2 stakeholder participation - un- · pdf filestakeholder participation in iwrm. ... conflict...

53
Conflict Resolution and Negotiation Skills for IWRM Prof. Dr. Jan Leentvaar UNW-DPC UNESCO-IHE Stakeholder participation in IWRM

Upload: truongdiep

Post on 26-Mar-2018

217 views

Category:

Documents


2 download

TRANSCRIPT

Page 1: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Prof. Dr. Jan Leentvaar

UNW-DPC

UNESCO-IHE

Stakeholder

participation in IWRM

Page 2: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Important definitions

• Public participation (PP) refers to participation by the public (individuals,

NGO’s) in decision-making, ranging

from merely commenting on drafts to co-decision making

• Stakeholder - an agency,

organisation, group or individual who has a (direct or indirect) interest in the

project/programme, or who affects or is affected positively or negatively by

the implementation and outcome of it

Page 3: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Why is Stakeholder/Public

participation important?

• Information transfer

• Gain views, concerns and values from stakeholders

and public

• Obtaining local knowledge

• Taking account of inputs in decision making

• Increasing confidence and inclusivity

• Improving transparency and accountability in decision making

• Reducing conflict

Page 4: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Different types of stakeholders

• Primary stakeholdersintended beneficiaries of a project or those negatively affected categorized according to social analysis often divided by gender, social or income classes, occupational or service user groups

• Secondary stakeholders

(groups of) people who are intermediaries within a project e.g., funding, implementing, monitoring and advocacy organizations or governmental, NGO and private sector key individuals (e.g., heads of departments or other agencies) informal groups of people (e.g., politicians, local leaders, respected religious persons, etc.)

Page 5: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Levels of involvement

– Information and notification

• One way flow of information

– Consultation

• Two way flow of information

– Participation

• Interactive (meetings)

– Negotiation

• Face to face discussion

Page 6: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

IWRM and collaboration

• Land use (agriculture, urban development,

industry) has major impact on water

environment

• Manipulation of river / groundwater systems

can affect land use (quantity, quality)

• IWRM seeks coordination of policies, plans

and projects for water with those for other

resources

• Forms an institutional challenge

Page 7: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

IWRM and collaboration

• IRWM demands some kind of collaborative

institutional process => multi-stakeholder

platforms

�to define problems

�to identify what is desired and achievable

�to produce agreement on how common

goals will be reached

• Involves wide range of stakeholders in

process of problem-solving and joint

decision-making

Page 8: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

IWRM and collaboration

• River basin as unit for water management

• Requires state and regional authorities to

work together across territorial and

administrative boundaries

• Involving stakeholders in decision-making

increase complexity

Page 9: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Multi-stakeholder platforms

• “Stakeholder”

�Individuals, groups or institutions

concerned with or have an interest in

water resources and their management

�Includes all those who affect or are

affected by policies, decisions or

actions

�public sector agencies, private sector,

NGOs, external donor agencies, etc.s

Page 10: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Multi-stakeholder platforms

• “Multi”

�Refers to diversity of identities of

stakeholders

�Different levels of government

�Civil-society, private sector actors

�Farmers, fishermen, tourism, industry,

government, environmental groups,

community groups, special interest

groups

Page 11: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Multi-stakeholder platforms

• “Platform”

�Decision-making body

�Comprising different stakeholders

o perceiving the same resource

management problem

o Realising their interdependence

o That come together to agree on

strategies for solving the problem

Page 12: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

IWRM and collaboration

• Better informed decisions

� increased access to information & knowledge

� Feedback from society

• Helps to legitimize decision (processes)

� Information flow back to society

• Reduces risk of implementation failure

� stakeholders involved in solution design, sense of ownership

Page 13: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

IWRM and collaboration

• Collaboration involves different organisations

and is based on

• Information exchange

• Dialogue

• Deliberation

• Negotiation

• Shared agreements

Page 14: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Multi-stakeholder platforms

• Collaboration allows stakeholders

�to inform each other about their views

and perspectives

�explore differences

�together look for solutions that go

beyond individual stakeholder’s

capacities and limitations

�to achieve common purpose by

sharing risks, responsibilities

Page 15: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Multi-stakeholder platforms

• Attributes of effective partnerships

�Shared vision

�Compatibility

�Benefits to all partners

�Equitable (not equal) power

�Clear ground rules / procedures

�Process accountability

�Communication

Page 16: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Hierarchical policy model

• Single governmental actor controls process

• Policy objectives

� based on scientific research

� ranked over other societal objectives

� starting point in search of alternative

solutions (instruments)

• Assumption: properly chosen instruments will

make society move to fit the norms

Page 17: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Shortcomings

• Government:

� only limited control capacity

� Sectoral focus: policy objectives from various fields

‘piled up’, not attuned (“conflicts of interest”)

• Actors:

� Complex dependencies not accounted for

� no hierarchical relationship

• Fragmented capacity to solve problems:

� Available knowledge

� Variety in problem perceptions

Page 18: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Network management

• For analysis of policy processes

• For control of policy processes (to achieve

policy goals)

• Network management:

� “Policy process is more a result of a

struggle between actors”

�Conflict of interests between actors

Page 19: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Network management

• Network = set of relationships among

actors (persons / organizations) around

certain problems or conflicts

• Intent: to reach agreement between

various public and private parties on

policy objectives and problem solutions

Page 20: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Network management

• Large number of actors involved

• A single actor unable to solve the

problem: requires co-operation

• Actors are interdependent

• No formal hierarchy between actors

• No single actor is irreplaceable

• Mutual influence of actors

Page 21: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Defining characteristics

1) Multiformity: presence of several actors

Each actor has its own

�Vision

�Objectives

�Problem perception (and solutions

� Interests

� resources

Page 22: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Defining characteristics

2) Interdependency

Actors depend on each other:

�They need each other to come to

solutions

�Acting of one actor affects the others

Page 23: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Defining characteristics

3) Autonomy

• Actors are independent in their actions

• Choose own strategy with regard to

reaching their objectives

Page 24: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Defining characteristics

4) Complexity

• interaction process characterized by

complexity and overlapping objectives

• Due to their divergent objectives, actors

check on others

• Autonomy of an actor depends on power

and position within network

• Formation of coalitions (‘together we are

strong’)

Page 25: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Defining characteristics

5) Dynamics

• relations and interactions between actors

are dynamic and (sometimes) sustainable

• Policy networks develop over time

• Some actors ‘step out’ or come newly into

already existing policy network

Page 26: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 1) stages

• Initiative stage:

• Creation of organizational conditions

• activation of public & private actors

• Cognitive stage

• confrontation of problem perceptions

• common problem definition & objectives

• detailing of policy objectives

Page 27: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 1) stages

• Productive stage

�Negotiations on policy, measures,

policy instruments, tasks

• Formalization stage

�Formulation of policy plan

�Agreements on implementation

� package deal / plan

Page 28: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 2) activation

• Which actors to introduce or leave out?

• Selective activation of actors:

� Include all indispensable actors:

�willingness, opposition, can consensus

be reached?

• Keep total number of actors low

• Determine how parties are represented

Page 29: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 3) structure

• Closed or open negotiations?

�Closed: faster, but legitimacy problems

�Open: slower, but probably more

support

• Financing

• Human resources

• Information sharing and delivery

• Time frame

Page 30: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 4) problem definition

• To reach agreement on specification of

policy objectives is major challenge

• Place resolution of issues in wider

developmental perspective

• “How to combine economic development

with water policies” (and sustainable

development)

Page 31: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 5) interaction

• Usually through some platform or project

group

• Within the this group specific (negotiation)

procedures devised to reach consensus

• Highly case-specific

Page 32: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 6) mediator

• Mediator as impartial 3rd party to oversee

the negotiation process

• Various roles and functions:

�Opens and maintains communication

channels

� Legitimizes roles of parties

�Helps in exploring problem and

identifying possible solutions

Page 33: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Other aspects: 7) implementation

• Implementation follows after agreement

• Avoid “implementation gap” (between

agreement and actual implementation):

�Commit governmental agencies

�Anchor implementation to specific

targets and schedule

�Set-up an organisational (project)

framework

Page 34: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Benefits

• Starts interaction process

• Shared problem perceptions developed en

route towards solution

• Extension of responsibility for problem

solving in society

• Commitment if potential gain of participation

exceeds that of non-participation

• Policy preparation and implementation

connected

Page 35: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Drawbacks

• Consensus may be reached, but does it

solve the actual problem?

• Risky due to strategic behaviour of actors

• After reaching agreement, implementation

can still go wrong

• Legitimacy of policy

Page 36: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Public Participation and Scale

Page 37: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Public Participation in Water

Management in the Netherlands

• 1300 Water boards

• 1798 National Water Authority

• 1950 International Commission for Protection of the

Rhine (ICPR)

• 2000 EU Water Framework Directive

• 2001 Aarhus Convention

Page 38: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Water boards

• 1000: Local community

• 1300: Regional representatives are elected

• Financed by taxation according to the extend of

property

• Right to say proportional to payment

• 1850: 3000 water boards

• 1955: 2480 water boards

• 1985: 255 water boards

• 2005: 27 water boards

Page 39: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

NL-Water boards 1947

Page 40: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

NL-Water boards 2009

Page 41: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

National Water Authority

• 1798: Part of the Ministry of Transport, Public Works and Water Management

• State in the State

• Ca. 1970: Outer parliamentary opposition

– Presentation of plans

– Public participation

– Communication with interest groups

• 2000: Interactive planning

Page 42: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

ICPR and Public Participation

Page 43: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Objectives of the ICPR

• Sustainable development of the entire Rhine ecosystem

• Guarantee the use of Rhine water for drinking water

production

• Improvement of the sediment quality in order to enable

the use or disposal of dredged material without causing environmental harm

• Overall flood prevention and environmentally sound flood protection

• Improvement of the North Sea quality in accordance with other measures aimed at the protection of this

marine area

Page 44: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Observer status NGO

• Criteria

– NGO has to deal with Rhine issues

– International

• Plenary Assembly decides on recognition

Page 45: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Plenary assembly

NGOs can participate as:

• Representative of an NGO-recognized-as-observer

• External expert

• Member of a national delegation

• 1998 9 NGOs recognized

• 2004 12 NGOs recognized

• 2008 17 NGOs recognized

Page 46: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Public Participation in the ICPR

PP

PP

Page 47: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Public Participation:

Distance increases

Water boards

National Water Authority

International Commission for Protection of the

Rhine (ICPR)

EU Water Framework Directive

Aarhus Convention

Page 48: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Public Participation: time consuming?

Profit

Policy preparation ImplementationPolicy making

Interactive Process

Reactive Process

Start

Start

ImplementationPolicy makingPolicy preparation

Page 49: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Alternative Public Meeting Formats

• Public hearing

• Public meeting

• Briefing/question and answer

• Panel/round table

• Large group/small group

• Workshops

• Open houses

• Coffee klatch

Page 50: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Meeting prerequisites

• Time and place of the meeting

• Seating arrangements

Page 51: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

Acceptance

• The acceptance of a (political) decision by those affected

will largely depend on the Quality Aspects of the

decision making process.

• Based on the experiences in connection to the River

Rhine the following aspects have been identified

Page 52: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

7 Criteria of Quality

• Involvement of public and private parties

• Attention to relevant interests

• Alternative plans for conflicting interests

• Options for compensation

• Formal hearing of public opinions

• Motivation of the decision

• Procedures for appeal

Page 53: 2 Stakeholder participation - UN- · PDF fileStakeholder participation in IWRM. ... Conflict Resolution and Negotiation Skills for IWRM Network management ... Conflict Resolution and

Conflict Resolution and Negotiation Skills for IWRM

This lecture is partly based on material of Martin Bijlsma, MSc