1
Promoting and Institutionalising Participation
for Integrated Watershed Management
by Nguyen Tung Phong, Ph.D.,
Vietnam ...
Objectives
• To elaborate needs, scales and strategy
for institutions promoting participation
• To apply the strategy to t...
Need to institutionalise
participation?
Scales for Institutionalising
Participation
1.Family (the Nguyen household)
2.Neighborhood/Village (Hoàn Kiếm)
3.Local/Mun...
Scales for Institutionalizing
Participation
1.Family (the Nguyen household)
• Neighborhood/Village (Hoàn Kiếm)
1.Local/Mun...
Process
Elaborating a strategy
• Main steps of a strategy to promote participation
• Specific aspects of a strategy, like ...
Planning cycle
Strategy for institutionalising
participation at village level
Initial phase
• Clarifying the objectives
and commitment of...
Strategy for institutionalising
participation at village level
Analysis of the local situation
• Contacting active groups ...
Strategy for institutionalising
participation at village level
Identifying objectives of local people and local
organisati...
Strategy for institutionalising
participation at village level
Action planning at community level (What? How?
When? Who?)
...
Strategy for institutionalising
participation at village level
Implementation of
participatory activities
• Putting the vi...
Strategy for institutionalising
participation at village level
Participatory Monitoring and Evaluation
• Monitoring the im...
Strategy for institutionalising
participation at village level
Institutionalisation
• Promoting the results and experience...
Strategy for promoting participation
• 2-3 Groups discussions
Step 4.
Action
Planning
Step 6.
Monitoring
&
Evaluation
Step 7.
Institutional
-ization
Step 5.
Project
Implement-
ation
St...
Venn diagram
Stakeholder analysis
Define problem cause
Visioning
Contributor
(explain
problems and
solutions)
Supporter/
C...
Methods we may useRole of
community
Role of private
sectors
Role of
NGOs
Role of
Government
Role of
your
organizatio
n
Rol...
Consulting/
Training (TOT,
on local and
central level
stakeholders)
Workshop
Meeting
Venn diagram
Supporter/
Coodinator/
S...
Which institutions should
promote participation?
Depends on:
• Stakeholders targeted (fr. prior SH
analysis)
• Stage in pl...
Which institutions depend
on level of participation
 villagers,
 village authorities,
 local groups
 project leaders
I...
Will existing institutions suffice?
• Consider institutional diagrams, profiles
and maps to determine whether existing
cap...
Does External Profile indicate
need for new institution?
Scales for Institutionalising
Participation
1.Family (the Nguyen household)
2.Neighborhood/Village (Hoàn Kiếm)
3.Local/Mun...
Transboundary Examples
• IW CAM (Caribbean Sea)
• South China Sea
Regional Partnership Council
• Promote networking within IWCAM (e.g., gov'ts, NGOs,
CBOs, funding agencies, devel. banks);...
+ IW Forum
Conclusions
• Strategic involvement plans (SHIPs) should
consider means to institutionalize participation
from the outset,...
If you wish to build a ship, don't start assembling wood,
cutting the boards, and distributing the work.
But wake in your ...
Promoting and Institutionalising Participation for Integrated Watershed Management (Phong & Sklarew)
Promoting and Institutionalising Participation for Integrated Watershed Management (Phong & Sklarew)
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Promoting and Institutionalising Participation for Integrated Watershed Management (Phong & Sklarew)

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Nguyen Tung Phong, Ph.D., Vietnam Institute for Water Resources (VIWRR)‏ and Dann Sklarew, Ph.D.
GEF IW:LEARN

Asia Regional Workshop on Stakeholder Engagement
in
International Waters Management
Hanoi, Vietnam, 2-4 April 2008

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Promoting and Institutionalising Participation for Integrated Watershed Management (Phong & Sklarew)

  1. 1. 1 Promoting and Institutionalising Participation for Integrated Watershed Management by Nguyen Tung Phong, Ph.D., Vietnam Institute for Water Resources (VIWRR) and Dann Sklarew, Ph.D. GEF IW:LEARN Asia Regional Workshop on Stakeholder Engagement in International Waters Management Hanoi, Vietnam, 2-4 April 2008
  2. 2. Objectives • To elaborate needs, scales and strategy for institutions promoting participation • To apply the strategy to the working situation of participants • To discuss the roles and comparative advantages of existing or new institutions to promotes participation at local through international scales
  3. 3. Need to institutionalise participation?
  4. 4. Scales for Institutionalising Participation 1.Family (the Nguyen household) 2.Neighborhood/Village (Hoàn Kiếm) 3.Local/Municipal (Hanoi) 4.Province/State/Prefecture (North Vietnam) • National Level (Vietnam) 1.Transboundary Level (Mekong R., Yellow Sea) 2.Regional Level (East Asia)
  5. 5. Scales for Institutionalizing Participation 1.Family (the Nguyen household) • Neighborhood/Village (Hoàn Kiếm) 1.Local/Municipal (Hanoi) 2.Province/State/Prefecture (North Vietnam) • National Level (Vietnam) 1.Transboundary Level (Mekong R., Yellow Sea) 2.Regional Level (East Asia) 3.Global Level (Earth)
  6. 6. Process Elaborating a strategy • Main steps of a strategy to promote participation • Specific aspects of a strategy, like for example on the role of villagers, of promoting institutions, and the individual promoters of change processes. Identifying suitable methods • For each step of the strategy, the most appropriate methods for promoting participation Institutionalisation of participatory strategies • The main challenges in participatory strategies on a sustain-able basis
  7. 7. Planning cycle
  8. 8. Strategy for institutionalising participation at village level Initial phase • Clarifying the objectives and commitment of the promoting organisation • Identifying the key actors. groups and organisations at community level • Creating an awareness of the issues among them • Identifying other internal and external supporting agencies for networking • Obtaining the approval and commitment of local authorities
  9. 9. Strategy for institutionalising participation at village level Analysis of the local situation • Contacting active groups and key persons at community level • Planning and implementing jointly a participatory situation analysis • Identifying needs and problems at individual, organisational and village level • Clarifying the expectations of different individual, local groups and organisations • Documenting villagers' experiences with participatory approaches
  10. 10. Strategy for institutionalising participation at village level Identifying objectives of local people and local organisations (Why?) • Discussion with villagers, local authorities, key persons • Discussing with groups who may support and who may oppose the activities • Prioritising objectives and expectations of villagers • Looking for village opportunities, weaknesses, opportunities and threats (SWOT)
  11. 11. Strategy for institutionalising participation at village level Action planning at community level (What? How? When? Who?) • Identifying the strengths and weaknesses of each proposal • Designing a plan of operation for introducing participatory processes • Agreeing on the contributions of villagers, authorities and agencies (What?) • Listing the activities of everybody involved (How?) • Fixing a time frame for the implementation of activities (When?) • Agreeing on responsibilities to local groups, authorities and agencies (Who?)
  12. 12. Strategy for institutionalising participation at village level Implementation of participatory activities • Putting the village action plan into action • Handling conflicts in the implementation phase • Experimenting and trying out new things
  13. 13. Strategy for institutionalising participation at village level Participatory Monitoring and Evaluation • Monitoring the implementation • Evaluating results and impacts • Sharing insights gained with all actors involved • Feeding the results back to the villagers, authorities and organisations involved • Thinking about ways to improve the future impact of participatory processes
  14. 14. Strategy for institutionalising participation at village level Institutionalisation • Promoting the results and experiences to other areas • Scaling-up activities • Multi-sectoral networking and collaboration
  15. 15. Strategy for promoting participation • 2-3 Groups discussions
  16. 16. Step 4. Action Planning Step 6. Monitoring & Evaluation Step 7. Institutional -ization Step 5. Project Implement- ation Step 3. Defining objectives Step 2. Situation analysis Step 1. Orientation phase Methods we may use Role of commu- nity Role of private sectors Role of NGOs Role of Govern- ment Role of your organiz- ation Role of individ- ual
  17. 17. Venn diagram Stakeholder analysis Define problem cause Visioning Contributor (explain problems and solutions) Supporter/ Consultant Facilitator Encourage participation of other stakeholders Organize the cooperation and involvement of ministries, agencies... to define strategic objectives Supporter and facilitator Facilitator (get feedback from community) Co-organizer/ facilitator in community meeting Contributor/ Participant in defining objectives Solution analysis Problem- ranking Problem raising Resource assessment Step 3 Defining objectives PLA/PRA tools Collect data Use SWOT analysis Provided of data and information Facilitator/ Consultant Help to identify needs Consultation with stakeholder Facilitate analysis of general information Supporter and facilitator Encourage the involvement of different functional organizations to do macro and micro analysis Organizer/ Implementer/ Facilitator/ Researcher/ Director/ Consultant Process data and information Gather data and information Make proposals Participatory initial research Provider of information/dat- a Data collection and sharing Research Data analysis Participation and consultation Step 2 Situation Analysis Semi-structured dialogue/ Mass Communication (TV, radio....) Field consultations Provide ideas (initiator) Information sharing Innovator (give new ideas) Idea Provider Discussion Suggest strategies Strategy maker Vision maker Policy maker Guideline provider Decision maker Facilitator Exchange information from local level Define who will be involved Site visit and sharing information Review on institutional frame work Review on legal framework and share ideas Step 1 Orientation Phase Methods we may useRole of community Role of private sectors Role of NGOsRole of Government Role of your organization Role of individual
  18. 18. Methods we may useRole of community Role of private sectors Role of NGOs Role of Government Role of your organizatio n Role of individual Problem ranking Problem analysis SWOT analysis Participatory M&E Conflict management Evaluator Monitor Decision maker Consultant Discuss new adjustments to improve performance Coordinator / Consultant Facilitator Supporter Provides consultation period to monitoring and evaluation process To encourage all the stakeholder to join in M&E Steering committee Get feedback Consultant/ Supporter/ Implementer Give recommendations Defining milestones and indicators for M&E Participate in monitoring and evaluation Step 6 Monitoring and Evaluation Community mobilization Technical training Project leader/ Planer/ Implementer Donor Technical supporter Trainer Budget provider Technical assistance Facilitator Technical supporter Fund provider Facilitator/ Monitor/ Auditor Decentralize To create favorable conditions for co- operation among stakeholders and encourage the involvement of stakeholder Supporter/ Consultant Provide technical assistance Implementer/ Supporter Share experiences and knowledge Share resources Share responsibility Participate in implementation Step 5 Project Implementation Discussing Onsite study and consultations Negotiation Stakeholder analysis Venn diagram Initiator/ Decision maker on planning/ Steering committee member Fund provider/ Technical support Facilitator/ Coordinator / Trainer on methodolog y of planning/ Consultant Approve the planSupporter/ Organizer of action planning process Facilitator/ Supporter/ Participant Share experiences Participate in decision making Participate in preparing action plan Step 4 Action Planning
  19. 19. Consulting/ Training (TOT, on local and central level stakeholders) Workshop Meeting Venn diagram Supporter/ Coodinator/ Support data and information Facilitator/ Consultant Meeting Discussion group Project Committee member Working group member Facilitator Support scaling up and expansion to other areas Initiator Policy support Provide regulations and rules Analyze and define relevant partner institutions Step7 Institutionaliza tion Methods we may use Role of community Role of private sectors Role of NGOs Role of Government Role of your organisation Role of invidual
  20. 20. Which institutions should promote participation? Depends on: • Stakeholders targeted (fr. prior SH analysis) • Stage in planning cycle • Organisatonal Scale for Participation • Expected level of participation • Resources (time, money...) of Project, etc. • Capacity of existing institutions / need to create new institutions
  21. 21. Which institutions depend on level of participation  villagers,  village authorities,  local groups  project leaders Implementation, monitoring and evaluation phase local working groups, new local organisations, local community takes over control of the development activities Local self- development  local groups,  individuals,  supporting institutions Implementation phase:forming working groups at village level, training activities defining the objectives and strategies for future actions, coordinating local activities Partnership  village authorities,  key informants,  rural families,  men and women,  local organisations Initial phase: situations analysis Methods of Participatory Rural Appraisal (PRA), village meetings, identification of needs, problems, expectations, commitment, Consultation  village authorities  entire communities  GO and NGO Initial phase: situation analysis, Public meetings, radio, television, local fairs, exhibitions, creating awareness, setting up working groups, Information Who participates?When?How ?What ?Level Adapted fr. inWEnet/VIWRR workshop in Thah Hoa
  22. 22. Will existing institutions suffice? • Consider institutional diagrams, profiles and maps to determine whether existing capacity can meet expectations for participation Example Tool: External Profiles of [Existing] Project-related Institution
  23. 23. Does External Profile indicate need for new institution?
  24. 24. Scales for Institutionalising Participation 1.Family (the Nguyen household) 2.Neighborhood/Village (Hoàn Kiếm) 3.Local/Municipal (Hanoi) 4.Province/State/Prefecture (North Vietnam) • National Level (Vietnam) • Transboundary Level (Mekong River, Yellow Sea) 1.Regional Level (East Asia)
  25. 25. Transboundary Examples • IW CAM (Caribbean Sea) • South China Sea
  26. 26. Regional Partnership Council • Promote networking within IWCAM (e.g., gov'ts, NGOs, CBOs, funding agencies, devel. banks);  To integrate and coordinate IWCAM activities;  To manage stakeholders, with emphasis on community empowerment and direct input from the civil society in management decisions;  To develop Private-Public sector relationships and concepts of Transferred Benefits and ‘Beneficiary-Pays’ IWCAM's Project Coordinating Unit includes a dedicated specialist who works with the forum to promote stakeholder involvement.
  27. 27. + IW Forum
  28. 28. Conclusions • Strategic involvement plans (SHIPs) should consider means to institutionalize participation from the outset, building capacity over time. • Distinct institutions w/similar issues, including: – representivity of partnership members – appropriate scales, levels & timing of participation – administrative burden, cost, consumption of time – capacity of existing institutions vs. burden of creating new ones • Building ownership can be messy, costly and slow. • Synergies among projects & organizations may incr. institutional capacity & sustainability for participation.
  29. 29. If you wish to build a ship, don't start assembling wood, cutting the boards, and distributing the work. But wake in your men the longing for the wide, open seas. Antoine de Saint Exupéry

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