Participation: Rhetoric and Reality. The Importance of Understanding Stakeholders Based on a Case Study in Upper East Ghana

Based on the views of a number of stakeholders involved in the development of small reservoir systems in the Upper East Region of Ghana in West Africa, this paper examines the importance of understanding the stakeholders whom the international development community wants to include in its participatory approaches. The paper also aims to show that terms such as ‘participation’, ‘participatory approach’ and ‘participatory planning’ are often used in project proposals, but that in reality the extent to which stakeholders are actually able to participate in projects is limited. This limitation is often due to a lack of understanding by the project organization of the interests and views of the stakeholders, which are then not incorporated in the project process. A stakeholder analysis could provide more insight in the interests, goals and views of all stakeholders involved in a project, as well as in the differences between the stakeholders. In the development of water resources, the long-term sustainability of a project's work is dependent on the manner in which relevant (often local) stakeholders continue the process after the official time of the project has ended. Thus, since the project is dependent on the involvement of relevant stakeholders, the formulation of adequate and appropriate forms of stakeholder engagement that will ensure information exchange and participation is essential. However, as the case study shows, such analyses were not always carried out, thus leading to a number of problems with project implementation and also with transplantation from one region, district or community to another.     

Integrating Stakeholders’ Preferences into Water Resources Management Planning in the Incomati River Basin

Stakeholder participation is a key principle of the integrated water resources management. It is a central issue in planning and decision making processes for the development of suitable water resources management strategies at the river basin level. This study tests a methodology for identifying stakeholders’ preferences regarding water resources management objectives, to incorporate them in the design of water resources management plans at the river basin level. The empirical application of this study focused in Mozambique, on the Incomati river basin. This research applies the Analytical Hierarchy Process (AHP) method to evaluate stakeholders’ involvement and participation in the selection of water resources management plans. This research revealed that there are heterogeneities in stakeholders’ individual groups preferences regarding water resources management objectives and the management options of their satisfaction. Furthermore it revealed the potential utility of the AHP methodological framework in facilitating stakeholders’ participation and involvement in planning and decision-making processes for the development of water resources management plans. The application of this approach may improve water governance at the river basin level through higher commitments of stakeholders to the proposed objectives.     

Equitable Gender Participation in Local Water Governance: An Insight into Institutional Paradoxes

The participation of local stakeholders in governance of water resources is regarded as inalienable for ensuring efficiency, effectiveness and sustainability. To enhance gender balance in the water governance process, institutions are being designed and executed globally to elicit enhanced participation of women. This paper contends that in the context of local communities, the new institutional framework is divorced from the traditional social institutions that in turn operationalize their resource management systems. Based upon empirical evidence from rural Indian setting, the paper deciphers the paradoxes between the two sets of institutional paradigms and illustrates how these paradoxes at the ‘interface’ between the local community context and the development strategy lead to problems with effective women’s participation. On the basis of the findings, it argues that the institutional paradigm for achieving equitable gender participation in local water governance does not represent a truly ‘bottom-up’ approach. It further raises the concern that if the institutional paradigm for participation is contradictory to local institutions, then how can the objectives of participation founded thereupon be seen as achievable? The paper proposes the need to design participatory paradigms that are more realistically rooted in community-based institutional frameworks so as to enhance effectiveness of the endeavors.     

Water Policies and Conflict Resolution of Public Participation Decision-Making Processes Using Prioritized Ordered Weighted Averaging (OWA) Operators

There is a growing interest in environmental policies about how to implement public participation engagement in the context of water resources management. This paper presents a robust methodology, based on ordered weighted averaging (OWA) operators, to conflict resolution decision-making problems under uncertain environments due to both information and stakeholders’ preferences. The methodology allows integrating heterogeneous interests of the general public and stakeholders on account of their different degree of acceptance or preference and level of influence or power regarding the measures and policies to be adopted, and also of their level of involvement (i.e., information supply, consultation and active involvement). These considerations lead to different environmental and socio-economic outcomes, and levels of stakeholders’ satisfaction. The methodology establishes a prioritization relationship over the stakeholders. The individual stakeholders’ preferences are aggregated through their associated weights, which depend on the satisfaction of the higher priority decision maker. The methodology ranks the optimal management strategies to maximize the stakeholders’ satisfaction. It has been successfully applied to a real case study, providing greater fairness, transparency, social equity and consensus among actors. Furthermore, it provides support to environmental policies, such as the EU Water Framework Directive (WFD), improving integrated water management while covering a wide range of objectives, management alternatives and stakeholders.     

More Sustainable Participation? Multi-Stakeholder Platforms for Integrated Catchment Management

This paper argues for realistic expectations of Multi-Stakeholder Platforms (MSPs). MSPs are currently a hot topic in the water policy community, despite voices of disillusionment with participation in development work. Research carried out in Peru, Argentina, India, South Africa and Belgium suggests that platforms certainly can prove helpful networks in communication on and management of competing claims to water, managing coordination problems, coalition-building and/ or visioning. However, experience has put paid to implicit and explicit expectations from platforms, especially with a view to the integration of knowledge and actors. It makes no sense to separate distributive negotiation and politics (‘bad’) from integrative negotiation and social learning (‘good’). Platforms mix both modalities of negotiation, and actors may strategically withhold or contribute their knowledge. Second, no significant power sharing (vertical inclusion) takes place. A typology of MSPs ranked by influence finds no platform with a significant mandate. It is suggested that MSPs are an institutional bargaining space that is especially useful for visioning and information exchange, but cautioned not to insist that ‘water MSPs’ confine themselves to water issues only, and to institutionalized groups only. For some stakeholders, the communication and information process itself is good enough, but others will want results: ‘food on the table’. Some stakeholders will never join as they do not see how it benefits them and/or because they find it more advantageous to work around the platform. Initiators of platforms for stakeholder involvement in water management should therefore be very clear on what the participatory process aims at and can realistically achieve.     

Participatory Optimization Scenario for Water Resources Management: A Case from Jordan

Participatory optimization scenario process was developed for water resources management of the Zarqa River Basin in Jordan. The basin was selected to represent a case study of semi-arid area in the Mediterranean because of its entire range of prototypical water management problems. The nature of the institutional framework, the severity of the water related problems and concentration of population in the basin have required the need for stakeholders’ involvement in the optimization process. The paper demonstrates a Water Resources Model (WRM) consisting of integrated cascade of modules, embedded in a framework of a participatory approach in water resources optimization. The system includes baseline scenario, identification of constrains and instruments, the optimization scenario and analysis of results. In a participatory approach, stakeholders identified the optimization criteria (constraints) and the management interventions (instruments). Constraints were set to securing high supply/demand ratio of 0.98 and improving reliability of supply to 75 %, while specific eight instruments were suggested and manipulated by the model to achieve the above criteria. The results of the WRM optimization scenario showed that the specified constraints were met so that the supply/demand ratio increased from 0.90 to 0.996 and the reliability of supply improved from 58 % to 84 %. The benefit/cost ratio, water shortfall, and the economic efficiency had responded effectively. The model proved its efficiency in using the full featured basin characteristics towards baseline and optimization scenarios with the support of stakeholders in simulating the basin behavior over time using the model parameters.     

Harmonised Principles for Public Participation in Quality Assurance of Integrated Water Resources Modelling

The main purpose of public participation in integrated water resources modelling is to improve decision-making by ensuring that decisions are soundly based on shared knowledge, experience and scientific evidence. The present paper describes stakeholder involvement in the modelling process. The point of departure is the guidelines for quality assurance for ‘scientific‘ water resources modelling developed under the EU research project HarmoniQuA, which has developed a computer based Modelling Support Tool (MoST) to provide a user-friendly guidance and a quality assurance framework that aim for enhancing the credibility of river basin modelling. MoST prescribes interaction, which is a form of participation above consultation but below engagement of stakeholders and the public in the early phases of the modelling cycle and under review tasks throughout the process. MoST is a flexible tool which supports different types of users and facilitates interaction between modeller, manager and stakeholders. The perspective of using MoST for engagement of stakeholders e.g. higher level participation throughout the modelling process as part of integrated water resource management is evaluated.     

流域管理中公众参与的探讨与思考

流域综合管理已成为水资源管理的有效模式.有效的公众参与成为流域综合管理成功的关键因素.对公众参与流域管理内涵、流域管理中相关利益群体分析及有效的公众参与方式三方面进行总结与探讨,提出随着流域良治理念的深入,有效的流域管理公众参与需要对相关利益群体进行界定,应用多学科方法与工具吸引尽可能全面的参与者与群体,并在参与过程中加深公众对管理行为的理解,提升公众的参与能力,从而引导公众对环境做出科学决策,同时认为,尽可能全面而广泛的流域管理公众参与将是实现流域良治的有效途径.     

Participatory dam systems modelling: a case study of the transboundary Guadiana River in the Iberian Peninsula.

Modelling tools have been widely used to investigate best management practices. But in contrast to the plethora of modelling studies, the practical implementation of outcomes is comparatively small. There is an urgent need to implement results and to show the practical validation of the concept developed, especially against the context of water stress mitigation. The participative development of modelling studies as a joint effort of stakeholders and modellers is seen as a key to achieve a wider identification, acceptance, trust and applicability of results. Participatory planning in the water sector is also increasingly requested in water management, where tasks have been for clarified decades through different institutional arrangements and national laws. Stakeholder involvement in water resources management have been limited to what was long time seen as participation, merely information on action to be taken. In the last decade the need for participation has been reflected in different ways. In Europe, the implementation of the Water Framework Directive (WFD) under Art. 14, requires all the European countries to involve stakeholders in decision making processes on water resource management. The aim of this paper is to present and discuss the research framework and possible results of investigating dam modelling through participatory systems modelling. We introduce a structured approach to use participatory modelling (PM) for stimulating the integration of modelling and decision making, also as a way of implementation of some articles of the WFD. The results and the framing of this paper are part of the AQUASTRESS Project. The conceptual modelling has been developed by a multidisciplinary research team, local stakeholders and local experts. Some results are discussed and recommendations made.     

Understanding emergent participation practices in water governance

ABSTRACT

This introductory article discusses the proliferation of different forms of participation in water governance. It is argued that creating public value through participation can only succeed when effective co-creation between public authorities and communities emerges. However, challenges to realizing co-creation are manifold, and differ among the various types of participation. In this respect, we introduce a typology of different forms of participation, based on the distinction between top-down (invited) and bottom-up (created) participation. We use this distinction to analyze different dynamics in participatory water governance and to delve deeper into the dilemmas and trade-offs. Lastly, the various contributions to this special issue are introduced.     

Decision Support for Mainstreaming Climate Change Adaptation in Water Resources Management

Climate change adaptation (CCA) has recently emerged as a new fundamental dimension to be considered in the planning and management of water resources. Because of the need to consider the already perceived changes in climate trends, variability and extremes, and their interactions with evolving social and ecological systems, water management is now facing new challenges. The research community is expected to contribute with innovative methods and tools to support to decision- and policy-makers. Decision Support Systems (DSSs), have a relatively long history in the water management sector. They are usually developed upon pre-existing hydrologic simulation models, providing interfaces for facilitated use beyond the limited group of model developers, and specific routines for decision making (e.g. optimization methods). In recent years, the traditional focus of DSS research has shifted away from the software component, towards the process of structuring problems and aiding decisions, thus including in particular robust methods for stakeholders’ participation. The paper analyses the scientific literature, identifies the main open issues, and proposes an innovative operational approach for the implementation of participatory planning and decision-making processes for CCA in the water domain.     

Implementing the EU Water Framework Directive: Experiences of Participatory Planning in the Ribble Basin,North West England

Abstract

The Water Framework Directive (WFD) is potentially the most significant piece of water management legislation to be developed by the European Union (EU) in the last forty years. Whilst water legislation is already regarded by many people as the ‘gold plating’ of EU environmental policy, many of the previous regulations and policies have focussed on specific point and non-point source water quality problems and have stipulated stringent standards to be achieved within specified time limits. In sharp contrast, the WFD aims to establish a planning and management framework for sustainable use of water and the ecological restoration of entire river systems, many of which do not fit neatly within the political or administrative boundaries of the Member States. Public participation in planning and management decisions is a key aspect of the WFD. This paper describes the specific requirements of the WFD for public participation and examines their implementation in the Ribble basin in North West England. The Ribble is part of a EU river basin network designed to test the WFD implementation guidelines issued by the European Commission. Particular challenges associated with engaging stakeholders in WFD implementation are highlighted and recommendations for future practice are offered.     

Multicriteria Analysis for the Assessment of Flow Release Scenarios from a Hydropower Plant in the Alpine Region

The Alpine region is an area of conflict between the significant demand for hydropower (HP) generation and the protection of landscape and aquatic ecosystems. Decision Support Systems, like multicriteria analysis (MCA), represent suitable tools to support decision-makers and stakeholders in managing the use of water resources in a more sustainable way. Based on a set of “quality indexes” identified in a previous study, the present paper analyzes the use of MCA in a real case study of HP sustainable management in Aosta Valley, one of the most important Italian regions for HP production. The Simple Additive Weighting (SAW) methodology was applied to quantify the flow to be released by an existing HP plant, in order to balance production needs and watercourse environmental conditions protection considering four criteria (Energy, Environment & Fishing, Landscape, and Economy). The decisional process was developed within a collaborative and participatory framework, involving key stakeholders in every decision-making step, and the obtained results were officially adopted by the Regional Government. In the paper, some innovative aspects of the case study are presented and discussed, like the elaboration of reactive indicators related to the watercourse discharge, progressively updated with the stakeholders along the process, and the definition of “real-time” alternatives, relating the flow releases to the natural discharges in the watercourse. Finally, some weaknesses of this MCA approach are identified and suggestions for improvements in future experimentations are proposed.

     

Can England Learn Lessons from Bangladesh in Introducing Participatory Floodplain Management?

Public or stakeholder participation in planning and management of natural resources is now widely practiced, but means different things in different contexts. Examples of recent participation in floodplain management in Bangladesh and England are reviewed in the national policy context. Participation in floodplain planning in England is influenced by a centralised state and European Union directives. The Ribble process tried to involve a wide range of stakeholders, but is limited to the development of plans through consultations structured and managed by the Environment Agency. By comparison in Bangladesh local participatory planning with different stakeholders has articulated their separate needs and suggestions, and brought them together to search for consensus. Decision making and responsibilities over flood management infrastructure and floodplain resources have been devolved to community organisations and co-management committees formed through the participation process. The Bangladesh examples show how participation can be made more accessible to people through events that have real local meaning since representatives gain power to raise funds and implement decisions for the benefit of their stakeholder constituencies. In Bangladesh rural populations dependent on floodplain resources have an incentive to participate in implementation and oversight of management decisions and actions that is lacking for most urban people in England. However, the merits of building up from local participation to catchment planning and of linking floodplain specific participatory institutions with existing local government are lessons that could be adapted from Bangladesh to England.     

Hydro-economic Modeling in River Basin Management: Implications and Applications for the European Water Framework Directive

Economic ideas and processes are becoming increasingly integrated with more traditional engineering and hydrologic models of water management problems. Combining economic management concepts and performance indicators with an engineering-level of understanding of a hydrologic system can provide results and insights more directly relevant for water management decisions and policies. When such models are developed and used with involvement of stakeholders, they can become a basis for shared understanding of water problems as a foundation for negotiated management and policy solutions. When implemented with optimization software, integrated hydro-economic models also can suggest promising innovative solutions for policy-makers to consider. Their applications to river basin management problems are reviewed. Economic and integrated economic-engineering-hydrologic modeling is then discussed in the context of the evolving European Water Framework Directive. Relevant items are cost recovery and water pricing, cost-effectiveness of water management measures, and public participation in decision processes.     

A Participatory Process Approach to Development of a Comprehensive Water Resources Management Plan for Sri Lanka

ABSTRACT

A strategic framework and action plan for comprehensive water resources management in Sri Lanka were developed, using a “participatory process approach.” This approach incorporated a number of elements, including seminars of the steering committee of senior oficials, a series of technical workshops facilitated by international experts, numerous interviews of officials and stakeholders, field inspections, consultation and synthesis of documentation, and a final two-day workshop/retreat. The emphasis of the process was to draw on the widest possible range of skills and to obtain a consensus among all stakeholders. The intended project outputs, the strategic framework and action plan, were successfully achieved. In addition, less tangible but possibly more important outcomes that were achieved included agreement to the framework and plan by senior officials from virtually all water-sector organizations, a heightened level of interaction and understanding of others' perspectives among officials and stakeholders, and an enhanced level of knowledge of alternate approaches to water resources management.

A number of conclusions can be drawn from the exercise. Perhaps most significant is the crucial importance of negotiation and communication skills, in addition to the more familiar technical skills and knowledge required in water sector planning and management.     

Designing a Hydrological Real-Time System for Surface Water and Groundwater in Denmark with Engagement of Stakeholders

Increasing attention on extreme hydrological events has created considerable demand for real-time information on surface water, groundwater and the unsaturated zone. In the present study, we describe how to convert a national water resources model (DK-model) covering the entire freshwater cycle in Denmark to real-time application. We have engaged stakeholders in the process of designing a hydrological real-time system. The participatory approach has been supported by a web-based questionnaire survey and a participatory workshop. A system prototype presented to the stakeholders simulates groundwater levels, streamflow and water content in the root zone with a lead time of 48 h. The active engagement of stakeholders has provided very valuable insights and feedbacks regarding how model and data should be combined in a real-time to best supporting water resources management.     

Public Participation in European Water Management: from Theory to Practice

Public and stakeholder participation in water management is a crucial element in the EU Water Framework Directive (WFD). Theoretically, the WFD identifies several advantages of public participation, such as the better use of knowledge and experiences from different stakeholders, increases in public acceptance and reduced litigation, delays, and inefficiencies in implementation. However, few studies have gone as deep, in practical terms, as the existing difficulty to introduce public participation in water management. The aim of this study was to cover this issue. It aims to conduct a literature review on public participation looking for successful social innovation experiences by the EU member states and also for the main limitations and difficulties of implementation detailing the study of the Spanish case.     

灌区整体效益模型在水库水量分配中的应用研究

水资源短缺及其水生态环境问题,已成为严重制约中国经济发展的重要因素。因此,如何对有限的水资源进行优化配置研究,已成为水资源规划与管理中的热点问题。文章运用多目标规划理论,建立了以经济、社会、财务等综合效益目标化最大的冯家山水库水量优化配置模型。通过确定模型各参数,调用Matlab优化工具箱中的函数进行编程求解,得到冯家山水库不同规划水平年(2015年、2020年)的水资源优化配置方案,为库区水资源规划与管理提供科学依据。     

Improved Understanding on the Searching Behavior of NSGA-II Operators Using Run-Time Measure Metrics with Application to Water Distribution System Design Problems

In recent years, multi-objective evolutionary algorithms (MOEAs) have been widely used to handle various water resources problems. One challenge within MOEAs’ applications is a lack of understanding on how various operators alter a MOEA’s behavior to achieve its final performance (i.e., MOEAs are black-boxes to practitioners), and hence it is difficult to select the most appropriate operators to ensure the MOEA’s best performance for a given real-world problem. To address this issue, this study proposes the use of the run-time measure metrics to reveal the underlying searching behavior of the MOEA’s operators. The proposed methodology is demonstrated by the non-dominated sorting genetic algorithm II (NSGA-II, a widely used MOEA in water resources) with five commonly used crossover operators applied to six water distribution system design problems. Results show that the simulated binary crossover (SBX) and the simplex crossover (SPX) operators possess great ability in extending the front and finding Pareto-front solutions, respectively, while the naive crossover (NVX) strategy exhibits the overall worst performance in identifying optimal fronts. The obtained understanding on the operators’ searching behavior not only offers guidance for selecting appropriate operators for real-world water resources problems, but also builds fundamental knowledge for developing more advanced MOEAs in future.