Presentation is loading. Please wait.

Presentation is loading. Please wait.

Innovative Research Issues Addressing Policies, Institutions and Governance Challenges of Irrigation in Twenty-First Century Ganesh P Shivakoti, PhD Professor.

Similar presentations


Presentation on theme: "Innovative Research Issues Addressing Policies, Institutions and Governance Challenges of Irrigation in Twenty-First Century Ganesh P Shivakoti, PhD Professor."— Presentation transcript:

1 Innovative Research Issues Addressing Policies, Institutions and Governance Challenges of Irrigation in Twenty-First Century Ganesh P Shivakoti, PhD Professor of Agricultural and Natural Resources Asian Institute of Technology Thailand

2 Presentation outline Introduction Emergence of methodological approaches for policy feedback Linking policy with local context An Agenda for Policy Research and Initiative in Responding Challenges

3 Introduction Major changes in irrigation policies over the periods – Participatory planning and decision making about irrigation investments – Management transfer programs – New approaches toward assistance to farmer-managed irrigation systems, and – Joint financing of irrigation systems

4 Introduction….. Over last few decadesfocus on improving institutional framework – However, not sufficient for developing effective institutions needs understanding of dynamic of institutional development Increased water scarcity and quality concerns have generated new approaches to water management and reform – responding to competition for water between agriculture and other sectors – degradation of water quality and water reclamation – climate change and global warming

5 Introduction….. Trans-basin and trans-boundary water transfers – Lack of appropriate institutions (River basin committees) – Property rights and water rights – Resistance against dam construction Rapid economic development and changes in political and social setting has posed a new setting to irrigation management Economic development has changed farmers cost-benefit calculus of irrigation management

6 Introduction….. At the beginning of the twenty first century, additional water related issues are emerging: – Coping mechanisms with the states retreat policy, alternative modes of governance and management at irrigation system levels Multifunctional WUAs Alternative O&M Mechanisms Farmers-to-farmers training approach – Policy feed-back through innovative methodological approaches

7 Emergence of methodological approaches for policy feedback Earlier papers mostly focused on use and efficiency of water resource In recent decades, irrigation management reform and impact of interventions have been matter of concern Some emerging methodological approaches: Dynamics study with cross-sectional data Integration of hydrological boundary with political boundary Analyzing effect of intervention overtime Livelihood asset pentagon: Analytical framework for irrigation system performance assessment Rules and collective actions for improving irrigation governance

8 Methodological approaches….. Dynamics study with cross sectional data Study about the dynamic aspects of evolution of irrigation policy and institutions using cross-sectional data Scholars from The University of Hong Kong and Asian Institute of Technology have devised an approach trying to capture dynamism of irrigation management with changes in macro level political, economic and social settings in country Asian Irrigation Institutions and Systems (AIIS) Dynamics study and Database Management project Compares cases of three countries; Nepal, Thailand and Taiwan

9 Methodological approaches….. Dynamics study with cross sectional data……. Stages of economic development Framework to capture dynamism with cross-sectional data Time Variable (proxy) Nepal Thailand Taiwan Differences in management considering stages of growth as proxy for time

10 Methodological approaches….. Integration of hydrological boundary with political boundary Conventional studies on irrigation management have focused either on hydrological boundary or on political boundaries as study units As water resources follow natural boundaries (river basins, watersheds), the concentration on administrative boundary will not capture the characteristics of resource well Similarly, the irrigation systems and water use in different ecological regions vary significantly The integration of the hydrological boundary with political boundary allows us to capture both the characteristics of water resources and human/management factors

11 Methodological approaches….. Integration of hydrological boundary with political boundary…. In our ongoing study we have tried to integrate hydrological boundary (river basins) with administrative/political boundary (regions) and ecological boundary The approach divides country into comparable regions considering major river basins and ecological regions which is covered from all the administrative regions

12 Sampling strategy of the study At broader level, covered major river basins; representing different ecological regions (hills and plains) as well. At system level, representing both farmer managed irrigation systems (FMIS) and agency managed irrigation systems (AMIS) from both ecological regions, wherever applicable. Three criteria have been adopted for selecting irrigation systems: – Ecological region – Economic characteristics – Management structure

13 Major river basins of Nepal

14 Sampled regions with number of systems in Nepal Major basinRegionRiver basinsERDRDistrictNumber Koshi1Mechi, KankaiPlain TeraiEasternJhapa2 Mechi, MaiMid-hillEasternIlam3 2KoshiPlain TeraiEasternMorang3 TamorMid-hillEasternDhankuta2 3SunkoshiHillCentralSpalchowk3 4KamalaPlain TeraiEasternSiraha2 Gandaki4BagmatiPlain TeraiCentralSarlahi2 5E RaptiMid-hillCentralMakwanpur3 E RaptiPlain TeraiCentralChitwan4 6MarshyangdiMid-hillWesternLamjung2 MadiMid-hillWesternTanahu4 7KaligandakiPlain TeraiWesternNawalparasi2 KaligandakiMid-hillWesternPalpa2 TinauPlain TeraiWesternRupendehi2 Karnali8W. RaptiMid-hill/valleyMid-westernDang3 W. RaptiPlain TeraiMid-westernBanke3 9BheriMid-hillMid-westernSurkhet3 ThuliPlain TeraiFar-westernKailali2 Mahakali10MahakaliPlain TeraiFar-westernKanchanpur3 Total50

15 Major river basins of Thailand 1Salawin14Mae Klong 2Mekong15Prachin Buri 3Kok16Bang Pakong 4Chi17Tonle Sap 5Mun18East Coast Gulf 6Ping19Phetchaburi 7Wang20Prachupkiri-Khan Coast 8Yom21East coast basin 9Nan22Ta Pi 10Chao Phraya23Thale-Sap Songkhla 11Sakae Krang24Pattani 12Pa Sak25West Coast 13Tha Chin

16 Sampled regions with number of systems in Thailand Major BasinRegionRiver basins ERDRProvinceNo of systems Kok1FangHillNorthChiang Mai4 Ping2-5Khan, Klang, Ngat and Kuang HillNorthChiang Mai14 Chi6Upper basin Undulating plain North-EastKhon Kaen6 Mae Klong7KlongHill/plainWesternKanchanaburi6 Chao Phraya 8Upper basin PlainCentralChainat8 Eastern Coast Gulf Basin 9East coastPlainEasternRayong6 Ta Pi10Ta PiPlainSouthernSurat Thani6 Total50

17 Institutional change and dynamics: Theoretical framework of the analysis Earlier analytical frameworks tried on institutional decomposition and analyzing institution-performance interaction, however, did not measure the exogenous influencing factor explicitly We try to develop a theory of institutional change that could describe and explain why and how institutions evolve in different settings and how they affect performance of irrigation system We have developed two separate analytical framework for assessing institutional change and performance of irrigation systems

18 Analytical Framework for Assessing Institutional Change Institutional Change Exogenous change agents: Political stability, state of economic development, State policies, accessibility and commercialization Institutional and social attributes: design of institutions and occupation Physical attributes: type of system & degree of water scarcity Governance regime: Legal recognition of WUA, degree of autonomy Adoption of set of new rules Change in common understanding Resistance to change Causes Unobserved ConstructIndicators

19 Analytical Framework for Assessing Performance Performance Physical condition Water delivery Agricultural productivity Political stability, State policies Physical attributes: type of system & degree of water scarcity Economic Pressure: State of economic development, accessibility and commercialization Social context: Occupational status of the community Institutional context: design of institutions and autonomy Local irrigation institutions

20 Empirical analytical approaches and proposed models Assessing institutional change Institutional change is the outcome of series of choices of rules made by a group of individuals Multiple Indicator Multiple Cause (MIMIC) model We include three observable indicators of institutional change; and four groups of causal factors in our analysis using MIMIC model

21 Definition of indicators and causal factors of institutional change VariablesDefinitionValue Unobserved construct INSCHNGInstitutional change in irrigation management0..2 Indicators of institutional change NRULEAdoption of a set of new rules (weighted scores)0…5 COMUNDCommon understanding of the community (scores)0…5 RESISTResistance to change (weighted scores)0…5 Causes: Exogenous change agents STABILPolitical stability (Unstable/relatively stable)0/1 ECONDEVState of economic development (Least developed/developing)0/1 STATPOLChanges in state policies (no change, moderate, Extreme)1…3 ACCESSAccessibility to the market (rural/Periurban/urban)1..3 FARMINGCommercialization of farming (commercial/traditional)1/0 Physical attributes SYSTEMIrrigation system (run-off-river, storage, with groundwater)1…3 SCARCITYDegree of water scarcity (not scarce, moderate, extreme)1…3 Institutional and social attributes DESIGNDesign of status quo institutions (effective/ineffective)1/0 OCSTATOccupational status (agriculture dependent/alternate source)1/0 Broader governance regime RECOGNLegal recognition of WUA (registered/not-registered)1/0 AUTONOMYDegree of autonomy (no/low/high degree)1…3

22 Definition of explanatory variables for different dimensions of performance VariablesDefinitionValue Dimensions of performance (separate 3 models for each dimensions) Physical condition Water delivery Agricultural productivity >0 MODEMode of governance (Agency/farmer managed/joint)1..3 HEADHeadwork of the system (Permanent/temporary)1/0 LININGLining of the canals (partially or completely lined/unlined)1/0 TERRAINTerrain (located in the plains/hills)1/0 LENGTHLength of the canal (metres)>0 SAREATotal area of the system (hectares)>0 NOAPPNumber of appropriators>0 ACCESSAccessibility to the market (rural/periurban/urban)1…3 FARMINGCommercialization of farming (commercial/traditional)1/0

23 Analytical approaches… Assessing the performance of irrigation systems Confirmatory factor analysis Multiple regression model Dimensions of Performance = α + β1 (MODE) + β2 (HEAD) + β3 (LINING) +β4 (TERRAIN) + β5 (LENGTH) + β6 (SAREA) + β7 (NOAPP) + β8 (FARMING) + β9 (ACCESS) + ε Separate models for three dimensions of performance ; – physical condition, – water delivery, and – agricultural productivity

24 Methodological approaches….. Analyzing effect of intervention overtime Studies on water resource management focused on assessing direct effect of interventions which were aimed at improving resource characteristics and also facilitating the provision mechanisms Comparing direct effect of any intervention immediately before and after intervention with some basic indicators like change in participation, resource mobilization, crop productivity and cropping intensity at head and tail end of the system is easy only few studies have adopted such approaches that can examine interactive effect in the long-run

25 Methodological approaches….. Analyzing effect of intervention overtime….. Analysis of the interactive effect of intervention on agricultural productivity and irrigation management in long-term – Long-term effect of WECS/IIMI intervention on 19 irrigation systems of Indrawati watershed in Nepal; using three time slice data for analysis: before intervention, and two periods after intervention Analysis of the dynamism in resource use pattern by examining the changes in the institutional arrangements within a Socio- Ecological Systems – Dynamism and robustness of two irrigation systems in northern Thailand in the context of changing governance mechanisms and evolution of technological and market forces using data of three time periods: before intervention; initial operation; and long-term.

26 Methodological approaches….. Livelihood asset pentagon: Analytical framework for performance assessment Conventional studies assessed irrigation system performance considering factors endogenous to irrigation system, and overlooked several livelihood aspects to which irrigation is closely tied A framework of analysis was developed with identification of grossly overlooked but crucial livelihood factors that influence the performance of irrigation systems (Nepal study) – Five fundamental livelihood assets; human capital, natural capital, physical capital, financial capital and social capital were considered in the study. Subsequent the analysis identified most significant livelihood variables which can be used to assess the overall performance of irrigation systems reliably and comprehensibly

27 Rules and collective actions for improving irrigation governance Analyzing the case of irrigation systems in Nepal we make an attempt to addresses following issues: 1.How do rule configuration vary across irrigation systems that are subject to various governance modes, 2.Are rule configurations influenced by diversity in biophysical characteristics of the irrigation system and community attributes, and 3.How do rule enforcement mechanisms affect performance and collective action regarding irrigation performance?

28 28 Analytical Framework

29 Used grammar of institutions, ADICO Syntax, to analyze rule configuration (Crawford and Ostrom 1995; Ostrom 2005): 29 Using ADICO Syntax A AttributesDefines values of participant-level variables distinguishing to whom the institutional statement applies. D DeonticRefers to the three modal verbs: may (permitted); must (obliged); and must not (forbidden). I AimDescribes particular actions or outcomes in the action situation. C ConditionsDefines when and where an action or outcome is permissible, obligatory, or forbidden. O Or elseSets out the consequence for not following rule.

30 Rules include all five components (ADICO) Rules include all five components (ADICO) norms with four components (ADIC), and norms with four components (ADIC), and shared strategies have only three components (AIC) shared strategies have only three components (AIC) ADICO syntax provides a basis for coding institutional statements and analyze the evolution of institutional statements ADICO syntax provides a basis for coding institutional statements and analyze the evolution of institutional statements 30 Using ADICO Syntax……

31 Study area and sample irrigation systems in Nepal 31 FMIS41 AMIS9 FMIS: Farmer-managed irrigation system AMIS: Agency-managed irrigation system

32 32 Majority of the sampled irrigation systems in Nepal: run-off-the-river type Many systems rely on temporary intake and conveyance structure Main features of samples systems

33 33 And exist in difficult terrain and diverse topography Main features…..

34 34 Most of the systems were very old (average 50 yrs to more than 200 yrs old) in case of Nepal. In Nepal, FMIS smaller (~ ha) than AMIS (800 – ha); overall average around 500 ha Conflicts in water use among the farmers Main features…..

35 35 Salient feature of irrigation policies Irrigation Act-1961Laid foundation for legal framework specifically for irrigation Canal, Electricity & Water Resources Act 1967 Introduced the concept of water tax and licensing Water Resource Act 1992 Provisions for Water Users Organizations (WUO) and recognized them as autonomous bodies with perpetual succession Water Resource Regulation 1993 Provisions for formation and registration of WUO; information to be furnished in WUO constitution Irrigation Regulation 1999 Provides procedures for registration, election and dissolve of WUO executive committee Irrigation Policy 2003Strengthening capabilities of WUOs and effective participation of users in planning, construction, and management of irrigation systems

36 36 Type of rules Percentage responding presence of the rules (n = 50) Position98.0 Boundary98.0 Choice (allocation)92.0 Aggregation72.0 Information70.0 Payoff94.0 Scope12.0 Existence of different rules

37 Process of rule configuration In the beginning no rule situation In the beginning no rule situation Start with Informal shared strategy – AIC part of syntax Then add some component that permit/oblige/forbid certain actions making it Norms – ADIC part of syntax Then add some component that permit/oblige/forbid certain actions making it Norms – ADIC part of syntax Finally farmer also add consequences for not following agreed norms making it formal Rules – having all part of ADICO syntax 37 Rule configuration: ADICO Syntax

38 Degree of autonomy of WUA is important in devising the rules Degree of autonomy of WUA is important in devising the rules High degree of autonomy in case of FMIS High degree of autonomy in case of FMIS 38 Rule configuration: role of autonomy

39 39 Monitoring and sanctioning arrangements in FMIS and AMIS (In Percentage) Monitoring and sanctioning index FMIS (n = 41) AMIS (n = 9) Total (n = 50) With score less than With score at least P-value<0.05 Rule enforcement and collective action

40 40 Level of rule following among users in FMIS and AMIS (In Percentage) Level of rule following among users FMIS (n = 41) AMIS (n = 9) Total (n = 50) Rules followed by some members but not by all Almost all members follow the rule P-value<0.001 High level of collective action in FMIS as rules are mostly devised by users themselves considering condition of irrigation systems and ideas of the community Rule enforcement and collective action…

41 41 Performance Rule enforcement Monitoring and sanctioning index With score less than 4 (n = 18) With score at least 4 (n = 32) P-value Physical condition Economic efficiency Level of rule following among users Low (n = 8) High (n = 42) P-value Physical condition Economic efficiency Rule enforcement and performance of irrigation systems FMIS>> Highly autonomous>>> MSI and Rule Following high>>> Better performance

42 High degree of autonomy in FMIS resulted into effective rule enforcement mechanisms and rule following thus high level of collective action: better performance High degree of autonomy in FMIS resulted into effective rule enforcement mechanisms and rule following thus high level of collective action: better performance ADICO Syntax very useful, however, it can be refined to capture the enforcement mechanisms ADICO Syntax very useful, however, it can be refined to capture the enforcement mechanisms Rules devised, based on the particular bio-physical condition of the area considering the ideas and understandings of the local community, can result in improved collective action and performance Rules devised, based on the particular bio-physical condition of the area considering the ideas and understandings of the local community, can result in improved collective action and performance 42

43 Linking policy with local context Governance change and coping mechanisms: Local multifunctional cooperatives Farmers-to-farmer peer training approach O&M mechanisms: Changed participation, targeted credit, and benefit sharing Crops/drops of water---Agricultural research and irrigation

44 Linking policy with local context…. Governance change and coping mechanisms: Local multifunctional cooperatives Important to examine what kinds of organizational changes may be needed to support IMT and to ensure sustainable productivity of irrigation systems The issue of multi-functionality of WUAs is getting attention Multifunctional WUA would be most appropriate organizations for small farmers to coexist with free market forces In many countries WUAs are working as multifunctional cooperatives

45 Linking policy with local context…. Farmers-to-farmer peer training approach Intervention project to assist 19 farmer-managed irrigation systems of Indrawati watershed in Nepal during 1985 by WECS/IIMI Later realizing the need of training to the farmers of some systems intervened; an innovative training approach, farmers-to-farmers training approach was designed by WECS/IIMI This approach aimed at stimulating transfer of experience from farmers in well-managed systems to those in poorly managed systems through site visits, informal exchanges, and guided discussions

46 Linking policy with local context…. O&M mechanisms: Changed participation, targeted credit, and benefit sharing Participation as well as resource contribution from its users is most crucial for operation and maintenance of irrigation systems In changing context both users participation and resource mobilization criteria are changing Efforts to increase user participation have been spurred by poor performance but greater participation by farmers through water users associations has helped overcome those

47 Linking policy with local context…. O&M mechanisms: Changed participation, targeted credit, and benefit sharing…….. Financing through targeted credit are reported from different countries Benefit sharing is another important aspect of sustainable O&M, which ensures increased participation of users Benefit sharing mechanism plays most significant role in case of transboundary river basin management

48 Linking policy with local context…. Crops/drops of water---Agricultural research and irrigation To meet the scarcity and competing use of water in different sectors; it is necessary to focus on productivity of irrigation water More crop per drop, mission statement of International Water Management Institute, captures this principle Researches on agricultural aspect and use of water for irrigation have developed different technologies for increasing water use efficiency

49 Linking policy with local context…. Crops/drops of water---Agricultural research and irrigation… International Program for Technology and Research in Irrigation and Drainage (IPTRID), FAO has been working for advancement of irrigation and drainage technologies in developing countries Israel has been the pioneer in developing policies to meet the growing demand for water

50 An Agenda for Effective Irrigation Policy Interventions 1. Responding to competition for resources (water scarcity) Transfer of water for multi-functions and irrigated land from agriculture to other uses (municipal) and its impact on agriculture Watershed depletion, water-quality degradation and water reclamation Property rights: water, land, infrastructure (including the planning, information and administrative requirements of these) Linking downstream and catchment stakeholders in watersheds and effective management of water resources (including information and communication requirements)

51 An Agenda for Effective Irrigation Policy Interventions 2. Accountability and new partnerships Transfer of authority for irrigation system management Changing government roles to regulation, provision of support services and capacity-building based on the principle of co- management and polycentric governance integrating farmers institutions of irrigation management New accountability mechanisms: service agreements, management audits, asset management plans (including information requirements) in light of multiuse of water Redesigning government subsidies in light of the public-private partnership with enhanced ownership stakes made by local users and matching investments, transparent and agreed allocation criteria, incremental infrastructure improvement

52 An Agenda for Effective Irrigation Policy Interventions 3. Reform, synergy and economic productivity Scheme-level Water User Association (WUA) federations and new opportunities for WUAs hiring their own agricultural/agribusiness development agents New information/communication systems for market identification and networking Using new demand-oriented irrigation services to promote crop diversification and commercialization Expanding the economic niche of farmers beyond cultivation to agribusiness (input production and supply, crop processing, production of manufactured agricultural/horticultural products)

53 An Agenda for Effective Irrigation Policy Interventions Joint monitoring for irrigation operation and multiple uses of water: diverse methods of data collection, storage and processing into information, public access and sharing of information Transition of irrigation operation policy beyond water provision to cope with changing economic context and World Trade Organization requirements Exploring alternate mechanisms for governance and management of irrigation into the larger context of economic integration, competition for water and the need for water conservation and land resources Institutional reform of irrigation development agencies should imbibe the new values of socioeconomic changes of inclusiveness, gender concern, self-governing local water institutions and poverty alleviation.

54


Download ppt "Innovative Research Issues Addressing Policies, Institutions and Governance Challenges of Irrigation in Twenty-First Century Ganesh P Shivakoti, PhD Professor."

Similar presentations


Ads by Google