OECD WGI workshop
on advanced participation

for water governance


Nils Ferrand & Patrice Garin, Emeline Hassenforder, Benjamin Noury, Sylvie Morardet, Sophie Richard, Delphine L’Aot, Bruno Bonté

UMR/JRU G-EAU Managing Water, Stakeholders & Uses

IRSTEA : French National Institute for Research and Technology on Environment and Agriculture - Montpellier, FRANCE

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Context of this session

  • Session held on demand by the WGI board, in response to members’ request during the last internal survey
    • Organized by the Joint Research Unit « UMR G-EAU » (Gestion Eau Acteurs Usages / Management of Water, Stakeholders & Uses) a French public laboratory, expert in Water Governance and Management, member of the WGI (with N. Ferrand, S. Richard, L. Guerin-Schneider) → intervention on IRSTEA budget
    • Facilitators for this session :
      • Dr. Nils Ferrand, decision sciences, coordinator
      • Delphine L’Aot, international development
      • Dr. Emeline Hassenforder, participatory water governance
      • Benjamin Noury, participatory water governance
      • Dr. Sophie Richard, political scientist
      • Dr. Patrice Garin, senior water scientist
      • Dr. Sylvie Morardet, water economist
      • Dr. Bruno Bonté, modeller

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Aims of the session

  • Consider new perspectives on participatory water governance, including larger stakeholders groups & the general public
  • Introduce some original and useful participation methods, relevant for the water governance cycle. Discover some of them in practical sessions
    • Participatory modeling and simulation
    • Pre-participation → « participating about governance processes »
  • Discuss needs and perspectives

(NOT an overview, a course or an expert group)

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Workshop Schedule & Organization

  • 14:30-14:50 Welcome and workshop introduction
  • 14:50-15:45 Practical approach of participatory methods
  • 15:45-16:40 Self-design of a participatory governance process
  • 16:40-16:50 Individual feedback questionaire
  • 16:50-17:30 General discussion

Working in small groups (6) with guidelines & material on your table and with our assistance.

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A common cycle for all projects :

Identification of

a social-environmental issue

Situation assessment & modelling, stakeholder analysis, preferences elicitation, data collection…

Solution development

Operational planning, decision making process, strategy, solution testing, monitoring & evaluation design

Solution implementation

Engineering implementation, monitoring

Expansion

Final evaluation, scaling up, dissemination, sustainability of the implemented activities

DECISION & ACTION CYCLE

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an

Many rationales for participation

Create ownership

Build trust

Empower communities

Educate and raise awareness

Collect local data and knowledge

Develop appropriate activities

Gather various options and ideas

Establish new cooperation

Strengthen the effectiveness of the intervention

OECD report on Stakeholder Engagement for Inclusive Water Governance: “there are many economic, environmental and social benefits to be gained from effectively engaging stakeholders in water policies and projects”.

Resolve conflicts

Support engagement and institutional emergence

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IDENTIFICATION

Engage the relevant stakeholders?

Reveal and share representations?

Collect local data and information?

Frame and structure objectives?

How can we strengthen participation throughout the cycle?

DEVELOPMENT

Prepare a decision making protocol ?

Elaborate participatory planning?

Explore and test various scenarios?

Develop a shared Monitoring and Evaluation (M&E) strategy?

IMPLEMENTATION

Engage stakeholders in autonomous transformation and its M&E?

EXPANSION

Transfer the responsibilities ?

Autonomise the duplication of the intervention?

Support policy makers to lead the scaling out?

Resolve the use of Internet?

HOW CAN

WE?

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UN - Non-Governmental Liaison
Service (sept. 2013) recommendations

“f). Recognize civil society as a key
partner in identifying issues, informing
policies and achieving goals; and in
monitoring and evaluating
implementation, by mainstreaming
participatory processes at various
levels of policy-making, including the provision of access to information; <…>

h) Adopt mechanisms and allocate resources to ensure that civil society, including associations of vulnerable and marginalized people, have the capacity to engage meaningfully in decision-making processes

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P.W.G. : a wide range of actions, investigations & results

Several methods / tools

  • Generic / procedural
    • Focus groups, citizen jury, deliberative polling,
      open forum, world café, forum theater, e-fora,
      PPGIS, town meeting, e-voting, …
  • Targeted at Participatory…
    • Political framing, Establishing principles or aims
    • Setting of Decision Agenda, Rules and Arbitration
    • Sensing / Mapping / Surveillance / Data collection
    • Modeling / Diagnosis / Assessment
    • Foresight / Future visioning
    • Simulation: role playing games,
    • Planning: proposing, integrating, selecting
    • Monitoring & Evaluation
    • Budgeting
    • Funding
    • Guarantee / Certification / Auditing
    • Building / Construction / « Making » / Maintenance
    • Policing / Control / Vigilance
    • Constitution / Institutionalization

R&D Projects (e.g.)

  • European Research: HarmoniCOP, CatchMod, Aquastress, Newater, SLIM, GOVERN, WeSenseIt, Gover-Nat, G-FORS, I-FIVE, CADWAGO…
  • International: CGIAR CPWF, WLE, …

Aims

Integrated Water Management, Restoration, Planning, Public Utility Management (WASH), Climate Change Adaptation, Irrigation, Conflict resolution…

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An innovative participation strategy and toolbox from Irstea : CoOPLAaGE

E.g., in a catchment, a group of water users would like to act to improve their situation and the socio-environmental viability. Guided by a process manager, they cycle with various tools.

1

Preparing a governance protocol

Decide the principles and rules of the emerging participation process.

2

Exploring Justice

Discuss the social justice principles for sharing land and water.

3

Creating a playable model

Prepare a local model for participatory simulations of local situation and new options.

4

Elaborating an integrated action plan

Propose and structure actions, and then assess their coherency, feasibility and efficiency

5

Testing and discussing plans

Experiment the plan with the role playing game and validate a joint adaptation strategy.

6

Monitoring and evaluation

Learn about the changes in knowledge, preferences, actions and relations

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Example of Ugandan process in the AfroMaison project (2011-2014)

1

2

3

4

6

7

Procedural agreement

Focal issue

Implementation plan

Modeling & plan testing

through game

Planning

Actions identification

5

Resource allocation

Monitoring & Evaluation

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M&E: a vital principle for P.W.G. ?

OUTPUTS / OUTCOMES / IMPACTS

Normative (e.g. rules)

Cognitive (e.g. Views, perceptions)

Operational (e.g. practices)

Relational (e.g. trust)

...

CONTEXT

“INTERVENTION”

  • Participatory Planning Process
  • Implementation of Water Governance Principles

KNOW WHAT WE DO

KNOW WHAT WE GET

Expectations

Questionnaires

Participatory observation

Interviews

Debriefing

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2015

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Participatory modeling: the backbone for P.W.G. ?

Participatory modeling : when ALL actors design together the relevant models (i.e. actionable representations) of their situation, options, responses, plans, which they can use to explore, formalize and engage in adaptation

    • Yes, « they » can…
      • Model their own complex hydro-social system
      • Model their own decision values, procedure & rules
      • Model their integrated multi-*** action plan & its impact
      • Use the modeling (& simulation) process to support co-engagement toward a shared future

&… No, we don’t need computers

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WGI

2015

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An innovative participation strategy and toolbox from Irstea : CoOPLAaGE

E.g., in a catchment, a group of water users would like to act to improve their situation and the socio-environmental viability. Guided by a process manager, they cycle with various tools.

1

Preparing a governance protocol

Decide the principles and rules of the emerging participation process.

2

Exploring Justice

Discuss the social justice principles for sharing land and water.

3

Creating a playable model

Prepare a local model for participatory simulations of local situation and new options.

4

Elaborating an integrated action plan

Propose and structure actions, and then assess their coherency, feasibility and efficiency

5

Testing and discussing plans

Experiment the plan with the role playing game and validate a joint adaptation strategy.

6

Monitoring and evaluation

Learn about the changes in knowledge, preferences, actions and relations

This workshop focus :

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2015

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What we’ll do next :

Act « as if » you were real actors of a Water Catchment, to explore some participatory methods

  • Discover this common (abtract) case study
  • Model it with a simple (but integrative) tool
  • Simulate 2 scenarios
  • Design an action plan
  • Consider participatory actions & integrate them in the design of a decision procedure –hopefully participatory- for water management

On the way, please comment, question on your individual feedback form.

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2015

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Let’s consider a generic (abstract) case study

« We live in a coastal region, in the Erhno catchment. Features :

  • A large city (500.000 px), high demographic growth (immigration),
  • Mixed agriculture with family farming, commercial orchards & wine (developing irrigation), vegetables and corn,
  • Intense & seasonial touristic activity near the coast,
  • Petrochemical (seaside) and food industry,
  • Brackish laguna with RAMSAR bird area downstram
  • Mountains & forests upstream in the natural park,
  • Large multi-purpose dam, hydroelectricity, tourism .
  • Shallow aquifer downstream between the city and the coast

Issues:

Summer scarcity, mid-season floods, pollution peaks

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Map

SEA

Heliopol

Erhno Dam

Mountains

Laguna

Sea resort

Hotels, Campsites

PetroChem

Wine

Wine

Orchards

Irrigation

Corn

Aquifer

Food

Processing

unit

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This catchment challenges

  • For the last 15 years, recharge of the dam and the river flow have clearly diminished, with impact on aquifer and wetlands
  • Family farming made difficult by low surface water access
  • Water utilities in city should be expanded to match growth
  • Irrigation demand grows (commercial) but limited network
  • The two factories play a key economic role, but the PetroChem plant is challenged after a pollution spillover in the river and the protected laguna.
  • Overarching regulations ask for ecosystems protection

A new strategy for water and land management has to be decided and implemented

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Participate to explore participatory modeling

Please pick a role among:

  • Director of the Catchment & Water Agency
  • Mayor of the Heliopol city
  • Representative of the Environmental NGO
  • Delegate of the SmallHolders Farmers Association
  • Chair of the Commerce & Industry Chamber
  • « The People of Erhno » delegate (citizens’ group)

In the next steps, please try to react as you think this actor would do in « real operations ».

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2015

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Action 1 Participatory Modeling (15’)

Step 1.1

Map Hydrosyst

Select and organize elements from the *catchment mapping kit* to represent on your table your common vision (map, model) of the water system. Fill the dam bucket –if any- with 10 drops, mixed colors.

Step 1.2

Create

Create & add 1 or 2 new mapping elements if they are missing (Use Post-It to draw or name them)

Step 1.3

Model

Land-use

Discuss, choose and install ~12~ *action cards* for your model. Only one *action card* goes on one land plot card.

Step 1.4

Audit

On the set situation, audit current operation cost for each actor, as well as population, jobs and satisfaction.

→ Get participants to build and share a common dynamic model of the situation, including biophysical, social, economic & policy issues

→ NOTA !!! This simplified version does not include management / governance actions → please feel free to invent them

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Reading / using an action card

Name

Pollution sensitivity
indicator

Operation cost

Water needs

Dry

Normal

Population

Jobs

Returned water

Dry year

Normal year

Income

« Smiley »

« Angry »

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2015

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Action 2 Participatory Simulation (20’)

Step 2.1

Fill
river

Fill the *river bucket* with 15 water drops (blue). Put it upstream your river system.

Step 2.2

Flow, use, return…

Flow the *river bucket* step by step. Each user collects water from it (no filter = no sorting !), « consumes » it (for action), and returns directly *used water* (red drops) to the bucket.

Step 2.3

Issues…

Not enough water ? Or water too polluted for your

activity ( max 50%, 0% !) ? → Failed activity !!

Step 2.4

Impacts

Monitor final economic situation (if successful) and monitor the river and dam status (quantity, quality), as well as other indicators. Anything else to observe ?

Step 2.5

Climate
change

Repeat a second similar round with only 10 drops. Assess and discuss changing activities.

→ Get participants to explore together the dynamics of the socio-hydro system, to react and organize management & governance.

Normal
Climate

Drought

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Monitoring results

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((( More Options if you wish and have time )))

Option 1

Add

Resources

Socio-hydrosystems do not run *only* on land, water, labor and money → you can specify other resources: e.g. food, energy, biodiversity, social willingness...

Actions « use » or « produce » them. And they evolve in the natural or social environment. How ? Propose processes & rules if required.

Option 2

Add Actions

Many other actions can be proposed and used. Edit *blank action cards* to specify you own. Agree on values and specific rules.

Option 3

Add

Events

Scenarii ? External Drivers ? Add events which can happen in time, as steps in the process or as random events.

Many extensions are possible in the modeling process, considering needs, participants, etc.

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2015

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Action 3 Integrative Planning CooPLAN (15’)

Step 3.1

Aim

Formulate aim(s) for your future catchment management plan. Write on your *COOPLAN* banner.

Step 3.2

Propose

Every participant can propose up to 2 new options (proposed interventions) using the *option model* card

Step 3.3

Integrate

Discuss to select some, and organize the sequence of options in your *COOPLAN*.

Step 3.4

Assess

Discuss coherency, feasibility and efficiency, looking at the *Requirements* (left) and *Impact* (right) sides

Option
Test

How would you test this strategy with the simulation?

→ Get participants to build and discuss suitable actions, and integrate them in coherent actions plans.

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Filling a CooPLAN Option Strip

RainWater
Infiltration

Open area for
infiltrating water to the aquifer

  • Naming the option proposal

& specify details

2. Specifying implementation level

3. Specifying the estimated levels /
intensity of resources (material or
immaterial) required for this option.
4 levels : 0 / + / ++ / ++++

Darken boxes with a marker

4. Describing the anticipated /
expected impacts for each criteria
→ can be positive or negative

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CooPLAN Integration matrix

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Action 4: Get Ready for PrePar (10’)

Step 4.1

Consider the *Participatory Actions* and the *Participatory Roles* cards. Discuss them.

Option 4.2

Propose

Use the *Participatory Action* template to add other method(s) you want to propose. Explain them.

Option 4.3

Evaluate

Organize all of them on the feasibility / efficiency matrix. Discuss.

→ Get participants to understand possible participatory methods / tools

In the next phase (PrePar), you’ll have to decide how the participatory process should be organized, with / by / for whom, with which method, in order to get your water management plan designed, agreed and implemented.

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Action 5 Prepare Participation: PrePar (40’)

Step 5.1

Look at the multi-level *PRE-PAR chart*. Understand: lines = scales, actors // columns = phases.

Step 5.2

For each phase, you can specify up to 2 sub-steps (or not). Write captions on the headline with post-its.

Step 5.3

For each step, WRITE *participatory actions* and/or *participatory role* (ref. cards) at their main implementation scales. If multi-level, specify WHO is engaged by *drawing* vertical lines or dots. Write Outcomes on the bottom line.

Option

5.4

Add *Alert Stars* where you consider there is a risk / contingency in the plan. Discuss solutions.

What happens in case of conflict during the process ?

→ Get participants to build and agree on a plan and rules for decision and participation, at different levels

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Action 6 Individual feedback (10’)

Please fill the individual feedback form on paper or online at :

http://pwg.watagame.info

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Action 7 Global Discussion (40’)

In your address, please specify topic:

  • Pros & Cons of Fostering Wider Participation for Water Governance
  • Value of new methods (please ref. to *Participatory Action* cards)
  • Participation to design participation → PrePar vs. usual engineering
  • Emerging needs and expectations

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THANK YOU !!!

All results will be shared through the OECD WGI coordination.

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