2 stakeholder participation - un- · pdf filestakeholder participation in iwrm. ... conflict...
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Conflict Resolution and Negotiation Skills for IWRM
Prof. Dr. Jan Leentvaar
UNW-DPC
UNESCO-IHE
Stakeholder
participation in IWRM
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Conflict Resolution and Negotiation Skills for IWRM
Important definitions
• Public participation (PP) refers to participation by the public (individuals,
NGO’s) in decision-making, ranging
from merely commenting on drafts to co-decision making
• Stakeholder - an agency,
organisation, group or individual who has a (direct or indirect) interest in the
project/programme, or who affects or is affected positively or negatively by
the implementation and outcome of it
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Conflict Resolution and Negotiation Skills for IWRM
Why is Stakeholder/Public
participation important?
• Information transfer
• Gain views, concerns and values from stakeholders
and public
• Obtaining local knowledge
• Taking account of inputs in decision making
• Increasing confidence and inclusivity
• Improving transparency and accountability in decision making
• Reducing conflict
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Conflict Resolution and Negotiation Skills for IWRM
Different types of stakeholders
• Primary stakeholdersintended beneficiaries of a project or those negatively affected categorized according to social analysis often divided by gender, social or income classes, occupational or service user groups
• Secondary stakeholders
(groups of) people who are intermediaries within a project e.g., funding, implementing, monitoring and advocacy organizations or governmental, NGO and private sector key individuals (e.g., heads of departments or other agencies) informal groups of people (e.g., politicians, local leaders, respected religious persons, etc.)
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Conflict Resolution and Negotiation Skills for IWRM
Levels of involvement
– Information and notification
• One way flow of information
– Consultation
• Two way flow of information
– Participation
• Interactive (meetings)
– Negotiation
• Face to face discussion
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Conflict Resolution and Negotiation Skills for IWRM
IWRM and collaboration
• Land use (agriculture, urban development,
industry) has major impact on water
environment
• Manipulation of river / groundwater systems
can affect land use (quantity, quality)
• IWRM seeks coordination of policies, plans
and projects for water with those for other
resources
• Forms an institutional challenge
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Conflict Resolution and Negotiation Skills for IWRM
IWRM and collaboration
• IRWM demands some kind of collaborative
institutional process => multi-stakeholder
platforms
�to define problems
�to identify what is desired and achievable
�to produce agreement on how common
goals will be reached
• Involves wide range of stakeholders in
process of problem-solving and joint
decision-making
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Conflict Resolution and Negotiation Skills for IWRM
IWRM and collaboration
• River basin as unit for water management
• Requires state and regional authorities to
work together across territorial and
administrative boundaries
• Involving stakeholders in decision-making
increase complexity
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Conflict Resolution and Negotiation Skills for IWRM
Multi-stakeholder platforms
• “Stakeholder”
�Individuals, groups or institutions
concerned with or have an interest in
water resources and their management
�Includes all those who affect or are
affected by policies, decisions or
actions
�public sector agencies, private sector,
NGOs, external donor agencies, etc.s
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Conflict Resolution and Negotiation Skills for IWRM
Multi-stakeholder platforms
• “Multi”
�Refers to diversity of identities of
stakeholders
�Different levels of government
�Civil-society, private sector actors
�Farmers, fishermen, tourism, industry,
government, environmental groups,
community groups, special interest
groups
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Conflict Resolution and Negotiation Skills for IWRM
Multi-stakeholder platforms
• “Platform”
�Decision-making body
�Comprising different stakeholders
o perceiving the same resource
management problem
o Realising their interdependence
o That come together to agree on
strategies for solving the problem
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Conflict Resolution and Negotiation Skills for IWRM
IWRM and collaboration
• Better informed decisions
� increased access to information & knowledge
� Feedback from society
• Helps to legitimize decision (processes)
� Information flow back to society
• Reduces risk of implementation failure
� stakeholders involved in solution design, sense of ownership
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Conflict Resolution and Negotiation Skills for IWRM
IWRM and collaboration
• Collaboration involves different organisations
and is based on
• Information exchange
• Dialogue
• Deliberation
• Negotiation
• Shared agreements
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Conflict Resolution and Negotiation Skills for IWRM
Multi-stakeholder platforms
• Collaboration allows stakeholders
�to inform each other about their views
and perspectives
�explore differences
�together look for solutions that go
beyond individual stakeholder’s
capacities and limitations
�to achieve common purpose by
sharing risks, responsibilities
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Conflict Resolution and Negotiation Skills for IWRM
Multi-stakeholder platforms
• Attributes of effective partnerships
�Shared vision
�Compatibility
�Benefits to all partners
�Equitable (not equal) power
�Clear ground rules / procedures
�Process accountability
�Communication
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Conflict Resolution and Negotiation Skills for IWRM
Hierarchical policy model
• Single governmental actor controls process
• Policy objectives
� based on scientific research
� ranked over other societal objectives
� starting point in search of alternative
solutions (instruments)
• Assumption: properly chosen instruments will
make society move to fit the norms
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Conflict Resolution and Negotiation Skills for IWRM
Shortcomings
• Government:
� only limited control capacity
� Sectoral focus: policy objectives from various fields
‘piled up’, not attuned (“conflicts of interest”)
• Actors:
� Complex dependencies not accounted for
� no hierarchical relationship
• Fragmented capacity to solve problems:
� Available knowledge
� Variety in problem perceptions
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Conflict Resolution and Negotiation Skills for IWRM
Network management
• For analysis of policy processes
• For control of policy processes (to achieve
policy goals)
• Network management:
� “Policy process is more a result of a
struggle between actors”
�Conflict of interests between actors
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Conflict Resolution and Negotiation Skills for IWRM
Network management
• Network = set of relationships among
actors (persons / organizations) around
certain problems or conflicts
• Intent: to reach agreement between
various public and private parties on
policy objectives and problem solutions
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Conflict Resolution and Negotiation Skills for IWRM
Network management
• Large number of actors involved
• A single actor unable to solve the
problem: requires co-operation
• Actors are interdependent
• No formal hierarchy between actors
• No single actor is irreplaceable
• Mutual influence of actors
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Conflict Resolution and Negotiation Skills for IWRM
Defining characteristics
1) Multiformity: presence of several actors
Each actor has its own
�Vision
�Objectives
�Problem perception (and solutions
� Interests
� resources
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Conflict Resolution and Negotiation Skills for IWRM
Defining characteristics
2) Interdependency
Actors depend on each other:
�They need each other to come to
solutions
�Acting of one actor affects the others
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Conflict Resolution and Negotiation Skills for IWRM
Defining characteristics
3) Autonomy
• Actors are independent in their actions
• Choose own strategy with regard to
reaching their objectives
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Conflict Resolution and Negotiation Skills for IWRM
Defining characteristics
4) Complexity
• interaction process characterized by
complexity and overlapping objectives
• Due to their divergent objectives, actors
check on others
• Autonomy of an actor depends on power
and position within network
• Formation of coalitions (‘together we are
strong’)
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Conflict Resolution and Negotiation Skills for IWRM
Defining characteristics
5) Dynamics
• relations and interactions between actors
are dynamic and (sometimes) sustainable
• Policy networks develop over time
• Some actors ‘step out’ or come newly into
already existing policy network
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 1) stages
• Initiative stage:
• Creation of organizational conditions
• activation of public & private actors
• Cognitive stage
• confrontation of problem perceptions
• common problem definition & objectives
• detailing of policy objectives
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 1) stages
• Productive stage
�Negotiations on policy, measures,
policy instruments, tasks
• Formalization stage
�Formulation of policy plan
�Agreements on implementation
� package deal / plan
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 2) activation
• Which actors to introduce or leave out?
• Selective activation of actors:
� Include all indispensable actors:
�willingness, opposition, can consensus
be reached?
• Keep total number of actors low
• Determine how parties are represented
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 3) structure
• Closed or open negotiations?
�Closed: faster, but legitimacy problems
�Open: slower, but probably more
support
• Financing
• Human resources
• Information sharing and delivery
• Time frame
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 4) problem definition
• To reach agreement on specification of
policy objectives is major challenge
• Place resolution of issues in wider
developmental perspective
• “How to combine economic development
with water policies” (and sustainable
development)
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 5) interaction
• Usually through some platform or project
group
• Within the this group specific (negotiation)
procedures devised to reach consensus
• Highly case-specific
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 6) mediator
• Mediator as impartial 3rd party to oversee
the negotiation process
• Various roles and functions:
�Opens and maintains communication
channels
� Legitimizes roles of parties
�Helps in exploring problem and
identifying possible solutions
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Conflict Resolution and Negotiation Skills for IWRM
Other aspects: 7) implementation
• Implementation follows after agreement
• Avoid “implementation gap” (between
agreement and actual implementation):
�Commit governmental agencies
�Anchor implementation to specific
targets and schedule
�Set-up an organisational (project)
framework
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Conflict Resolution and Negotiation Skills for IWRM
Benefits
• Starts interaction process
• Shared problem perceptions developed en
route towards solution
• Extension of responsibility for problem
solving in society
• Commitment if potential gain of participation
exceeds that of non-participation
• Policy preparation and implementation
connected
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Conflict Resolution and Negotiation Skills for IWRM
Drawbacks
• Consensus may be reached, but does it
solve the actual problem?
• Risky due to strategic behaviour of actors
• After reaching agreement, implementation
can still go wrong
• Legitimacy of policy
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Conflict Resolution and Negotiation Skills for IWRM
Public Participation and Scale
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Conflict Resolution and Negotiation Skills for IWRM
Public Participation in Water
Management in the Netherlands
• 1300 Water boards
• 1798 National Water Authority
• 1950 International Commission for Protection of the
Rhine (ICPR)
• 2000 EU Water Framework Directive
• 2001 Aarhus Convention
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Conflict Resolution and Negotiation Skills for IWRM
Water boards
• 1000: Local community
• 1300: Regional representatives are elected
• Financed by taxation according to the extend of
property
• Right to say proportional to payment
• 1850: 3000 water boards
• 1955: 2480 water boards
• 1985: 255 water boards
• 2005: 27 water boards
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Conflict Resolution and Negotiation Skills for IWRM
NL-Water boards 1947
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Conflict Resolution and Negotiation Skills for IWRM
NL-Water boards 2009
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Conflict Resolution and Negotiation Skills for IWRM
National Water Authority
• 1798: Part of the Ministry of Transport, Public Works and Water Management
• State in the State
• Ca. 1970: Outer parliamentary opposition
– Presentation of plans
– Public participation
– Communication with interest groups
• 2000: Interactive planning
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Conflict Resolution and Negotiation Skills for IWRM
ICPR and Public Participation
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Conflict Resolution and Negotiation Skills for IWRM
Objectives of the ICPR
• Sustainable development of the entire Rhine ecosystem
• Guarantee the use of Rhine water for drinking water
production
• Improvement of the sediment quality in order to enable
the use or disposal of dredged material without causing environmental harm
• Overall flood prevention and environmentally sound flood protection
• Improvement of the North Sea quality in accordance with other measures aimed at the protection of this
marine area
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Conflict Resolution and Negotiation Skills for IWRM
Observer status NGO
• Criteria
– NGO has to deal with Rhine issues
– International
• Plenary Assembly decides on recognition
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Conflict Resolution and Negotiation Skills for IWRM
Plenary assembly
NGOs can participate as:
• Representative of an NGO-recognized-as-observer
• External expert
• Member of a national delegation
• 1998 9 NGOs recognized
• 2004 12 NGOs recognized
• 2008 17 NGOs recognized
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Conflict Resolution and Negotiation Skills for IWRM
Public Participation in the ICPR
PP
PP
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Conflict Resolution and Negotiation Skills for IWRM
Public Participation:
Distance increases
Water boards
National Water Authority
International Commission for Protection of the
Rhine (ICPR)
EU Water Framework Directive
Aarhus Convention
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Conflict Resolution and Negotiation Skills for IWRM
Public Participation: time consuming?
Profit
Policy preparation ImplementationPolicy making
Interactive Process
Reactive Process
Start
Start
ImplementationPolicy makingPolicy preparation
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Conflict Resolution and Negotiation Skills for IWRM
Alternative Public Meeting Formats
• Public hearing
• Public meeting
• Briefing/question and answer
• Panel/round table
• Large group/small group
• Workshops
• Open houses
• Coffee klatch
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Conflict Resolution and Negotiation Skills for IWRM
Meeting prerequisites
• Time and place of the meeting
• Seating arrangements
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Conflict Resolution and Negotiation Skills for IWRM
Acceptance
• The acceptance of a (political) decision by those affected
will largely depend on the Quality Aspects of the
decision making process.
• Based on the experiences in connection to the River
Rhine the following aspects have been identified
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Conflict Resolution and Negotiation Skills for IWRM
7 Criteria of Quality
• Involvement of public and private parties
• Attention to relevant interests
• Alternative plans for conflicting interests
• Options for compensation
• Formal hearing of public opinions
• Motivation of the decision
• Procedures for appeal
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Conflict Resolution and Negotiation Skills for IWRM
This lecture is partly based on material of Martin Bijlsma, MSc