your organisation
Role of invidual
Which institutions shouldpromote participation?
Depends on:• Stakeholders targeted (fr. prior SH analysis)• Stage in planning cycle• Organisatonal Scale for Participation• Expected level of participation• Resources (time, money...) of Project, etc.• Capacity of existing institutions / need to
create new institutions
Which institutions depend on level of participation
villagers, village authorities, local groups project leaders
Implementation, monitoring and evaluation phase
local working groups, new local organisations,
local community takes over control of the development activities
Local self-development
local groups, individuals, supporting
institutions
Implementation phase:
forming working groups at village level, training activities
defining the objectives and strategies for future actions, coordinating local activities
Partnership
village authorities, key informants, rural families, men and women, local organisations
Initial phase: situations analysis
Methods of Participatory Rural Appraisal (PRA), village meetings,
identification of needs, problems, expectations, commitment,
Consultation
village authorities entire communities GO and NGO
Initial phase:situation analysis,
Public meetings, radio, television,local fairs,
exhibitions,
creating awareness,
setting up working groups,
Information
Who participates?When?How ?What ?Level
Adapted fr. inWEnet/VIWRR workshop in Thah Hoa
Will existing institutions suffice?
• Consider institutional diagrams, profiles and maps to determine whether existing capacity can meet expectations for participation
Example Tool: External Profiles of [Existing] Project-related Institution
Does External Profile indicate need for new institution?
Scales for Institutionalising Participation
1.Family (the Nguyen household)
2.Neighborhood/Village (Hoàn Kiếm)
3.Local/Municipal (Hanoi)
4.Province/State/Prefecture (North Vietnam)
• National Level (Vietnam)• Transboundary Level (Mekong River,
Yellow Sea)
1.Regional Level (East Asia)
2.Global Level (Earth)
Transboundary Examples
• IW CAM (Caribbean Sea)• South China Sea
Regional Partnership Council
• Promote networking within IWCAM (e.g., gov'ts, NGOs, CBOs, funding agencies, devel. banks);
To integrate and coordinate IWCAM activities; To manage stakeholders, with emphasis on
community empowerment and direct input from the civil society in management decisions;
To develop Private-Public sector relationships and concepts of Transferred Benefits and ‘Beneficiary-Pays’
IWCAM's Project Coordinating Unit includes a dedicated specialist who works with the forum to promote stakeholder involvement.
+ IW Forum
Conclusions
• Strategic involvement plans (SHIPs) should consider means to institutionalize participation from the outset, building capacity over time.
• Distinct institutions w/similar issues, including: – representivity of partnership members– appropriate scales, levels & timing of participation– administrative burden, cost, consumption of time– capacity of existing institutions
vs. burden of creating new ones• Building ownership can be messy, costly and slow.• Synergies among projects & organizations may incr.
institutional capacity & sustainability for participation.
If you wish to build a ship, don't start assembling wood,
cutting the boards, and distributing the work.
But wake in your men the longing
for the wide, open seas.
Antoine de Saint Exupéry