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 decades—focus 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 state’s 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 basin
Region
River basins ER DR
District
Number
Koshi 1
Mechi, Kankai
Plain Terai
Eastern
Jhapa 2
Mechi, Mai
Mid-hill
Ilam 3
Morang
Tamor
Dhankuta
Sunkoshi
Hill
Central
S’palchowk 4
Kamala
Siraha
Gandaki
Bagmati
Sarlahi 5
E Rapti
Makwanpur
Chitwan 6
Marshyangdi
Western
Lamjung
Madi
Tanahu 7
Kaligandaki
Nawalparasi
Palpa
Tinau
Rupendehi
Karnali 8
W. Rapti
Mid-hill/valley
Mid-western
Dang
Banke 9
Bheri
Surkhet
Thuli
Far-western
Kailali
Mahakali 10
Kanchanpur
Total 50

15. Major river basins of Thailand1
Salawin 14
Mae Klong 2
Mekong 15
Prachin Buri 3
Kok 16
Bang Pakong 4
Chi 17
Tonle Sap 5
Mun 18
East Coast Gulf 6
Ping 19
Phetchaburi 7
Wang 20
Prachupkiri-Khan Coast  8
Yom 21
East coast basin 9
Nan 22
Ta Pi 10
Chao Phraya 23
Thale-Sap Songkhla 11
Sakae Krang 24
Pattani 12
Pa Sak 25
West Coast 13
Tha Chin

16. Sampled regions with number of systems in Thailand
Major Basin
Region
River basins ER DR
Province
No of systems
Kok 1
Fang
Hill
North
Chiang Mai 4
Ping
2-5
Khan, Klang, Ngat and Kuang 14
Chi 6
Upper basin
Undulating plain
North-East
Khon Kaen
Mae Klong 7
Klong
Hill/plain
Western
Kanchanaburi
Chao Phraya 8
Plain
Central
Chainat
Eastern Coast Gulf Basin 9
East coast
Eastern
Rayong
Ta Pi 10
Southern
Surat Thani
Total 50

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
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 Construct Indicators

19. Analytical Framework for Assessing 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
Variables
Definition
Value
Unobserved construct
INSCHNG
Institutional change in irrigation management
0..2
Indicators of institutional change
NRULE
Adoption of a set of new rules (weighted scores)
0…5
COMUND
Common understanding of the community (scores)
RESIST
Resistance to change (weighted scores)
Causes: Exogenous change agents
STABIL
Political stability (Unstable/relatively stable)
0/1
ECONDEV
State of economic development (Least developed/developing)
STATPOL
Changes in state policies (no change, moderate, Extreme)
1…3
ACCESS
Accessibility to the market (rural/Periurban/urban)
1..3
FARMING
Commercialization of farming (commercial/traditional)
1/0
Physical attributes
SYSTEM
Irrigation system (run-off-river, storage, with groundwater)
SCARCITY
Degree of water scarcity (not scarce, moderate, extreme)
Institutional and social attributes
DESIGN
Design of status quo institutions (effective/ineffective)
OCSTAT
Occupational status (agriculture dependent/alternate source)
Broader governance regime
RECOGN
Legal recognition of WUA (registered/not-registered)
AUTONOMY
Degree of autonomy (no/low/high degree)

22. Definition of explanatory variables for different dimensions of performance
Value
Dimensions of performance (separate 3 models for each dimensions)
Physical condition
Water delivery
Agricultural productivity
>0
MODE
Mode of governance (Agency/farmer managed/joint)
1..3
HEAD
Headwork of the system (Permanent/temporary)
1/0
LINING
Lining of the canals (partially or completely lined/unlined)
TERRAIN
Terrain (located in the plains/hills)
LENGTH
Length of the canal (metres)
SAREA
Total area of the system (hectares)
NOAPP
Number of appropriators
ACCESS
Accessibility to the market (rural/periurban/urban)
1…3
FARMING
Commercialization of farming (commercial/traditional)

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:
How do rule configuration vary across irrigation systems that are subject to various governance modes,
Are rule configurations influenced by diversity in biophysical characteristics of the irrigation system and community attributes, and
How do rule enforcement mechanisms affect performance and collective action regarding irrigation performance?

28. Analytical Framework

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

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

31. Study area and sample irrigation systems in Nepal
FMIS 41
AMIS 9
FMIS: Farmer-managed irrigation system
AMIS: Agency-managed irrigation system

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

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

34. Main features…..
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

35. Salient feature of irrigation policies
Irrigation Act-1961
Laid 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 2003
Strengthening capabilities of WUOs and effective participation of users in planning, construction, and management of irrigation systems

36. Percentage responding presence of the rules (n = 50)
Existence of different rules
Type of rules
Percentage responding presence of the rules (n = 50)
Position
98.0
Boundary
Choice (allocation)
92.0
Aggregation
72.0
Information
70.0
Payoff
94.0
Scope
12.0

37. Rule configuration: ADICO Syntax
Process of rule configuration
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
Finally farmer also add consequences for not following agreed norms making it formal ‘Rules’ – having all part of ADICO syntax

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

39. Monitoring and sanctioning arrangements in FMIS and AMIS
Rule enforcement and collective action
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 4
29.3
66.7
36.0
With score at least 4
70.7
33.3
64.00
P-value
<0.05

40. Rule enforcement and collective action…
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
7.3
55.6
16.0
Almost all members follow the rule
92.7
44.4
84.0
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

41. Rule enforcement and performance of irrigation systems
Monitoring and sanctioning index
With score less than 4
(n = 18)
With score at least 4
(n = 32)
P-value
Physical condition
2.50
2.91
.018
Economic efficiency
2.72
3.06
.012
Level of rule following among users
Low
(n = 8)
High
(n = 42)
2.81
.177
3.02
.003
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
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

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. Thank You