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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