Final RBO Performance and Capacity

8/11/2019 Final RBO Performance and Capacity

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Performance andCapacity of River Basin

Organizations

Cross-case Comparison of Four RBOs

February, 2008


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FOREWORD

Sustainable management of water resources is an important goal being adopted at internationalleel and by many countries around t!e world in a bid to address water s!ortages, ine"uity,

pollution and many ot!er water problems# $!e recognition t!at upstream% downstream effectsre"uire management using a basin approac! !as resulted in many countries introducing newinstitutional arrangements to manage water at t!e basin leel#

Creating new structures and c!anging roles and responsibilities to meet t!e goals of integratedwater resources management is not easy and t!ere is eidence t!at t!e introduction of new rierbasin organi&ations does not run smoot!ly in many countries# 'n addition t!ere is widespreaduncertainty about t!e role and functions of rier basin organisations w!en it comes to t!eimplementation of t!e '(R) approac! to water resources management#

*uring 200+ Cap-et !as undertaen a number of case studies wit! partner networs on t!eimplementation of '(R) t!roug! Rier Basin Organisations .RBOs/# $!ese studies !ae been

completed for )eico, 1enya, Sri ana and )alaysia and t!e results summarised in t!is reportprepared for Cap-et by 34SCO-'54# (e would lie to t!an t!e following indiiduals (im*ouen, 1laas Sc!wart&, 34SCO-'546 (angai dirangu, ile '(R)-net6 ee 7in,gua7aring6 )#'#)# )ow9ood, ana Capet6 and Carlos *ia& *elgardo, -(4$net#

$!e case studies are now being followed wit! t!e deelopment of performance indicators andcapacity deelopment actiities to support t!e strengt!ening of Rier Basin Organi&ations#

Paul Taylor

*irectorCap-et

ACRONYMS'(R) 'ntegrated (ater Resources )anagement'RB) 'ntegrated Rier Basin )anagement3S Sungai angat Rier Basin Organi&ation)S )a!aweli ut!ority of Sri anaRBO etwor of sian Rier Basin Organi&ations

RBO Rier Basin Organi&ation(R) (ater Resources )anagement ut!ority

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PERFORMANCE AND CAPACITY OF RIVERBASIN ORGANIZATIONS - SUMMARY

INTRODUCTION

Since t!e 'nternational Conference on (ater and t!e 4nironment in *ublin in :;;2,'ntegrated (ater Resources )anagement .'(R)/ !as emerged as driing conceptbe!ind t!e management of water resources# $!e


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councils in t!e erma-C!apal-Santiago basin are t!e erma Basin Council and t!eSantiago Basin Council#

Sungai angat Rier Basin Organi&ation .3S/ in )alaysia - $!e Selangor

(aters )anagement ut!ority, or 3S as it is locally nown, manages waterresources in t!e Selangor part of t!e Sungai angat rier basin# 't was enacted in:;;; and !as t!e responsibility of protecting, regulating and managing waterresources in t!e Selangor part of t!e Sungai angat Rier Basin#

PERFORMANCE ASSESMENT

$o study t!e performance of t!ese RBOs t!e following dimensions:were assessed

egal framewor under w!ic! t!e RBO operates

eel of autonomy of t!e RBO

4ffectieness of t!e RBO .comparing t!e ob9ecties%performance targets wit! t!e

actual functioning/ 'nolement of stae!olders

Financing of RBO actiities

Legal Framework

'n t!ree of t!e four cases t!e legal framewor as it currently eists appears to besufficient for t!e RBO to undertae its tass and to implement '(R)# 'n t!is sense t!elegal framewor under w!ic! t!e organi&ations are operating do not appear to be aconstricting factor for t!eir performance or for t!e implementation of '(R)# $!e onlyeception was 3S, w!ic! operates under a framewor t!at proides only limitedopportunities to inole stae!olders in t!e decision-maing process regarding watermanagement# part from t!is limitation, !oweer, t!e legal framewor is considered asufficiently compre!ensie enactment to support rier basin and water resources

management in t!e country#

Level of Autonomy(it! t!e eception of )S, t!e RBOs all !ae limited autonomy# $!e two RBOs,w!ic! operate on a !ydrological basis bot! operate under national organi&ations for t!emanagement of water resources# 'n bot! cases t!e leel of autonomy en9oyed by t!eRBOs are limited by t!e fact t!at approal for some decisions needs to be obtained fromt!e national agencies as well as on t!e fact t!at muc! of t!e RBOs funding goes t!roug!t!e national agency# $!e t!ird RBO,3S, is a statutory agency goerned by a Board of*irectors, w!ic! is c!aired by t!e C!ief )inister of Selangor# 'n t!e goernance structureof t!is organi&ation, arious goernment officials and goernment representaties play

prominent roles# s a result t!e influence and control of t!e .State/ goernment oer t!efunctioning of 3S is considerable#4ac! of t!e cases mentions political influence at some point as being detrimental to t!efunctioning of t!e RBO# $!e Board of t!e $ana-(R), for eample, is appointed by t!epolitical leaders!ip# s mentioned, in 3S, t!e Board of *irectors is dominated byrepresentaties of goernment#

:'mportant to note is t!at some of t!ese dimensions of performance oerlap#

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ffectiveness of t!e RBO

lt!oug! t!e ob9ecties of t!e organi&ations appear to steer t!e organi&ation towards a!olistic approac! to water management, few of t!e studied RBOs are actually able toac!iee t!ese ambitious ob9ecties and ad!ere to a !olistic approac! to t!e planning andmanagement of water resources# $!e difference in ob9ecties and actual actiities of t!eRBOs appear to be related to t!e limited !uman, financial and institutional capacity of t!eorgani&ation# $!e organi&ation does not !ae t!e re"uired resources to address all t!ewater management tass t!at it would ideally undertae and w!ic! !ae been attributedto t!e organi&ation# s t!e organi&ation cannot address all water management tass itmust necessarily select priorities on w!ic! it focuses#


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Conclusion

$!e assessment of t!e performance of t!e basin organi&ations s!ows considerableariation between t!em# $!is is in itself not suc! a striing conclusion as t!eorgani&ations face different conditions and c!allenges w!ilst operating under limitedcapacity and are in different stages of deelopment# )oreoer, it is difficult to comparean organi&ation suc! as 3S, w!ic! !as an annual budget of about 3SIG0,000 wit! anorgani&ation suc! as )S wit! an annual budget, w!ic! is almost a !undred timeslarger#otewort!y is t!at for most of t!e categories of performance, t!e )S appears to scorebetter t!an t!e ot!er RBOs# number of possible eplanations can be forwarded for t!isobseration# First of all, t!e )S !as by far t!e largest annual budget# 't is also t!eoldest of t!e RBOs and, as suc!, !as !ad more time to mature# )oreoer, t!eorgani&ation is a part of a pro9ect%deelopment programme, w!ic! may ensure a degree of.political/ commitment and financial support, w!ic! t!e ot!er RBOs seem to be lacingat t!is time#

CAPACITY BUILDING IN THE WATER SECTOR

Capacities can be seen as t!e nowledge, sills and ot!er faculties, in indiiduals orembedded in procedures and rules, inside and around sector organi&ations andinstitutions# $!ese main capacity building components are

$!e creation of an enabling enironment wit! appropriate policy and legal

framewors6 'nstitutional deelopment, including community participation .and of women in

particular/6 and 5uman resources deelopment and t!e strengt!ening of managerial systems#

na,ling environment$!e main capacity gaps relating to t!e enabling enironment of t!e RBOs were found tobe as follows


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re"uirements for its implementation are pressed upon ey decision-maers wit!indifferent leels of goernment and in a range of organi&ations# Secondly, increasedawareness and nowledge about '(R) and t!e re"uirements for its implementation needto be translated in c!anges in t!e goernance structure under w!ic! t!e RBO operates#)ost illustratie are t!e financing arrangements of some of t!e RBOs in t!e case studies#)oney raised by t!e RBOs were transferred to general goernment budgets rat!er t!anbeing aailable to t!e RBO for financing its actiities, creating a strong dependency oft!e RBOs on goernment funding# $!irdly, in t!e enabling enironment, fora at ariousleels need to be establis!ed in w!ic! different agencies and organi&ations, representing aariety of stae!olders, are able to negotiate and decide upon issues of watermanagement#

%nstitutional evelopment

$!e cases broug!t to t!e forefront seeral capacity gaps related t!e institutional leel Organi&ational utonomy $!e issue of organi&ational autonomy !as been

discussed briefly aboe as it is strongly lined to t!e goernance structure underw!ic! t!e RBO operates#

Financial autonomy part from t!e )S, eac! RBO suffers from limited

financial autonomy# Community participation 'n most cases community inolement was ery

limited# Specifically, t!e role of women in decision-maing and management ofwater resources was not addressed by any of t!e RBOs#

$!e issues of organi&ational autonomy and financial autonomy are liely most effectielyaddressed by addressing t!e @enabling enironmentA# $!e issue of communityparticipation and specifically t!e inolement of women in water management, !oweer,re"uires t!e establis!ment of institutional mec!anisms t!roug! w!ic! stae!olders areinoled in decision-maing processes in t!e organi&ation#

.uman Resources$!e capacity gaps concerning !uman resources can subdiided in, on t!e one !and, t!e"uantity of staff aailable for t!e RBO to undertae its tass and, on t!e ot!er !and, t!eepertise and sills t!at t!e aailable staff possess#

$!e number of staff - Some of t!e RBOs studied !ad only a small number of staff

wit! w!ic! t!ey could not possibly undertae t!e tass and responsibilitiesattributed to t!em#

$!e epertise and sills of staff $!e principles of '(R) re"uire staff wit!

bacgrounds in ariety of disciplines as t!e paradigm of water managementmoes from a deelopment-oriented paradigm to more !olistic management

paradigm# 'n t!is contet, t!ere appeared to be a s!ortage of staff w!o arespeciali&ed ino Social issues including participatory goernance, gender and community

inolement6o


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o 4conomic aspects of '(R) .water pricing, economic incenties for water

conseration, etc#/#

$!e capacity gaps in !uman resources are for t!e "uantity part largely dependent onaailable funds and as suc! are strongly lined to t!e leel of financial autonomy# For t!e"uality part, first of all, t!e criteria and procedure for recruitment of staff is important asmany RBOs still faor !iring engineers instead of staff wit! a bacground in social andadministratie sciences or economics# Secondly, it re"uires ad9usting eisting training anddeelopment possibilities to ensure t!at t!ey not only coer matters of tec!nical watermanagement# $!irdly, it re"uires @newA capacity building actiities to be deeloped toaddress t!e growing need for capacity building on topics suc! participatory goernance,stae!older inolement, water goernance, and economic aspects of '(R)#

Principles for Capacity Building

lt!oug! t!e deelopment of a detailed capacity building plan to address t!ese capacitygaps is beyond t!e scope of t!is report, some principles on t!e basis of w!ic! suc! acapacity building plan .and t!e ensuing capacity building actiities/ can be !ig!lig!ted#$!e principles are based on t!e idea t!at capacity building actiities s!ould reac! a largenumber of organi&ations world-wide as well as lead to sustainable capacity buildinginitiaties .w!ic! are fleible enoug! to address t!e needs of a specific time and location/$!e proposed principles are

Cost-effectieness Capacity building actiities s!ould ad!ere to t!e principle of

cost-effectieness in t!at epensie training courses and programmes w!ic! sereonly a limited number of organi&ations or people are to be aoided#

ocally-drien and @ownedA $!e comparatie study of t!e RBOs !as s!own t!at

t!e actual organi&ations for rier basin management are ery dierse# Successfullyaddressing t!ese needs re"uires capacity building actiities to be mainly @carriedAby local organi&ations#

3se of eisting capacity building infrastructure s muc! as possible eisting

capacity building networs and organi&ations s!ould be used, rat!er t!anduplicating eisting networs and organi&ations#

$!e principle of openness and accessibility Capacity building actiities s!ould

be based on a principle of openness and accessibility, meaning t!at as muc! aspossible capacity building materials are to be made aailable in t!e publicdomain#



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Table of Conen!

I. SUMMR!................................................................................................................................................."

Main Report#. I$TRO%UCTIO$....................................................................................................................................#&

:#: OB74C$'J4 OF $54 S$3*K##################################################################################################:0

' RI()R BSI$ OR*$I+TIO$S.................................................................................................##

2#: $K=4S OF RBOs########################################################################################################################::

2#2 =ROB4)S ' $54 R'J4R BS' * 'S$'$3$'O R4S=OS4S########################::

2# =4RFOR)C4 OF RBOs######################################################################################################:

" CS)S $% R)S)RC, M)T,O%O-O*!...............................................................................'#

#: CS4 S$3*'4S#########################################################################################################################22

#2 S$*R*'L4* FR)4(OR1###########################################################################################2

P)R/ORM$C) SS)SSM)$T....................................................................................................'

G#: 4


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"# INTRODUCTION

Since t!e 'nternational Conference on (ater and t!e 4nironment in *ublin in :;;2,

'ntegrated (ater Resources )anagement .'(R)/ !as emerged as driing conceptbe!ind t!e management of water resources# $!e


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% RIVER BASIN ORGANIZATIONS

s t!e RBO !as grown to become a central component in t!e institutional framewor for

water management, RBOs, t!eir c!aracteristics and t!eir functioning !ae increasinglybeen t!e topic of discussion# $!e discussions broadly reole around t!ree main t!emes#$!ese are t!e types of rier basin organi&ations, t!e problems t!ey face and t!eirperformance#

%#" TYPES OF RBO!

't is possible to select different criteria to distinguis! between different types of RBOs#)ostert .:;;;/ identifies t!ree types of RBOs by distinguis!ing t!e basis on w!ic! t!eseorgani&ations operate !ydrological, administratie and coordinated# $!e !ydrologicalmodel implies t!at water management is done on t!e bases of !ydrological boundaries

and t!ere is etensie rier basin planning# 'n t!e administratie model watermanagement becomes part of enironmental management and is conducted by entitiesoperating on administratie boundaries .suc! as municipalities and proinces/# $!ecoordinated model can be placed in between t!e !ydrological and administratie models#Rier basin commissions eist, w!ic! !ae a coordinating tas but etensie rier basinplanning as under t!e !ydrological model does not eist#)illington et al .200G/ distinguis!ed t!e tas of t!e RBOs rat!er t!an t!e basis on w!ic!t!ey were operating# s a result t!ey came up wit! t!ree categories of RBOs t!e rierbasin coordinating committee%council, t!e rier basin commission and t!e rier basinaut!ority#

%#% PROBLEMS IN THE RIVER BASIN AND INSTITUTIONALRESPONSES

Releant to t!e institutional framewors managing water resources in t!e basin are t!eproblems faced in a particular basin# =roblems t!at can be found in rier basins includewater pollution, sediment build-up, degradation of wetlands and water scarcity issues.leading to water allocation problems/# 'n different basins, !oweer, different problemsare considered a priority# 'n !ig!lig!ting t!e different @realitiesA under w!ic! rier basinorgani&ations operate in deeloped and deeloping countries, S!a! et al .200:/ proidetwo contrasting pictures of organi&ations in deeloped countries and t!ose operating indeeloping countries#

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Table %#"& A Co'(a)*!on of Ba!*n Real**e!

%eveloped Countries

%eveloping Countries

$emperate climates, !umid, !ig!er rier-stream density

Rainfall low, climate etreme, !ig!er mean temperatures,lower stream density, water scarcity an emerging constraint

=opulation concentrated in t!e alleys,downstream

*ensely populated in bot! alleys and catc!ment areas6population !ig! bot! upstream and downstream of dams

(ater rig!ts based on riparian doctrineand prior appropriation

(ater rig!ts based on rig!ts to rainfall or ground-water6peopleNs notions of owners!ip relate more easily to raint!an to large-scale public diersions

Focus on blue surface water water foundin riers, and laes

Focus on green water water stored in t!e soil profile orblue water stored in a"uifers

)ost water users get water from NsericeproidersN6 most water proision is in t!eformal sector-maing water resources

goernance feasible

)ost water users get t!eir water directly from rain andfrom priate or community storage wit!out any significantmediation from public agencies or organi&ed serice

proiders# Because t!e bul of water proision taes placein t!e informal sector, it is difficult to pass enforceablewater legislation

Small numbers of large-scale stae!olders Jast numbers of small-scale stae!olders

ow transaction costs for monitoringwater use and collecting water c!arges

5ig! transaction costs for monitoring water use andcollecting water c!arges

Source: Shah et al 2001.

't leads S!a! et al .200:/ to conclude t!at >t!e problems t!at rier basin institutions in t!edeeloped world successfully address suc! as pollution, sediment buildup in riers and

t!e degradation in wetlands are not t!e top priorities for deeloping countryP policymaers and people#$!e roles and functions of basin organi&ations are usually indicatie of t!e way t!eorgani&ation was formed and wit! w!at purpose# )illington et al .200G/ and 5ooper.200D/ diide t!e stage of RBOs deelopment into fie groups as s!own on $able 2#2#$!e functions of group : are critical to any RBO# $!e organi&ation cannot effectielymanage water allocations and usage, and resource protection wit! inade"uate data,systems and models#


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Table %#%& F+n,*onal !ae! *n .e e/ol+*on of an a0a(*/e)*/e) ba!*n o)an*1a*on

/unctionsInitial

RBO

dult

;auto

adaptive

< RBO

Mature

RBO


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ice-ersa/# 'n t!is paper t!e focus is mainly on organi&ational performance and to alimited etent on t!e performance of policies and programmes#lt!oug! acnowledging t!e dierse landscape of RBOs and t!e problems t!at t!ey face,eisting approac!es to performance management from public and business administrationliterature and approac!es deeloped by academics and professionals in t!e waterresources sector may be of alue w!en trying to ealuate t!e performance of RBOs# 'nt!e section below a number of different approac!es are presented and discussed# $!oug!t!e list of approac!es is not e!austie, t!ey do proide a broad oeriew of t!e differentways of approac!ing t!e issue of performance of RBOs# $!e first of t!e approac!esrelates to t!e @traditionalA focus on efficiency and effectieness of organi&ations# $!esecond approac! loos at performance from t!e perspectie of t!e user%stae!older# $!et!ird approac! concerns ey performance indicators for rier basin organi&ationsdeeloped by 5ooper .200D/# $!e fourt! approac! concerns a benc!maring eercisedeeloped by t!e etwor of sian Rier Basin Organi&ations .RBO/# RBOAsapproac! is based on 1aplanAs and ortonAs .:;;2/ Balanced Scorecard approac!, w!ic!was originally designed for commercial businesses# $!e fift! approac! ad!eres to usingt!e *ublin principles as a benc!mar for performance#5oweer in all cases t!e lac of specific indicators of sustainable management of water

resources or '(R) maes assessment of t!e performance of RBOs problematic#

/$0$1$1 fficiency and ffectiveness of Organizations

Fre"uently, t!e performance of an organi&ation is assessed by determining t!e efficiencyand effectieness of t!e organi&ation# $!e actual effectieness of a specific organi&ationis determined by t!e degree to w!ic! it reali&es its goals or ob9ecties# $!e efficiency ofan organi&ation is measured by t!e amount of resources used to produce an output .ane2000/# Figure 2#: proides a .simplified/ oeriew of !ow effectieness and efficiencyrelate to t!e organi&ations ob9ecties and t!e resources, actiities, outputs, and t!e effectsof t!e organi&ation#

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F*+)e %#"& E3,*en,4 an0 E5e,*/ene!!Source: Based on Pollitt and Bouckaert 2004

lt!oug! effectieness and efficiency remains an important framewor for determiningt!e performance of an organi&ation, t!is approac! does !ae some difficulties# First of all

t!e @problem of attributionA eists# $!e main "uestion !ere is to w!at etent t!eac!ieement of a certain effect can really be attributed to t!e deliery of certain outputsby t!e organi&ation and to w!at etent ot!er factors played a role in ac!ieing t!is effect#Secondly, a ma9or difficulty relates to t!e official ob9ecties t!at !ae been attributed toorgani&ations on paper and t!e ob9ecties as managers of t!e organi&ation interpret t!emin reality# Ob9ecties t!at an organi&ation must ac!iee, especially w!en t!ey arepublis!ed, are often oerly ambitious and beyond t!e actual capacity of t!e organi&ation#$!is means t!at using t!is framewor t!us re"uires identification of realistic ob9ectiesfor t!e organi&ation# $!e realistic ob9ecties will liely be influenced by t!e nature of t!eRBO and t!e main problems facing t!e basin#'t is also important to note t!at t!is form of performance measurement incorporates an

accountability relations!ip to t!e organi&ations, w!ic! sets t!e ob9ecties# Often t!is willbe t!e goernment#

/$0$1$/ A "take!older Perspective on Performance

(it! t!e increasing importance being gien to stae!older participation andaccountability to users%stae!olders, an alternatie approac! is to use stae!oldersAperceptions as t!e basis for performance measurement# $!e idea is t!at by consideringw!at stae!olders want, need, or prefer and w!at t!ey are willing to support financially,

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t!e RBO would be best able to matc! its serices wit! t!e stae!olders preferences,aspirations and circumstances# $!is !as t!e added benefit t!at t!e RBO becomesaccountable to t!e stae!olders for its performance# Fol& .200G/, in looing at t!eproision of municipal serices, !as suggested using serice-"uality indicators .leel ofdeliery, fre"uency, coerage, "uality of serice as perceied by t!e user/ as a measure ofperformance# 4ssentially t!ree reasons can be forwarded for inoling stae!olders in t!eassessment of performance .$albot :;;;/# $!e first of t!e reasons is a @rig!tsA based9ustification, w!ic! follows t!e argument t!at stae!olders, being sub9ect to t!e actions oft!e RBO, s!ould now w!at leels of serice t!ey can epect and are entitled to# $!eyare t!en also in a position to determine to w!at etent t!e RBO !as managed to deliert!ese @entitlementsA# $!e second reason relates to t!e leel of support for t!e RBO# Onlyif t!e RBO is able to proide t!e serices t!at stae!olders demand will it receie t!esupport of t!ese stae!olders# Support .including possible financial contributions/ willdecline if t!e RBO is not able to meet t!e epectations and demands of t!e stae!olders#3sing stae!older assessment of performance is t!us a way of improing t!e lieli!oodof support from t!ose stae!olders# $!e t!ird reason bot! !ig!lig!ts t!e need forstae!older inolement in t!e assessment of performance as well as pinpoint one of t!emain difficulties of stae!older approac!es to performance measurement# $!e reasoning

is based on t!e fact t!at a rier basin encompasses a multiplicity of stae!olders, w!o!old diergent interests and iews on !ow t!e water resources s!ould be managed# $!isimplies t!at @one-si&e fits allA solutions may not be acceptable# 3sing stae!olderassessment of performance is t!en a mec!anism to increase t!e RBOs sensitiity to t!esediergent interests and needs#t t!e same time t!e wide array of stae!olders in t!e basin and t!eir dierging interestsalso mae performance measurement t!roug! stae!olders ery difficult# Oftenstae!olders will not only !ae diergent interests but een competing interests# $!iscompleity will only increase w!en t!e basin in "uestions is a transboundary basin# 5owcan t!e performance of an RBO t!en be measured w!en stae!olders !ae oppositeiews of w!at good performance entailsM

/$0$1$0 .ooper2s 3ey Performance %ndicators

(!at is particularly interesting about 5ooperAs approac! is t!at it stretc!es performancebeyond t!e traditional criteria of effectieness and efficiency and incorporatesdimensions of @good goernanceA indicators .suc! as accountability and transparency/and actiities often iewed as being critical for ac!ieing good performance .suc! astraining and researc!/ as indicators for performance in t!eir own rig!t# 'n ot!er words,performance is not only measured by !ow effectiely and efficiently t!e organi&ationoperates, but also by t!e degree to w!ic! is accountable to citi&ens in ac!ieing t!atefficiency and effectieness or by t!e degree to w!ic! t!e organi&ation proides capacitybuilding opportunities for its staff#

'n 5ooperAs framewor ey performance indicators !ae been identified for RBOs on t!ebasis of an etensie literature reiew and on inputs from sector eperts# On t!e basis oft!ese inputs, 5ooper identifies ten categories of performance indicators, w!ic! !e uses toassess t!e performance of an RBO# $!e ten categories of indicators are .5ooper 200D/

Coordinated decision-maing- t!e use of coordination mec!anisms between and

wit!in agencies and basin organi&ations6 lins between local water institutionsand a basin organi&ation6 !ow releant sectoral interests are engaged6

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Responsie decision-maing decision processes w!ic! adapt to new nowledge

and new conditions6 promote efficiency6 alue cross-sectoral dialogue6 promotebest practices6


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main categories used are t!at of stae!olders, internal processes learning and growt! andfinancial# 'n figure 2#2 t!e categories and corresponding indicators are presented#

F*+)e %#%& Caeo)*e! an0 In0*,ao)! *n .e NARBOBen,.'a)6*n E7e),*!e

$!e balanced scorecard approac! can be iewed as a reaction to dissatisfaction wit!purely financially based models of corporate performance, w!ic! dominated t!e :;80s# 'tpresents a more !olistic approac! to t!e performance of an organi&ation .$albot :;;;/#On t!e one !and t!e scorecard includes financial measures of performance .w!ic! reflectdecisions already taen/, on t!e ot!er !and it incorporates operational measures.stae!olders, internal processes and learning and growt!/ w!ic! drie futureperformance .1aplan and orton :;;2/# 'n t!e RBO eercise t!e category of@missionA !as been added to scorecard# $!e two indicators, t!e status of t!e organi&ationand RBO goernance are strongly oriented towards t!e decision maing process of t!eRBO rat!er t!an related to actual effectieness of t!e organi&ation# 'ndeed indicatorsrelated to t!e actual effectieness of t!e organi&ation .outputs and outcomes/ appear to beabsent# $o a large part t!is can be eplained by t!e origin of t!e balanced scorecard .as apriate sector management tool/# 't also !ig!lig!ts t!at t!e balanced scorecard !as astrong focus on t!e internal management of t!e organi&ation# s suc!, t!e scorecardproides a mec!anism for internal accountability of arious departments and sectionswit!in t!e RBO for t!eir performance#

- Performance and Capacity of River Basin Organizations - :8


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/$0$1$5 %)R' principles as a Benc!mark for Performancenot!er way of measuring t!e performance of an RBO, is by eamining t!e performanceof t!e ultimate goal, namely integrated water resources management# s mentionedearlier, performance can be measured at different leels, w!ic! are intertwined# 'n t!iscase t!e performance of t!e organi&ation is determined by t!e degree to w!ic! t!e goal of'(R) is ac!ieed# For eample, t!e *ublin principles can be used as an ideal-situationbenc!mar against w!ic! to score performance# ssessing performance using t!isapproac! t!us entails analy&ing t!e ability of t!e RBOs to implement '(R) in terms of

$!e degree to w!ic! management of water resources follows a !olistic approac!6

$!e leel of stae!older participation in management of water resources6

$!e leel of inolement of women in t!e proision, management and

safeguarding of water6 $!e degree to w!ic! water is recogni&ed and treated as an economic good#

3sing t!is approac! is not wit!out difficulties, !oweer# '(R) will inole a multitudeof organi&ations undertaing a wide array of functions and responsibilities at ariousleels, w!ic! toget!er manage water resources# $wo problems, w!ic! !ae been raised

earlier, also apply !ere# First of all t!ere is t!e problem of attribution# (it! t!e wide arrayof organi&ations participating in t!e management of resources, !ow can t!e ac!ieementof t!e policy .'(R)/ be attributed to only one organi&ationM Secondly, t!e "uestion is!ow realistic it is to epect rier basin organi&ations to lie up to t!ese benc!mars .i#e#!ow realistic are t!ese ob9ecties/M

2##2 $!e )i of pproac!es and t!e Reason for )easuring =erformance$!e arious approac!es to measuring performance described aboe eac! !ae t!eiradantages and disadantages# Some approac!es, suc! as 5ooperAs ey performanceindicators, appear "uite compre!ensie# $!e down side of suc! a compre!ensieframewor is t!at t!e effort re"uired to apply t!e framewor can be considerable and t!e

costs of implementing t!e framewor may outweig! t!e reason w!y t!e assessment isbeing undertaen#'n t!e end, t!e met!od of ealuating t!e performance of RBOs will depend on t!e reasonsfor measuring performance and t!e aailable resources for measuring performance# 'nt!is study, t!e reason for assessing performance is to establis! a lin to t!e capacities ofRBOs# lso t!e time and resource aailability did not allow all of t!e differentapproac!es to be fully applied# s a result, we !ae opted for a framewor for assessingperformance, using elements of t!e arious approac!es discussed aboe#$!e approac! used in t!is study eamines t!e following dimensions

- egal framewor

- eel of autonomy of t!e RBO- 4ffectieness of t!e RBO .comparing t!e ob9ecties%performance targets wit! t!e

actual functioning/- 'nolement of stae!olders- Financing of RBO actiities

'mportant to note is t!at some of t!ese dimensions of performance oerlap# For eample,t!e leel of autonomy is liely to be influenced by t!e legal framewor under w!ic! t!e

- Performance and Capacity of River Basin Organizations - :;

'


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RBO operates and t!e financing of RBO actiities# Similarly, t!e effectieness of RBOsis influenced by t!e leel of autonomy of t!e RBO#

Before assessing t!e performance of t!e four cases, !oweer, t!e net c!apter eplainst!e met!odology used in deeloping t!e case studies#



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2 CASES AND RESEARCH METHODOLOGY

$!e researc! underlying t!is report followed a case study approac! in w!ic! four casestudies of RBOs were researc!ed# t t!e start of t!e researc! pro9ect researc! ob9ectieswere formulated# $!e second step in t!e pro9ect was to select t!e case studies and todeelop a standardi&ed framewor for analy&ing t!e RBOs in eac! of t!e selected casestudies was deeloped# $!e t!ird p!ase reoled around undertaing t!e actual casestudies# $!e final p!ase concerned a cross-case comparison of t!e cases and on t!e basisof t!is comparison to draw conclusions concerning t!e researc! ob9ecties#

F*+)e 2#"& Me.o0olo4

2#" CASE STUDIES

- Performance and Capacity of River Basin Organizations - 2:

"


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4ac! case study concerned an organi&ation, w!ic! !ad been attributed t!e responsibilityof managing water resources in a specified area# $!e selection of t!e cases was based ont!e fact t!at eac! case is a national organi&ation# Furt!ermore, t!e organi&ations wereselected on t!e geograp!ical distribution of t!e case studies .one in frica, one in atinmerica, one in Sout! sia and one in 4astern sia/#$!e researc!ed RBOs are

)a!aweli ut!ority of Sri ana .)S/ - $!e )a!aweli ut!ority of Sri ana

was establis!ed by ct no# 2 of =arliament in :;+;# $!e main tas of t!e )Sis t!e planning and implementation of t!e )a!aweli *eelopment =rogramme,w!ic! include construction, operation and maintenance of reseroirs, dams,canals, and drainage systems and ot!er infrastructure#

$ana Basin (ater Resources )anagement ut!ority .$ana-(R)/ in 1enya -

$!e $ana Basin (ater Resources )anagement ut!ority is one of si catc!mentorgani&ations responsible for management allocation and protection of waterresources in 1enya# $!e $ana (R) became operational in 7uly 200D andoperates under t!e national (ater Resources )anagement ut!ority, w!ic!

became operational in 200E# $!e RBO for t!e erma-C!apla-Santiago in )eico is t!e (ater ational

Commission .CO


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)S 3S erma-C!apala-Santiago

$ana-(R)

Si&e of basin.m2/

:0GG8 2E0 :000 :2D02D

=opulationresiding

2800000 ;E:,800 :++D0000 D:00800

eragerainfall in basin.mm per year/

:2E0-2000 :800-000 D;D-+20 D+;2

)a9or wateruses

'rrigation5ydropower

(ater supply.=rimary 3se/"uacultureaigation.Secondary3ses/

'rrigation .8:H/(ater Supply.:2#DH/iestoc and'ndustry .D#EH/

'rrigation5ydropower(ater supply

$ype of organi&ation

n aut!orityunder t!e)inistry of )a!aweli

Statutorygency at t!eState eel

>Collegialbodies? operatingunder ational(aterCommission.CO


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9 PERFORMANCE ASSESSMENT

'n t!is c!apter t!e performance of t!e four RBO case studies is assessed# $!isperformance assessment focuses on t!e legal framewor, t!e leel of autonomy of t!e

RBO, eeffectieness of t!e RBO, inolement of stae!olders and t!e financing of RBOactiities#

9#" LEGAL FRAMEWOR8

'n t!ree of t!e four cases t!e legal framewor as it currently eists appears to besufficient for t!e RBO to undertae its tass and to implement '(R)# 'n t!is sense t!elegal framewor under w!ic! t!e organi&ations are operating do not appear to be aconstricting factor for t!eir performance or for t!e implementation of '(R)#'n t!e erma-C!apala-Santiago basin t!e legal framewor proided by t!e ational(ater aw, allows for t!e implementation of '(R)# 'n practice, !oweer, actualimplementation !appens only partially# $!e legal framewor !as stipulated a large

number of tass but actual implementation of t!e tass !as been lacing eit!er because oflac of interest of t!e agency responsible or because of lac of resources to undertae aparticular tas#'n 1enya, t!e (ater ct of 2002 forms t!e primary legislatie basis for water resourcesmanagement# $!e (ater ct enisages t!e formation of drainage basin organi&ations andre"uires preparation of a catc!ment management strategy, deeloped on a consultatiebasis# 'n a few instances t!e proisions in t!e (ater ct conflict wit! ot!er releantlegislation .suc! as t!e 4nironmental )anagement and Co-ordination ct and t!e andct/# 5oweer, despite t!ese conflicts users and stae!olders are agreed t!at t!e reforms,w!ic! lead to t!e new (ater ct, represent a considerable improement#'n Sri ana, successie goernments !ae tried to introduce national water policy wit!

t!e aim of ac!ieing efficient and e"uitable allocation of water resources# *espiteapproal of t!e Cabinet of )inisters in 200:, t!e policy was subse"uently re9ected by t!emedia and ciil society as it laced enironmental and resource conseration focus,proided inade"uate safety nets for t!e low-income segments of t!e population andbecause it contained a more maret-oriented approac!# s a result in 200E two draftwater policies eisted w!ic! were promoted by two ministries of t!e same goernment#Recently, a new draft was publis!ed in newspapers for public comments# )S t!ereforelacs a clear legal framewor supporting t!e implementation of '(R)#$!e main limitation in t!e legal framewor under w!ic! 3S operates is t!at itproides only limited opportunities to inole stae!olders in t!e decision maingprocess regarding water management# part from t!is limitation, !oweer, t!e legal

framewor is considered a sufficiently compre!ensie enactment to support rier basinand water resources management in t!e country#

9#% LEVEL OF AUTONOMY

)uc! more problematic t!an t!e legal framewor under w!ic! t!e RBOs are operatingappears to be t!e leel of autonomy t!at t!e organi&ations en9oy# (it! t!e eception of)S, t!e RBOs all !ae limited autonomy# 'mportant is to note t!at autonomy !as bot!

- Performance and Capacity of River Basin Organizations - 2G


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a positie dimension .t!e aut!ority to mae decisions/ and a negatie dimension .to befree from outside interentions/# $!is means t!at t!e leel of autonomy is determined by.Jer!oest et al# 200G/:/ $!e leel of decision-maing competencies of t!e agency .concerning management ont!e one !and and concerning agency policy on t!e ot!er !and/6 and2/ $!e eemption of constraints on t!e actual use of decision-maing competencies of t!eagency .referring to structural, financial, and legal constraints on t!e agencyAs decision-maing competencies/#

G#2#: Central Control$!e two RBOs, w!ic! operate on a !ydrological basis bot! operate under nationalorgani&ations for t!e management of water resources# 'n bot! cases t!e leel of autonomyen9oyed by t!e RBOs are limited by t!e fact t!at for some decisions approal needs to beobtained from t!e national agencies as well as on t!e fact t!at muc! of t!e RBOs fundinggoes t!roug! t!e national agency# 'n t!is sense t!e leel of autonomy is limited bot! interms of t!e official decision-maing competencies as well as t!e constraints posed byaccess to .financial/ resources .w!ic! is described in t!e net section/# $!e $ana-(R),for eample, must re"uest approal from t!e national agency w!en aut!ori&ing a water

use actiity w!ic! is of a large scale or is comple and w!ic! is deemed by irtue of itsscale to !ae a measurable impact on t!e water resource# lso t!e basin councils in t!eerma-C!apala-Santiago basin lac an ade"uate legal status and t!e autonomy to carryout t!eir decisions#3S is a statutory agency goerned by a Board of *irectors, w!ic! is c!aired by t!eC!ief )inister of Selangor# Ot!er goernment members of t!e Board include t!e StateSecretary, t!e State egal disor, t!e State Financial Officer, t!e *irector-


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suc! a fund but actual use of t!e Fund for 3SAs operations !as not been implementedyet# 3S is currently still being financed by t!e State $reasury t!roug! an annualbudget approed by t!e State


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Table 9#"& Ob:e,*/e! of .e RBO!RBO O=>ectives

3S $o ensure t!at t!e water resources and natural enironment in t!e state of Selangor areprotected and consered so as to support t!e sustainable socio-economic deelopment oft!e state#

$o fulfill t!e functions of integrated planning, streamlining, co-ordinating,implementing and regulating t!e deelopment and management of t!e stateAs waterresources and natural enironment#

$o create an enironment t!at will encourage t!e actie participation of t!e ciil sericeand priate sector in t!e deelopment, use and management of water resources and t!enatural enironment, taing into account t!e interest of t!e public and t!e state


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responsibilities of t!e RBOs# First of all, t!e difference in ob9ecties and t!e actiities oft!e RBOs are related to t!e limited !uman, financial and institutional capacity of t!eorgani&ation# $!e limited capacity simply means t!at t!e organi&ation does not !ae t!ere"uired resources to address all t!e water management tass t!at it would ideallyundertae and w!ic! !ae been attributed to t!e organi&ation# s t!e organi&ation cannotaddress all water management tass it must necessarily select priorities on w!ic! itfocuses#$!e second eplanation is lined to t!e capacity of t!e organi&ation and is related to t!emain water uses in t!e basin and t!e main problems eperienced in t!e basin# $!ese wateruses and t!e main problems eperienced in t!e basins result in different priorities for t!eRBOs#


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Table 9#%& C.allene!; Wae) U!e! an0 Role! of .e RBO!River Basin Main pro=lems and

c?allenges

Main @ater uses Main role of t?e

RBO

)a!aweli (ater aailability(ater pollution*eforestationand degradation

'rrigation5ydropower

(ater allocation

$ana (ater aailability(ater "ualityCatc!ment degradation

'rrigation5ydropower(ater supply

(ater allocation

erma-C!apala-Santiago

(ater aailability4nironmentaldeterioration(ater pollution*eforestationand degradation

'rrigation(ater Supplyiestoc and'ndustry(ater transfer to)eico city

(ater allocation

Sungai angat (ater pollution(ater aailability*eforestation

(ater supply"uacultureaigation

(ater "uality

'n relation to t!e main problems facing t!e basin, t!e RBOs seem to be performing better#lt!oug! $ana (R) !as been in eistence for only one year, t!e organisation !asac!ieed significantly by introducing an inclusie water resources managementframewor wit!in t!e basin, establis!ing basic actions to regulate abstraction, en!ancingpublic participation, restore water resources monitoring system, collection of water usec!arge and more importantly in deelopment of t!e Catc!ment )anagement Strategy#'n t!e erma-C!apala-Santiago basin councils promote and enable participation of usersand stae!olders and Cooperation between goernment agencies is enabled and leads toresults .suc! as t!e Surface (ater


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'n t!e $ana basin, for eample, t!e more serious c!allenges facing $ana (R) lie in t!e!uman and tec!nology capacity to apply t!e management instruments for '(R)# $!eorganisation !as a small number of staff compared to t!e coerage area, and een t!esefew lac set of sills re"uired to fully implement '(R)# $!is in turn complicates t!eprocess of reiing t!e water resources monitoring and assessment networ# 3p untilnow, t!e aailability of accurate water resources data is ery limited# $!e awareness for'(R) remain low among water users, and alt!oug! (R3s !ae been establis!ed tomobilises water users liing, t!ere is little deliberate action for awareness generallytargeting communities in liing in t!e catc!ment# $!is is iewed in t!e lig!t of t!e factt!at poerty !as been identified as ey drier for catc!ment degradation, yet $ana(R) is still to establis! a coordinated approac! wit! ot!er goernment agencies tocreate alternatie ways of earning lieli!ood t!an t!ose causing destruction#$!e list of aspects t!at re"uire improement in t!e erm-C!apala-Santiago basin includeaspects suc! as improing implementation of t!e water law .enforcement, application/,deeloping organi&ational and participation aspects of '(R), incorporating perspectiesof enironmental management, increasing aailable financial resources and soling inter-institutional conflicts deried from t!e unspecified functions of arious goernmentalleels#

'n t!e case of 3S, t!ere seems to be a consensus t!at t!ere is a need to increase t!eindiidual competencies of 3S staff on t!e legal and enforcement aspects# $!e seniorofficers of 3S also mentioned t!e need for t!e ot!er goernment agencies to recogni&e3S role in implementing integrated rier basin and water resources management#$!e biggest remaining c!allenge for )S is t!e lac of a national water policy for aneffectie functioning of t!e RBO# Structural reforms are needed to c!ange fromdeelopment agency into fully fledged RBO in t!e present contet# lt!oug! )S !as!ig!er number of staff, t!ey are not e"uipped wit! t!e tools for implementing '(R)effectiely# $!ere is also uncertainty about aailable financial resources as t!e State istrying to reduce ependiture in t!e sector# $!e dependency on donors for pro9ects forimproement is not a good sign for sustainability#



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9#9 INVOLVEMENT OF STA8EHOLDERS

$!e leel of stae!older participation differs maredly amongst t!e four cases# 'n twocases eit!er mec!anisms eist for participatory goernance eisted or t!e establis!mentof t!e RBO improed t!e leel of stae!older participation#'n t!e case of t!e )S, mec!anisms eist for participatory goernance# Specificallyparticipation of farmers for management of irrigation water is well-establis!ed and taes

place at t!ree leels# Stae!older participation taes place t!roug! a pre-cultiationmeeting attended by t!e Residential =ro9ect )anager, t!e *eputy Residential =ro9ect)anagers, 'rrigation 4ngineers and Farmer Organi&ation representaties# 'n t!is meetingwater aailability, crop types, estimations on water re"uirements and repair andmaintenance of irrigation canals are discussed# *ecisions about water allocation are madeat t!e (ater =anel )eeting# $!is meeting is attended by a large number of stae!oldersfrom goernment and farmer representaties# 5oweer, water users from domestic andot!er sectors are not proportionately represented to influence t!e decisions in t!esemeetings# $!e t!ird meeting concerns t!e cultiation-meeting during w!ic! farmers areinformed about water allocation decisions made during t!e (ater =anel )eeting# *uringt!is final meeting decisions about crop types, crop periods and crop etents are finali&ed#lso in t!e $ana basin, t!e enactment of t!e $ana-(R) !as lead to significantimproement in public participation in water management# 'n t!e $ana-(R)stae!older participation is mainly ac!ieed t!roug! participatory water managementt!roug! (ater Resources 3ser ssociations .(R3s/ at t!e sub-catc!ment leel# $!e(R3s are iewed as an important mec!anism to preent conflicts oer water# $!e$ana-(R) !as played a proactie and facilitatie role in t!e establis!ment of (R3s#'n addition Catc!ment disory Committees .CC/ !ae been formed to adise t!e$ana-(R) on matters of apportionment and conseration of water resources# $!emembers of t!e CC come from goernment ministries, t!e $ana and t!i Rier*eelopment ut!ority, farmers and pastoralist communities, business people and


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representaties in t!e basin councils can be "uestioned as t!ese representaties areappointed by t!e aut!orities t!emseles#

G#G#: Role of (omen'n general no special mec!anisms seem to eist to inole women in t!e proision andmanagement of water in t!e arious basins# $!e only eception appears to be in 1enya,w!ere t!e 1enyan goernment !as recently directed t!at at least 0H of all publicappointments be resered for women# lt!oug! t!is measure, w!ic! not only applies tot!e water sector but coers all public appointments, will liely to lead to greaterinolement of women in decision-maing wit! respect to water management, it is notclear w!at t!e impact will be on t!e inolement of female stae!olders .non-goernment/ in suc! decisions#

9#< FINANCING RBO ACTIVITIES

$!e $ana-(R), w!ic! !as an annual budget of about 3SI : million, is currentlyfinanced by t!e central goernment .2H/ and donors .D8H/# 'n t!e $ana rier basin areenue collection system based on water c!arges was deeloped# 5oweer, ga&ettementof t!e water rules and regulations t!at will allow t!e $ana-(R) to ley fees on t!e fullrange of users is pending# $!is means t!at a policy decision will be re"uired t!at willallow $ana (R) to retain reenue collected from water c!arges wit!in t!e region .orat least a portion of it/# $!e c!arges in t!e $ana basin are limited to users abstractingaboe a certain t!res!old# 'n ot!er words, ulnerable sections of t!e society w!ic! do notabstract sufficient water to ac!iee t!e t!res!old will not be c!arged for t!e water t!eyuse# Currently, c!arges collected at t!e basin are not retained t!ere but rat!er flow to t!ecentral goernment#For 3S in )alaysia, on paper possibilities eist to finance management of t!e rierbasin from licensing fees# $!e 3S 4nactment allows 3S to set up a fund to collectfees from its regulatory actiities# $!ese fees could t!en be used for financing itsoperations# lso t!e fees collected by 3S appear to be sufficient to finance its current

actiities# $!roug! its licensing of water abstraction by industrial consumers from groundand surface water 3S generates a reenue stream of about 3SI E+0,000, w!ilst t!eannual operational cost of 3S are limited to 3SIG0,000# Currently, !oweer, no fundfor 3S !as been establis!ed .despite t!e possibility to do so/ and t!e reenuegenerated by 3S flows to t!e State $reasury# 3S receies its complete annualbudget from t!e state goernment#'n Sri ana, t!e )S, w!ic! !ad a budget of about 3SI G0 million in 200E, isfinanced primarily t!roug! goernment and donor agencies# $!e only contribution fromusers .ecluding water supply pro9ects/ concerns re!abilitation of irrigation wors ofw!ic! between :0H and 20H is financed by farmers .depending on t!e nature of t!ewor inoled/# Often water users contribute in ind .labor/ in re!abilitation, operation

and maintenance of irrigation canals at t!e tertiary leel# $!e )S does not c!arge forwater from farmers#

9#= CONCLUSION

$!e assessment of t!e arious basin organi&ations of t!eir performance s!owsconsiderable ariation between t!e organi&ations# $!is is in itself not suc! a striingconclusion as t!e organi&ations face different conditions and c!allenges w!ilst operatingunder limited capacity and are in different stages of deelopment# )oreoer, it is difficult



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to compare an organi&ation suc! as 3S, w!ic! !as an annual budget of about3SIG0,000 wit! an organi&ation suc! as )S wit! an annual budget, w!ic! is almosta !undred times larger#otewort!y is t!at for most of t!e categories of performance, t!e )S appears to scorebetter t!an t!e ot!er RBOs# number of possible eplanations can be forwarded for t!isobseration# First of all, t!e )S !as by far t!e largest annual budget# 't is also t!eoldest of t!e RBOs and, as suc!, !as !ad more time to mature# )oreoer, t!eorgani&ation is a part of a pro9ect%deelopment programme, w!ic! may ensure a degree of.political/ commitment and financial support, w!ic! t!e ot!er RBOs seem to be lacingat t!is time#

- Performance and Capacity of River Basin Organizations -


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< CAPACITY BUILDING IN THE WATERSECTOR

'n t!e oeriew on performance of four RBOs in t!e preious section, t!e impact ofcapacity on t!e performance of t!e RBOs came to t!e forefront# part from reealingitself in t!e case studies t!e importance of capacity .and t!us capacity building/ !as beenidentified before by arious sector eperts in t!e water sector# $!is c!apter will presentsome of t!ese perspecties based on 34SCO-((= .200D/ and 7aspers .200:/G# $!efirst section of t!is c!apter focuses on en!ancing local capacities# Secondly, t!eimportance of an en!anced nowledge base is elaborated upon# $!e t!ird section of t!isc!apter focuses on t!e process of capacity deelopment in practice# $!e final part of t!isc!apter returns to t!e four cases and assesses w!at t!e capacity gaps for t!e four casestudies are#


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t!em allows for better-targeted and more appropriate interention strategies#


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!ae to be done and not all countries can afford t!at# boe all, a ma9or re"uirement forimplementation is t!e presence of sufficient !uman and institutional capacity at t!e rig!ttime and at t!e rig!t place# $!e deelopment of !uman capacity is a long-term effort,comple in nature and ery resources demanding# 't is not enoug! to train eperts in t!ereleant tec!nical disciplines only# $!ere is, increasingly, a need to train and fostereperts in integration#

s mentioned it is difficult to draw conclusions, w!ic! apply to all cases# $!is, aseplained aboe, is due to t!e fact t!at eac! case !as its own particular c!aracteristics asa result of t!e particular circumstances in w!ic! it was set up, t!e mandate andc!aracteristics of t!e RBO and t!e main problems t!at t!e basin faces# *espite t!esedifferences, !oweer, t!e section below tries to elaborate on t!e capacity gaps, w!ic!!ae been identified in t!e four cases# not!er reason w!y it is difficult to draw generalconclusions is t!at apart from t!e )S, t!e RBOs !ae not been in eistence for a erylong time# )any !ae been founded only recently and are still in t!e process of startingup# Below, t!e capacity gaps elaborated upon are distinguis!ed to t!e etent t!at relate tot!e enabling enironment, institutional deelopment and !uman resources# 't is also clear,!oweer, t!at t!ese dimensions of capacity are interrelated and, as suc!, cannot really beseen in isolation# $!is means t!at some oerlap between t!e capacity gaps in t!e ariousdimensions is unaoidable#

E#G#: $!e 4nabling 4nironment'n addition to t!e capacity gaps, additional gaps were identified, w!ic! go beyond t!eRBO itself# 'n particular t!e need for creating broad awareness of '(R) and t!e need forinter-agency coordination and cooperation were identified as capacity gaps#


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among t!e different agencies and organi&ations on t!eir fragmented and s!aredresponsibilities for effectie water resources management#

ddressing t!e gaps can inole capacity building modalities targeted at different groups#First of all, increasing general awareness about '(R) in t!e enabling enironmentre"uires s!ort capacity building actiities, in w!ic! t!e importance of '(R) and t!ere"uirements for its implementation are pressed upon ey decision-maers wit!indifferent leels of goernment and in a range of organi&ations# )ost liely t!ecommitment of t!e !ig!est goernment officials needs to be secured for suc! actiities tobe effectie# Secondly, increased awareness and nowledge about '(R) and t!ere"uirements for its implementation need to be translated in c!anges in t!e goernancestructure under w!ic! t!e RBO operates# s mentioned, t!is goernance structure greatlyimpacts t!at leel of autonomy t!at RBO !as, and sufficient leels of organi&ational andfinancial autonomy are a pre-re"uisite for t!e RBO to perform effectiely and efficiently#)ost illustratie are t!e financing arrangements of some of t!e RBOs in t!e case studies#)oney raised by t!e RBOs were transferred to general goernment budgets rat!er t!anbeing aailable to t!e RBO for financing its actiities, creating a strong dependency oft!e RBOs on goernment funding# $!irdly, t!e interagency coordination and cooperation

re"uires bot! capacity building in t!e enabling enironment as well as wit! respect to!uman resources# 'n t!e enabling enironment, fora at arious leels need to beestablis!ed in w!ic! different agencies and organi&ations, representing a ariety ofstae!olders, are able to negotiate and decide upon issues of water management# $!enature of t!e issue to be decided upon is liely to determine nature of t!e forum, t!e leelat w!ic! t!e forum is to located and t!e organi&ations t!at are inoled in t!at specificforum# $!e re"uirements for !uman resources for coordination and cooperation areelaborated upon in section E#G##

E#G#2 'nstitutional *eelopment$!e cases broug!t to t!e forefront seeral capacity gaps related t!e institutional leel#

$!ese gaps include t!e lac of organi&ational autonomy for t!e RBO, t!e lac of financialautonomy, t!e limited community inolement .and specifically inolement of women/and limited institutional capacity to address tass suc! as monitoring and enforcement#

Organi&ational utonomy $!e issue of organi&ational autonomy !as been

discussed briefly aboe as it is strongly lined to t!e goernance structure underw!ic! t!e RBO operates# 4ac! of t!e cases mentions political influence at somepoint as being detrimental to t!e functioning of t!e RBO# )oreoer, two casesmentioned a strong central control oer t!e organi&ation#

Financial autonomy part from t!e )S, eac! RBO suffers from limited

financial autonomy# 'f t!e c!allenges of water resources management are to beaddressed in t!ese basin intensie capital inestment flows are re"uired and fundsmust be aailable for operation and maintenance# s long as t!ese financialresources do not materiali&e eac! RBO will set its own priorities# $!is in turnmeans t!at most liely enironmental management will be lacing as water fort!e enironment is often gien less priority t!an ot!er water uses# gain, t!eincrease in financial autonomy will depend strongly on t!e enabling enironment.and t!e opportunities t!at it proides and t!e limits t!at it imposes/#

- Performance and Capacity of River Basin Organizations - +

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Community participation 'n most cases community inolement was ery

limited# Specifically, t!e role of women in decision-maing and management ofwater resources was not addressed by any of t!e RBOs# lt!oug! t!e legalframewors under w!ic! t!e RBOs operate fre"uently mention t!e re"uirement ofcommunity inolement, few RBOs !ae actually implemented structures andmec!anisms to inole stae!olders#

s mentioned in t!e discussion aboe, t!e issue of organi&ational autonomy and financialautonomy are liely most effectiely addressed by addressing t!e @enablingenironmentA# $!e issue of community participation and specifically t!e inolement ofwomen in water management, !oweer, is somet!ing t!at can be addressed at t!eorgani&ational leel# Specifically, t!is inoles t!e establis!ment of institutionalmec!anisms t!roug! w!ic! stae!olders are inoled in decision-maing processes in t!eorgani&ation#

E#G# 5uman resources$!e capacity gaps concerning !uman resources can subdiided in, on t!e one !and, t!e"uantity of staff aailable for t!e RBO to undertae its tass and, on t!e ot!er !and, t!eepertise and sills t!at t!e aailable staff possess#

:# $!e number of staff - Some of t!e RBOs studied !ad only a small number of staffwit! w!ic! t!ey could not possibly undertae t!e tass and responsibilitiesattributed to t!em# )uc! in t!is sense depends on t!e type of RBO and w!atactiities are epected of it# 'n case t!e RBOAs actiities are limited to policydeelopment and coordination of actiities, w!ilst leaing actual implementationto ot!er organi&ations, s small number of staff would seem reasonable# 5oweer,in t!ese cases t!e RBOs also !ad to undertae operational actiities, for w!ic!t!ey were not e"uipped# $!e result is t!at t!e RBO simply did not !ae sufficientstaff to manage water resources in a !olistic manner, resulting in t!e need to focuson particular pressing problems#

2# $!e epertise and sills of staff $!e field of water management !as traditionallybeen t!e field of .water/ engineers, in w!ic! t!e organi&ation !ad a strong focuson deeloping water infrastructure# $!e principles of '(R) .wit! its emp!asis onan !olistic approac! to water management, stae!older inolement,decentrali&ation and water as an economic good/ re"uire staff wit! bacgroundsin ariety of disciplines as t!e paradigm of water management moes from adeelopment-oriented paradigm to more !olistic management paradigm# 'n ot!erwords, t!e build up of t!ese organi&ations needs to s!ift from a predominantlyengineering organi&ation to a multi-disciplinary one representing t!e ariousdisciplines t!at are re"uired for t!e implementation of '(R)# 'n t!is contet,t!ere appeared to be a s!ortage of staff w!o are speciali&ed in

a# Social issues including participatory goernance, gender and communityinolement6

b#


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$!e capacity gaps in !uman resources are for t!e "uantity part largely dependent onaailable funds and as suc! are strongly lined to t!e leel of financial autonomy# s fort!e "uality part, capacity building actiities will re"uire a ariety of approac!es# First ofall, t!e criteria and procedure for recruitment of staff is important as many RBOs stillfaor !iring engineers instead of staff wit! a bacground in social and administratiesciences or economics# $!is means sensiti&ing staff of t!e organi&ation to t!e importanceof !aing staff wit! a multi-disciplinary bacground as well possibly reiewingrecruitment policies .and possibly adancement%promotion policies, w!ic! may alsofaor staff wit! a traditional engineering bacground/# Secondly, it re"uires ad9ustingeisting training and deelopment possibilities to ensure t!at t!ey not only coer mattersof tec!nical water management .w!ic!, of course, does remain an important componentof water management/, but also include capacity building actiities focused on t!e topicsmentioned aboe# $!irdly, it re"uires @newA capacity building actiities to be deeloped toaddress t!e growing need for capacity building on topics suc! participatory goernance,stae!older inolement, water goernance, and economic aspects of '(R)#


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$!e principle of openness and accessibility s mentioned in t!e section E#2,

access to and s!aring of nowledge by indiiduals and groups are critical toaddressing water-related problems# $!is means t!at capacity building actiitiess!ould be based on a principle of openness and accessibility, meaning t!at asmuc! as possible capacity building materials are to be made aailable in t!epublic domain# $!is, for eample, means maing accessible ideo-taped lectures,ey-notes, etc# as well as mae freely aailable tet-boos, lecture notes, trainingmanuals, etc# lso t!e capacity building actiities s!ould be open to @newApartners wis!ing to participate in t!ese actiities#

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REFERENCES

*ia&-*elgado, C#, Jelasco-C!ilpa, #, )an&ano, S#R#, Jilc!is, F#K# and 4steller, )#J# .200+/,"tudy on t!e Performance and Capacity of (ational River Basin Organizations6 Case

"tudy Lerma-C!apala-"antiago River Basin, 3npublis!ed Report#

Fol&, *# .200G/, @Serice uality and Benc!maring t!e =erformance of )unicipal SericesA,=ublic dministration Reiew, DG.2/ 20;-220#

5ooper, B#=# .200D/,3ey Performance %ndicators of River Basin Organizations,!ttp%%www#iwr#usace#army#mil%inside%products%pub%iwrreports%200D-JS=-0:#pdf #

7aspers F#


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= ANNE? "& MAHAWELI GANGA RIVER BASIN;SRI LAN8A

=#" RIVER BASIN OVERVIEW

$!e )a!aweli


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D#:#: =roblems eperienced in t!e basinBelow an oeriew of t!e general problems in t!e basin regions can be found#

'n t!e upper waters!ed areas

'mproper deforestation and reforestation

andslides

(ater pollution due to eutrop!ication resulting from agricultural practices 4ncroac!ment of rier reseration#

'n t!e lower waters!ed areas4

(ater s!ortages

'ne"uity of water supply

Salini&ation

*eforestation

=oor on farm and groundwater water management practices#

and degradation and decrease in soil fertility#

4traction of water from irrigation diersions for ot!er purposes suc! asdomestic water supplies#

Cultiation of ecessie etents of lands t!an permitted ands encroac!ment

and cultiation leading to s!ortages of water for tail end farmers#

=olitical interention on decision maing, implementation as well as on

farmer organi&ation actiities#

3ser specific and institution specific cts, Ordinances and By aws lead to

confusion between rules and regulations of different institutions dealing wit!water recourse deelopment and management

=#% RIVER BASIN ORGANIZATION$!e )a!aweli


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D#2#: )S$!e )a!aweli u!ority of Sri ana was establis!ed by ct no# 2 of =arliament in:;+;, !encefort! nown as t!e )a!aweli ct# $!e main tas of t!e )S is t!eplanning and implementation of t!e )a!aweli *eelopment Sc!eme, w!ic! includeconstruction, operation and maintenance of reseroirs, dams, canals, and drainagesystems and ot!er infrastructure#

$!e )S act !as wide range of powers to ensure t!at t!e )


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$!e t!ird leel of stae!older participation is at t!e cultiation meeting w!ere t!edecisions from water panel meeting are informed to farmers prior to cultiation# $!ismeeting is attended by Residential =ro9ect )anager, *eputy Residential =ro9ect)anagers .*R=)/, 'rrigation 4ngineers, griculture Officers and Farmer Organi&ationrepresentaties from eac! bloc# 'n t!is meeting, crop types, crop periods and cropetents are finali&ed#

Current FO members are only a portion of t!e actual water users# lt!oug! some waterusers cannot formally become members of t!e FO since t!ey are not landowners, t!ey doattend FO meetings because information from t!ese meetings is needed for farming#

D#2# Financing$!e finances for water resources deelopment is mobili&ed mainly t!roug! goernmentand donor agencies w!ile operation and maintenance costs are borne by goernment aswell as t!e water users#

'n re!abilitation of irrigation programmes, a part of t!e costs up to :0H to 20H is borneby t!e farmers, depending on t!e nature of t!e wor inoled# 'n many instances waterusers contribute in ind .labour contribution/ in re!abilitation, operation and maintenanceof irrigation canals at tertiary leel#$!e annual budget and ependitures of t!e )S from :;;0 to 200E, s!ow t!at annualbudgets !ae always fully coered annual epenses# Capital ependiture !as increasedfrom :;;8 to 200: w!ile t!e recurrent ependiture is stable during t!e period#

=#2 PERFORMANCE

$!e )S is mandated to deelop water resources in )a!aweli or any ot!er rier for

deelopment of special areas wit! ade"uate legal framewor# $!e )S can tae oerall t!e responsibilities on water and land in any areas t!roug! ga&ette notification#Coordinating mec!anism of )S is super-imposed on t!e administratie mec!anisms.local aut!orities/ to ac!iee t!e )


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Table =#"& Co! an0 bene@! +( o en0 of %goernment-centric?/ and t!us does not fully reflect t!eprinciples of '(R)

=articipation of stae!olders is not institutionali&ed .not embedded in t!e

current committee structure/

$!e current management structure does not allow for direct stae!older

participation at t!e rier basin co-ordination leel

+##: =riority (ater )anagement Capacity eedsBased on t!e aboe t!e most urgent capacity needs for '(R) across t!e Sungai angatrier basin can be summari&ed as follows


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3SA finances are currently not regulated as intended by t!e 3S enactment# $!e3S enactment allows for t!e set-up and operation of an independent fund for 3S,wit! a budget t!at is to be annually approed by t!e State


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ANNE? 2& TANA RIVER BASIN; 8ENYA

#" RIVER BASIN OVERVIEW$!e $ana Rier drain from t!e Central 1enya !ig!lands t!roug! a dierse enironmentranging alpine egetation in t!e mountainous upper catc!ment to semi-arid climate atmiddle course and finally t!e mangroe and plains of t!e 1enyan coast before draining to'ndian Ocean# 'n total, $ana Rier, t!e main rier in 1enya, is 800 m long in a drainagearea of :2D,000 m2and a population D#: million people and pro9ected to +#: million in20:2# $!e Catc!ment rea ey actiity designation include agriculturalist liing on t!eupper parts of t!e region and t!e pastoralists liing on t!e lower parts of t!e region, butt!e basin is !ost to seeral !ydro-electric power generating plants and irrigation pro9ectsand includes protected and ga&etted areas w!ic! include four ational =ars and eig!t


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(ater aailability in t!e $ana catc!ment area !as been on t!e decline oer t!e years# $!is!as been caused primarily by unmatc!ed population growt! to t!e water aailable# 'n:;D2 t!e population in $ana was about :#E million6 in 200D t!e estimated population isabout D#: millions# $!e water aailability per capita today in $ana is estimated at D::m%capita# nd if t!e trend continues, t!is will furt!er decline to E20 m%capita by 20:0,far below t!e recommended alue of oer :000 mper capita per annum# ocally, wit!int!e $ana catc!ment t!ere are wide disparities in time and space from t!e !ig!lands to t!elowlands#

1ey water users in t!is area include $ana and t!i Riers *eelopment ut!ority.$R*/, 1enya 4lectricity


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mandated by law to deelopment of water serices infrastructure and proide waterserices t!roug! t!e direct serices proider or (ater Serices =roiders .(S=s/ as t!eare legally nown#

$!e (ater Resources )anagement ut!ority .(R)/ is an autonomous body destinedto manage, protect and consere t!e water resources# $!e organi&ation operations aredecentralised to t!e catc!ments to en!ance resolution of water resources managementissues and public participation# (R) is c!arged wit! ensuring rational and e"uitableallocation of water resources to reduce conflicts oer access to resources# 3nlie t!e casefor water serice proision, t!e catc!ment organisations for water resources managementare not autonomous from t!e national office, but only eercise delegated mandate by t!emanagement direction of t!e national office#

$!e ersatility of managing water along water drainages was realised early and in :;+Gt!e $ana Rier Basin *eelopment ut!ority was establis!ed as a regional deelopmentaut!ority wit! a mandate to regulate, allocate water resources but also to deelop andeploit land and water resources# ater on t!e statutes creating t!is organisation wasamended to allow it to manage t!e ad9acent t!i rier basin and subse"uently it became

nown as $ana and t!i Riers *eelopment ut!ority .$R*/# By t!e mid 80As t!eregional deelopment aut!orities based on rier or lae drainage areas !ad beenestablis!ed to coer t!e w!ole country# $!ese organisations continue to operate to-datealbeit on reised mandate for water resources use and management#

8#2#: $ana-(R)$!e $ana Basin (ater Resources )anagement ut!ority .$ana (R)/ is one of t!e sicatc!ment organisations responsible for management, allocation and protection of waterresources in 1enya, eac! of t!em wit! a 9urisdiction based on t!e drainage pattern# $!e$ana Basin (ater Resources )anagement ut!ority lie all ot!er regional offices of(R) !as an adisory body called Catc!ment reas disory Committees .CCs/,

constituted of representatie of users, goernment and ot!er ma9or water users, ciilsociety and professional adisors# 't must be clarified t!at t!e CC is not a decision-maing organ but an adisory body# $!e users of water in t!e basin are encouraged toform (ater Resources 3sers ssociations .(R3s/ as a platform for participation anddialogue between users and regulator# 'ndeed, (R) !as actiely facilitated t!eformation of (R3s# By mid 200+, t!ere were GE registered (R3s in t!e $ana basinmainly at t!e sub-catc!ment leel or lesser coerage areas

$!e $ana and t!i Rier deelopment ut!ority .$R*/ t!e most important andsignificant water user wit!in t!e basin is establis!ed by an act of parliament to undertaedeelopment and conseration t!e water resources and t!e rier catc!ment in general#

'nitially $R* was responsible for a wide scope including water resources planningand adising on allocation# t least t!e concept of integrating sector needs in waterresources planning and deelopment !ad been appreciated from a muc! earlier date# 'tmay be considered t!at $R* laid t!e conceptual basis of '(R) was laid alt!oug! t!eunderstanding of t!e leel of play, wit! clarity of issues and re"uisite capacity to dealwit! t!e planning and management remained elusie#

- Performance and Capacity of River Basin Organizations - ED

8


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$!e national (ater Resources )anagement ut!ority .(R)/ office was establis!ed asa corporate body in oember 200 pursuant to t!e (ater ct 2002 and becameoperational in 7uly 200E under t!e direction of an independent board# 5oweer, t!e boardcomprising of eleen members is appointed by t!e political leaders!ip# $!e mandates of(R) include

=lanning, management, protection and conseration of water resources#

=lanning, allocation, apportionment, assessment and monitoring of waterresources#

'ssuance of water permits#

(ater rig!ts and enforcement of permit conditions#

Regulation of conseration and abstraction structures#

Catc!ment and water "uality management#

Regulation and control of water use

Coordination of t!e '(R) =lan#

t t!e basin leel t!e eercise of t!is mandate delegated t!e regional offices at respectiebasins# $!e regional office for t!e $ana Rier basin become operational in 7uly 200D and!ead"uartered at 4mbu town in t!e 3pper $ana Basin# $!e Fig E s!ows t!e coerage oft!e $ana basin area is-T-is t!e ot!er regional areas for water resources management#


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$!e (ater Resources )anagement ut!ority operates on performance contract wit!central goernment# $!e performance contract is informed by t!e so-called @


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=ositie aspects of t!e management structure

$!e basin organisation manages t!e entire lengt! of t!e rier course and enables

incorporation of t!e upstream and downstream factors#

$!e )anagement 3nits are considered along tributary riers, !ence bring

toget!er areas and people affected similarly

$!e regional office and sub-regional !as eased interaction wit! t!e stae!olders

and public allowing increased efficiency and close monitoring# $!is !as beeneemplified by t!e reduced in t!e time for issuance of abstraction permit#

$!e organisation in not encumbered wit! responsibilities re"uiring water use as

t!e case wit! $R* before t!em# $!is allows t!e organisation to eecute t!eirmandate of e"uitable s!aring of water resources impartially#

$!ere is strong public participation in t!e water resources management#

spects of t!e management structure re"uiring improement

$!e basin organisation lac administratie and financial autonomy to manage t!e

basin affairs# t least reenue generated s!ould be retained for utilisation wit!int!e basin#

$!e CC !as no real aut!ority to direct decisions since t!eir rile is adisory tobe incorporated at t!e $ana (R) discretion

Representation to CC s!ould be deried from t!e (R3s to allow true

stae!older owners!ip

$!ere is danger arger users dominating (R3s and eert t!eir influences

unduly#

(R) is planning to financially facilitate (R3s to implement pro9ects in t!e

catc!ment, t!is may compromise t!e (R3s ability to tae an independent standfrom t!at of (R)

=rogress of t!e management of water resources in t!e $ana Rier basin before and aftert!e creation of t!e $ana (R) can be seen in $able 8#: below

Table #"& P)o)e!! *n 'anae'en of ae) )e!o+),e! *n .eTana R*/e) ba!*n1ater Resources Pro=lems

in t?e Basin

Before creation of RBO fter creation of RBO

Oer abstraction )oderate Some improement

(ater scarcity Critical in middle andlower basin

o c!ange

Floods Critical in lower $ana o c!ange

4nironmental uality )oderate o c!angeand degradation Critical in upper

catc!ment and costal &oneSignificant improement

=ollution )oderate o c!ange

(ater Conflicts )oderate Some improement

Financing Seere Some improement

=articipatory goernance Seere Significant improement

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Reenue collection Seere Some improement

(ater assessment andmonitoring

Seere Some improement

8##: =riority (ater management capacity needs set of priority capacity needs to improe t!e performance of RBO !as been identifiedand is presented below for bot! t!e enabling enironment and t!e institutional setting

4nabling enironment

financial means for long term financial sustainability for $ana (R)

political interference at t!e basin leel is a nagging problem

limited autonomy of $ana (R)

limited CC aut!ority

'nstitutional and situational setting

lac of data due to limited monitoring capacity .e"uipment and

epertise/ and lac of s!aring amongst organisations

s!ortage of staff in t!e non-traditional sills .en!ancement for '(R)for practitioner/

#9 CONCLUSION

$!e $ana (R) is still an infant institution and critical gaps eist for combined sillst!at would enable t!e organisation mae rational, informed and adantageous c!oicesdepending on t!e priority deelopment needs# 4idently t!e deterioration of waterresources in t!e $ana Rier basin is lined to poerty6 capacity initiaties for $ana(R) will eplore ways of epanding water for productie uses as a way of combatingetreme poerty, deelop tradeoffs in sustaining !ealt! ecosystem and reduce water

pollution#

Capacity building of !uman resources is re"uired to en!ance sills and understanding forplanning, water resources assessment, demand management, economics instruments,information management and s!aring, social c!ange and conflict resolution, and becauset!e organisation is epected to outsource serices for deliery of its pro9ects, t!eupgrading of '(R) sills, s!ould incorporate associated priate practitioners#

$!e ey sills and tec!nological c!allenges in need of urgent address include

)anaging flood riss in t!e lower $ana

=rotecting water "uality and monitoring pollution

ddressing water scarcity and competition for water particularly wit! special

regard to t!e more arid part of t!e basin by promoting demand drienmanagement, improing water use efficiency and tapping non-conectionalwater resources

'nducting social c!ange and public education including local political

leaders!ip particularly on cost recoery and conseration, and en!ancing

- Performance and Capacity of River Basin Organizations - D0

8


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participation ensuring deepened inolement of women in decision-maingstructures#


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ANNE? 9& LERMA-CHAPALA-SANTIAGORIVER BASIN; ME?ICO

#" RIVER BASIN OVERVIEW

$!e erma-C!apala-Santiago Basin .-C5-S/ is located in t!e west part of Central)eico, it is t!e second greatest basin of )eico E, and it !as some :features t!at allowsome of its regions to !ave an e+traordinary potential for !uman life$ Once its affluences

were e+tolled7 ,ut now its condition is considered critical and some people predict anecological disaster of great e+tent; .Bo!em et al#, :;;;#/

$!e erma-C!apala-Santiago Basin is one of t!e most important basins of t!e country, interms of economy, society, and enironment# 'ts water resources coer not only t!e :+#+Dmillion in!abitants of t!e basin, but also ;H of )eico CityAs demand t!roug! a watertransfer# *uring t!e last E2 years, t!e population !as increased by D times !ence, someresources, lie water and soil, !ae undergone a constant, growing pressure .t!is increaseoccurred wit!out t!e appropriate planning, distribution and protection of t!e basinresources/, w!ic! !as arisen seere irreersible c!anges to its natural ecosystem#

$!e region meets ;H of t!e demand of )eico City t!roug! t!e lto erma well system#$!e basin !as been witness of a strong urban, agricultural and industrial growt! .somerecords mention t!at t!ere are an approimate of ,E00 different industries wit!in t!ebasin/ .Bertrab, et al 200ED/

E>surpassed 8ust ,y t!at of t!e Bravo River?.Boe!m et al, :;;;/DBertrab 4# J# y (ester =# .200E/ a'in ;oun7il

Main water use: Irriation,%ota&le water 'u$$ly, Lie'to7k

an" In"u'try


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$!e -C5-S Basin represents nearly +H of t!e national territory wit! an approimatearea of :,000 s"uare ilometers, coering :0 states in t!e country# 'ts basic!ydrograp!y includes : sub-basins and :G sub-streams, being t!e erma Rier, and t!eSantiago Rier t!e main inflows#

ccording to CO


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arious )eican rier basins# Below an oeriew of t!e most important actors in t!eerma-C!apala-Santiago basin will be gien#

CO(A9


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5ydrological dministratie Region J''' erma Santiago =acific of CO


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pro9ected# Based on t!ese scores t!e organi&ation can be assessed as relatiely effectiein reac!ing set goals#

;##: =erformance at t!e basin leelRegarding t!e performance of rier basin management at t!e basin leel t!e followingcan be said

=ositie aspects

basin councils promote and enable participation of users and stae!olders

institutional framewor in form of t!e ational (ater aw is in place, w!ic!

considers t!e '(R) principles#

t!ere is a coordinated agreement aimed to t!e basin sanitation

cooperation between goernment agencies is enabled and leads to results .i#e# $!e

Surface (ater


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p!enomena6 and a systemati&ed lac of information to face t!e need of a better.integrated/ nowledge of t!e basin problems#

3nder t!e conditions imposed by t!is contet, w!ic! combines t!e s!ortage wit! t!euncertainty, and a lac of participation and social commitment wit! a inter-institutionaldisconnection, t!e capability and scope of t!e system .federal, state, and localinstitutions/ are surpassed, as well as t!e organi&ations created for t!e participation andconsensus of t!e users .Basin Councils, $ec!nical Committees on super-agency?, on t!e opposite, it is necessary to economi&e and optimi&e t!e institutionalsystem, as well as to etend and to emp!asi&e t!e social participation, generating acommon nowledge w!ic! allows t!e connection and coordination of t!e stae!olders ina recoery and welfare plan wit! medium and large-term benefits# $!e improements

made to t!e legal frame, as well as t!e agreements and consensus t!at !ae been reac!edregarding t!e distribution of t!e surface water wit!in t!e erma-C!apala Basin, representa significant breat!roug! for t!e region# $!is can generate a boost for t!e sustainabledeelopment of t!e basin, by means of t!e implementation of a strategic planning aimedto a '(R) of t!e region#

;#G#: Recommended policyFrom t!e analysis of t!e performance of '(R) in t!e erma-C!apala-Santiago Basin t!efollowing recommendations can be made in regard to improing '(R) principles andpractices#

$!ere is an urgent need of contributing to t!e deelopment of capabilities

inoling and integrated management of t!e water resources, including t!e issuesabout gender e"uity on decision maing, not only wit!in t!e institutional system,but also in t!e userAs organi&ations of t!e basin#

't is necessary to create a process of diffusion and analysis wit! regard to t!e

situation and perspecties of t!e basin problems, inoling all t!e stae!olders,w!ic! is to consider not only specialists or aut!orities, but also t!e different typesof users#

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Final RBO Performance and Capacity

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