Water for a Changing World - Developing Local Knowledge and Capacity: Proceedings of the International Symposium Water for a Changing World Developing ... Delft, The Netherlands, June 13-15, 2007

WATER FOR A CHANGING WORLD – DEVELOPING LOCAL KNOWLEDGE AND CAPACITY

PROCEEDINGS OF THE INTERNATIONAL SYMPOSIUM WATER FOR A CHANGING WORLD – DEVELOPING LOCAL KNOWLEDGE AND CAPACITY, DELFT, THE NETHERLANDS, JUNE 13–15, 2007

Water for a Changing World – Developing Local Knowledge and Capacity

Editors

G.J. Alaerts The World Bank, Washington, DC, USA UNESCO-IHE, Delft, The Netherlands

N.L. Dickinson UNESCO-IHE, Delft, The Netherlands

CRC Press/Balkema is an imprint of the Taylor & Francis Group, an informa business © 2009 Taylor & Francis Group, London, UK Typeset by Vikatan Publishing Solutions (P) Ltd., Chennai, India Printed and bound in Great Britain by Antony Rowe (a CPI Group company), Chippenham, Wiltshire All rights reserved. No part of this publication or the information contained herein may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, by photocopying, recording or otherwise, without written prior permission from the publisher. Although all care is taken to ensure integrity and the quality of this publication and the information herein, no responsibility is assumed by the publishers nor the author for any damage to the property or persons as a result of operation or use of this publication and/or the information contained herein. Published by: CRC Press/Balkema P.O. Box 447, 2300 AK Leiden, The Netherlands e-mail: [email protected] www.crcpress.com – www.taylorandfrancis.co.uk – www.balkema.nl ISBN: 978-0-415-47757-4 (hbk) ISBN: 978-0-203-87805-7 (ebook)

Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Table of Contents

Acknowledgements

vii

Foreword

ix

PART 1: Background Purpose and structure of the Proceedings

3

Knowledge and capacity development (KCD) as tool for institutional strengthening and change G.J. Alaerts

5

Symposium conclusions and recommendations Water for a changing world: Developing local knowledge and capacity

27

PART 2: A Sector Analysis Water security: What does it mean, what may it imply? B. Schultz & S. Uhlenbrook

41

The environmental integrity of freshwater resources J. O’Keeffe, P. Lens, E. de Ruyter van Steveninck, W. Douven, A. van Dam & P. van der Steen

57

Water for a crowded planet: An emerging global challenge for earth system science and technology C.J. Vörösmarty Challenges for urban water supply and sanitation in developing countries K. Khatri, K. Vairavamoorthy & M. Porto Glocal water governance: Controversies and choices J. Gupta

71 81 101

PART 3: Knowledge and Capacity Development Capacity and capacity development: Breaking down the concepts and analyzing the processes H. Baser

v

121

Thinking out of the ordinary—promoting knowledge generation and research on water P. van der Zaag

163

Challenges in knowledge and capacity enhancement: A southern perspective L. Brito

179

The role of knowledge generation at UNESCO-IHE: Past-present-future S. Uhlenbrook, P. van der Zaag & R.A. Meganck

187

Capacity challenges on the path towards water security P. van Hofwegen

201

Water knowledge networking: Partnering for better results J. Luijendijk & W.T. Lincklaen Arriëns

215

Enhancing nations’ capacity: From theory to practice. The role of the World Bank Institute K. von Ritter & A.S. Ramsundersingh Toward good water governance: Knowledge is power? L.A. Swatuk

243 249

A negotiated approach in ensuring use of local knowledge and capacity for water resources management M.M. Alam & D. Hirsch

259

Knowledge modelling for the water sector: Transparent management of our aquatic environment S. Velickov

269

Innovative education: Integrating a new educational concept and e-learning W. Jochems

281

Knowledge transfer and sharing at UNESCO-IHE: The next 25 years M.B. Abbott

287

African experiences: Learning and success Hon. M. Mutagamba

297

Closing speech for “Water for a changing world: Enhancing local knowledge and capacity” His Royal Highness The Prince of Orange

301

Author index

305

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Acknowledgements This book, with its background and discussion papers and Recommendations, is an outcome of the 50th anniversary Symposium of UNESCO-IHE on June 13–15, 2008, in Delft, The Netherlands. The editors are indebted to the numerous colleagues who prepared and facilitated the event, to the contributors, and to the inspirational work of the participants who generated the conclusions and recommendations. This diverse yet representative group of professionals, scientists and policy-makers helped articulate the analytical effort and underpin the forward looking approach of this book. We hope that this volume will continue to inspire the global water sector community in developing global and local knowledge and capacity to address the growing challenges to water security and sanitation. The editors would like to specifically express their thanks to the numerous colleagues who in minor and major ways have contributed to the Symposium and the development of this book. Foremost we express our thanks to those who took initiative and provided the intellectual and practical guidance for the Symposium, including Jan Luijendijk, Jetze Heun, Pieter van der Zaag, Stefan Uhlenbrook, Roland Price, Bart Schultz, Joyeeta Gupta, Kala Varavaimoorthy, Erik de Ruyter van Steveninck, Jay O’Keeffe, and Huub Savenije of UNESCO-IHE, Atem Ramsundersingh of the World Bank Institute, Washington, DC, Wouter Lincklaen-Arriëns of the Asian Development Bank, Manila, and Paul van Hofwegen of the World Water Council, Marseilles. Ilona van der Wenden, Erwin Ploeger and Cristina González-Dominguez were key for the logistic arrangements. For the assistance in the preparation of this book we are especially thankful to Stephen Dickinson for the substantial editing of the manuscripts under tight timelines, and to Peter Stroo for the graphic and technical editing. Reviewers have helped select and improve the papers, notably Roland Price, Meine-Peter van Dijk, Pieter van der Zaag, Stefan Uhlenbrook, Paul van Hofwegen, Rhodante Ahlers, Anne van Dam, Klaas Schwartz, Andrea Jonoski, Huub Savenije, Dimitri Solomatine and Jetze Heun, all academic staff of, or associated with UNESCO-IHE.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Foreword R.A. Meganck Director of UNESCO-IHE Institute for Water Education, Delft, The Netherlands

A. Szöllösi-Nagy Deputy Assistant Director General for Natural Sciences, UNESCO, Paris France

1 INTRODUCTION There are legitimate reasons why many feel the issues related to the use and management of water have reached a critical stage. The figures are well known by now and overwhelming in their impact: indeed, the availability of water has dropped from approximately 13,000 to 6,000 cubic meter per person per year; every day we witness 6,000 children dying of water-related diseases and disasters; there are still one billion human beings out there who are not being served with clean drinking water and two billion who are lacking access to proper sanitation. While population has increased threefold during the 20th century, collective water thirst has grown six fold, a clearly unsustainable trend. On the other hand, a positive aspect of these developments is that the crisis has become so important to so many productive sectors that water is now internationally recognized as a top priority at the highest political levels. Some say it is the single most limiting factor for investment. As a result, governments at all levels, as well as other organs of civil change, are taking any number of initiatives. Investment in “pipes and pumps” is up, but this is the “easy” part of the solution. Still required are more tangible commitments and decisions that will impact water management over the long-term. Generating and disseminating new knowledge, and building capacity at all levels, are inescapable parts of any sustainable solution, and investments in these aspects will pay dividends for years into the future. While these benefits are not as easy to measure as those from investments in physical infrastructure, they are equally vital to our being able to actually reach the Millenium Development Goals (MDGs). As the world is in a state of accelerated change, part of the challenge has been “catching up” in terms of both human and physical capacity. The knowledge and capacity to deal with these new challenges sometimes exist but they often are not in the right “place” and need to be transformed in order to be understood and applied appropriately.

2 UNESCO-IHE Fifty years ago, in mid-1957 a seed was planted and a dream born, and when one contemplates this decision, it is easy to understand how simple and yet how visionary and ix

catalytic a decision it was. The 50th anniversary of UNESCO-IHE Institute for Water Education is the realization of the efforts of countless people who have contributed to make this institution what it is in service to the Member States of the United Nations Educational, Scientific and Cultural Organization. On this occasion, UNESCO-IHE is proud to have hosted the symposium “Water for a Changing World: Developing Local Knowledge and Capacity” in response to the combination of a demand for action and the need to develop new and sustainable approaches for the water sector. UNESCO-IHE is an educational institution, with education, research and capacity building pillars supporting its relevance, particularly to developing and transition economy countries. In its 50 year history, 46 as a Dutch institute with an international focus and the last four as an integral part of UNESCO, it has awarded more than 13,500 Masters level diplomas to mid-level water professionals from 162 countries, 99% of whom return to their home countries after graduation and 85% of whom remain active in the water sector 15 years after leaving Delft. This in itself makes this institute unique. It is in a class of one in the United Nations system in terms of its being able to offer accredited MSc and PhD degrees. UNESCO-IHE graduates form an amazing list, a virtual “who’s who” of those who have influenced the development of the water sector in recent decades. Over the years, UNESCO-IHE has continued to play a cutting-edge role in the development of water science, and particularly in the essential role of science in supporting logical policy and investment decisions to improve water management. Since becoming part of UNESCO, the intensity of this function has increased, as the institute’s involvement with the International Hydrological Programme and the World Water Assessment Programme attests. In addition, the ability of UNESCO-IHE to develop new knowledge, and better understanding of the context of its institutional application, has led not only to interaction at the international level through groups such as the World Water Council and its World Water Forum, but also to practical demonstrations of the efficacy of our theory in the real world, with tangible results measured against, for example, the MDG targets. To continue to develop this is a challenge for all of us. Development implies progress in the quality of the human condition. In this context, there is no negative development, but rather errors or mistakes—sometimes by design, sometimes due to gaps in planning or the lack of citizen involvement, among many other causes. Our role is to augment and build on the positive, based on solid science interpreted in ways that convince and win the support of so-called beneficiary populations. We also are firmly committed to engender support for what we title the Partnership for Water Education and Research, a long-term cooperative effort that develops the education and capacity building goals of the Institute. In this context, this collection presents an exciting series of articles that appeal to diverse interests and, with a focus on the local context, elucidate the challenges in knowledge and capacity development that face us all.

3 UNESCO At the heart of reaching the Millennium Development Goals is the objective of improving the way water challenges are dealt with at all levels of civil society. We x

all know that there are areas throughout the world where we have major capacity limitations in this regard. Therefore, the mission of UNESCO-IHE is extremely important, and in addition, the UNESCO Education for All programme has a role to play in tackling the gaps in water knowledge. When Member States recognize that water should be a cross-disciplinary development priority, they implicitly recognize that education is going to be crucially important to help secure needed investments in new infrastructure for the long-term. In recent years UNESCO has responded to this change in the global agenda by making water a principal priority. UNESCO has reinforced its activities significantly over the past six years, based on three pillars inside, and one pillar outside, the Organization. The first is the International Hydraulic Programme (IHP), which is a global science programme. The second is UNESCO-IHE. The third is the World Water Assessment Programme (WWAP), which is a joint effort of 24 UN agencies, “UN Water”. The fourth pillar is the network of UNESCO Category II Centers: national water related institutions, think-tanks, and research facilities that align their goals and strategies with those of the UN system and particularly the IHP. There are now 10 UNESCO Category II Centers related to water. The latest, opened in Japan, is the International Center of Water Hazards and Risk Mitigation. Further development is now focused on how to forge closer links among the centers, with UNESCO-IHE, serving as the central hub. This is an example of what the UNESCO Director General referred to as a “new model” for moving an entire sector forward on the international scene, joining the UN system with other organizations in order to address issues of great importance in a consolidated manner. While the entry of UNESCO-IHE into the United Nations system is recent, its significance will be measured by the long-term future. It is our hope and dream that the pillars of UNESCO action, including UNESCO-IHE, will together be able to assist our Member States, and particularly the developing countries, to meet the Millennium Development Goals relating to water, and other international goals such as integrated water resources management. Both now and in the future, through the application of UNESCO-IHE’s outstanding qualities and capacity, we hope to be able to go farther and faster to address complex water-related problems like floods, droughts, and the impacts of climatic changes. UNESCO-IHE will not only be a key player, but it will also act as an inspiration to others and, through its network of partner institutions, help replicate the force of knowledge institutions as a vital link in overcoming complex challenges.

ACKNOWLEDGEMENTS Both UNESCO and UNESCO-IHE want to thank the many individuals and organizations that have contributed to the organization of the gathering, which inspired this book, “Water for a Changing World: Developing Local Knowledge and Capacity” at UNESCO-IHE, June 2007. That we are able to declare it a success is a given. New concepts are an inevitable outcome when one has more than 250 scientists and policy makers in a single room. What will be our ongoing challenge is to transform that new xi

knowledge into the reality of improved institutions that positively impact the future of the water sector for all. For some countries, such as the Netherlands, water has been a critical development issue for several centuries. The recognition that water was going to be a critically important item on the global agenda is a much more recent development. We are confident in the ability of UNESCO, UNESCO-IHE, and their partners to meet the challenges of developing new knowledge, of helping build the capacity that science can generate, and of inspiring the far sightedness of decision-makers to use this information wisely.

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PART 1: Background

Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Purpose and structure of the Proceedings

PURPOSE These Proceedings are the outcome of the International Symposium which was part of the celebration of the 50th Anniversary of the UNESCO-IHE Institute for Water Education—known initially as the International Institute for Hydraulic Engineering, and thereafter as the International Institute for Hydraulic and Environmental Engineering (IHE). This Institute has been an exponent of Knowledge and Capacity Development (KCD) efforts in the water and environment sectors for half a century. This Symposium is the fourth in a series on capacity development, with the earlier ones held in 1991, 1996, and 2001, and all co-organized with the partners in UNDP and the World Bank Institute. This Symposium aimed to explore the “next agenda” in KCD and would draw from the global experience on the subject including that of the Institute itself. The recommendations are aimed at the international development community, and also highlight those issues that are of particular relevance for the Institute given its mandate as an international organization for water education. The objectives of the Symposium were to achieve: • A more operational and technical understanding of the emerging challenges for sustainable water management over the next two decades; • A better grip on what priorities need to be addressed in knowledge and capacity enhancement, especially at local level, and at the global scale, to respond to these challenges; • Recommendations on the strategy, priority actions, and preferred tools and instruments, to develop knowledge and capacity to make decisions and actions more effective. The Symposium proceedings, therefore, proceed along the following two levels of questions, with the outcome from the first discussion feeding into the second: 1. Taking an integrated perspective on the water resources and recognizing the growing pressures on the environment and the water system—What are the technical challenges that the changing world has to prepare for? What are the benefits of more effective management of water and environment, and who bears the risks of ineffectual management? 2. Learning from the past decades of achievements, and of unfulfilled promises— How can the effectiveness of KCD efforts be improved? How can development be made more effective through KCD? What knowledge can be generated locally, what can best be shared? Is there need for more “integrated approaches” or rather for more mono-disciplinary efforts? What is necessary, in particular at the local 3

level—of communities, of local governments and at national level—to achieve better informed decision making, more effective operations, and more sustainable operation and management? What kind of partnerships and support are required in knowledge and capacity enhancement? What is the special role of universities, “centers of knowledge”, of NGOs, of development agencies, and governments?

STRUCTURE AND AUDIENCE The Symposium was organized as a sequence of parallel working groups. The working groups allowed to first assess the first questions set (see above) and would review the current understanding of the challenges and the state of the art in the existing knowledge to formulate responses. Based on the identification of the knowledge gaps, the institutional constraints to apply this knowledge appropriately, would then be reviewed along the questions second set, and recommendations would be articulated. These Proceedings contain the papers written to support and guide the working group discussions, as well as the overall Recommendations. Thus, the first series of parallel working groups focused on the following emergent challenges: water security; environmental integrity; urbanization; information and knowledge; and governance. The second series concentrated on the following: knowledge for development; sharing of knowledge; and generation of knowledge, and innovation. The active audience of the Symposium comprised a representative group of professional and scientific staff from around the world—partly UNESCO-IHE alumni— and recognized specialists from the water sector and specialists in KCD, as well as representatives of the institute’s international partners, of the major international development agencies and NGOs, of water sector agencies, and of the UNESCOIHP partner institutes.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Knowledge and capacity development (KCD) as tool for institutional strengthening and change G.J. Alaerts The World Bank, Washington, DC, USA* UNESCO-IHE, Delft, The Netherlands

ABSTRACT: Knowledge and capacity are intricately related, and are essential for development. Knowledge can be either explicit or tacit, with the latter referring the contextual knowledge and the knowledge that cannot be easily captured in symbols and language. Each type of knowledge has its own most effective modes of transfer. Knowledge is also thought of as capacity-to-act, hence, possesses a dynamic quality. Knowledge and capacity development (KCD) is necessary to inform decisions on water sector management and translate these decisions into action on the ground. Capacity is required at the levels of the individuals (human resources), organizations and the enabling environment. Governments and other stakeholders need to devise strategies for KCD, based on the recognition that capacity is complex. They can draw from KCD tools, notably education and training, and technical advice, on how to best institute procedures and incentives to build capacity, as reflected in competences for technical skills, for management, for governance and for continual learning. KCD is an essential part of, and shapes, institutional development and change.

1 BACKGROUND The first UN Conference on Water, in 1977 in Mar del Plata, sounded for the first time the alarm bell over the vulnerable and finite nature of water in light of the rapidly growing demands on the resource. The Mar del Plata Action Plan prioritized the provision of drinking water and sanitation—“drinking water and sanitation for all by 1990”— and the need to save water and protect it from wastage and pollution. The 1981–1990 Drinking Water Supply and Sanitation Decade managed to drastically increase the coverage for water services but proved on many counts less effective. It was overwhelmed by population growth, and it led to the recognition that strong institutions and proper social behavior are as important as the infrastructure itself. The UN Conference on Environment and Development in Rio in 1992, and then again the 2002 UN Millennium Development Goals, re-iterated the same priorities. In addition, they highlighted

* The views expressed in this paper are those of the author and do not necessarily reflect the opinion of the World Bank.

5

the strong mutual dependence of water and environment. After three decades of major investment efforts, and further calls at global forums, the world has much achievement to show for, yet serious challenges remain, both old and new. The exponential growth in demand for water, the strong urbanization, and the persistent poverty have kept the coverage rates for drinking water supply and sanitation at modest levels in some regions, though other regions are well on their way to close the gap. Still, major challenges remain: the water use efficiency and service reliability are often unacceptably low; many water supplies are precariously vulnerable; and pollution taints water quality much faster than pollution control measures are put in place. Weak performance of the institutions and of the users alike, remains the bottleneck, especially in sanitation and in general service delivery. Yet, it could be argued that the main future concern will be on water resources sustainability, as the largescale and steady transformation of the earth’s surface by human interventions as well as by climate variability is rapidly adding new stresses on the natural eco-hydrological systems that will have to support the continual generation of water resources to meet the demand for water–for food production, for drinking, for hydropower and navigation, flood management, etc. Competition for access to water will rise. Part of the knowledge to address these challenges is available. However, key constraint are the gaps in our knowledge regarding how the global changes are going to affect us and what the responses should be, and how the water service delivery and the resource should be managed more effectively. Equally important, one observes that often this knowledge does not get readily translated into proper planning or effective action. Weak institutions, specially at local levels of government, and in many communities, form a second key constraint, in particular in developing nations.

2 THE ROLE OF KNOWLEDGE AND CAPACITY IN DEVELOPMENT 2.1

Knowledge in industrial economies

Classical economic theory has long held that economic development is created through the input of three production factors: physical resources (such as iron ore), work force, and capital. More recently, it has been recognized that development also rests on another input factor, namely knowledge. In his seminal analysis, Romer (1990) proposes to consider knowledge as input factor in the separate forms of human capital (as measured, e.g. by cumulative years of education, school enrollment and university graduates numbers) and ideas (as measured, e.g. as the number of industrial patents). This new proposition allowed to explain the re-invigorated economic growth since the 70s, with its rapid transition from the classic main sectors of agriculture, manufacturing and heavy industry to service industries, and electronics and internet-based industries. These have come to be known as “knowledge industries”. The singular association of these “new” sectors with knowledge, however, obscures the fact that also the other more traditional sectors have depended on knowledge and innovation for their development. Even though more superficial analysis may have found that competitiveness and progress in these sectors in the 6

19th and early 20th century were determined rather by the first three production factors, knowledge and innovation too demonstrably have played a major role in their development even though their role was more difficult to separate out or quantify. In the past, knowledge was perceived as some constant attribute of the learned sections of society and tradesmen, and as a black box. Nowadays, it is becoming “instrumentalized” and treated as a human faculty that can be enhanced, shaped and guided to attain higher goals in society—whether for economic growth, for social development, or to make this development more sustainable by understanding better how to manage our natural environment. But even though this instrumental role is only now understood better, knowledge has always taken a central position in the development of societies. The economies in the industrialized countries are nowadays called “knowledge intensive”. This pertains obviously to the industrial sectors and firms that are particularly reliant on innovation and knowledge to retain their competitive lead, such as electronic and software firms and pharmaceutical industries. However, as globalization has made the market place more open and transparent, all industrial sectors, including such traditional ones as agriculture and manufacturing, are experiencing stronger competitive pressures. To survive and grow, they need to continually invest in knowledge, for product design, production improvement, marketing and management. Agriculture has become knowledge-intensive, allowing cold The Netherlands and semi-arid Israel to become highly successful exporters of agricultural products. Therefore, knowledge and innovation are indeed generic input factors of any development endeavor, be it at the level of a firm, an industrial sector or a nation’s aggregate economy.

2.2

Explicit and tacit knowledge

Wittgenstein and Polanyi analyzed knowledge as object. Polanyi (1958) distinguishes explicit or focal, and tacit knowledge. Tacit knowledge is the tool to handle what is being focused, and which often is taken for granted. For example, knowledge often comes in words (focal or explicit knowledge) but to give a word a meaning we need a tool, i.e. our broad, culturally defined understanding of the language (tacit knowledge). Certain knowledge can be easily articulated in symbols, such as mathematics, and this allows in turn easy replication, transfer and sharing. But other knowledge, such as defining cultural values, or for bike riding, cannot be condensed into a manual. Transfer requires more laborious interaction and different learning processes. Consequently, information in itself is low-value and receives its meaning only through the context of tacit knowledge. Hence, Polanyi distinguishes two modes of knowledge transfer: information transfer (say, class-room teaching), and tradition. Explicit knowledge can be well transferred by the first, but the risk exists that this is eventually ineffective or unreliable because it is the recipient who attributes the meaning to the information. For example, one can be proficient in chemistry by learning from textbooks, yet be incapable of solving a practical problem of water pollution, or of relating the learned concept to the real life phenomena. Tacit knowledge, therefore, is more crucial, and needs to be recreated from scratch by the apprentice who is mimicking what the mentor demonstrates. Polanyi calls this tradition, comparable to the apprentice-master education in trades. 7

Knowledge-based enterprises have become acutely aware of the particular challenges in managing, creating and (internally) transferring knowledge (Nonaka and Takeuchi 1995, Sveiby 1997). What pertains to such enterprises equally holds for other knowledge-intensive systems such as the water sector and education in general. Polanyi further concluded that knowledge is by its nature action-oriented. All knowledge is acquired through sensory impressions using the abilities the individual already possesses. Polanyi, therefore, prefers to talk about the process-of-knowing. Sveiby (1997), aiming at the practices in private businesses, argues that knowledge alone does not suffice to explain why certain things work and others don’t. He proposes to replace it with the word competence, or with capacity-to-act, which is also formed by the cultural and social network in which the individual operates. This leads us to hypothesize that part of the intellectual value of a professional is derived from his continuing interaction with like-minded problem-solvers or peers, and with problem-bearers who continually force him to test the validity of his assumptions, and adjust and improve his knowledge. In a business environment, the professional finds the latter primarily represented by his clients. In other words, we can conclude that no knowledge can be generated without prior problem, but that the identification and understanding of that problem requires knowledge as well. Hence, knowledge begets questions, begets knowledge.

2.3

Knowledge in the public sector

Whereas the role of knowledge in industry and economy has become subject of intense research, surprisingly little is being written about knowledge management in the public sectors. However, most of the recommendations emerging from the corporate world pertain equally well to the public sectors. Accepting that the public sector is not managed to maximize returns and profit, it does share the more fundamental objective with the private sector that it aims to minimize expenses while maximizing the combination of the quality of the public service and the environmental sustainability. Though inefficient public services cannot be suspended like bankrupt firms, the introduction of proxy tools such as benchmarks to measure performance, and deregulation, have helped to bring more discipline to public administration. Application of knowledge can be instrumental to enhance this performance, through sharper definition of objectives, better implementation systems, and better, more responsive management of human resources and of the interaction with society. Water and environment pre-eminently depend on knowledge as they are particularly complex because of the interdependencies between the different compartments in water resources and their numerous interfaces with society. These complexities are of a higher order than in other public sectors, such as transportation, energy and education. Foremost, there are physical dependencies, e.g. between upstream and downstream water bodies, between surface water and groundwater, between the land use and its local hydrology and aquatic ecosystems, and between the quantitative and the qualitative characteristics of water. Water is also fugitive and nonterritorial—it is always moving from one location to another and a unit of water is more expensive to retain, control, store or transport than, say, a unit of energy in 8

the form of a liquid, gas or as electricity. In addition, in economic terms, water can assume at the same time the characteristics of a private good (e.g. when it is sold as drinking water), public good (e.g. when the destructive force of floods must be controlled by levees, pumps and dikes) and a common-property resource (e.g. when water is a fishing ground, or supports wildlife or aquatic biodiversity that belongs to “the community” or society at large). Managing and developing such resource demand sophisticated knowledge. While this may be obvious for our modern societies, it is equally true for ancient societies that had progressed far in their water management, such as the Maya in Central America or the Assyrians in the Middle East. Similarly, many smaller and less well-know groups and communities have developed bodies of experience and knowledge—“social capital” and indigenous knowledge—to achieve and sustain proper water supply, irrigation and flood control at local scales. Knowledge and capacity, thus, as instruments to further human development are a generic attribute of successful societies, across history.

2.4

Capacity constraints to apply knowledge—the case of developing economies

The knowledge to address the challenges emerging in the water sector as outlined in section 1 above—and to address the challenges in global development in general— may be considered at least partially available. However, even when existing, this knowledge is often observed being not readily communicated and shared, and translated into proper planning or effective action that has an impact or outcome at field level. This lagging or constraining effect is especially visible in countries that are developing into modern economies, although it affects all societies. Many countries—i.e. their governments as well as their civil society—are observed to have a weak “capacity”: weak knowledge bases, small numbers of professionals with the right education and skills, and in general, administrative and managerial arrangements, and laws and regulations (the “enabling environment”) that, taken together, fail to facilitate the swift and effective action that can deliver the desired results on the ground. Figure 1 schematizes this flow. First, knowledge is required that can identify and describe the issue, challenge or problem that one desires to be addressed. A different knowledge is required to then articulate how to address this. Then, this knowledge needs to be communicated, shared, refined and confirmed among experts, peers and decision-makers as prerequisite for action, after which implementation of the action necessitates a functional and capable organization and enabling policy and administrative environment to do so and ensure the financial and other resources. The implementation capacity in turn also depends on the knowledge and skills of the implementing agency, and the incentives it responds to. This creates the potential to act. However, this potential will materialize only in presence of positive incentives (such as, financial or political incentives, or personal motives to further one’s career, etc.) which outweigh negative ones. The action, thus, comes as the aggregate of a series of sequential co-causal steps and decisions. The eventual outcome or impact from that action can be observed much later, at substantial distance from the original knowledge. Hence, it is often difficult to correlate the outcome with that knowledge, or with the capacity of the 9

communication and sharing

knowledge

incentives

capable administration and enabling environment

knowledge to articulate problem

shared knowledge knowledge on solution

presence of positive incentives, absence of negative incentives

potential to act ACTION

other sets of knowledge, capabilities and incentives

OUTCOME

Figure 1. Flow diagram with the sequencing of knowledge and capacity creating the potential to act. The eventual action will materialize when in addition positive incentives outweigh negative ones.

administration and the quality of the enabling environment. This difficulty to detect causalities is further compounded by the fact that similar outcomes can also be generated by several other sets of knowledge and capabilities.

2.5

Defining capacity

The concept of capacity refers to development in general, and several definitions have been proposed that reflect the theoretical (or political) frameworks from which the subject is approached (see box 1). Firstly, because of this concern with effective public administration systems, public administration science was one of the first disciplines to attempt to define “capacity” referring to its organizational structure and operational procedures. The public administration receives its capacity from education and training, proper procedures, and appropriate incentives. Secondly, drawing experience and insight from the only modestly successful efforts in developing countries with the International Drinking Water Supply and Sanitation Decade spanning the 1980s, the water sector was one of the first to devise a practical definition with a strong interest in making development programs more effective and sustainable, and to articulate in a coherent fashion the need for knowledge and capacity development (KCD) (e.g. Alaerts et al. 1991, Alaerts et al. 1999, Visscher et al. 2006). This experience also brought into consideration aspects beyond public administration, and recognized the critical functions of the “enabling environment” of the policy, legal and regulatory frameworks in which the public administration, and the investment projects funded by the international donor community, had to operate. It also recognized that the water users and other stakeholders in civil society 10

have to play equally important roles in making things work at the local operational level of the household or the small irrigation plot. Indeed, as mentioned before, in developing countries the public administration has only a limited reach and capacity, and much depends on how local users and communities are willing to cooperate and contribute. This approach, in addition, also for the first time linked capacity with knowledge—as generated and disseminated by educational institutions locally and at a global level. Thirdly, UNDP took this definition to a higher level, relating capacity to international development across the board. That definition, however, tends to dissociate the capacity and the knowledge components. Fourth, recent work emphasizes the systems or complex nature of capacity in development efforts. This approach argues that the capacity of an organization is both a distinct entity by itself and the resultant of the capacities of the individuals in that organization. It is also the resultant of a wide variety of inputs (types of knowledge that have been transferred, structure and procedures, leadership and managerial capabilities of the individuals, etc.). All these attributes tend to change over time and mutually influence each other. This complexity tends to blur the relationship between the capacity development input, and its outcome. This school of thought rejects any normative or deterministic approach and posits the pivotal role of process in which all stakeholders are involved in determining the objectives that are consistent with the capacity (e.g. Pahl-Wostl 2002). Box 1. What is capacity? Shafritz (1985) approached capacity from the perspective of public administration sciences: “ … any system, effort, or process … which includes among its major objectives strengthening of elected chief executive officers, chief administrative officers, department and agency heads, and program managers in general purpose government to plan, implement, manage or evaluate policies, strategies, or programs designed to impact on social conditions in the community”. The 1991 Delft Declaration (Alaerts et al. 1991) suggested “Capacity comprises well-developed institutions, their managerial systems, and their human resources, which in turn require favorable policy environments, so as to make the [water] sector effective and sustainable”. UNDP states that “Capacity is the ability of individuals, groups, institutions and organizations to identify and solve development problems over time” (Morgan 1993, UNDP 1993). Hilderbrand and Grindle (1994) emphasize the dynamic nature of capacity: “Capacity is the ability to perform appropriate tasks effectively, efficiently, and sustainably. This implies that capacity is not a passive state—the extent of human resources development, for example—but part of an active process.” More recently, the complexity or systems nature of capacity has been emphasized: “Capacity is … the emergent combination of attributes that enables a human system to create developmental value” and “… the overall ability of a system to perform and to sustain itself: the coherent combination of competencies and capabilities” (Zinke 2006). “Emergent properties, such as capacity, come from the dynamism of the interrelationships in the system. The challenge is not so much to build or enhance them as it is to unleash them or find ways to encourage their emergence” (Morgan 2005).

In addition to these four approaches, we can further distinguish two other important approaches. The fifth one refers to the epistemological approach as enunciated by Wittgenstein and Polanyi and described above. Sixth and finally, the behavioural 11

and business management sciences have extensively researched behaviour of humans and of organizations. Sveiby (1997) e.g. draws from this body of knowledge but also builds on Polanyi’s dynamic concept of knowledge (see section 2.2). The resulting definitions complement each other. The management approach helps to make the concepts more practically manageable, in contrast with the complexity approach which tends to dispute the notion that capacity can be managed. Knowledge and capacity, in these definitions, are intricately linked. For our purposes here, capacity can be defined as the capability of a society or a community to identify and understand issues, to act to address these, and to learn from experience and accumulate knowledge for the future. This definition emphasizes the linkage with knowledge as well as with a verifiable impact on-the-ground, and it also emphasizes the critical “extra” capacity for continual learning and improvement that characterizes the “learning organization’. This definition pertains equally to individuals—from technicians and community members up to ministers and politicians—and to the institutions in which they work and operate together and carry out their work. Overall performance thus depends on the simultaneous effect of capacity of the individuals as well as of the institutions. Developing countries tend to possess weak institutional and human capacity, with administrative systems that tend to be static and bureaucratic, and pre-occupied with technical aspects and standardized solutions. Especially local governments and local communities are at risk and may have little capacity to anticipate, and adapt to the changing demands and environment effectively. Notwithstanding, many of these local communities have generated over generations a body of traditional knowledge regarding the local conditions and how to cope with them. Some tribal communities in the Andaman Islands in the Gulf of Bengal appeared better prepared to deal with erratic devastating natural events like the December 26, 2004 tsunami than the urbanized and wealthier communities in west Indonesia and east India. This weak capacity and knowledge impede the proper targeting and absorption of development funds and the sustainable operation and management of investments. Very different from the situation up to the 1990s, the current experience in most developing countries suggests that it is the shortage of sensible and “feasible” investment proposals that is impeding development, not any longer the shortage of funds per se. Feasible proposals are those that have been designed properly based on sound analysis and with respect to realistic outcomes, and that are embedded in a policy and administrative structure that is able to ensure sustained use and maintenance.

3 A CONCEPTUAL FRAMEWORK FOR KNOWLEDGE AND CAPACITY DEVELOPMENT 3.1

Knowledge and capacity development of the water sector

Water sector management, and the knowledge and capacity development of this sector, are to be considered a sub-set in the broader field of public administration (Fig. 2). 12

Public administration sciences Management Sciences1 Political economics2

Didaxology Educational Sciences

← TOOLS

Knowledge and capacity development

↓

OUTCOMES

Institutional Development and Change Processes

WATER SECTOR MANAGEMENT

Governance— Civil society as Implementer Governance— Accountability mechanisms PUBLIC ADMINISTRATION 1

Includes corporate sector management, and knowledge management 2 Includes notably institutional economics

Figure 2. Water sector management and its capacity development are part of the broader field of public administration. The diagram indicates the key disciplines and tools applied for this development, and the main potential outcomes.

The capacity (and knowledge) development is applied to strengthen the institutions in the sector. The outcomes of such strengthening—and, of the capacity development—are basically change processes (such as, introduction of new technologies; re-organizations; and reforms). Indeed, organizations that are not undergoing change, do not require capacity development. Other possible outcomes comprise improved governance, in the sense of situations where civil society becomes capacitated to become part of the decision-making and even implementation of some sectoral functions. For example, the success of rural water supply, sanitation, irrigation and the management of upstream catchments and of fishing grounds, depend heavily on the sense of ownership and involvement of local communities and water users in the management of their resources and infrastructure. The enhanced governance can also take the form of increased accountability and transparency in decision-making and joint management of local infrastructure and of the resource proper. The tools of KCD, then, are multi-disciplinary as can be derived from the definitions above. It draws from several disciplines. As figure 2 suggests, a key knowledge pool rests in the public administration (and related) sciences. The way the organizations are functioning and are to be managed, is the subject of management and business administration sciences. Several concepts are derived from political economics and sociology. These disciplines guide the KCD efforts. Important tools concern the modes of delivery and conveyance of this knowledge, through didactically and educationally appropriate formats. 13

3.2

A rationalized flow diagram for knowledge and capacity development

Figure 3 brings together the different elements of KCD. The diagram specifies in broad terms, for each of the three levels of action—the individual, the organization and the enabling environment—the sequence of what knowledge and capacity imply, by what means the knowledge and capacity development can take place, what the outcomes are and how these could be potentially assessed. The sector’s performance derives from the effective action of individuals with the proper knowledge and capacity, who function in larger (sector) organizations (such as ministries, local governments, water user associations, civil society organizations, etc.). The effectiveness of these organizations is dependent both on the effectiveness of those individuals and on the typical features that shape the capacity of the organization itself through its skills mix, operational procedures, etc. In turn, organizations with the right capacity still need an enabling environment to put in place the facilitating factors including an enabling legal and regulatory framework, financing and fiscal rules that stimulate proper action, and a broadly supportive political inclination in parliaments and among the voters and consumers. As mentioned above, KCD is essential to support and implement improvement of institutions or change in institutional arrangements. Often it is difficult to distinguish KCD proper from institutional development, and, indeed, KCD is embedded in and in effect helps shape any institutional development and reform effort. At the level of the individual the knowledge and capacity can be meaningfully categorized as factual knowledge (“water boils at 100°C”), understanding (e.g. of the water cycle), skills (e.g. to apply a theory) and attitudes (e.g. problem-solving attitudes, and intuitively seeking cost-effective solutions). These comprise explicit and tacit knowledge, in accordance with Polanyi (section 2.2). They are generally developed through typical knowledge transfer instruments such as education and training, however, whether the desired knowledge (or capacity) is explicit or tacit does make a difference in choice of instrument. As Polanyi and Sveiby argued from their respective epistemological and practical management insights, tacit knowledge is eventually far more important as it shapes the skills and deeper attitudes. Tacit knowledge can best be transferred through one-on-one interaction between junior and senior, apprentice and teacher. Organizational capacity development is achieved by educating/training the (staff) members and by helping the organization as such learn from the experiences from others. Technical assistance and management advice are important instruments. Both for individuals and for organizations, networks are playing an increasingly important role for generating, sharing, corroborating and improving knowledge and capacity. Networks—both formal associations and informal communities of practice—are becoming the main mechanisms for professional improvement for many water professionals. Information and Communication Systems (ICS—comprising both the technologies proper, and the interfaces and educated users who are able to utilize and work with these systems) are powerful tools to support and intensify communication and open up new avenues for the dissemination of knowledge including best-practices. ICS is also becoming an instrument to forecast with greater precision the future consequences of current decisions and 14

Change mgmt Tech advice on structure, mgmt, & incentives Human res. dev. Peer learning Learning-by-doing Awareness raising Press & mass communication Technical advice Dialogue Peer learning Learning-by-doing

Strategies Human resource Administrative procedure Budget frame Accountability frame System to learn lessons

Water “literacy” Political priorities Policies Regulatory frame Public administration Fiscal frame Accountability

Networking

Explicit Kn: Training Education Tacit Kn: Apprenticeship Peer learning Learning-by-doing

Knowledge and Capacity Development

SECTOR PERFORMANCE

=

CONDUCIVENESS GOOD GOVERNANCE

+

ORGANIZATION PERFORMANCE

+

KNOWLEDGE UNDERSTANDING SKILLS ATTITUDES

Outcome

• • • •

Competences: Technical Managerial On governance For continual learning and innovation

Indicator/Attribute

Figure 3. Flow diagram outlining the contents of knowledge and capacity for individuals, organizations and the sector; the development tools, outcomes and indicators.

ENABLING ENVIRONMENT

ORGANIZATION

INDIVIDUAL

Factual knowledge Understanding Skills Attitudes

Knowledge and Capacity

policies scenarios in development scenarios, and reduce the uncertainty related to climatic variability. The access to relevant data facilitates decision-making and in general increase transparency and governance.

3.3

Assessing outcomes of KCD

Measuring the impact or outcome of a simple input at the level of the individual, say, of a training for a particular skill, is quite feasible and methodologies are available for this purpose. In contrast, the assessment of the outcomes at the more aggregate or higher levels of behavior is a cumbersome proposition (say, of an “attitude” in an individual, or a competence of a larger organization or part of the sector), because the outcomes are diverse, often hard to define with precision, and fuzzy; the different elements also are not only related in linear causal relationship but also through mutual interactions and feedback loops. For example, the competence of the organization is not only determined by the sum of the competences of the staff, but also by the way the organization’s own structure and its operational and administrative procedures further stimulate the utilization of knowledge and skills, and continual learning. As the complexity theory (see higher) has demonstrated, the causal relations with the inputs are usually hard to discern, and the desired outcome typically is achieved only when a number of inputs are secured and conditions fulfilled simultaneously. While it is already difficult to articulate how a combination of inputs and conditions would likely lead to a desired outcome, it is more tenuous to correlate observed outcomes (such as behavior or an institutional change) with a set of inputs and conditions. Under these circumstances it is particularly difficult to devise indicators that allow to reliably describe the levels of capacity/knowledge in an individual or organization. This assessment difficulty seriously hampers efforts to target KCD investments better and find out which strategies work better than others. A number of efforts have been made to get a better grip on the assessment of current capacity and the “gap” with the desired level as derived from countries or situations that are deemed comparatively successful or otherwise adequate to serve as benchmark. Basically, three approaches have been proposed that each contribute to informing decisions regarding KCD strategies and investments. A first approach takes a normative position and attempts a semi-quantitative assessment of the “capacity gap”, at least on one or more key elements of an organization’s or the sector’s capacity. For example, it would assess a “capacity gap” by estimating how many professionals and which skills are required for a country’s sector organizations or for its sector to be effective, and how many of these skills are actually available or are being delivered by the educational systems of that country (see box 2, UNESCO-IHE and Schwartz). Although such quantification responds to the practical desire for concrete information, the complex nature of knowledge and capacity is likely to limit the usefulness of this approach. Also, the gap in terms of human resources concerns only one component of KCD. A second approach rejects the normative position and consists in assessment of the “capacity gap” by involving key stakeholders and experts in consultations regarding what they perceive as the priority elements in the capacity gap, and how 16

this gap can be best addressed through a series of short-term iterative steps that allow regular adjustments to the KCD efforts (see box 2, UNDP). For this and the previous assessment approach it is essential to involve outside experts who have full exposure to international best-practices; local stakeholders are obviously best informed about what is feasible within the local political context, however, they may be unaware of alternative insights and models, or they may suffer from tunnel vision. A third approach is seated in the complexity theory and essentially posits that very little in KCD can actually be planned precisely because of this complexity and non-linearity. Baser (this Volume), drawing on a series of different case studies, demonstrates that the factors that eventually cause success or failure are hard to plan or forecast, while those efforts that are plannable often play a modest if any role in the final outcomes. It may be concluded that for many types of KCD initiatives, the effectiveness at a higher or aggregate level does depend on numerous factors and indeed is generally hard to plan or forecast with precision. In addition, the processes and “facilitating conditions” that are required to create the impact may be mostly outside of the control of those managing the initiative, and may demand long lead times beyond conventional project durations and possibly span generations. Also, involvement of the key stakeholders up-front is essential to achieve realistic assessment and KCD implementation strategies, and ensure the commitment from those who are supposed to carry the initiative. It is suggested here to develop better methodologies and protocols that are able to assess these capacity levels through four key features of the overall “competence” that are the essential determinants for the success and sustainability of a water management strategy: • Competence on technical expertise. Technical and scientific expertise obviously are essential for proper water management. This is comparatively easy to assess and can be measured through tests, peer-reviewed academic publications, etc. • Competence on managerial skills. Competence in managing projects, teams, organizations and resources, and the ability to “get things done within reasonable limits of resource utilization and time”, are very important higher-level skills. Whether an individual or an organization possesses this competence can be derived from their eventual success, however, because such competence has also very personal features and relates to personal character traits it is much harder to “measure” or assess directly. • Competence on governance. Governance can have many meanings but for the purposes here we limit it to both the sense of being able to guide the broader sector management, including the role and contribution of civil society, and of bringing to bear a deeper ethical commitment to transparent and effective engagement in the sector. Many countries still have sector organizations—technically competent—that appear more driven by the direct interests of these organizations proper instead of by the broader and longer-term interests of society. This kind of competence is even more abstract and hard to assess, yet competence can be observed from proxies for, e.g. a strong interest in and capacity to work with civil society, and a demonstrated commitment to transparent and accountable management. 17

• Competence on continual learning and innovation. As was outlined above, the water sector is knowledge-intensive and, therefore, its main actors, especially in goverment, need to put in place procedures and an attitude that stimulate continued

Box 2. Water sector assessments—examples. UNDP supported “rapid water sector assessments” in 1992–1998, in China, Peru, Mexico, Mali, Ghana and Bolivia. In each instance UNDP provided modest financial support in the form of international expertise to local agencies keen to assess the challenges to their water sector and their nation’s capacities to address these challenges, and from there devise a new strategy based on a prioritization. In China, the Ministry of Water Resources and the Guizhou Provincial Administration worked on an institutional performance assessment, focusing on strengths and weaknesses related to the economic and institutional aspects of water management, such as pricing, river basin management, and stakeholder involvement in integrated water management. In Peru, the assessment guided a parliamentary debate on sectoral priorities, and helped reform agencies and generation of the required new skills mixes. In Mexico, the initiative added to the broader effort of the Comision Nacional de Agua to improve the sector’s overall performance, and it led to a better articulated and focused reform agenda. Each process took 2–3 years, included sequential consultations, and contributed to a longer-term institutional improvement process. The support was modest at $30–90,000, and did not include the financing of the actual implementation of the strategy, for which usually other funds were available. (UNDP 1997) A global review assessing constraints to achieving the Millennium Development Goals on water found that though several developing countries reported to have adequate numbers of technical staff, many other countries still faced quantitative constraints. Nearly all countries reported that often engineering graduates lacked strategic skills, sensitivity to economic and social issues and capacities to apply locally appropriate approaches. Also, most sector agencies didn’t sufficiently reward such skills or create a conducive environment for their use. (UNESCO-IHE 2005) Indonesia’s economy depends heavily on good water management. The 1998–2004 financial crisis triggered a deep institutional and administrative reform, emphasizing decentralized decision-making, participatory irrigation and cost recovery. The crisis also severely cut staffing levels. A thorough assessment of the new demands on the sector, and the existing capacities at national, provincial and district levels, revealed systemic weaknesses both in quantity as well as in skills mixes. The recommendations include: • Modernize curricula—and prepare engineers also for non-technical disciplines • Attract the brightest graduates, and set up a mentoring system so that inexperienced recruits get the tacit knowledge • Increase the appeal of the organization • Develop a pro-active human resources strategy with better career paths • Retain more of the good staff, and support potential leaders • Continuously assess training and education needs • Make use of retiring employees who have valuable knowledge and experience (Schwartz 2008)

18

Box 3.

Check-list to assess the capacities at the sector level (Lopes and Theisohn 2003).

Human resources: Refers to the process of changing attitudes and behaviors–imparting knowledge and developing skills while maximizing the benefits of participation, knowledge exchange and ownership. Job requirements and skill levels Are jobs correctly defined and are the skills available? Training/retraining Is the appropriate learning taking place? Career progression Are individuals able to advance and develop professionally? Accountability/ethics Is responsibility effectively delegated and are individuals held accountable? Access to information Is there adequate access to needed information? Personal/professional networking Are individuals exchanging knowledge with peers? Performance/conduct Is performance effectively measured? Incentives/security Are these sufficient to promote excellence? Values, integrity and attitudes Are these in place and maintained? Morale and motivation Are these adequately maintained? Work redeployment and job sharing Are there alternatives to the existing arrangements? Inter-relationships and teamwork Do individuals interact and form functional teams? Communication skills Are these effective? Organizational capacity: Focuses on the overall organizational performance and functioning capabilities as well as the ability of an organization to adapt to change. Mission and strategy Do the organizations have clearly defined mandates? Culture/structure/competencies Are organizations effectively structured and managed? Process Do institutional processes such as planning, quality management, monitoring and evaluation work effectively? Human resources Are the human resources adequate, skilled and developed? Financial resources Are financial resources managed effectively and allocated appropriately to enable effective operation? Information resources Is required information available and effectively distributed? Infrastructure Are offices, vehicles and computers managed effectively? The enabling environment: Focuses on the overall policy framework in which individuals and organizations operate and interact with the external environment. Policy framwwework What are the strengths, weaknesses, opportunities and threats operating at the societal level? Legal/regulatory framework Is the appropriate legislation in place, and are these laws effectively enforced? Management/accountability framework Are institutional responsibilities clearly defined, and are responsible institutions held accountable? Economic framework Do markets function effectively and efficiently? Systems-level framework Are the required human, financial and information resources available? Process and relationships Do the different institutions and processes interact and work together effectively?

19

innovation and acquisition of knowledge to prepare for the “next agenda”. The sector and its organizations need to continuously reflect on the questions how to become more effective and efficient in providing current services, and how to best prepare for the future challenges. Clearly, an important role is to be assumed by universities and institutes for research and development. Some countries, such as The Netherlands, have developed sector-wide knowledge management frameworks and initiatives. This contrasts with many other countries, where interest in improvements is modest and organizations seem concerned primarily by maintaining the status quo. A fundamental difference is to be noted between the competences pertaining to an individual and to an organization, or group. For an individual it may be difficult to score high on all four competences, and indeed it may be undesirable, as some professionals are expected to be specialists with a high competence in a narrow area. Organizations or groups on the other hand may require a balanced competence mix, with the different scores being contributed by the different complementary competences of individuals in the group, and by the specific contribution that is created by the organization’s procedures and functioning. Lopes and Theisohn offer a useful check-list to help assess a sector’s capacity by analyzing the three levels of individual (or human resources) capacity, organizations (or institutional) capacity and the capacity of the enabling environment (box 3).

4 WHAT GOVERNMENTS (AND OTHERS) CAN DO 4.1 A stronger case If sustainable development is our prime objective, then KCD should have the priority attention in developing and industrialized countries alike. Governments—for having legal authority and responsibility over the sector—can devise appropriate policies and take the main initiatives. Notwithstanding, an equally important role is to be played by civil society organizations and NGOs, and through the awareness and political vote of the electorate. The discussion below does not claim to be comprehensive, and focuses on the government role. Investing in knowledge and capacity development pays off. Recent evaluations have demonstrated that development programs in the water sector are now more effective and sustainable than, say, before the mid-nineties. Many local communities have become less vulnerable to external upheaval or natural disaster. This higher effectiveness can be attributed for a large part to stronger institutions, better governance and more technical and managerial competence in the developing countries whose capacity has been strengthened. Several studies on irrigation, for example, have shown that nowadays the best return on the investment in canal improvement is achieved when a substantial effort is also placed in capacity enhancement, including empowerment, of irrigators and local-government officials. Of course, at a higher level of aggregation, the impact of education of the young generation and of communities on sector development and sustainability is without doubt. 20

These impacts are being recognized. Although accurate figures are lacking, the amount of funds allocated to capacity development by donors seems to have increased about tenfold in the period 1995–2004 over the preceding decade. For instance, the World Bank provided for Sub-Saharan Africa between 1995 and 2004 about US$9 billion in lending and US$900 million in grants for the broader goal of capacity enhancement and education (World Bank 2005). Across the globe, the Bank financed about $720 million annually over the past years for training activities for all sectors (World Bank 2007).

4.2

Strategies and next steps

But governments and other decision-makers have still a long way to go to align their administrative systems and sector policies to international best-practices, and put in place a knowledge-management system stimulating structured learning. The coordination between institutions must be deepened, and more structural capacity developed. Communication with the stakeholder groups from local communities to politicians is to become a priority, partly for awareness raising and education, but also to listen in and forge cooperation. There are seven strategic issues to focus on. i) The fact that KCD is a formidable agenda by itself does not mean that meaningful KCD should always be carried out with such comprehensive ambition. KCD usually is more manageable and better targeted when carried out on a smaller working area or on a confined issue. Still, governments should at the same time start analyze their sector’s knowledge and capacity weaknesses and outline a longer-time strategy comprising a series of steps. ii) As a first initiative to inform the policy and the next steps, the institutional and human capacities of the country’s sector, or part thereof, should be assessed to define their strengths and weaknesses, and how robust the capacities are to deliver more effective services and prepare for future uncertainties. The assessment can cover a larger or smaller part of the sector (e.g. the management of river basins, basic sanitation, vulnerable communities, youth, etc.), or focus on a part of the overall institutional architecture and capacity (e.g. the education system, community management, or the legal framework). The SWOT analysis technique (StrengthsWeaknesses-Opportunities-Threats), results frameworks, risk analysis, stakeholder analysis, and similar techniques can be very useful to conduct the assessment (see box 2, UNDP). Such analysis always needs to be conducted together with all key stakeholders, including also non-governmental entities, and educational and training outfits besides academia. UNDP (2007) has reviewed and compiled the experience with capacity assessments and offers a rational framework for capacity assessment. It suggests that core issues to be assessed cover institutional development, leadership, knowledge, and mutual accountability. Critical functional capacities include, e.g., capacity to engage in multi-stakeholder dialogue, situational analysis, vision creation, policy and strategy formulation, budgeting, and monitoring and evaluation. It should be borne in mind that proper analysis requires substantial time and funds, as the assessment is specialistic and interactive and presumes adequate meeting 21

and communication opportunities. Other best-practices are offered in a World Bank review of experiences in Africa (World Bank 2005). From this assessment, a strategy and action plan can be derived. The strategy should be shaped contextually through dialogue and stakeholder involvement. Because the environmental, social-economic and cultural contexts differ between countries and sub-sectors, there is no “one size fits all” strategy. Such process cannot be imposed from outside, and requires a home-grown demand and political commitment. However, often the capacity assessment and its development help to make the case and demonstrate the benefits, and at the same time help develop capacity. The process often turns out to be slow, incremental and patchy. Addressing weak institutional environments is not a straightforward or “linear” process but often works best through “strategic incrementalism”, i.e., pragmatic incremental reform steps that may not fully address all the current institutional performance problems but can alleviate some acute problems while at the same time creating the conditions for deeper and more favourable change in the longer run (World Bank 2007). In order words, one should continually adapt the approach as specific new opportunities arise along the way. iii) The water sector is knowledge intensive. This calls for much investment in the creation of new knowledge, through research and innovation. On the other hand, a lot of knowledge to guide local action resides within the traditional knowledge of local communities, and is often untapped or dismissed. Knowledge on water tends to be available in fragmented form among a growing number of actors who each hold part of the solution. Communication, therefore, is becoming increasingly important in building the knowledge base and the institutional and human capacities; to disseminate and acquire knowledge from across the sector; and to forge political consensus in society. Precisely because of this complexity and the distributed nature of sector knowledge, a judicious balance needs to be sought between centralized sector management and collaborative arrangements among decentralized entities. ICS is a powerful tool to support and intensify communication and open up new avenues for the dissemination of knowledge including best-practices. ICS is also becoming the key instrument to forecast with greater precision the future consequences of current decisions and policies in development scenarios, and to reduce the uncertainty related to climatic variability. The access to relevant data facilitates decision-making and in general increases transparency and governance. Thorkilsen (2001) and Abbott (2007) describe how ICS has been at the core of the broad knowledge-sharing effort that was necessary to create the political and societal support for one of Europe’s largest and controversial infrastructure projects, namely the rail and road bridge and tunnel across the Øresend strait connecting Denmark and Sweden. Decision-makers have nowadays an array of tools and “knowledge pools” such as data bases, research and educational centres, consultants, etc. at their disposal to develop or enhance capacity and facilitate knowledge generation in those areas and with those actors whose low capacity is considered a key constraint. 22

iv) The strategy generally is implemented through a combination of education; training; technical advice for institutional strengthening and change; institution of appropriate incentives and procedures that encourage staff to seek innovation and learn; facilitation of research and innovation, and of communication and interaction. Given that much of the sector’s education is actually carried out by the educational establishment—through polytechnics, and a variety of university-level studies—sectoral decision-makers would do well by engaging in a dialogue with these establishments to ensure that sectoral and educational perspectives are aligned. The generation of professionals is in many developing countries a prime concern. As mentioned in box 2, in many countries nominally adequate numbers of graduates are churned out by universities and polytechnics, but their specializations and skills may not be attuned to the modern challenges and the expectations from the societies they are supposed to serve. “Education” should also be understood to go well beyond tertiary education, and society at large and youth in particular need to be educated about water and how it impacts their future. Finally, “education and training” encompasses a wide gamut of instruments spanning from conventional class-room teaching to Objective-Based Learning, hands-on learning and mentoring. Recent comparative studies have shed new light on which approaches are likely to be most effective (see box 4). In this fields too, ICS has opened up powerful new tools for real-time access to data and teachers across the globe, and communication among peers. v) Governments can encourage the development of systems to generate and share knowledge among “centres of knowledge”, as well as between those who are in need of knowledge and those who possess it. As highlighted above, with the advent of ICS and globalization, governments can create and actively fund “communities of practice”, networks of professionals and institutions, and databases, on the relevant subjects. In such networks, local governments and communities are not to be left out—they are always the first at risk, but they also often hold a lot of traditional wisdom. Some such networks preferably should also be international, both south-south and south-north. vi) A special challenge concerns the facilitation of institutional strengthening and KCD in civil society. Although many governments may not find this obvious, or against their mandate, civil society needs to receive special attention based on the following considerations. • With the large numbers of stakeholders in water management, governments will increasingly depend on informed and “capacitated” actors in civil society to play a growing role in water management, over and beyond the role they are already playing. • As the technical agencies at national as well as at local government levels depend on budgets voted by Parliament or Councils, it is essential that their staff is better able to make the case with politicians to secure the budgets. Eventually, this also means that civil society too needs to feel more strongly about the priority for water, and lend its support to water sector initiatives. • Climate and other changes need to be better forecasted, and remedial actions identified, agreed upon and taken. Much of this implies non-technical measures as well as some technical measures at local level to strengthen preparedness and resilience 23

Box 4.

Education and training systems: Which factors make them most effective?

To be effective, water professionals are expected to possess a variety of knowledge, skills, and attitudes. Education and training provide him or her with these personal faculties. A World Bank evaluation (2007) concluded that success factors for training are simple yet essential: • apply appropriate pedagogical tools and approaches—classroom teaching, self-study, group work, etc; • conduct a pro-active detailed assessment of the organizational needs, and fine-tune training objectives and methods to meet these needs; • during the training, prepare how to apply in the workplace that what was learned, through action learning, and practical simulation exercises, • after the training, allow the transfer of what was learned into application in the workplace; • consolidate what was learned by embedding the new skills or attitudes in the work place through on-the-job support and mentoring. Recent global comparative analysis (OECD 2006, Fullan 2007, McKinsey & Co. 2007) suggests that the central factor for success in education (and also training) is the teacher—to get the right people to become teachers, and to develop the teachers into effective instructors. Success in the classroom requires from teachers personalization, precision and professional learning: • Personalization is the capacity of a teacher to acknowledge what each individual student needs; • Precision refers to the capacity to address the specific learning needs of each individual; and • Teachers themselves should be enabled to keep learning and upgrading their knowledge through intensive exposure to workfloor problems and contexts. • Finally, learning-by-doing and mentoring by experienced colleagues are very effective educational and training methods.

of local settlements and their arrangements for agriculture and for natural resource management. This is of special relevance in light of climate variability and other environmental changes. • Civil society has the right to hold government accountable for delivery on its policies. To enhance governance, civil society therefore should have suitable capacities, have access to relevant information and be able to engage with (local) government on service delivery. • Civil society as “user”, on the other hand, needs to be able to involve itself in some decision making at local, basin and national level, to help decide on priorities in spending and water management, and in such a way that at the same time it is aware of the costs involved in the options, and agrees to provide for the finance. vii) Finally, it should be recognized that “learning” is a continual effort. Governments can put in place the procedures, institutions and incentives to ensure that lessons are 24

learned, documented and disseminated. Each time an issue has been addressed, or a particular action carried out more effectively, this information should be fed back to stimulate further improvement.

REFERENCES Abbott, M. 2007. Managing the inner world of infrastructure. Civil Engineering 160: 26–32. Alaerts, G.J., Blair, T.L. & Hartvelt, F.J.A. (eds.) 1991. A Strategy for Water Sector Capacity Building. Delft/New York: Int. Institute for Hydraulic and Envir. Engrg./UNDP. Alaerts, G.J., Hartvelt, F.J.A. & Patorni, F.-M. (eds.) 1999. Water Sector Capacity Building: Concepts and Instruments. Rotterdam/Brookfield: A.A. Balkema Publ. Fullan, M. 2007. Change the terms for teacher learning. J. Staff Development 28(3): 621. Gloor, P.A. 2006. Swarm Creativity. Competitive Advantage through Collaborative Innovation Networks. Oxford/New York: Oxford University Press. Hilderbrand, M.E. & Grindle, M.S. 1994. Building Sustainable Capacity. Cambridge, MA: Challenges for the Public Sector. Harvard Inst. Internat. Dev. Lopes, C. & Theisohn, T. 2003. Ownership, Leadership and Development. Can we do Better for Capacity Development? London: Earthscan Publ. McKinsey & Co., 2007. How the world’s best-performing school systems come out on top. London: McKinsey & Company. Morgan, P. 1993. Capacity Building: An Overview. Ottawa: Workshop on Capacity Development, Institute on Governance, November 22–23, 1993. Morgan, P. 2005. The idea and practice of systems thinking and their relevance for capacity development. Maastricht: European Centre for Development Policy Management. Nonaka, I. & Takeuchi, H. 1995. The Knowledge Creating Company. Oxford/New York: Oxford University Press. OECD, 2006. Cross-Border higher education for development. Paris: Organisation for Economic Cooperation and Development. Pahl-Wostl, C. 2002. Towards sustainability in the water sector—The importance of human actors and processes of social learning. Aquatic Sciences 64:17. Polanyi, M. 1958. Personal Knowledge: Towards a Post-Critical Philosophy. London: Routledge & Kegan Paul. Romer, P. 1990. Endogenous Technological Change. J. Political Economy 98(5): S71–102. Schwartz, K. 2008. Towards a Masterplan for Capacity Building in the Indonesian Water Sector. Delft: UNESCO-IHE. Shafritz, J.M. 1985. The Facts on File Dictionary of Public Administration. New York, NY: Facts on File. Sveiby, K.E. 1997. The New Organizational Wealth. Managing and Measuring KnowledgeBased Assets. San Francisco, CA: Berrett-Koehler Publ. Thorkilsen, M.a.D. 2001. An owners’ view of hydroinformatics: its role in realising the bridge and tunnel connection between Denmark and Sweden. J Hydroinformatics 3(2): 30. UNDP 1993. National Capacity Building: Report of the Administrator. Programme Planning and Implementation Report, United Nations General Assembly, 40th Session, New York, DP/1993/23. UNDP 1997. Capacity Building for Sustainable Water Sector Development. New York. UNDP 2007. Capacity Development Methodology. User’s Guide. New York: Bureau for Development Policy, UNDP.

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UNESCO-IHE 2005. Professional Capacity Needs Assessment to Achieve United Nations Millennium Development Goals on Water Supply and Sanitation. Delft/Paris. Van Hofwegen, P.J.M. & Jaspers, F. 1999. Analytical Framework for Integrated Water Resources Management: Guidelines for Assessment of Institutional Frameworks. Rotterdam/ Brookfield: A.A. Balkema Publ. Van Hofwegen, P.J.M. 2004. Capacity Building for Water and Irrigation Sector Management with Application in Indonesia. In: Capacity Development in Irrigation: Issues, Challenges and the Way Ahead. Rome: FAO, Water reports 26. Visscher, J.T., Pels, J., Markowski, V. & Graaf, S. de 2006. Knowledge and information management in the water and sanitation sector: a hard nut to crack. Delft, The Netherlands: IRC International Water and Sanitation Centre, Report no.14. World Bank, 2005. Capacity Building in Africa. An OED Evaluation of World Bank Support. Washington, DC: The International Bank for Reconstruction and Development/The World Bank, Operations Evaluation Department. World Bank, 2007. Using Training to Build Capacity for Development. An Evaluation of the World Bank’s Project-Based and WBI Training. Washington, DC: The International Bank for Reconstruction and Development/The World Bank, Independent Evaluation Group. Zinke, J. 2006. Monitoring & Evaluation of Capacity and Capacity Development—Workshop report. Study on Capacity, Change and Performance. Maastricht: European Centre for Development Policy Management.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Symposium conclusions and recommendations Water for a changing world: Developing local knowledge and capacity UNESCO-IHE, Delft, The Netherlands

ABSTRACT: UNESCO-IHE hosted the International Symposium Water for a Changing World: Developing Local Knowledge and Capacity June 13–15, 2007, in Delft, the Netherlands, to assess the priority challenges in the water sector and to recommend principles and strategies for developing knowledge and capacity at country level in order to make international development and water management more effective and sustainable. This report reflects the opinions of over 300 professionals, leaders and politicians representing national and local governments, scientists, education institutions and NGOs from 56 countries, as well as UN agencies and multilateral development banks.

1 KNOWLEDGE AND CAPACITY: SUSTAINING GLOBAL DEVELOPMENT In 1972, the Declaration of the United Nations Conference on the Human Environment emphasised the importance of education and the right institutions for the management of our environment. Since the Delft Declaration in 1991, capacity building has been recognized explicitly as a key tool for making development sustainable and for addressing the world’s broad spectrum of water management challenges—from drinking water supply and sanitation to water resources management. Across all sectors, funding for capacity development has grown ten-fold since 1995. Donors are spending more than one quarter of their funds on education and capacity development today and this effort is indeed showing results. Are these funds applied to optimum effect and are they helping our world to prepare well for the future challenges?

1.1

The world is in a state of accelerated change

Over the past two decades the world’s population has grown by two billion people, and most of them are poor. By 2030 nearly 60% of the population in developing countries will live in urban centres—the engines of job creation and economic growth. These sprawling settlements are rapidly changing the land use in the watersheds around them, especially the river flood plains, and thus exacerbating floods. People are demanding more clean tap water and sanitation that works. Improving the often weak urban water systems in developing countries will become increasingly critical. 27

All easily available water resources are now in use, so responding to increased demand for water now implies intense competition. With such large numbers of people and economies increasingly dependent on water, the new uncertainties and risks created by climatic variability pose a special challenge. By 2025 the number of people facing water scarcity is projected to double. The impacts on food production, health and livelihoods are still unclear, but it is sure that many communities will suffer from strong negative effects. Our water systems and policies must be re-designed with the specific objective to enhance their resilience against climate change and the other global changes. To achieve proper water resource management, coordination among institutions must be deepened and more structural capacity developed. It also follows that awareness raising and education for all stakeholder groups from local communities to politicians must be well-targeted and sustained. Integrated water resources management (IWRM) must take into account the specific conditions of each situation. It is contextually shaped through dialogue and stakeholder involvement in order to encompass the different dimensions of sustainability (ecological, biophysical, economic, social and institutional). Thus, effective IWRM is knowledge-intensive; it cannot be imposed from outside and will require a slow incremental and patchy process.

1.2

These transformations are global and affect all, rich and poor

The needed changes call for preparedness and innovation in industrialised and developing nations alike. Achieving effective solutions increasingly depends on getting a good fit between the technical solution (infrastructure) and the commitments key stakeholders in society are willing to make. Stakeholder involvement is as critically important in industrialized countries, to make large investments successful, as it is in developing countries to make development efforts better targeted and more sustainable. Developing countries remain especially vulnerable however: two billion people still lack access to clean water supply and to sanitation, and the pace of economic growth is leading to rapid deterioration of land and water resources. Our efforts and coordination need to be better guided and scaled up in order to reach the Millennium Development Goals (MDGs).

1.3

With finance now in good supply, communities and countries need to be able to absorb these funds

Twenty years ago capital was in short supply, and water was predominantly a matter of government funding. This shortage determined the pace of international development. Today capital for investments is much more plentiful, also in developing countries. Private parties are becoming major actors, and a growing slice of international investment and development funds comes from countries such as China, South Korea, South Africa and Brazil. But the knowledge and institutional capacity of many countries to readily “absorb” all of these funds remain severely constrained—that is, key stakeholders are unable 28

to rapidly bring to the table concepts and designs for projects and investments that are economically and socially robust and sustainable, and can be properly implemented, operated and maintained. The weakness in knowledge and capacity is becoming therefore the key constraint to sustainable development.

1.4

Investing in Knowledge and Capacity Development (KCD) pays off

Recent evaluations have demonstrated that development projects in the water sector are now decidedly more effective and sustainable than before the mid-nineties. This can be attributed in large part to stronger institutions, better governance and more technical and managerial competence in the developing countries whose capacity has been strengthened. Several studies on irrigation have shown that the best return on the investment in canal improvement is achieved when a substantial effort is also placed in capacity enhancement—including empowerment—of irrigators and government officials. Some of the recommendations presented below may sound all too familiar. Does this mean that the efforts for KCD have failed thus far? Not likely. The growth rate in the number and size of problems has outpaced the speed at which capacity could be put in place to deal with these problems; population pressure has been increasing fast and water management has become much more complex. Also, although our understanding of what needs to be done has improved, still, remarkably little is known about how KCD functions, and how it can be made to work more effectively. There are major improvements to be achieved. Driven by these shifts, KCD is due to become an increasingly essential tool for sustainable development. Box 1. What is capacity? UNDP states that “Capacity is the ability of individuals, groups, institutions and organizations to identify and solve development problems over time”. The 1991 Delft Declaration suggested “Capacity building involves developing institutions, their managerial systems, and their human resources, which in turn require favourable policy environments, to make the sector effective and sustainable”. Capacity implies the ability to understand, to act, and to learn. Proper knowledge may remain ineffectual if policies and regulations, or politically inspired preferences, preclude its application. Learning is essential to continuously improve performance and prepare for the upcoming changes.

2 CONCLUSIONS 2.1

Prioritize the local actors—build on existing local knowledge

Local actors are at the front line as they are the first to address local problems. They hold valuable knowledge and experience and this still too often goes unrecognised. Their knowledge and experience should be identified and reviewed; decision-makers need to learn from these stakeholders and apply the lessons learned—such that they use local capacity and knowledge, work with local reformers, build capacity of local institutions and civil society, and apply the subsidiarity principle to empower the 29

local actors. A balanced combination is called for to incorporate top-down (often larger-scale) and bottom-up (often smaller-scale) approaches and procedures. Importantly, just as there can be no solution if there is not first a problem, local actors are often the first to identify new issues and challenges, as well as simple solutions. These are critically important in preparing for the next generation of solutions. The local actors should therefore become more often partners in (national and international) knowledge networks, on equal footing with the other “solution providers”. The role of water professionals is critical, as they should become facilitators, able to engage with stakeholders at all levels; they should assist the local communities, user associations, businesses, local governments and other stakeholders in better articulating their issues and priorities, as well as existing insights and experiences. They should assist in articulating the demand. Local actors should receive access to information— in a format that is meaningful to them, as this empowers them to take part in decisionmaking and to hold service providers and government more accountable. Information and communication systems can be particularly useful to facilitate this process. Concrete steps to be taken include creating dialogue platforms involving local stakeholders and assisting local communities to play a meaningful role by training them. The focus should be on decision aiding rather than dispute resolution. A promising tool is the “Negotiated Approach” in which all stakeholders, governmental and non-governmental, lay out the issues and seek consensus on key decisions. Good governance aims to enhance equitable access and efficient use of water and must be contextually defined, which implicitly calls for a more democratic distribution of power and better accountability. Governance should start with tangible improvements that are meaningful for the community—fixing leaking pipes, improving maintenance, etc. Workable solutions are by definition “local”. They reflect local and indigenous practices and knowledge, and aim to meet local priorities. At the same time, the larger-scale and exogenously developed technical solutions also remain valid options. Larger-scale solutions bring synergies, economies of scale, mitigation of externalities, and allow the negotiation of competitive upstream-downstream and cross-sectoral interests. The balancing of the “community focus” and the “technical approach” calls for strong intellectual leadership and authority. KCD facilitates striking a balance between bottom-up and top-down approaches. “Small-scale problems at local level also require big brains.”—UNESCO-IHE alumni workshop

2.2

Promote integrated approaches

Workable and sustainable solutions in water management require further integration between land and water management, between the management of the different urban water systems, between the water and the energy and agricultural sectors, and between construction and operation and maintenance procedures. Integration can generally only be achieved incrementally in a step-wise process that can be long drawn out. In particular, dialogue among stakeholders facilitates integration, which is shaped by the context. 30

Multi-disciplinary Problem-Based Learning and demand-driven research agendas should be promoted. Educational and other knowledge institutions should play active roles in multi-stakeholder partnerships for water resources management. This will allow more effective problem solving and better sharing of traditional and formal knowledge. Donor projects should recognise the complexity of the water sector and allow more flexibility in budget, time schedules and objectives, in order to create the space for the incremental progress that characterizes the development of integrated approaches.

2.3

Transform organizations to make them more effective

The best organisations in public administration are “learning” organisations, just as knowledge-driven corporations in the private sector tend to be the more successful businesses. They allow themselves to change in response to new challenges and to new knowledge. Structural, deep capacity cannot be enhanced without parallel institutional change in the organisation. Organisations that are static, which Box 2. A success story in change management: National Water and Sewerage Corporation, Uganda. Transforming organisations in the water sector is a necessary step to create the right vision, plans, environment and dedicated staff to improve service delivery. It requires vision from the politicians and leaders in the government and in the organisations. Through a “stretch out” programme, the National Water and Sewerage Corporation (NWSC) changed its organisation from one that was stagnant in its traditions to one that has been learning and improving performance steadily since 1998. To bring in much-needed accountability, the change process introduced performance-based contracts between the local utilities and the NWSC, separating the functions of operations and maintenance from performance monitoring and regulation. Through an incremental approach designed by multi-disciplinary teams, beginning with simpler performance contracts and then upgrading to a more complex arrangement, the capacity of utilities to work with this system was developed. Experience with this system is used to continually improve performance—NWSC has become a learning organisation. This process has created an environment where managers have to account for performance against goals, and the attitude of staff has changed from passivity and tradition to one of purpose and innovation. “Champions” were given the space to present business plans and make changes to their units. Significant salary and other performance-based incentives for managers and staff help sustain motivation. As an integral part of the change strategy, NWSC actively supports utilities through targeted interaction and coordination, which has enhanced information flows and overall coordination. The abolishment of command and control structures is balanced with constructive interactions and monitoring of performance goals. “If you have good staff, the organisation tends to be successful; but if you have poor staff, the organisation will definitely be poor.”—William Muhairwe, Managing Director of the NWSC, Uganda

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discourage change or are beholden to existing “special interests”, under-perform. They need to reform in order to anticipate and adapt better to future needs and demonstrate improved performance on key benchmarks (Box 2). “Champions”—in other words, leaders—play a key role by being role models and shaping the attitudes for continuous learning and reform. KCD is an important tool to “turn around” organisations, and help them develop their mission, vision, plans and learning capability.

2.4

Reform the water sector

The past decade has seen many countries across the globe going through deep administrative transformations: local governments are generally much more powerful now; market forces are exerting more economic discipline; and people, goods, capital and ideas move more freely across borders. Yet experience shows that much investment is ineffectual because of poor operation and maintenance of the physical and institutional infrastructure. Critical issues to be tackled are: lack of recurrent local budgets and political will; sectoral targets and technology based on inappropriate standards and practices, often from industrialised countries; lack of integration between planning, management and information systems; and poor governance and corruption in decision-making. Too few resources are left to improve preparedness. The importance of national and regional land use planning is still poorly recognized. Water must receive a central role in this planning, particularly in flood- and drought-prone areas. Migration is often driven by water insecurity. As such, special attention should be given to water management, to support the living conditions in urban slums, in unplanned settlements, and in rural areas. An integrated urban water management plan should be a fundamental part of the urban plan; municipal budgets for operation and maintenance should be assured. In order to increase efficiency in operations and accountability of providers to water users, the time may have come to introduce a new model of government-corporationsociety (GCS) partnerships. Responsible and capable civil society organizations should be brought in as project partners from the start, together with government and the private sector. The transfer of standards, technology, policies and knowledge cannot occur without transformation. The systems and technologies for developing countries should be based on standards and technologies that are appropriate, workable and financially feasible in developing countries. And cutting-edge innovation may be necessary; policy instruments such as water pricing, markets and private sector participation are not straightforward solutions for all developing countries. Designing effective instruments calls for interdisciplinary contextual research that goes beyond prescription. Whereas the EU–Water Framework Directive is a very helpful tool, in a development context it often is applied too rigorously, as it does not consider livelihood and does not facilitate the search for trade-offs between development and environmental objectives. Countries need to negotiate with each other and their respective stakeholders in order to come up with relevant frameworks. 32

2.5

Build learning networks

Networks have proven their value in disseminating experiences and sharing knowledge. Networks are also becoming very helpful in distributing and sharing informal knowledge, identifying common problems, building attitudes and confidence, and generating new knowledge. Learning networks are becoming much more important vehicles for KCD (Box 3). South-South and North-South networks provide platforms to share lessons and adapt them from one place to another. In addition to these horizontal networks of peers, the need is growing for “vertical” connectivity—networks through which local stakeholders can access global networks and knowledge. South-North-South networks are desirable as the South-South flow stimulates sharing among countries with comparable development contexts and objectives, whereas the North can bring in other approaches that may be readily useful for Southern partners. Appropriate solutions are best developed by the countries themselves, in close cooperation with the North, and building on South-South learning. Vehicles like best-practice networks and change management forums should be strongly encouraged. Many future water challenges are of a global nature and impose the need for a global partnership. Box 3.

Networks for knowledge and capacity enhancement.

International networks connecting “communities of practice” of professionals or institutions catalyze and facilitate the exchange and development of new knowledge and innovation, both through South-South and South-North-South exchanges. Current examples of working networks are: Nile Basin Capacity Building Network for River Engineers (NBCBN-RE): This comprises institutions and members from 10 countries across this large geographic region that, in general, is still poorly integrated. It has developed regional research clusters for collaborative research, training and academic exchanges, regular forums to meet faceto-face, and an online collaborative platform which facilitates communication and the exchange of documentation. WaterNet is a Southern African network of 52 university departments and research and training institutes focusing on water. Now, WaterNet programmes together account for 15–20% of all water-related peer reviewed publications from Africa. The network helps prepare, and supports, regional symposia, joint research, training and education. PoWER is a partnership of 18 educational institutes in the field of water across the globe, which has stimulated three key developments: creation of new curricula to improve upon and scale up the efforts of its partner institutions; joint specialized master programmes; and 11 online course modules. PoWER is based on a synergetic approach to create economies of scale by pooling the strengths of all partners, to foster specialization, and to enhance each institute’s own capacity. At the end of 2007 this network merged into a broader partnership of institutions led by UNESCO-IHE. Cap-Net is a global network supported by UNDP aiming to foster national and regional networks. It supports network development and the sharing of experiences. It offers training activities to rejuvenate local knowledge and strengthen the local networks, as well as online resources with a catalogue of training materials, network management tools, water management tools, and more.

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Donors should facilitate the development of these networks, face-to-face meetings (in the real and virtual sense) and field trips, because these can ensure that both formal and informal knowledge are shared. Importantly, to develop and manage effective networks, a critical mass of trainers needs to be developed who can disseminate and manage knowledge flows over networks from one node to the others. Decision-makers and managers should give their knowledge workers the space to actively participate in networks. These networks should play a role in meeting the large and growing demand for training, innovation and research in the water sector at all levels, by facilitating collaboration and removing impediments for sharing experiences and knowledge. Educational institutions also have as much to gain from collaboration as they do from competition. There is no lack of demand for education, and some of the benefits of such networks of institutions are the development of “dating services” for collaborative research projects, the sharing and development of new curricula, as well as the organisation of staff exchanges.

2.6

Target and encourage leaders and champions

A call has been made for the training of 1,000 young water professionals, champions who can be tutored to lead critical developments. These champions should become catalysts who will transform and reform the sector and organisations. They should become the policy-makers, engineers, scientists and researchers who explore new understanding and insights, and develop innovative solutions; and they should become the advocates who seek to strengthen legitimacy. One thousand professionals is definitely not enough, considering the huge challenges ahead, but it is a feasible figure to start with in the short term. They should be selected among young promising professionals, as these are less encumbered by tradition and are open to new technologies and developments in the world. It is essential to encourage young professionals to engage in the sector and in government, as many feel increasingly disaffected by what they perceive as poorly performing and self-serving governments. The tutoring should be done in those institutions where management and political leadership are willing to create the space for the new champions. Pre-conditions are providing quality education to these water sector professionals, and equipping them with the skills and experiences necessary to become champions. Only by training many times the required numbers, through a combination of international, regional and domestic programs, can a critical mass of champions and scientists be created in developing countries. Many of the trainees will inevitably leave the sector along the way. “In order to end up with 1,000 true champions we need to start training 10,000.”—Prof. Lidia Brito, E. Mondlane University, Former Minister of Science and Technology of Mozambique.

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2.7

Share information and knowledge

Free access to scientific literature for professionals and researchers in developing countries should become an increasingly important factor in reducing the knowledge gap that now exists between the North and the South (Box 4). Information and communication systems (ICS) are potentially evolving into singularly important drivers in KCD and effective water management—facilitating transparent decision-making, speeding up and broadening communication, and enabling social networks and knowledge transfer, empowering a growing circle of stakeholders by providing them with low cost real-time information and the capability to forecast the consequences of development scenarios. E-learning offers major new opportunities, and needs to be embraced by education institutes. However, there are significant challenges to the adoption of ICS, which need to be overcome: – Lack of information and communication skills training in the curricula of primary and secondary education. Open source software needs to become the subject of more extensive training. – Lack of data, and restricted access in developing countries—sometimes for political reasons or because bureaucracies shy away from transparency. Data availability and free access need to be addressed jointly. – Communication hurdles between information and communication technology (ICT) experts on the one hand and managers and policy makers on the other. ICTdriven cultural change is resisted, highlighting the generation gap that prevents the penetration of ICS into organisations. Box 4.

Open Access to Academic Journals and Online Libraries.

Providing unlimited access to the contents of research and innovation across the world, will boost knowledge acquisition and development by professionals and researchers in the developing countries. It will help reduce the bias towards products from institutions in industrialised countries. The following initiatives help bridge this information gap: OARE: An initiative of UNEP, Yale University and the International Association of Scientific Technical and Medical Publishers and leading science and technology publishing houses, the OARE collection includes on average, over 70% of the world’s most influential and widely cited scientific journals in diverse environmental disciplines for 106 countries. AGORA: A FAO programme working with major publishers enables access to 958 journals for institutions in 107 countries. DOAJ: An online directory of open access journals. INSAH: Institut du Sahel: Though not very active currently, it features an online electronic library focused on the Sahel. HighWire Press: The largest archive of free full text science articles. CGIAR InfoFinder: An online library in collaboration with Future Harvest Centers, CGIAR and FAO/WAICENT.

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Decision-makers should adopt policies and set incentives for their organisations to overcome these hurdles and remove limits on the private sector to engage in ICS services. Donors should provide more fellowships dedicated to e-learning.

3 FIVE POLICY RECOMMENDATIONS 3.1

Capacity and knowledge enhancement require long-term time horizons

Although specific capacities and skills can be developed in short time spans, more fundamental and sustainable enhancement needs longer and multi-tiered engagement. Training of individuals may take one year; reforming sector organisations and introducing change management may take 3–10 years, and sector-wide reforms may require 5–15 years. But more importantly, building a national knowledge base and capacity that are able to steer development and prepare for the future, is an endeavour that spans more than one decade. It is often difficult to plan ahead for capacity enhancement, as it is slow and the development path does not fit the rigid framework of annual budget plans. Importantly, organisations and countries should be given the opportunity to learn from their own decisions and mistakes. For instance, to meet MDG targets, donors should not succumb to the temptation to cut corners through by-passing local actors and governments to speed up progress, as this undermines structural capacity.

3.2

Developing countries must become more independent in their own problem-solving

This implies that their own research and innovation capacities need to receive growing budget support, as well as guidance, from governments and donors. Research agendas need to be much better attuned to local challenges, set in discussion with government and local stakeholders, and become more relevant for local development. They should also seek out and incorporate indigenous knowledge, and reach out to local communities. Japan and South Korea, early development success stories, have spent 75 cents on education and capacity building for every $1 invested in infrastructure.

3.3

Capacity and knowledge enhancement is a goal in itself, not just a tool

KCD is an essential tool to achieve the MDGs and other specified development objectives. However, it is becoming recognised that all societies in this world are facing the same double challenge of improving the current performance of their own water sector, and building the knowledge base and institutional capacity to prepare for the future. As all countries increasingly depend on each other (through climate change, international migration, etc.) it is essential that all countries command strong capacities and knowledge.

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3.4

Start early: At primary school and beyond

The majority of people in the South receive their only formal education in primary school. During primary and secondary education the importance of good water management and sanitation should be taught, to help in achieving health and development targets while enhancing the awareness of the general public.

3.5

Make knowledge and capacity enhancement more effective: UNDERSTAND how it works

KCD is now generally recognized as an important policy and as a tool for making development more effective, but its nature and mode of operation are still not well understood. A prerequisite to make it more effective is that it becomes better studied and its impacts analysed. As a first important step, indicators and benchmarks of KCD impacts and progress should be developed to allow KCD to be measured. This would also allow regular and independent evaluation of the KCD efforts in the water sector.

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PART 2: A Sector Analysis

Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Water security: What does it mean, what may it imply? B. Schultz Department of Water Engineering, UNESCO-IHE Institute for Water Education, Delft, The Netherlands Rijkswaterstaat, Centre for Public Works, Utrecht, The Netherlands

S. Uhlenbrook Department of Water Engineering, UNESCO-IHE Institute for Water Education, Delft, The Netherlands

ABSTRACT: In spite of the current wealth of experience, very good know-how and technologies, and sometimes high financial means, problems with respect to water security—the sustainable use and protection of water systems for humans and the environment—remain in many cases enormous. Starting from the human influence on the hydrological cycle, and using basic and current statistical data, this paper examines primarily the biophysical and engineering aspects of key water security issues, and considers their implications for developed countries, emerging countries, and least developed countries. Present and future impacts of population and living standard growth, urbanisation especially in flood plains, agriculture and food supply, climate change, industrial water use, floods, and the potential of virtual water trade, are explored. The inescapable conclusion is the need for increased intelligent water management to assure and improve water security for humanity.

1 INTRODUCTION The pace of change in our world is speeding up, accelerating to the point where it threatens to overwhelm the management capacity of political leaders. This acceleration in history comes not only from advancing technology, but also from unprecedented world population growth, even faster economic growth, and the increasingly frequent collisions between expanding human demands and the limits of the earth’s natural systems. Lester R. Brown, 1996 For more than 6,000 years people have been using water to improve their living conditions, both employing it to their advantage in many different ways and protecting themselves against its harmful effects. Tremendous successes have been obtained, but in many cases water management, flood and drought protection, drinking water supply and sanitation schemes are far from optimal; they function significantly below what could be expected, or are simply absent. Other functions and uses of water, such as its role in ecosystems, transport, recreation, landscaping, etc., are often 41

inadequately addressed and the connected processes are still not fully understood. Therefore, many challenges remain. It is remarkable that although nowadays there is such a wealth of experience, and we have very good know-how, technologies and high financial means, the problems in certain cases are still enormous. Some major problems are, in a list that can easily be extended (Schultz 2001): • • • • • •

water shortages; inefficient water use in irrigation and drinking water supply; inadequate sanitation; destruction of (aquatic) ecosystems; waterlogging and salinisation of soils; inadequate operation and maintenance of water management, drinking water supply, sanitation and flood protection schemes; • pollution through urban and industrial wastewater, fertilisers and pesticides; and • flooding of cultivated, urban and industrial areas. This paper presents a brief overview of certain key issues connected to water security. They will be defined and discussed in terms of their implications for our societies, at present and in the future. The paper discusses mainly bio-physical and engineering aspects; issues connected to water governance and the need for knowledge transfer and capacity building are discussed further in an accompanying paper (van Hofwegen 2009).

2 WATER SECURITY, ITS DEFINITION Water security involves the sustainable use and protection of water systems: the protection against water related hazards, the sustainable development of water resources, and the safeguarding of (access to) water functions and services for humans and the environment. Measures to increase water security are in this context primarily concerned with human interventions in water systems and/or a wise utilization of water and water-related environmental services. These are aimed at the enhancement of the beneficial and sustainable uses of water for various purposes such as water supply, irrigation, drainage, navigation, hydropower, environmental control, and the protection against water related disasters such as floods and droughts. Interventions in water systems are often necessary to meet the needs of society and the environment in its widest sense and in order to be able to face the challenges of all kinds of global changes (e.g. climate change, land use change, etc.). Obviously, the negative effects (e.g. environmental or socio-economic) of such interventions need to be minimized, and also their wider impact on downstream water users needs to be considered. Effects of climate change and other global changes are increasingly important factors for identification of the design parameters that define the location and dimensions of hydraulic structures, water management, flood protection, drinking water supply and sanitation systems to increase water security. One of the key aspects is the relationship of water security to food security. The agricultural sector is already the largest water consumer (approximately 70% of the 42

global water use). At present about 45% of the global food production is realised without a water management system and 55% with either an irrigation or a drainage system. However, it is expected that global agricultural yields will have to be doubled in the next 25–35 years and that 80–90% of this increase will have to be realised on the existing cultivated area. This can only be achieved with more efficient use of water resources and substantial improvement and extension of water management systems, in combination with increases in either surface or sub-surface water storage in extensive regions (van Hofwegen & Svendsen 2000, Schultz et al. 2005). This problem will be aggravated if more agricultural land is used to satisfy the rapidly increasing energy demand (i.e. production of energy crops, bio-fuels etc.).

3 HYDROLOGICAL AND WATER RESOURCES AS ASPECTS OF WATER SECURITY The hydrological cycle can be divided into atmospheric, surface and subsurface water systems. Surface water includes all water bodies, which are in direct contact with the atmosphere (i.e., streams, lakes, snow and ice as well as water in the biosphere). Subsurface water includes groundwater and water in the unsaturated zone above the groundwater table (including capillary fringe). The global reserves of water as a

Figure 1. Schematic sketch of the global water cycle. Water storages and fluxes are indicated by boxes and arrows (adapted from Oki & Kanae 2006).

43

Table 1. World water resources; renewable periods are calculated as the mean volume divided by the mean flux (Shiklomanov, in prep., cited in UNESCO 2006). Location

Volume (103 km3)

% of total vol. % of Vol. recycled Renewal in hydrosphere freshwater annually (km3) period years

Ocean 1,338,000 96.5 Groundwater (gravity & capillary) 23,400* 1.7 Predominantly fresh water 10,530 0.76 Soil moisture 16.5 0.001 Glaciers & pemanent snow cover 24,064 1.74 Antarctica 21,600 1.56 Greenland 2,340 0.17 Arctic Islands 83.5 0.006 Mountainous regions 40.6 0.003 Ground ice (permafrost) 300 0.022 Water in Lakes 176.4 0.013 Fresh 91.0 0.007 Salt 85.4 0.006 Marshes and swamps 11.5 0.0008 River water 2.12 0.0002 Biological water 1.12 0.0001 Water in atmosphere 12.9 0.001 Total volume in hydrosphere 1,386,000 100 Total freshwater 35,029.2 2.53

–

505,000

2,500

16,700

1,400

16,500

1

2,477

9,700

0.12

25

1,600

0.86 – 0.26 –

30 10,376

10,000 17

0.03 0.006 0.003

2,294 43,000 –

5 16 days

0.04

600,000

8 days

30.1 0.05

68.7 61.7 6.68 0.24

– 100

* Excluding groundwater in the Antarctic estimated at 2 million km3, including freshwater of about 1 million km3.

function of storage are shown in Table 1, and the directions of water fluxes are indicated in Figure 1. Table 1 indicates that freshwater resources are mainly stored in glaciers and permanent snow cover as well as in groundwater. This table shows the great disparities between the huge volume of saltwater and the tiny fraction of freshwater, between the large volumes of water contained in glaciers and the water stored in aquifers, and between the amount of groundwater and the small volumes of water in rivers, lakes and reservoirs. 44

The proportion of water stored in the atmosphere, soil, and in river channels is very small, and the dynamic residence times (based on mean renewable period) are short. However, because of the importance of this water for humans (including agriculture) and ecosystems, understanding the water fluxes and residence times in these different domains is of primary importance. All the rainwater that falls on the earth and is not evaporated, transpired, or withdrawn artificially, contributes to the flow of rivers and groundwater. The discharge of a river differs significantly in space and time, dependent on different physiographic characteristics, like climate, size of the river basin, topography (slopes and other terrain parameters) as well as soil and geological parameters. Depending on human activities, the quality and quantity of water that enters the rivers differ as well. Rivers can transport natural or artificial components; the load can differ in relation to the discharge. Both quantity and quality of the river water will determine if it is useful for irrigation or domestic water supply. Understanding and being able to predict all processes of the water cycle at different spatial and temporal scales are critical for the effective management of water resources, including hydrological extremes; thus it is crucial for an optimal water security. However, the large spatial and temporal variabilities that exist in water storages, fluxes, and residence times of the different components, as well as the often poorly understood interactions between the different components, make the development of hydrological and water resources development models a challenging task. This becomes more difficult when water quality issues also need to be taken into account, which is increasingly required especially where human influences, such as modernisation of water management schemes, land reclamation, or discharge of polluted water, are in play.

4 HUMAN INFLUENCE ON THE HYDROLOGICAL CYCLE Within the hydrological cycle a sub-cycle of water diversion, including water consumption through irrigation, domestic water supply and drainage exists. This branching cycle—expressing the human influence—significantly impacts the primary hydrological cycle. The direct human influence on the hydrological cycle only concerns much less then 1% of the water resources on earth, as can be derived from Table 1 and is illustrated in Figure 2 (Rodda & Matalas 1987). However, the side effects of human activities influence almost all accessible waters on earth and, consequently, the availability of services from water and the aquatic environment. Table 2 summarizes the available water resources on different continents and presents an outlook to water resource availability in 2025 (Shiklomanov 2000). It demonstrates that resource availability will decrease everywhere at the same time that withdrawals and consumption are expected to be increasing. The situation appears to be worst for Africa and Asia, in particular in the emerging and least developed countries. The water scarcity index is distributed unevenly globally. This index, Rws, is defined as (W – S)/Q, where W, S, and Q are respectively the annual water withdrawal 45

Figure 2. Scheme of the hydrological cycle with the branching cycle, expressing human influence (adapted from Rodda & Matalas 1987). Table 2. Estimated and projected volumes of available renewable water resources and water use by continent, 1990 and 2025 (Shiklomanov 2000). Available renewable water resources

Water use in 109 m3 m3/person in 2025

1990 withdrawal

1990 consumption

2025 withdrawal

2025 consumption

Area

10 m /year

m3/person in 1990

Africa North America South America Asia Europe Australia and Oceania World

4,047 7,770 12,030 13,508 2,900

6,180 17,800 40,600 3,840 3,990

2,460 12,500 24,100 2,350 3,920

199 642 152 2,067 491

151 225 91 1,529 183

331 836 257 3,104 619

216 329 123 1,971 217

2,400 42,655

85,800 7,800

61,400 4,800

29 3,580

16 2,196

40 5,187

23 2,879

9

3

by all the sectors, the water use from desalinated water, and the annual renewable freshwater resource (Oki & Kanae 2006). A region is usually considered highly water stressed if the water scarcity index is higher than 0.4 (e.g. Falkenmark & Rockstorm 2004). Oki & Kanae (2006) calculated that currently 2.4 billion people live in highly water stressed areas. This number is likely to increase to 3–5 billion people in 2025, depending on the assumed future scenario for the development of climate, economics etc. Water stress (scarcity) is currently very high in Northern China, Central Asia, at the border between India and Pakistan, the Middle East, parts of Europe and Southern and Northern Africa, Western South-America, and the middle and western areas 46

Figure 3. Current and future projections of population under high water stress using three business-as-usual scenarios. (adapted from Oki & Kanae 2006). The threshold values are set to be (A) the water-crowding indicator Aw = Q/(C G) in 1000 m3 per year and per capita, and (B) the water scarcity index Rws = (W – S)/Q > 0.4, where Q, C, W, and S are renewable freshwater resources (Q), population (C), water withdrawal (W), and water generated by desalination (S), respectively. Error bars indicate the maximum and minimum population under high water stress corresponding to the renewable freshwater resources RFWR projected by six climate models; climatic conditions averaged for 30 years are used for the plots at 2025 (averaged for 2010 to 2039), 2055 (averaged for 2040 to 2069), and 2075 (averaged for 2060 to 2089).

of the United States. It should be noted that the given numbers for the continents are averages over a large intra-continental variability, which is demonstrated in the global distribution of the water scarcity index. Due to population growth, and increase both in water use per person and in standard of living, the situation in general will become more severe (Fig. 3). On the other hand, an increasing number of people are also expected to live in flood prone areas, especially in urban conglomerations. These areas are located in river valleys, deltas and coastal zones. Floods in these areas have diverse causes; they may be caused by excessive rainfall (urban flash floods), extreme river discharges (flooding caused by the surrounding area)—either by excessive rainfall or snowmelt—or by storm surges at sea.

5 IMPACT OF POPULATION AND POPULATION GROWTH ON WATER NEEDS AND VULNERABILITY 5.1

General

This paper utilizes the three categories of countries that have been identified using the criteria of leading international organisations (UN Population Reference Bureau 2005, World Bank 2005, UNCTAD 2002). These three are: developed countries, 47

which include most of the countries of Western and Central Europe, North America, some countries in Central and South America, the larger countries in Oceania and some countries in Asia; emerging countries, which include most of the Eastern European countries (including Russia), most of the countries in Central and South America, most of the countries in Asia (including China, India and Indonesia), and several countries in Africa; and least developed countries, which include most of the countries in Africa, several countries in Asia, one country in Central America and most of the smaller countries in Oceania. From Figure 4 it can be seen that by far the majority of the worlds’ population (almost 75%) lives in the emerging countries. It is also evident that the greatest population growth will be in the least developed and emerging countries. In the developed countries almost no further growth is expected. The standard of living in the emerging countries is rapidly rising; however, about 1.2 billion people in the least developed and emerging countries are still poor (GNI less than 1 US$ per day), and out of these about 70% live in rural areas (World Bank 2005). The estimated and projected global water use by sector in 109 m3/year for 1950, 1990 and 2025 is shown in Table 3 (Shiklomanov 2000). From Tables 2 and 3 it can be derived that on a global scale this water use requires only a small percentage of the resources, and it seems that there is still a considerable reserve to meet future needs. However, since water resources are to a large extent generated by river runoff, only a certain percentage can be used. The remainder has to be drained off to the sea during floods, and a minimum flow to the sea has to be maintained during other periods. On the other hand, the possible contributions from groundwater need to be considered.

Figure 4. World population and growth in least developed countries, emerging countries and developed countries (UNDP 2005, International Commission on Irrigation and Drainage 2006).

48

Table 3. Estimated and projected global water use by sector in 109 m3/year for 1950, 1990 and 2025 (Shiklomanov 2000). 1950

1990

2025

Item

Withdrawal

Consumption

Withdrawal

Consumption

Agriculture use Industrial use Municipal use Reservoirs

1,124 182 53 6

856 14 14

2,412 681 321 164

1,907 73 53

3,162 1,106 645 275

2,377 146 81

Total

1,365

894

3,580

2,196

5,187

2,879

World population in millions Irrigated area in 106 ha

Withdrawal

2,493

5,176

8,284

101

243

329

Consumption

Table 3 also clearly demonstrates that agriculture is by far the largest water user, although the ratios are changing. Another substantial factor is that water use in agriculture generally results in a significant increase in evaporation, while other types of water use generally result in a return flow. However, although this return flow may not result in a significant ‘loss’ of water, it may result in a significant pollution of water and a change in the hydrological regimes (e.g. water storage for hydropower generation in seasonal runoff regimes).

5.2

Water need for agriculture

Assessing agricultural water needs and devising appropriate management is based on the worlds’ population, its rate of growth and its standard of living. Van Hofwegen & Svendsen (2000), starting from the world’s population in the year 2000, showed the prognoses for the population in 2025 and 2050 and grouped these for developed countries, emerging countries and least developed countries. Using their findings Schultz (2001) described the possible consequences for future irrigation and drainage development. Based on data from the website of the International Commission on Irrigation and Drainage (ICID 2006) and various other sources (i.e. FAO 2005, UN Population Reference Bureau 2005, World Bank 2005, and UNCTAD 2002) Schultz et al. (2005) presented the interactions between standard of living, food production and the development of water management. They determined population density compared to the total area of a country and with reference to the arable land. The results for each of the continents and for the three categories of countries are shown in Table 4. It should be noted that the world population is predicted to stabilize by 2050 or 2060. From Table 4 it can easily be observed that the Asian continent has by far the largest population and the highest population density, both with reference to total area, as well as to arable land. If one also takes the population growth shown in Figure 4 into 49

Table 4. Continents and categories of countries ranked according to the population density with reference to the arable land (from Schultz et al. 2005).

Continent Asia Africa Europe Americas Oceania World Developed countries Emerging countries Least developed countries

Total area in 106 ha

Cultivated land in 106 ha

Total population in million in 2005

Population density in persons/km2 with reference to Total area Arable land

3,339 3,031 2,299 4,016 856

547 201 307 384 55

3,765 840 732 850 31

113 28 32 21 4

688 418 238 221 57

13,425

1,497

6,215

46

415

3,877

445

1,137

29

255

7,231

903

4,332

60

480

2,433

145

750

31

515

account, then it becomes clear that in the next decades most of the activities in the field of water management to increase water security are to be expected in Asia, with Africa in second place. And the need is very obvious for water management with the purpose of increasing water and food security.

5.3

Water need for urban and industrial water supply and sanitation

The migration from rural to urban areas is especially strong in the emerging countries; for instance, it is expected that by 2020 more than 85% of the population of Latin America will live in urban centres. In conjunction there is a rapid rise in the standard of living and domestic water demand; consumption per capita as well as the need for urban and industrial water supply is quickly increasing. Whereas in the least developed countries water use is often in the order of magnitude of 5 l/person/day, in the developed countries it may easily exceed 100–150 l/person/day. In addition we see dietary change, generally resulting in an increase in consumption of meat and a diversification of crops, both resulting in an increase in water use in the production chain. The increase in water use per person also has a significant impact on sanitation, especially that required in urban areas. In general, the development of provisions for sanitation lags behind the development of urban and industrial water supply, resulting in substantial discharges of untreated wastewater with numerous consequences on water quality and water-borne diseases. Especially in the countries of the European Union this has resulted in far-reaching measures to control the pollution of surface waters, and the adoption of the European Water Framework Directive is a 50

milestone (European Commission 2001). In arid and semi-arid zones we see another development, which is the reuse of urban wastewater in agriculture. This can increase the efficiency of water use (management of the local water ‘cycle’); however, various health issues can arise if it is not done correctly. For an interesting overview of developments with respect to this see Huibers et al. (2005). Because domestic and industrial water supply generally commands a substantially higher price per unit than agricultural water supply, we also often see in cases where competition develops that water is shifted from the agricultural sector to the urban and industrial sector.

5.4

Water need for other uses and their specific requirements

For specific water uses such as transportation, water recreation, etc. special provisions may be required. For commercial ship transport, for example, large-scale investments are made for the construction, operation and maintenance of river bed improvements, canalisation, harbour facilities, storm surge protection, sluices, etc. Such investments are generally justified by commercial and/or political considerations. Although in such cases water is not really consumed, the measures taken to promote these types of water use may have far reaching consequences on other types of water use and on the environment. Decisions on such measures need to be taken in an integrated way that also considers the environmental and socio-economic implications. Hydropower is another important use of water. According to the database of the International Commission on Large Dams (ICOLD) there exist about 49,000 large dams in the world and numerous small dams. Most of the reservoirs behind these dams have been developed for hydropower generation; other uses include irrigation, municipal and industrial water supply, flood control, navigation, dilution of sewage water, log transport, stabilization of lake water levels and estuary improvement. In many cases reservoirs fulfill multiple objectives. To assure water security in projects where reservoirs play a role, due consideration needs to be given to the environmental impacts and to the required environmental flows in the river system.

5.5

Virtual water trade—a measure to improve water security?

The concept of ‘Virtual Water Trade’ has been developed to explain how physical water scarcity in dry regions might be relaxed by importing water-intensive food or industrial goods (e.g. Allan 1998, Oki et al. 2006). The original idea of virtual water trade was that food trade is virtually the trade of water, because countries, by importing food they would otherwise have to grow themselves, can use their own water resources for other purposes such as domestic water use. Hoekstra & Hung (2002) defined the virtual water content as the water used to produce the good. The weight of traded goods is normally a very small fraction of the weight of the water required to produce those goods, thus transporting goods is considerably easier than transporting the water itself. However, it should be noted that the amount needed to produce the product does not necessarily reflect the amount of water that can be saved by the virtual water import. This is due to the fact that water needs vary regionally, because of differences in water use efficiency, crop yields, etc. 51

Global ‘virtual water’ flows associated with major cereal trade (wheat, rice, maize, and barley) were estimated for each country where statistics were available and summarized into 16 regions (Oki et al. 2003). It was demonstrated that the Middle East and Northwest Africa, as well as East and Southeast Asia, are gathering virtual water, and that the sources of virtual water are North America, Oceania and Europe. Generally crop yields and water efficiencies in exporting countries are higher than in importing countries (Oki et al. 2006). Consequently, actually used water, ‘real water’, in exporting countries tends to be smaller than ‘virtual water’ in importing countries. For example, 1 kilogram of soybean corresponds to 1.7 tons of ‘real water’ in the United States and 2.5 tons of ‘virtual water’ in Japan. In this sense, the virtual water trade of 1 kilogram of soybeans from the United States to Japan saves 0.8 tons of global water resources. The total virtual water trade (imported virtual water) for commodities in 2000 was estimated to be approximately 1,140 km3 y−1; however, this corresponds to only 680 km3 y−1 of real water, suggesting a water saving of 460 km3 y−1 (Oki & Kanae 2006). While the virtual water trade cannot increase the total water resource, ‘saved water’ in the importing country can be allocated to other purposes such as municipal and environmental uses. However, one has to be careful when interpreting these results since social, cultural, and environmental implications, or limiting factors other than water, are usually not considered. This was, for example, stressed by Dukhovny (2007) who stated with respect to literature on virtual water: However, all authors make estimations only in terms of water, while forgetting at all about economic indicators—income derivatives, especially in processing, marketing, consumption, about economic benefits of agricultural production, the role of associated effects and the social importance of irrigated agriculture. Moreover, the water dependency index, considering virtual water, is introduced in contrast to food independence. The water dependency index as it is proposed and the assessment of water deficit, based on virtual water, gives a perverted idea of the possibility of national food self-sufficiency.

5.6

Flood management and flood protection

An increasing number of the world’s population is living in flood prone areas, especially in urban areas and coastal areas. There is no indication that this trend will change in the future (Schultz 2006). Therefore, there is an increased need for flood management and flood protection. Flood management and protection schemes may have to protect both rural and urban areas in flood prone zones. Generally, central governments have their roles and responsibilities, at least for policy, legislation, and major regulation and protection works. In addition, river basin authorities, drainage agencies, local level governments (provincial and municipal) and farmers may each have their roles and responsibilities. However, there are considerable variances in approaches in different countries, and there is often a lack of clarity about who is responsible for which part of the flood management, or flood protection activities, provisions and structures. 52

Measures with respect to flood management and flood protection are generally categorised as structural and non-structural measures. The structural measures involve dams, dikes, storm-surge barriers, etc.—physical provisions for reducing the risk of flooding. Non-structural measures include flood forecasting, flood warning, flood mapping, evacuation plans, land use zoning, etc. (Working Group on Nonstructural Aspects of Flood Management 1999, van Duivendijk 2005). In practice, an integrated package combining both types of flood management and flood protection measures is most effective for both rural and urban areas. In the lowland areas of South and East Asia there has been a particularly rapid growth of cities. During the past decades mega-cities like Bangkok, Hanoi, Ho Chi Minh city, Jakarta, Manila, Osaka, Shanghai, Taipei and Wuhan have experienced explosive growth and have been transformed from cities with less than one to two million inhabitants to cities with in some cases more than 10 million. And the rate of increase in property values in these cities has in general been even greater than that of the population (Schultz 2001). In order to cope with this growth reclamation of low-lying lands in the neighbourhood of existing urban areas has very often taken place. From a flood protection and water management point of view this involves removal of storage areas and increases in urban drainage discharges. The development, implementation, operation, maintenance and management of integrated flood management and flood protection measures for such urbanised areas is urgently required in order to solve present problems. The flooding of the city of New Orleans due to hurricane Katrina in August 2005 is clear testimony of this need. This case also demonstrates the economic cost of the failure to maintain an adequate level of protection. The costs of the measures now being taken after the disaster far exceed what it would have cost to achieve optimal flood protection before the hurricane; and the disaster would not have occurred. Nor must we forget the human tragedies and environmental issues connected to the New Orleans and other flood disasters.

6 POSSIBLE IMPACT OF FUTURE DEVELOPMENTS 6.1

Impact of climate change

The intense debates on climate change directly involve issues related to water security. Key among these are the increase in average annual rainfall and in flood generating rainfall, increases of dry-spells and droughts, the rise of the sea level, changes in river regimes, and impacts on the design, maintenance and functioning of water infrastructure. Concerning the increase of drought, this could mean that rainfed agriculture will become more vulnerable and that water availability for irrigation may be even more at risk in arid and semi arid zones. All the other developments would increase the risk of flooding, particularly in lowland areas. However, the overall impact of these developments on the design standards for water management and flood protection schemes is expected to be in the order of magnitude of 10–30% over the next 100 years. It seems that at least the more developed world could manage the associated costs in 53

the coming decades, even though they will be significant. In certain localities and particularly sensitive areas there will be exceptions that can have more far reaching consequences, for example when drainage by gravity would need to be replaced by drainage by pumping. In general it seems that the modernisation of water management and flood protection schemes, which normally takes place every 25 to 50 years, will be able to accommodate these climate change impacts (Schultz 2002, 2006); but it will carry a high price tag for the societies in developed countries, and be even more difficult to deal with in the emerging and least developed countries. However, other changes (population increase, land use change, water use etc.) in the respective water management area might add additional pressure and increase related costs.

6.2

Impact of future population growth and urbanisation

Much more significant than the possible direct impact of climate change is the effect of the increases in population and in the value of public and private property—houses, buildings, infrastructure, public facilities,—in lowland and flood prone areas. These value increases will significantly and increasingly dominate decision-making on water management and flood protection measures. So far this has generally not been the case, but the understanding that these processes would indeed have to play a major role is rapidly growing, affecting not only the issue of structural measures for flood protection, but also the much broader approach to flood management. This was recently clearly shown in the 21st ICID European Regional Conference in Frankfurt an der Oder (German National ICID Committee, 2005), the 3rd International Symposium on Flood Defence (van Alphen et al. 2005) and the 19th Congress of ICID (Schultz 2005).

6.3

Impact of increased bio energy production on farm land

The future uptake of the renewable energy source, bio-energy (i.e. bio-fuels, biodiesel), in the developed world and in countries in transition is enormous. The US Department of Energy would like to replace 30% of the US transportation fuel with bio-fuel. Similar increases are expected for the European Union, and some countries (e.g. Sweden) would like to become largely independent from fossil fuel for transportation purposes. The advantages of this renewable energy source are manifold: security of supply, low net greenhouse gas and other emissions (sulphur, particulates, etc.), economic and strategic advantages. Intensive agriculture (including modern breeding, monocultures and transgenic techniques) could result in achievements greater than those of the Green Revolution in food crops. Currently, many research efforts in this field concentrate mainly on the technical and engineering aspects. However, important environmental effects (including hydrological regimes, biodiversity, water quality, etc.) and socio-economic effects (including food prizes) of large-scale bio-energy production are poorly understood and cannot be quantified reliably with existing models—the impacts on hydrological processes and water systems are crucial in this regard. The interactions between water security, foodsecurity and energy-security for sustainable development are not fully understood and their impacts on water systems need to be investigated in a holistic way. 54

7 CONCLUSION Emerging and least developed countries in particular are confronted with the need to increase significantly their food supply in the coming decades. These countries can only do this by increasing their local production, and where inescapable in combination with increased imports. In the rainfed areas without a water management system, water harvesting and watershed management can be expected to result in some improvements, especially in the livelihood of poor farm families. There is, however, no way that the cultivated area can contribute significantly to the required increase in food production without a water management system, which can achieve the needed changes. The share of irrigated and drained areas in food production will have to increase, accompanied by significant improvements in existing irrigation and drainage systems through modernisation in combination with increased stakeholder involvement. In addition, new systems will have to be installed in areas where so far agricultural production has been achieved without a water management system, or in new land reclamations (Schultz et al. 2005). For the foreseeable future increasing flood management and flood protection provisions will be required in lowland areas where there is continuing growth in population, standards of living, urbanisation and industrialization. Additional complications with respect to this are created by the effects of global changes (e.g. climate change, land use changes) and land subsidence, which occur in many of the lowland areas. Such processes make these areas increasingly vulnerable. This could result in the need to abandon such areas, or change the agricultural use in the medium or long-term (for example, shifting to extensive pasture land). In instances where this becomes an actual problem there will be an urgent need for timely and complicated measures with various implications at different levels (Schultz 2006).

REFERENCES Allan, J.A. 1998. Virtual water: a strategic resource, global situations to regional deficits. Groundwater 36(4):545–546. Alphen, J. van, Beek, E. Van & Taal, M. 2006. Floods, from defence to management. In Proceedings of the 3rd International Symposium on Flood Defence, Nijmegen, The Netherlands, 25–27 May 2005. Leiden: Taylor & Francis/Balkema. Brown, L.R., et al. 1996. State of the World 1996. The Worldwatch Institute. London: Earthscan Publications Ltd. Duivendijk, J. van 2005. Manual on planning of structural approaches to flood management. New Delhi: International Commission on Irrigation and Drainage. Dukhovny, V. 2007. Water and globalization: case-study of Central Asia. Irrigation and Drainage 56(4). European Commission 2000. EU Water Framework Directive, Directive 2000/60/EC. Brussels, Belgium. Falkenmark, M. & Rockstorm, J. 2004. Balancing water for humans and nature. The new approach in ecohydrology. London: Earthscan Publications Ltd. German National ICID Committee 2005. Proceedings 21st ICID European Regional Conference, Integrated land and water resources management: towards sustainable

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rural development, 15–19 May 2005, Frankfurt (Oder), Germany and Slubice, Poland. (CD-ROM). Hoekstra, A.Y. & Hung I.Q. 2002. Virtual water trade: quantification of virtual water flows between nations. RRS 11, Delft: UNESCO-IHE. Hofwegen, P.J.M. van & Svendsen, M. 2000. A vision of water for food and rural development. The Hague, The Netherlands. Hofwegen, P.J.M. van 2009. Capacity challenges on the path towards water security. Water for a Changing World: Developing Local Knowledge and Capacity, Leiden: CRC Press/ Balkema. Huibers, F.P., Raschid-Sally, L. & Ragab, R. (eds.) 2005. Wastewater Irrigation. Irrigation and Drainage (Special Issue). International Commission on Irrigation and Drainage (ICID) 2004. Updated statistics on irrigation and drainage in the world. New Delhi, India: ICID. http://www.icid.org Oki, T. & Kanae, S. 2006. Global Hydrological Cycles and World Water Resources. Science, 313: 1068–1072. Oki, T., S.M., Kawamura, A., Miyaka, M., Kanae, S.K. & Musiake K. 2003. Virtual Water trade to Japan and in the world. In Value of Water Research Report 12: 221–235. Delft: UNESCO-IHE. Oki, T., Valeo, C. & Heal, K. (eds.) 2006. Hydrology 2020: An Integrating Science to Meet World Water Challenges. IAHS red book 300. Rodda, J.C. & Matalas, N.C. 1987 Water for the future. Hydrology in perspective. In Proceedings of the Rome Symposium, April 1987, International Association of Hydrological Sciences, Wallingford, Great Britain. IAHS Publication no. 164. Schultz, B. 2001. Irrigation, drainage and flood protection in a rapidly changing world. Irrigation and Drainage. 50(4). Schultz, B., Thatte, C.D. & Labhsetwar, V.K. 2005. Irrigation and drainage. Main contributors to global food production. Irrigation and Drainage 54(3). Schultz, B. 2005. Question 53. Harmonious coexistence with floods. General report. In Proceedings of the 20th Congress of the International Commission on Irrigation and Drainage (ICID), 10–18 September 2005, Beijing, China. Schultz, B. 2006. Opportunities and threats for lowland development. Concepts for water management, flood protection and multifunctional land-use. In Proceedings of the 9th Inter-Regional Conference on Environment—Water. EnviroWater 2006. Concepts for Water management and Multifunctional Land-Uses in Lowlands, Delft, 17–19 May, 2006. Shiklomanov I.A. 2000. Assessment of water resources and water availability in the world. Water International. 25(1). UNCTAD 2002. The Least Developed Countries Report. In United Nations Conference on Trade and Development, Geneva, Switzerland. http://www.unctad.org UNDP Population Reference Bureau 2005. 2005 world population data sheet. Washington DC. UNESCO 2006. Water—A Shared Responsibility. The United Nations World Water Development Report 2. Paris: UNESCO. Working Group on Non-structural Aspects of Flood Management, 1999. Manual on nonstructural aspects to flood management. New Dellhi: International Commission on Irrigation and Drainage (ICID). World Bank 2005. Global economic prospects and the developing countries. Washington DC. World Bank 2003. World Bank Atlas, 35th Edition. Washington DC.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

The environmental integrity of freshwater resources J. O’Keeffe, P. Lens, E. de Ruyter van Steveninck, W. Douven, A. van Dam & P. van der Steen Department of Environmental Resources, UNESCO-IHE Institute for Water Education, Delft, The Netherlands

ABSTRACT: Environmental integrity, although used in several publications, requires a single, clear and practical definition that is therefore useful as a guide to the kind of research and training that will help achieve “environmental integrity” in water resources, particularly in developing countries. This paper provides a review of similar concepts, and a definition, and then examines four examples to illustrate the usefulness of the environmental integrity concept: the EU Water Framework Directive (WFD), and three varied aquatic systems of Bonaire in the Caribbean, the Mekong River in Asia and the Mara River in Africa. In general, this definition seems to have some advantages of flexibility compared with the EU WFD and is likely to be more acceptable to stakeholders, because it is firmly linked to the priorities for water use by people, as well to maintaining ecological status and the goods and services that this provides.

1 INTRODUCTION “Environmental Integrity” is one of the 5 research themes at UNESCO-IHE. While there is an explanation of this term in the research brochure text (UNESCO-IHE 2007), there is no formal definition. In fact, a literature search reveals that, although the term is used in a number of projects and publications, no one appears to have defined it. The nearest defined term is “ecological integrity”, for which the most rigorous definition is that of James Karr. Karr defines ecological integrity as “the sum of the physical, chemical and biological integrity” (Karr & Dudley 1981, Karr 1996). Biological integrity, in turn, is “the capacity to support and maintain a balanced, integrated, adaptive biological system having the full range of elements (genes, species and assemblages) and processes (mutation, demography, biotic interactions, nutrient and energy dynamics, and metapopulation processes) expected in the natural habitat of a region” (Karr & Chu 1999). This defines some benchmarks of the ecological condition, against which the present state can be measured. Reduced to its essentials, Karr’s definition simply equates ecological integrity with “the natural state”, and he has developed an Index of Biotic Integrity (IBI) to measure the distance by which an ecosystem departs from 57

that natural state. This is conceptually an appealing model, but it has two main drawbacks for our purpose: 1. In most aquatic systems, and especially rivers, there is no definable “natural state”, since an individual system can vary enormously at different spatial and temporal scales. For example, a river immediately after a large flood will have a very different set of conditions and habitats than after a prolonged drought. So, rather than a natural state, it will have a natural amplitude of states in all dimensions—a much more complicated concept to describe and manage. The word “conditions” is used to summarise the range and amplitude of environmental paramenters that characterize a water resource. For example, the minimum and maximum discharges, salinity, nutrient concentrations, sediment loads, etc. as well as the plant and animal communities characteristic of wet and dry seasons. 2. If we are aiming to maintain the environmental or ecological integrity of a system, this implies that we are aiming for natural condition—a completely unrealistic objective for almost all aquatic ecosystems. This is also, in most cases, an undesirable objective, since it would imply that no (or very minimal) human use can be made of the resources. Although not a formal definition, Cordonnier Segger et al. (2004) provide some characteristics of what they call environmental integrity: “Maintaining environmental integrity involves recognition of the impact of human activities on ecological systems. It requires: respect for limits to the regenerative capacity of ecosystems such as fisheries and forests that are vulnerable to irreversible depletion; actions to avoid irreversible harm to plant and animal populations and species; and protection for valued areas such as designated parklands or sites of internationally recognized ecological, cultural or historical significance.” The concept of environmental integrity has much in common with the concepts of Sustainable Use (Zaccagnini et al. 2001) and the Ecosystem Approach (CBD 2002), both of which aim at a combination of simultaneously utilizing and preserving ecosystems. To return to UNESCO-IHE’s Research Brochure, the sense in which we refer to environmental integrity is best conveyed in the summary, as follows: “There is realisation throughout the world that we need to conserve essential life-support ecosystems for our well-being and survival, and to maintain an adequate resource base for coming generations. At the same time there is a realisation that ecosystems are used and hence should be used wisely”. This is appealing because it combines the ideas of protecting resources so that they can be used sustainably. In this paper, we shall expand on this concept, to provide a definition for environmental integrity that is clear and practical, and therefore useful as a guide to the kind of research and training that will help in the achievement of environmental integrity in water resources, particularly in developing countries. The second part of the paper provides four examples: the EU Water Framework Directive, and three aquatic systems of varying levels of modification. These are used to investigate and illustrate the usefulness of the environmental integrity concept. 58

1.1

A definition of environmental integrity

If we are to use environmental integrity to describe the conditions of a water resource in relation to the uses that are made of it by people, then we should make use of the kind of classification system employed by the European Union (EU) Water Framework Directive (WFD): Natural, Good, Moderate, Poor. The South African Water Act of 1998 makes use of a similar classification system (provisional at the moment): Natural, Good, Fair, Poor. The difference between these two systems is that the WFD defines anything less than Good as unacceptable, while the South African system defines anything less than Fair as “unsustainable”, and in need of improvement. “Unsustainable” is another minefield—books have been written on sustainability without really providing operational meanings. As Clarke (1997) comments: “While many authors and orators have extolled the virtues of sustainability in principle, relatively few have taken the next step and tied the vision down to its practical implications”. For our purposes, environmental integrity will describe conditions which the stakeholders decide are appropriate for the long-term management of the water resource, and, if those conditions are being met, then by definition the resource is being managed sustainably. If the desired conditions are not being met, there may be two possible responses: 1. Either the desired conditions are not appropriate, or attainable, and must be revisited and revised, or 2. Management actions will have to be implemented to improve conditions. This is a process described as “Strategic Adaptive Management” (SAM) by Biggs & Rogers (2003) in which objectives are set, a monitoring programme is implemented, and management responses are carefully linked to the monitoring results as described above. If we adopt this process, then a working definition is: • The environmental integrity of a water resource is the ability of that resource to support the components and services that are determined to be desirable by a comprehensive stakeholder process; • The environmental integrity is therefore specific to each water resource, and is described in terms of quantified limits for all possible biophysical parameters; • “Services” are the benefits that people obtain from using the ecosystem, such as provisioning services (goods provided by the ecosystem), regulatory services (e.g. water purification, climate regulation) and cultural services (non-material benefits, e.g. educational and recreational values) (MEA 2005); • “Stakeholders” are representatives of users of the resource, potential users, government agencies with responsibilities for the resource, NGOs and other groups or institutions with an interest in the environmental integrity of the resource. It is important to include spokespersons for the “silent stakeholders”, such as the environment and future generations; • A “Water Resource” in this sense is a water body or part of a water body within which conditions are largely homogenous, and which is subject to the same pressures and uses, and for which similar desired conditions can be defined. 59

1.2

A suggested protocol for implementing water resource assessment and management to maintain environmental integrity

This section describes a five-step process by which the environmental integrity of a water resource can be assessed and managed.

1.2.1

Step 1: Definition of water resources

Initially, any water body will have to be divided into its constituent water resources. A river, for example, can be divided into upper, middle and lower sections based on a number of existing zonation schemes. The confluence of large tributaries may also define separate resources. Superimposed on this natural zonation, human influences such as large dams, urban or industrial areas, and major changes in land use would further subdivide the resources.

1.2.2

Step 2: Describing natural conditions

Describing natural conditions as a reference or benchmark is necessary to define how far a water resource has changed already or may be changing, and to identify the range of conditions that may be seen as desirable, but may be problematic for systems that have a poor historic record. Other complications (mentioned above) are that conditions vary on a number of spatial and temporal scales, and it is necessary to understand where the resource is in the various cycles. For example, large scouring floods may significantly alter channel morphology on century-long time scales, and recovery of low-flow habitats may last for many decades. Very often water chemistry and biology can be inferred from catchment conditions and from nearby least-modified systems. Channel morphology and riparian vegetation changes can often be identified from remote sensing images over time. Local knowledge is also a useful source, particularly for groups such as fish, which are of direct importance to people. Because this is an adaptive process, best estimates using whatever information is presently available can provide a first approximation, which can be refined over time.

1.2.3

Step 3: Describing present conditions

Present conditions are usually easier to define than natural conditions, and describe how far the system has been modified over time, and what trajectories of change are presently occurring. Present conditions should also be described as a range of states for each parameter. For example, salinity may be described in terms of 90th percentile limits over the period for which records exist. It may be necessary to describe biological communities in terms of those surviving in drought conditions, compared to those recolonising during wetter periods.

1.2.4

Step 4: Defining desired conditions

While steps 1 to 3 are essentially scientific processes, this step involves societal judgement, conflict resolution, and consensus seeking. It may be a very long-term process requiring a number of iterations, since a successful outcome is crucial to the process. Depending on the sophistication of the stakeholders and the level of development in the catchment, it may be necessary to begin with an extensive capacity building process, to ensure that stakeholders understand the process and its implications. 60

Ideally, stakeholders should be able to identify a variety of desired developments in the catchment, and steps 2 and 3 should allow specialists to describe alternative scenarios and their consequences. There are a number of negotiation and conflict resolution tools available for this part of the process (e.g. multi-criteria analysis). The local, national and regional policies and legislation will define the boundaries within which the desired conditions can be defined. For example, it should not normally be possible to define desired conditions that represent an overall degradation of the water resource. The EU WFD (see section 2) circumvents this step by a blanket requirement that conditions must be managed for “Good” status or potential, but this inflexibility is creating problems, which at worst can be seen as setting the process up for failure, because “Good” status (defined by the WFD as only slightly modified from natural conditions) is impractical in very many of the developed water bodies of Europe. As an integral part of this step, it is important to match desired conditions with those for adjacent water resources, since defining significantly different objectives for two river zones on the same system may be impractical. Once the desired conditions have been defined by stakeholders, it will be necessary to translate these into measurable management targets. A very useful tool for this part of the process is the “Objectives Hierarchy” (Rogers & Bestbier 1997), which starts with a vision and major objectives (of the type normally defined by stakeholders) and gradually unpacks these at levels of increasing detail, until measurable quantified objectives are set. The simplest and most nebulous example of a vision would be the WFD classification of “Natural” or “Good” conditions. This could be translated into a high level objective such as “to maintain excellent trout angling conditions”. Because the range of tolerances of trout are so well known, it is then simple to set quantitative objectives for temperature, water quality and hydraulic habitat conditions which will suit them. Figure 1 illustrates a hypothetical Objectives Hierarchy for more general objectives. The final most detailed level of an objectives hierarchy will usually be measurable ranges or thresholds which should not be exceeded and which will form the management guidelines for the resource. These can be set as “Thresholds of Probable Concern” (TPCs), at levels which occur before crisis conditions, and where a management intervention can correct any potential damage before it happens (Rogers & Bestbier 1997). Figure 2 illustrates the process for linking the TPCs with the monitoring programme and management responses.

1.2.5

Step 5: Establishing a monitoring programme and a management response system

The monitoring programme should be designed in response to the TPCs, so that results can be directly compared with the desired conditions. The parameters to be measured will vary from resource to resource, as will the frequency with which different parameters need to be measured. Because many monitoring programmes degenerate into data collection and storage exercises, it is very important to link the monitoring results to management responses. Any TPC that is exceeded will have to trigger such a response, but, because of the adaptive nature of the process, the response may be to revisit the TPC in the light of increased information, and to 61

Figure 1. A simplified example of an objectives hierarchy, with a high-level vision that is inspiring but unmeasurable, connected at successive levels to detailed management objectives that are measurable but obscure.

Figure 2. Linking environmental integrity objectives (as Thresholds of Probable Concern— TPCs) to monitoring and management responses.

redefine it more accurately. Alternatively, if a potential problem is identified, either remedial action or more careful investigation of the causes may be necessary. Management responses are strongly influenced by the availability of suitable technologies for resource use and pollution control. Emphasis should be on cleaner production (e.g. by selection of proper processes and materials in industry), closing 62

water and nutrient cycles (e.g. integrated agricultural and aquacultural systems) and remediation technologies (both end-of-pipe treatment and in-river). There is a need for research on technologies that increase options for a combination of basic service provision and economic development with the long-term need for the environmental integrity of water resources.

2 CASE STUDIES 2.1

EU water framework directive:

The European WFD aims at creating a ‘good’ status for all European surface and ground waters. Key elements include: • integrated water management based on river basins, • a combined approach to emission controls and water quality standards, • implementing economic instruments to ensure cost recovery (e.g. pricing of water and water management), and • involvement of citizens and stakeholders (i.e. public participation). Critical in this process is how to define a ‘good’ status, a difficult task considering the large variety in water bodies and their present status, which often deviates from the undisturbed, pristine state. A set of procedures for identifying this status, and establishing hydrological and chemical standards to achieve this, has been defined.

Figure 3.

Implementation of the WFD follows a number of sequential steps as shown.

63

This includes, amongst others, assessment of the type-specific reference conditions for biological Quality Elements and a classification using Ecological Quality Ratios based on these biological elements. The type-specific reference condition describes the condition of a water body when it has suffered no, or only very minor, anthropogenic impacts to its hydromorphological, physical-chemical and biological conditions. This condition should be derived from observations, historical data, modelling, and/or expert judgement. The Ecological Quality Ratio indicates the ratio between the observed and reference values for the biological quality elements and is expressed over the range badpoor-moderate-good-high. Anything less than good is considered to be unacceptable.

2.2 2.2.1

Wastewater management to reduce nitrogen pollution and coral reef degradation at Bonaire island (Based on Gijzen & van der Steen 2004) General

Bonaire is a small island in the Southeast Caribbean sea, about 80 km north of the Venezuelan Coast. Together with four other islands it forms part of the Netherlands Antilles. With a total surface area of about 285 km2 and around 10,000 inhabitants, it is not densely populated. The majority of the population is concentrated in and around the capital Kralendijk. Bonaire is often referred to as a divers paradise. It is consistently ranked as one of the world’s top ten diving locations. This is because the island is surrounded by fringing reefs, clear waters, and beautiful spots for reef diving that are accessible a few feet from the shore. Protection of this rich marine environment is therefore of key importance for the island’s economic development.

2.2.2

Environmental integrity

Already for over a decade concerns have been voiced over an observed trend of declining reef quality. There are indications that this trend is caused (in part) by sewage contamination of coastal waters. Bonaire has no sewage collection and treatment system. Most households and commercial establishments use septic tanks, cesspits, and leach holes, while only a few hotels have on-site wastewater treatment plants installed. As a result, nutrients dissolved in the sewage may reach the coastal water via infiltration through the porous limestone underground or via run-off. The fringing reef surrounding Bonaire represents a delicate natural resource, which is particularly sensitive to even low levels of nutrients in the water. It is generally assumed that the damaging effect of nutrients on coral reefs is caused by the stimulation of algal growth, which subsequently covers and ‘suffocates’ the coral.

2.2.3

Drivers and pressures

Drivers to solve the pollution problem include: • Pressure from environmental groups to protect the marine environment, especially the coral reefs, • Interest from the hotel sector to protect the marine environment, although distrust of the capability of local government to tackle the problem reduces the willingness to pay, • Political pressure to safeguard the tourist sector and the employment it generates. 64

The Government of The Netherlands Antilles has requested the European Commission to assist Bonaire with the financing, development and implementation of a sound sewage management system. The EC has agreed to provide funding for the proposed construction of a sewerage and wastewater treatment system, with a view to protect the sensitive coral reefs around Bonaire from eutrophication.

2.2.4

Environmental objectives

The overall objective is to reduce the nitrogen flux from the island to the marine environment and thus to protect the coral reefs from the effects of eutrophication.

2.2.5

Solutions

The solution chosen is the construction of a vacuum sewer, an energy intensive wastewater treatment plant, and reuse of the effluent in hotel gardens adjacent to the sea. Concerns have been raised about the seepage of nutrients from the hotel gardens into the sea, as well as about the dependence of the project on income from selling effluent to the hotels. Hotel owners have indicated that they are not eager at all to buy the effluent. Finally there is a concern that the households prefer to continue to use septic tanks, rather than connect to the sewer system.

2.3 2.3.1

Mekong Basin Environmental integrity

The Mekong River originates on the Tibetan plateau in China and then runs for more than 4,000 kilometres through six countries, ending in the rich Vietnamese delta that opens to the South China Sea. The Mekong River is among the largest rivers in the world and drains an area of about 800,000 km2 (WRI 2003). The total population of this area is around 75 million people, many of whom are farmers and fishers who depend directly on the natural resource base. The Mekong and its flood regime are relatively intact. This feature is one of the main reasons behind the incredibly productive and commercially valuable fisheries, and high animal protein consumption, as well as the biological diversity of the region (MRC 2003). There is, however, large variability. For example, the delta is intensively used for irrigated agriculture with many manmade channels, while in Cambodia, the basin is in a much more natural state.

2.3.2

Drivers and pressures

Although the basin is relatively intact, rapid development is degrading the environment and the basin’s resources at an increasing rate. The population in the Lower Mekong Basin is expected to rise to more than 100 million by 2025. Key economic activities are fishing, aquaculture, agriculture and natural resource harvesting. Threats are over-fishing, large infrastructure (hydropower dams and roads), deforestation, changes in sediment transport patterns and toxics from agriculture (Wong et al. 2007). The effects of climate change (studies by Chu Thai Hoanh et al. 2003) could include increased droughts and floods, diminishing food production and increasing stress on ecosystems. 65

2.3.3

Environmental objectives

The Mekong River Commission (MRC) was formed in 1995 by an agreement between the governments of Cambodia, Lao PDR, Thailand and Vietnam on joint management of their shared water resources and development of the economic potential of the river. In 1996 China and Myanmar became Dialogue Partners of the MRC. The main challenge for the Mekong basin is to develop the region while protecting the environment and maintaining the ecological balance of the basin. Questions: How is the ecological balance (integrity) of the Mekong defined? How are water allocations to sustain this balance defined? Do all MRC countries see this in the same way? What is needed in terms of information, knowledge and institutional arrangements?

2.3.4

Solutions

The solution is a combination of Integrated Water Resources Management and Integrated River Basin Management approaches, whereby the MRC approach seems a good starting point. A threat might be that emerging Mekong economies see the balance between development and environment differently. Needed discussion on water allocation and basin flows has begun, but the issue is sensitive in the region. Focussed capacity building efforts are needed to reduce the gaps in capacity in the region to deal with these issues. Many questions remain: What key information and knowledge are needed to ensure environmental and social sustainability of economic development? What are the main gaps? How to transfer information and knowledge to decisionmakers? What is the best approach to start research alliances in the basin?

2.4 2.4.1

Mara river Environmental integrity

The Mara River Basin is about 13,750 km2, of which about 65% is located in Kenya and 35% in Tanzania. It is world famous as the water resource at the heart of the huge annual migration of wildebeest, zebra and gazelles in the Mara-Serengeti Ecoregion. It is the only perennial river in the ecoregion. Pictures of thousands of wildebeest and zebra plunging through the river provide the iconic image of wildlife in Africa. However, this is only one aspect of biodiversity in the Mara River basin. The river, which rises in the Mau escarpment of Kenya, also provides water for increasing numbers of people, crops and animals who encroach on the natural forests of the uplands. The river flows through ranchlands and irrigation farmlands upstream of the Masai Mara and Serengeti wildlife reserves. Downstream, after leaving the protected areas, it provides water for mining and farming, then drains into the extensive Kirumi wetlands before its river mouth in lake Victoria. Mara river flows are still largely natural (there are no dams on the river), but they are increasingly under threat from upstream abstraction and forestry clearance. Because of increases in water demand for agriculture, mining and the growing human population, reductions in water flow and quality are expected in the coming years.

2.4.2

Drivers and pressures

Population growth is one of the main pressures in the basin. The present population density is high (between 100 and 500 per km2), and the population growth is among the 66

highest in the world. There is strong economic development pressure, mainly in the form of irrigated agriculture. In the upper catchment there is large-scale irrigated wheat, maize and French bean farming, and plans for cotton farming, while in the lower catchment smallholder vegetable farmers are also interested in irrigation. Pastoralists need drinking water for their livestock. Towns, municipalities and the hotel sector produce sewage that poses a risk of water pollution. There is a constant need for firewood and charcoal, leading to pressure on the forest resources. Tourism forms another pressure, with 300,000 visitors to the game parks in 2000 and an annual increase of about 12% per year. The revenues of the parks are over 18 million US$ and represent a large portion of the two countries’ total revenue from tourism. In addition, climate change may increase the intensity of drought periods, leading to larger risks for rain-fed agriculture and for the populations of game in the parks. In terms of policies and institutions, an important development is the Mara River basin management plan, which has been developed as part of the Nile Equatorial Lakes Strategic Action Plan (NELSAP) of the Lake Victoria Basin Commission of the East African Community (NBI 2007).

2.4.3

Environmental objectives

The NELSAP mission is to contribute to the eradication of poverty, to promote economic growth, and to reverse environmental degradation in the Nile equatorial lakes region (NBI 2007). This overall management objective applies equally to the Mara basin and implies maintenance of the ecosystem’s biodiversity and ecological functioning while at the same time allowing people in the basin to use the water and other resources to support their livelihoods. The latter applies to individual users who need drinking water and food, but also to agricultural and industrial entrepreneurs who need water for their businesses. A major challenge is the management of potential conflicts between upstream and downstream water users, and a reasonable distribution of benefits among all stakeholders.

2.4.4

Solutions

To arrive at practical management solutions for the Mara River, dialogues between upstream and downstream stakeholders and between the two basin countries will need to be started to define joint management objectives and implementation strategies. Research will be needed into the water requirements of various components of the system in relation to the activities of the stakeholders. Agricultural and industrial technologies that use water efficiently and do not harm environmental and water quality (e.g. improvements in rain-fed agriculture, energy conservation stoves to reduce the use of firewood, natural systems for water treatment, integrated fish production, etc.) will need to be applied. Participation and capacity building of stakeholders will be an important pillar of the management process.

3 DISCUSSION AND CONCLUSIONS The definition and assessment process for environmental integrity suggested in this paper would need to be tested and implemented in a number of water bodies before 67

we can conclude that it is the best approach available. This section discusses the applicability of the approach in comparison with the EU WFD, and in the three aquatic systems described above. Compared to the process suggested in this paper, the WFD approach seems to be rather rigid and complicated, and this might hamper successful implementation. A major problem is in the definition of reference conditions of water bodies that have been modified or are otherwise extensively used by people. How realistic is this approach, in particular in developing countries where many depend directly on the use of natural (water) resources for survival? ‘Good’ status as a target might be the ultimate goal from an ecological point of view, but environmental integrity looks for answers in which short-term needs and long-term sustainability are balanced. Instead of targeting one or two default classes for all water resources, the objectives should differ from case to case. The Bonaire case study is illustrative of the many situations where the pollution source is at a distance from the ecosystem to be protected (the coral reefs). Adequate removal of nitrogenous compounds needs to be implemented so as to prevent excessive algal growth and keep the receiving ecosystem in a healthy state. This can be done by prevention, closing of water cycles allowing N recovery, or by removing the pollutants by appropriate, cost-effective environmental technologies. The Bonaire case illustrates that the use of innovative appropriate technologies can remediate environmental problems, as opposed to the commonly perceived “either the environment, or technological development” dichotomy. In recent years, ample technological solutions have been designed. Their implementation depends mainly on i) people being willing to pay for the system (both investment and maintenance) and ii) the technologies being accepted by society. Both can be bottlenecks in the proper implementation of these protective tools, and thus be the reason for ecosystem damage/degradation. New technological developments should focus on low cost technologies that are easily accepted by the local communities, and such technological innovations can only be developed if the societal context is taken into account. In the Mekong the approach suggested in this paper should be well suited for the assessment and maintenance of environmental integrity. The main challenge is regional differences and differing perspectives of the various stakeholders. This is shown by the discussions on water allocation and basin flows in the Lower Mekong basin. Focussed capacity building efforts are needed to reduce the gaps in capacity in the region to deal with these issues as well as research efforts. A major difficulty for implementation is the scarcity of information, not so much on individual aspects (e.g. hydrology, biodiversity), but on the linkages between these aspects, (e.g. what are minimum water levels required to sustain functions). Similarly, the approach suggested should be suitable for the assessment and maintenance of environmental integrity in the Mara River. The river is still in a relatively unmodified state, with much of the natural processes, functions and structures intact. The importance of tourism as a foreign exchange earner should be a main driver for sustainable management of the water resources. The major difficulties for implementation are a scarcity of information on the hydrology, water quality, sediment processes and biodiversity of the river, and the need for a common understanding 68

of the importance of protecting natural resources throughout the catchment. The transboundary nature of the river, which can complicate overall catchment planning, can also be an advantage in that regional and international policies support the equitable distribution of resources to both riparian countries. In general, our definition of environmental integrity seems to have some advantages of flexibility compared with the EU WFD and is likely to be more acceptable to stakeholders, because it is firmly linked to the priorities for water use by people, as well to maintaining ecological status and the goods and services that this provides. The suggested approach is likely to find useful applications in a wide variety of different aquatic systems, as illustrated by the three case studies overviewed here.

REFERENCES Biggs H.C. & Rogers K.H. 2003. An adaptive system to link science, monitoring and management in practice. Chapter 9 in J.T. du Toit, H.C Biggs, & K.H. Rogers (eds), The Kruger Experience: Ecology and Management of Savannah Heterogeneity. Washington DC: Island Press. CBD, 2002. ‘Ecosystem Approach’. Available at http://www.biodiv.org/programmes/ cross-cutting/ecosystem/default.shtml. Chu, Thai Hoanh, Guttman, H., Droogers, P. & Aerts, J. 2003. Water, Climate, Food, and Environment in the Mekong basin in southeast Asia, Contribution to the project ADAPT, International Water Management Institute, Mekong River Commission Secretariat and Institute of Environmental Studies, Final Report, June 2003. Clarke M.J. 1997. In Urbanska, Webb & Edwards (eds), Restoration Ecology and Sustainable Development. Cambridge: Cambridge University Press. Cordonier Segger, M.C., Borregaard, N., Bastida Muños, M., Salvador, S., Taillant, D., Amparo Alban, M., Leichner Reynal, M., Murillo, C. 2004. Social rules and sustainability in the Americas: 264. IISD. Gijzen, H. & Steen, P. van der 2004. Sewage Management in Bonaire. Evaluation of proposed and alternative solutions for reduction of nitrogen pollution to coastal waters: 34. IHE. Karr, J.R. 1996. Ecological Integrity and Ecological Health are not the same. In P.C. Schulze (ed.) Engineering within ecological constraints: 100–113. Washington DC: National Academy press. Karr, J.R. & Chu, E.W. 1999. Restoring life in running waters: Better biological monitoring. Washington DC: Island Press. Karr, J.R. & Dudley, D.R. 1981. Ecological perspective on water quality goals. Environmental Management 5: 55–68. MEA 2005. Ecosystems and human well-being: wetlands and water synthesis. Millennium Ecosystem Assessment, Washington DC: World Resources Institute. Available at http:// www.maweb.org//en/Products.Synthesis.aspx. MRC 2003. State of the Basin Report, June 2003. Phnom Penh: Mekong River Commission. NBI 2007. Nile Equatorial Lakes Strategic Action plan, home page. Cairo: Nile Basin Initiative. Accessed at http://www.nilebasin.org/nelsap/. Pimentel, D., Westra, L. & Noss, R.F. 2000. Ecological Integrity, Integrating environment, conservation and health. Washington DC: Island Press. Rogers, K. & Bestbier, R. 1997. Development of a protocol for the definition of the desired state of riverine systems in South Africa: 100. Pretoria: S.A. Department of Environmental Affairs.

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UNESCO-IHE 2007. Research at UNESCO-IHE: Institute for Water Education. Delft: UNESCO-IHE. Wong, C.M., Williams, C.E., Pittock, J., Collier, U. & Schelle, P. 2007. World’s top 10 rivers at risk. Gland, Switzerland: WWF International. WRI 2003. Watersheds of the World_CD. Washington DC: World Conservation Union (IUCN), International Water Management Institute (IWMI), Ramsar Convention Bureau, World Resources Institute. Available at http://multimedia.wri.org/watersheds_2003/index. html. Zaccagnini, M.E., Cloquell, S., Fernandez, E., González, C., Lichtenstein, G., Novaro, A., Panigati, J.L., Rabinovich, J. & Tomasini, D. 2001. Analytic Framework for Assessing Factors that Influence Sustainability of Uses of Wild Living Natural Resources. Gland, Switzerland: IUCN. Available at http://www.iucn.org/themes/ssc/susg/docs/analytic_ framework_nov01.PDF.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Water for a crowded planet: An emerging global challenge for earth system science and technology C.J. Vörösmarty City College of New York, City University of New York, New York, NY, USA

ABSTRACT: Water management must overcome multiple global challenges as well as endemic human mismanagement and poor stewardship. Critical to this local to global effort are new tools from the Earth systems sciences, which for the first time offer biogeophysical knowledge and perspectives, information highly useful for all levels of water stakeholders, especially when combined with contributions of the social sciences. We have ascertained, for example, that 84% of the world’s people live in the driest half of the globe; we are able to measure the pandemic effect of water diversion and engineering on the world’s drainage basins; we can improve the health of people today using what we’re learning about the history of pollution; and we are beginning to make impacts of climate change more predictable. In the inevitable complex conflicts over water the financing, production, integration and dissemination of this information are essential.

1 INTRODUCTION On this Blue Planet, water is arguably the essential ingredient of the Earth system. In addition to greenhouse warming and concerns about an “accelerated” hydrologic cycle, many other anthropogenic factors are at work changing the state of global water resources. Prominent among these are widespread land cover change, urbanisation, industrialisation, plus a host of hydraulic engineering schemes—like reservoir construction, irrigation, and interbasin transfers—all designed to optimize the use of fresh water by humans. All yield impacts, both positive and negative, on the water resource base and delivery system. And, as humans struggle with tightly-linked strategic imperatives on food and energy security, economic development, and carbon mitigation that will serve a population moving toward 9–10 billion, the collective significance of transformations of so basic an element of the Earth system, water, remains unknown. As they have for millennia, humans will struggle to stabilize and make available adequate water in the face of a highly capricious climate, failed governance, mismanagement, overuse and depletion, biodiversity loss, and pollution. How well are we doing today and what will the future hold? How will we know? And, how will we act on the knowledge we have?

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2 A GLOBAL MULTI-CHALLENGE If we look at the global water situation, we see a veritable panoply of challenges confronting us, a broad spectrum of local water resource challenges that is increasingly being recognized as a fully global syndrome of problems, sometimes dubbed the global water crisis. We have heard the statistics depicting the failure of many countries to provide their citizens with the basics of clean drinking water and sanitation. While there has indeed been substantial progress across several regions, the WHO/UNICEF Joint Monitoring Program (WHO/UNICEF 2004) still reports numbers unserved in the billions (1.1 billion for clean water; 2.6 billion for sanitation). If one confronts food security, one also must face the realities of major food production systems that are rain-fed, that is, inherently vulnerable to periodic and/ or persistent drought, and crop-damaging floods. Changes in the extremes of climate are forecast under greenhouse warming (IPCC 2007) and thus add to existing degrees of vulnerability to crop failure. Buffering against this variability or deciding to grow crops in regions of chronic aridity means investment in expensive irrigation delivery systems and attendant impacts on downstream users through river flow depletion and salinisation. Water provides critical life-support to both terrestrial and aquatic ecosystems (Vörösmarty et al. 2005, Finlayson and Cruz 2005). When humans appropriate, distort, or pollute the natural water flows upon which these systems depend, we lose ecosystem services, from which humans often derive great benefit. These include waterborne navigation, waste processing, flood protection, support for fisheries, recreation, sources of energy for hydropower, on and on. The list of such positive outputs is large and the value great, but collectively ecosystem water services are typically undervalued throughout the world, optimized often for one use over another without respect for the inherent tradeoffs and potentially negative consequences. When we talk about development, sustainable or otherwise, water-based ecosystem services could be viewed more correctly as an asset that is fundamental to improvements in the material standard of living, especially when economic capital is scarce (Vörösmarty et al. 2005). In what is arguably the vast majority of cases in both the developed and developing world, when there is close contact between human beings and the water systems that they explicitly or implicitly manage, there is a very high probability that these interactions are marked by mis-management. Poor stewardship arises from overt uses of waterways as waste repositories, inadvertent negative practices, poor governance and legal enforcement, and the lack of local technical know-how—some or all of the above. Prima facie evidence supporting this contention is the pandemic pollution of our inland and coastal waterways (UNEP/GEMS 2007) that today bears strong signatures of human waste streams, often in the form of newly-minted, engineered, and exotic chemicals that continue to emerge as over-applied fertilizers, pesticides, factory effluents, personal care products, and medicines. Waste heat is also a growing problem. A common feature of all these water resource challenges is that, firstly, human actions are deeply embedded into the fabric of contemporary hydrologic and biogeochemical cycles (Vörösmarty & Meybeck 2004). Thus, future analysis of 72

these questions will require a combination of perspectives, traditionally isolated by disciplinary approaches. Another feature of the challenges is their more-or-less local nature. On local scales there is no shortage of well-documented reports of anthropogenic effects on water resources. But, there is growing evidence that the human influences are now playing out over successively larger domains, creating widespread syndromes, quite possibly up to the domain of the entire planet (Vörösmarty & Meybeck 2004, Meybeck 2003).

3 NEW TOOLS FOR NEW CHALLENGES A great deal of our knowledge about water stress has been generated through the local or basin-scale case study. While case studies yield important insights and will continue to play an important role in water assessment, they have less utility in forecasting syndromes of water problems over much broader domains. A more encompassing perspective is essential insofar as each case study can then be placed into proper context relative to other parts of the globe. Case studies, in turn, provide the ground-truth by which synoptic scale mappings gain fidelity. With the wide distribution of tools such as Google Earth (among others) this broader geographic perspective is rapidly being embraced and is now the expected norm. This is true not only for scientists but also for decision-makers, international lenders, and even strategic security experts, who are now comfortable in pondering the inherent interconnections of what previously was considered to be disparate corners of the planet that today are united through globalisation (e.g. Dilley et al. 2005). In this context, the Earth systems sciences are coming forward with new and potentially useful tools that enable, for the first time, a global articulation of many of the key features of water resource condition, use, and their interactions. These tools allow emerging system states to be first identified and then assessed over scales that even in the very recent past have been limited to the local. The classes of contributions from the Earth systems sciences include well-established as well as innovative new in situ monitoring networks coupled to next-generation global telecommunications: operational satellite-based now-cast and forecast systems, regional high resolution atmospheric and weather forecast simulations, global general circulation models for predicting emerging climate states, and new statistical inference techniques. Together these can be focused on articulating the state and change in water resources, both now and into the future, and can generate an unprecedented picture of the state-of-the-hydrosphere, with all its inherent variability over space and time. Links to the human dimensions research and to the policy domain are the next step in the evolution of the science. These techniques support a new vision of water from the biogeophysical perspective. A major step forward will be the creation of a new and systemic view of water by uniting the natural sciences with rapidly developing capabilities in the social sciences. To be successful, social and economic scientists will need to meet their more physically-based counterparts on the latter community’s own terms—by producing data which is quantitative, time and space-referenced, and able to be manipulated to 73

generate and test hypotheses. A new generation of indicators uniting biogeophysical and human dimensions perspectives will be required to articulate what is fundamentally a geospatial problem. Key characteristics such as space and time continuity of databases depicting both perspectives are rapidly converging and permitting unprecedented views of the water resource question. One straightforward example is highresolution urban and rural population datasets (CIESIN et al. 2004) that can then be conjoined with high resolution hydrology datasets to determine the distributions of water scarcity and surplus. Because water-human interactions are fundamentally a geospatial issue, when these data sets have been explicitly linked (Vörösmarty et al. 2000) the accounting has shown prior national-level statistics (as used in the 1997 UN Comprehensive Assessment of the Fresh Water Resources of the World) to grossly underestimate the degree of water stress—by a factor of three for heaviest stress levels (Table 1). Work along these lines will undoubtedly continue, but the challenge, in part, will be to develop resource surveillance systems upon which interdisciplinary indicators can be developed that are coherent, trackable over time, easily conveyed to decisionmakers, and policy-actionable. These advancements allow us to observe the system state in finer and finer spatial and temporal detail, less as abstractions than as concrete phenomena depicting the real world. At the same time, we continue to lose our capacity to inventory water resources using traditional ground-based hydrographic information. There continues to be a severe decline in the quantity of baseline stream hydrograph data—the mainstay of any water resource assessment—that is available to the community globally. Despite best efforts to the contrary, the number of reporting stations to the UNdesignated world repository of such information, WMO-Global Runoff Data Center in Koblenz, Germany, has declined, with best coverage now more than 20 years ago. This deterioration is caused by several factors including the demands for cost recovery by the hydrometeorological agencies collecting such information (such that they

Table 1. High resolution mappings of water supply and use are necessary to quantify the full dimension of water resource stress. Tabulations aggregated to the country level greatly underestimate the number of people experiencing severe water scarcity. Geospatial estimates of populations exposed to levels of severe water stress (relative annual water use DIA >40% of supply Q) more than triple previous estimates (Vörösmarty et al. 2000). Total population (billions) Country level analysis Water stress

DIA/Q (unitless)

U.N.

Grid sum

Grid-based full resolution

Low Moderate Med-high High

<0.1 0.1 to 0.2 0.2 to 0.4 >0.4

1.72 2.08 1.44 0.46

1.95 1.73 1.54 0.45

3.16 0.38 0.37 1.76

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no longer can afford to distribute data freely), intellectual property rights, and loss of stations in the network due to high expense. The problem is particularly worrisome in the developing world but is also happening in the North. As one potential antidote, the International Association of Hydrological Sciences has centered much international effort around its Predictions in Ungaged Basins (PUB) initiative, attempting to develop methodologies that could be used where hydrographic data is no longer being collected or never was. In addition, US and European experts are collaborating to design radar altimitry systems that map water elevations, slopes, and extents of inland water bodies, together with their changes over time (Alsdorf et al. 2007). Detection of these variables, dependent on chosen orbital configuration and technical capabilities of the satellite detectors, can then be combined with hydraulic models (Bjerklie et al. 2003) to infer the dynamics of water storage and river discharge. From such products we can begin to develop a comprehensive inventory of contemporary water resources from space, lending hope that continuing losses from ground-based monitoring systems for streamflow can someday be augmented with satellite-based systems. We are well-positioned to utilize these types of technology and their affiliated data products in ways never before possible for creating new approaches for solutions to the global water crisis. It is important to note that such a vision must not be confined to experts only in the developing world. In many cases, particularly in the South, failure to maintain observational capabilities (e.g. sustained decline and near complete loss in operational stream gauging networks in Africa over the last 2 decades) means that these new technologies will effectively be the only practical source of quantitative information for monitoring and action. Arming the developing world with these information resources will require stakeholder-appropriate telecommunications, training, and decision support. The training programs of UNESCO IHE-Delft are, in this light, particularly critical. The technology is there; attaining the vision will require political will and financial investments.

4 A GLOBAL CRISIS? The global climate change community has benefited greatly from the clear and unambiguous accumulation of CO2 (witness the now famous Mauna Loa curve) into a well-mixed global atmosphere, a theory of the greenhouse effect (from Arrhenius) dating back more than 100 years, a comprehensive catalogue of coherent paleo and historical time series records for temperature, and forecasts of truly planetary-scale threats long into the future. As a consequence we see today a highly mobilized policy community and public alike. The complexities of the many local water challenges, which have been perceived as local, means that we have no Mauna Loa equivalent in the water domain. However, by using some of the indicator approaches discussed above, we can begin to move out of a local perspective and draw inferences on the possible global-scale features of the water situation. Using such an approach, we can divide the Earth into a driest half and a wettest half (estimated by the average annual sustainable water resource, i.e. runoff and river 75

discharge). We can then take a spatially distributed accounting of human population and conjoin these two data sets. It is noteworthy that this GIS-based experiment shows that most of the world’s people, 84%, live in the driest half of the Earth where we already see numerous manifestations of water competition and water stress, and which is sure to continue well into the future. While this may not have the inherent power of the Mauna Loa curve, it does point to first, our growing capacity to more accurately tabulate such statistics, and second, the inherent global nature of the issue (Vörösmarty 2002). Work under the Global Water System Project is attempting to define the global implications of such pressures (FC/GWSP 2004). Nilsson and colleagues carried out an assessment of the impact of water diversion and water engineering on the world’s drainage basins (Nilsson et al. 2005), finding that in fact there is a measurable, pandemic effect. More than 80% of continental runoff is modified to some degree by humans and 30% of that runoff is highly impacted. Thus, substantial control of the hydrologic cycle is no longer a local phenomenon; it has now passed into the global arena. We also can begin to map whether pollution has moved into the same domain, for example showing the contrast between pre-industrial and contemporary states with respect to nitrogen loads on the continental land mass, a phenomenon which is emblematic of water pollution more generally. In fact, inland water pollution is today pandemic and a clear manifestation of human interactions with water—often characterized by mismanagement. Today nitrogen loading onto the continental land mass exceeds the level to which nature imports nitrogen through the process of fixation, predominantly driven by the need to feed large populations through the application of industrial fertilizers. Landscapes and crops (later eaten and excreted by livestock and humans) are inefficient at retaining this nitrogen. Excess constituent thus is delivered into inland water systems (groundwaters, wetlands, rivers, lakes) creating many problems with pollution, including impacts on human health for those users of water downstream of these pollution source areas. The community is now beginning to take steps to better understand where the hot spots for inland water pollution reside and hence where reductions of water supply are likely to be taking place. In qualitative terms we are now able to begin mapping pollution stress on water resources for specific regions. Models and remote sensing surveillance systems are progressing rapidly—capabilities are down to the scale of single meters—work, however, is urgently needed in conjunction with space agencies to design optimal surveillance systems (Green et al. 2004).

5 INTO THE FUTURE We can already imagine key features of the future global water system—many of which are already in place—but amplified as the population grows, economically develops, and expects a higher standard of living, which historically has meant using greater quantities of water. In that driest half of the world, we can forecast increasing pressure on scarce water resources for a long period into the century. 76

These pressures are likely to emerge even without the compounding effects of climate change. One of the greatest concerns surrounding future climate is the potential increase in the variability of weather, both flooding and drought, whose impacts would reverberate rapidly throughout the food and water security sectors. For strategic, humanitarian, and economic security concerns it is critical to sustain and develop systems that can map water related vulnerabilities in near real time, and to track long-term trends. Today near-real time and operational satellite systems, combined with geographically-referenced social science and infrastructure data sets, can be used as early warning or immediately after-the-fact systems for assessing the danger of potentially damaging natural disasters. For example, excessive daily rainfall measured by the international orbiting Tropical Rainfall Monitoring Mission (TRMM) satellite can be used to quantify exposure of rural populations and associated croplands to potentially damaging events. Such technologies can deliver a critical, and perhaps the only practical, eye on the world—a virtually instant surveillance of pressing human development questions. The positive benefits of such technologies should be clear; yet they have not always produced the degree of political commitment necessary to sustain them (National Research Council 2007). Commitments are no less important, and arguably are more important, going into the future. Although water in international basins has been shown to be a vehicle for international collaboration and cooperation (UN et al. 2002), this is not necessarily the case when civil conflicts and wars are considered. Recent work (Levy et al. 2005) employing a geospatial approach to both biogeophysical and social science information is attempting to establish the causal links between internal conflict and rainfall and hydrologic variability, the latter serving as potential tipping points when additional environmental and social factors are considered. Preliminary analysis indicates that high conflict intensity is conditioned upon the presence of low mean streamflow and its characteristically high variability. These provisional results are suggestive of patterns in which poverty and deprivation set the stage, but water tips the balance, for example in the form of a drought. An increasingly variable future climate, if coupled to small changes in material well-being, is likely to be a harbinger of amplified social stresses channeled through the water cycle. Civil conflict is but one extreme endpoint of response to water system variability. Another of the ways humans will continue—as they have for thousands of years—to counteract chronic water scarcity and ill-timed availability over seasons or longer, is by constructing water infrastructure, among the most massive of all human engineering works. Notwithstanding opportunities for efficiency enhancements through public and private sector investments in research, development, and innovation, we are likely to see increased pressure to develop the hard path by expanding water engineering schemes like dams and reservoirs, interbasin transfers, irrigation works, and groundwater pumping. And in turn, it is not difficult to see on the horizon many potential conflicts, cast as upstream-downstream stresses in single drainage basins (e.g. upstream irrigators diverting water used by downstream irrigators), between different sectors, and between humans and nature. In this context, it is important to understand that natural ecosystems require water to maintain their inherent structure and function. Quantifying the benefits to human 77

well-being of such systems has remained difficult but is progressing (Finlayson & Cruz 2005, Vörösmarty et al. 2005, U.S. Supreme Court 2006). From an ethical, political, and indeed economically practical point of view, the 21st century may be a time when nature is viewed as having its own legitimate needs for water in terms of both adequate quantity and quality. Before this can be achieved we may see a time when advocates for human development and those for nature will increasingly be at odds. Historically we have seen huge strides in the engineering-based provision of water services, but these benefits may have enormous costs on biodiversity (Vörösmarty et al. 2004, Nilsson et al. 2005). Biodiversity is influenced strongly, and often negatively, in watersheds with water engineering such as dams and reservoirs, interbasin transfers, and major irrigation works. Much of the world’s continental runoff is strongly affected; the global impact on free-flowing rivers is that more than 80% are runoff impacted and more than 30% highly so (Nilsson et al. 2005). The degree to which we are willing to accept this loss remains an unknown, but it will ultimately be decided in the public policy arena. In reality tradeoffs will need to be made to protect both constituencies (nature and human), but tradeoffs are already being made, with or without the interest of humans and nature in mind. Single-objective decisions can fail to ensure most benefit even to the intended target, and often produce disastrous impacts on the nontarget system (Vörösmarty et al. 2005) (Fig. 1). A coordinated strategy, through approaches such as Integrated Water Resources Management, may provide the best

Current Trends Coastal Ecosystems

Inland Water Ecosystems

Poverty Reduction

Kyoto Protocols:Carbon Mitigation

Carbon Mitigation

Hunger Reduction Improved Water and Sanitation

MDG: Improved Water Services Coastal Ecosystems

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Poverty Reduction

Carbon Mitigation

Hunger Reduction Improved Water and Sanitation

Coastal Ecosystems

Carbon Mitigation

Inland Water Ecosystems

Hunger Reduction Improved Water and Sanitation

Poverty Reduction

MDG: Poverty Alleviation Coastal Ecosystems

Carbon Mitigation

Inland Water Ecosystems

Hunger Reduction Improved Water and Sanitation

Poverty Reduction

MDG: Hunger Reduction Coastal Ecosystems

Inland Water Ecosystems

Poverty Reduction

Carbon Mitigation

Hunger Reduction Improved Water and Sanitation

CBD Ramsar: Pragmatic Ecosystem Maintenance Coastal Ecosystems

Inland Water Ecosystems

Poverty Reduction

Carbon Mitigation

Hunger Reduction Improved Water and Sanitation

Figure 1. Tradeoffs are an inherent element of successful water management. Optimizing single objectives, such as any one of the Millennium Development Goals, may yield unintended and negative impacts on those not targeted. A strategy to protect natural ecosystem services, while potentially limiting full attainment of any one goal, may have long-term, beneficiary effects on several sectors simultaneously. See Vörösmarty et al. (2005) for a complete explanation.

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solution. Although such an approach has had some success (e.g. under the EU Water Framework Directive) it has yet to be adopted and implemented universally, particularly in the developing world.

6

CONCLUSION

We will soon be moving past the debate on whether or not humans interact with the continental water cycle. They do. It is now a matter of discerning to what degree they manage or mismanage this strategic resource, how decisions play out in the broader environmental, social and economic domains, and what legacy effects they might have in the future. These questions will require a productive interplay between biogeophysical and social science perspectives. Fortunately, these two communities are beginning to engage successfully on these issues. Rapid progress in the science and technology realm offers an unprecedented view of the contemporary state of the hydrosphere and is, for many parts of the world, the only effective source of quantitative information upon which to base assessment and action. This reality needs to be conveyed strongly to policy-makers. In this context, the science community, uncomfortable with advocacy, must do just that in arguing strenuously for sufficient financial commitments to support not only the mundane, routine monitoring of water supply, use, and quality, but also investments in state-of-the-art technologies for monitoring critical components of the global water system, generating operational and near-real time views of the evolution of this key strategic resource. If indeed water is the oil of the 21st century, its observation and study deserve no less.

REFERENCES Alsdorf, D., Fu, L.-L., Mognard, N., Cazenave, A., Rodriguez, E., Chelton, D. & Lettenmaier, D. 2007. Measuring global oceans and terrestrial freshwater from space. Eos Transactions 88(24): 253, doi:10.1029/2007EO240002. Bjerklie, D.M., Dingman, S.L., Vörösmarty, C.J., Bolster, C.H. & Congalton, R.G. 2003. Evaluating the potential for measuring river discharge from space. Journal of Hydrology 278: 17–38. Center for International Earth Science Information Network (CIESIN), Columbia University, International Food Policy Research Institute (IPFRI), the World Bank, and Centro Internacional de Agricultura Tropical (CIAT) 2004c. Global Rural-Urban Mapping Project (GRUMP), Gridded Population of the World, version 3, with Urban Reallocation (GPWUR). Palisades, NY: CIESIN, Columbia University. Available at http://beta.sedac.ciesin. columbia.edu/gpw. Dilley, M., Chen, R.S., Deichmann, U., Lerner-Lam, A.L., Arnolds, M., Agwe, J., Buys, P., Kjekstad, O., Lyon, B. & Yetman, G. 2005. Natural disaster hotspots, A global risk analysis. Synthesis Report. The World Bank and Columbia University. Finlayson, C.M. & Cruz, R.D. (Coordinating Lead Authors) 2005. Chapter 20, Inland water systems. In Millennium Ecosystem Assessment, Volume 1, Conditions and Trends: 551–583. Washington DC: Island Press.

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Framing Committee of the GWSP (FC/GWSP) 2004. The Global Water System Project, Science Framework and Implementation Activities. Earth System Science Partnership Project. Co-authored by J. Alcamo, H. Grassl, H. Hoff, P. Kabat, F. Lansigan, R. Lawford, D. Lettenmaier, C. Leveque, M. Meybeck, R. Naiman, C. Pahl-Wostl & C.J. Vörösmarty. Bonn: Global Water System Project Office. GEMS-Water 2007. Water Quality Outlook. United Nations Environment Programme Global Environment Monitoring System. Ontario, Canada. Green, P., Vörösmarty, C.J., Meybeck, M., Galloway, J. & Peterson, B.J. 2004. Pre-industrial and contemporary fluxes of nitrogen through rivers, A global assessment based on typology. Biogeochemistry 68: 71–105. IPCC 2007. Climate Change 2007, The Physical Science Basis, Contribution of Working Group 1. In S. Solomon, D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Avery, M. Tignor & H.L. Miller (eds), Fourth Assessment Report of the Intergovernmental Panel on Climate Change. Cambridge, UK & New York: Cambridge University Press. Levy, M.A., Thorkelson, C.C., Vörösmarty, C.J., Douglas, E. & Humphreys, M. 2005. Freshwater availability anomalies and outbreak of internal war, Results from a global spatial time series analysis. Human Security and Climate Change Workshop, Oslo, 21–23 June 2005. Meybeck, M. 2003. Global analysis of river systems, From Earth system controls to anthropocene syndromes. Phil. Trans. R. Soc. Lond. DOI 10.1098/rstb: 1379. National Research Council 2007. Earth Science and Applications from Space, National imperatives for the next decade and beyond. Washington, DC: The National Academies Press. Nilsson, C., Reidy, C.A., Dynesius, M. & Revenga, C. 2005. Fragmentation and flow regulation of the world’s large river systems. Science 308: 405–408. UN Environment Programme & Oregon State University 2002. Atlas of International Freshwater Agreements. Nairobi: UNEP Press. U.S. Supreme Court 2006. On writs of certiorari to the United States Court of Appeals for the Sixth Circuit (J.M. Diamond, P.R. Ehrlich, H.A. Mooney, G.H. Orians, S.L. Pimm, S. Postel, P.H. Raven, J.W. Terborgh, D.S. Wilcove & E.O. Wilson (amici curiae in support of respondents). Nos. 04-1034 and 04-1384, January 12, 2006. Vörösmarty, C.J., Green, P., Salisbury, J. & Lammers, R. 2000. Global water resources, Vulnerability from climate change and population growth. Science 289: 284–288. Vörösmarty, C.J. 2002. Global change, the water cycle, and our search for Mauna Loa. Hydrological Processes 16: 1335–1339. Vörösmarty, C.J., Lettenmaier, D., Leveque, C., Meybeck, M., Pahl-Wostl, C., Alcamo, J., Cosgrove, W., Grassl, H., Hoff, H., Kabat, P., Lansigan, F., Lawford, R. & Naiman, R. 2004. Humans transforming the global water system. Eos AGU Transactions 85: 509, 513–514. Vörösmarty, C.J. & Meybeck, M. 2004. Responses of continental aquatic systems at the global scale: New paradigms, new methods. In P. Kabat, M. Claussen, P.A. Dirmeyer, J.H.C. Gash, L. Bravo de Guenni, M. Meybeck, R.A. Pielke Sr., C.J. Vörösmarty, R.W.A. Hutjes & S. Lutkemeier (eds), Vegetation, Water, Humans and the Climate: 375–413. Heidelberg: Springer. Vörösmarty, C.J., Leveque, C. & Revenga, C. (Convening Lead Authors) 2005. Chapter 7, Fresh Water. In Millennium Ecosystem Assessment, Volume 1, Conditions and Trends Working Group Report, with R. Boss, C. Caudill, J. Chilton, E.M. Douglas, M. Meybeck, D. Prager, P. Balvanera, S. Barker, M. Maas, C. Nilsson, T. Oki & C.A. Reidy: 165–207. Washington DC: Island Press. WHO/UNICEF 2004. Joint Monitoring Programme for Water Supply and Sanitation, Meeting the MDG drinking water and sanitation target, a mid-term assessment of progress. Geneva: WHO.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Challenges for urban water supply and sanitation in developing countries K. Khatri & K. Vairavamoorthy Department of Urban Water Supply and Sanitation, UNESCO-IHE Institute for Water Education, Delft, The Netherlands

M. Porto Department of Hydraulics and Sanitary Engineering, Escola Politécnica, University of São Paulo, Brazil

ABSTRACT: Available world water sources are shrinking, aggravated by population growth rates especially in developing countries, focusing the urgent need for effective water resources management for sustainable development. With increasing global change pressures (urbanisation, climate change, etc.), coupled with existing un-sustainability factors and risks inherent to conventional urban water management, cities of the future in developing countries will experience difficulties in efficiently managing scarcer and less reliable water resources. To meet these challenges a paradigm shift in urban water systems management is needed, based on key concepts including: interventions over the entire urban water cycle; reconsideration of the way water is used (and reused); greater application of natural systems for water and wastewater treatment; increased stakeholder involvement; and institutional development and capacity building. This will substantially contribute to reduction in the vulnerability of cities and an increase in their capacity and preparedness to cope with global changes.

1 INTRODUCTION Since 2007, at least half of the world’s population is living in cities (UNFPA 2007). The available water sources throughout the world are becoming depleted and this problem is aggravated by the rate at which populations are increasing, especially in developing countries. Currently, some 30 countries are considered to be water stressed, of which 20 are absolutely water scarce. It is predicted that by 2020, the number of water scarce countries will likely approach 35 (Rosegrant et al. 2002). It has been estimated that one-third of the population of the developing world will face severe water shortages by 2025 (Seckler et al. 1998). On the other hand, the total non-irrigation water consumption (domestic, industrial, and livestock) for the different regions of the developing world is increasing drastically (Fig. 1) (Rosegrant et al. 2002). This indicates that the problem of water scarcity will be felt more severely in the developing countries. This paper presents 81

Figure 1. Total non-irrigation water consumption by region (Rosegrant et al. 2002).

the major challenges for urban water supply and sanitation in developing countries, particularly in relation to future global change pressures. It then argues for the need for a paradigm shift in urban water management.

2 EXISTING CONDITIONS 2.1

Water supply

The problem of water scarcity in urban areas of developing countries is a major concern. It is estimated that by 2050, half of India’s population will be living in urban areas and will face acute water problems (Singh 2000). It was reported in 2002 that about 1.1 billion people were still using water from unimproved sources, and two thirds of these people live in Asia. The number of people without improved water sources in China alone is equal to the number of un-served in all of Africa (UNICEF & WHO 2004). The quality of water that people receive is also questionable. In India, eighty-five per cent of the urban population has access to drinking water but only 20 per cent of the available drinking water meets the health and quality standards set by the World Health Organisation (WHO) (Singh 2000). The daily water supply rate in developing countries is very low compared to the industrial world. In India it ranges from 16 to 300 litres per day, depending on the locality and the economic strata (Singh 2000), whereas this figure ranges from 100 to 600 litres per day in developed countries. Populations that are not served by piped water supply receive even smaller amounts (Figs. 2 & 3). In East Africa the daily supply rate of un-piped water was nearly one-third less than for piped users of lowincome communities (Thompson et al. 2001). 82

Figure 2.

Mean daily per capita water use in East Africa (Thompson et al. 2001).

Figure 3. 2001).

Mean daily per capita water use by type of use in East Africa (Thompson et al.

The prevailing water stress in many developing countries is due not only to source limitation but also to other factors, such as poor distribution efficiency through city networks, and inequalities in service provision between the rich and the poor (UN-HABITAT 1999). Many studies reveal that water losses in cities of developing countries are at the levels of between 40–60% of water supplied (Arlosoroff 1999). For example, the mean unaccounted for water (UFW) in the 83

developing world (Fig. 4) and 8 major Asian cities (Fig. 5) clearly show the higher rate of water losses (ADB 1997; WHO 2000). The unaccounted for water reported in these figures is due to water losses (as it excludes unbilled and unauthorised consumption). In many cases the water loss indicators shown in these figures reflect the inefficiency of the management of the water supply system. Any reduction in water losses requires coherent action to address not only technical and operational issues but also institutional, planning, financial and administrative issues (WHO 2000). The design of water distribution systems, in general, has been based on the assumption of continuous supply. However, in most of the developing countries, the water supply system is not continuous but intermittent. The Asian Development Bank has reported that, in 2001, 10 of the 18 cities studied were supplying water for less than 24 hours a day (ADB 2004). The percentage of population with a 24-hour supply for 8 major Asian cities (Fig. 6) shows the condition of water supply. The situation is similar in other regions of the world, for example in Latin America 10 major cities receive rationed supplies (Choe & Varley 1997). In 1995 only

Figure 4.

Mean unaccounted for water in large cities (WHO 2000).

Figure 5.

Mean unaccounted for water in selected Asian cities (ADB 1997).

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11 percent of the consumers with a piped supply in Nigeria received water once in two days. Furthermore, Hardoy et al. (2001) reported that in Mombasa the average duration of the service was 2.9 hours a day. Intermittent supply leads to many problems including severe supply pressure losses and great inequities in the distribution of water (Vairavamoorthy et al. 2007). Another serious problem arising from intermittent supplies, which is generally ignored, is the associated high levels of contamination. This occurs in networks where there are prolonged periods of interruption of supply due to negligible or zero pressures in the system (Vairavamoorthy & Mansoor 2006). It is estimated that 25% of the population living in cities in developing countries buy water from vendors, typically spending 10 to 20% of their household incomes (WHO 2001). Populations living in areas without access to public water supplies, or with intermittent supply, will usually depend on extremely expensive water from vendors (See Table 1). In Northeast Brazil during the dry season water vendors charge US$25/m3. If these populations were supplied with safe drinking water from a reliable water service, they would typically be paying around US$ 0.60/m3. Lacking any type of control, the price of water from vendors is usually 10 to 20 times higher than that paid by high-income consumers connected to the network. In Bamako, the capital of Mali, poor people can pay as much as 45 times more per unit of water than those connected to the water pipes.

Figure 6.

Percentage of population with 24-hour supply (ADB 2004).

Table 1. Price of water from municipal water suppliers and from water vendors (Kalvan 2001). City

From municipal water (US$/m3)

Supplies from water vendors (US$/m3)

Nairobi, Kenya Port au Prince, Haiti Jakarta, Indonesia Lima, Peru

0,30 1.00 0.09–0.50 0.15

1.50–2.00 5.50–16.50 1.50–2.50 3.00

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Needless to say, the people depending on water vendors will probably consume less water than the minimum daily requirements for good health. This, in conjunction with the unreliable quality of the water that is sold, poses a severe threat, and populations become critically affected by water-related diseases.

2.2

Sanitation

The sanitation sector is often worse than water supply. Some 2.6 billion people, half of the developing world, live without improved sanitation. Sanitation coverage in developing countries (49 per cent) is only half that of the developed world (98 per cent). In sub-Saharan Africa the coverage is a mere 36 per cent, and over half of those are without improved sanitation. Similarly, nearly 1.5 billion people live in China and India without access to improved sanitation services (WHO & UNESCO 2006). The number of deaths attributable to poor sanitation and hygiene alone may be as high as 1.6 million a year. Statistics on wastewater treatment revealed that almost 85% of global wastewater is discharged without treatment, leading to serious impacts on public health and the receiving water environment. In developing countries, rapid population growth and urbanisation are creating added demands for housing and infrastructure services, including sanitation services. Providing sanitation services especially for the poor, who are living outside designated residential areas in illegal settlements or slums, is a challenge. The World Bank estimates that almost 26% of the global urban population, over 400 million people, lack access to the simplest latrines (World Bank 2000). At the same time, the drainage and solid waste collection services are not adequate in most of the developing countries. The systems are either poorly planned and designed, or operated without adequate maintenance, resulting in poor quality services. Most of the city wastes are dumped and discharged directly into the open environment. As a result, untreated urban wastes pollute surface as well as ground water sources. The situation is even worse in areas of low-income settlements. Septic tanks and feeder networks regularly discharge effluent into street gutters, open streams or drainage canals. This creates unpleasant living conditions, public health risks and environmental damage (GHK 2002). The numbers of urban dwellers are increasing and urban areas are becoming overcrowded. Efforts to improve basic sanitation have tended to focus on ambitious master plans, which require large investments in trunk sewerage, storm water drainage systems and equipment for solid waste collection and disposal. These plans either fail to be implemented due to financial and institutional constraints, or provide an inequitable service once implemented. Consequently, efforts to solve basic sanitation problems have not kept pace with the growing population in the developing world.

3 FUTURE CHALLENGES Cities all over the world are facing a range of dynamic global and regional pressures (Fig. 7) (Kelay et al. 2006; Segrave 2007; Zuleeg 2006). They are facing difficulty in 86

Figure 7.

Global change drivers in the city of the future.

efficiently and transparently managing ever scarcer water resources, delivering water supply and sanitation services. There are equal challenges regarding disposing of wastewater and minimizing negative impacts on the environment. In order to develop more effective solutions these global and regional pressures must be recognised and used to drive the design and management processes of urban water systems. Of the pressures presented in Figure 7, the three main ones are: • Climate Change: Climate change is predicted to cause significant changes in precipitation and temperature patterns, affecting water quality, water availability and flooding; • Population growth and urbanisation: Population growth and urbanisation are enforcing rapid changes leading to a dramatic increase in high-quality water consumption. Frequently, this demand for water cannot be satisfied by the locally available water resources, while the discharge of insufficiently treated wastewater increases costs for downstream users and has detrimental effects on the aquatic systems; • Aging and deterioration of existing infrastructure systems: It is a technological and financial challenge to maintain and upgrade these in such a way that quality water can continue to be delivered to all sectors and wastewater can be adequately collected and treated.

3.1

Climate change

There is little dispute that the earth system is undergoing very rapid changes as a result of increased human activities, and it is generally accepted that we have begun to witness changes in the natural cycles at the global scale. Clearly these changes will severely impact the urban water cycle and how we manage it. Components of the 87

urban water cycle, like water supply, wastewater treatment, and urban drainage, are generally planned for life-spans of several decades. Hence, there is a need for us to pay attention to these changes in the context of how these systems will be designed and operated in the ‘city of the future’. Although the regional distribution is uncertain, precipitation is expected to increase in higher latitudes, particularly in winter. This conclusion extends to the mid-latitudes in most of the General Circulation Model (GCM) results. Potential evapotranspiration (ET) rises with air temperature; consequently, even with increased precipitation, higher ET rates in these areas may lead to reduced runoff, implying a possible reduction in renewable water supplies. More annual runoff caused by increased precipitation is likely in the high latitudes. In contrast, some lower latitude basins may experience large reductions in runoff and increased water shortages as a result of a combination of increased evaporation and decreased precipitation. The frequency and severity of droughts could also increase in some areas as a result of a decrease in total rainfall, more frequent dry spells, and higher ET. Flood frequencies are likely to increase in many areas, although the amount of increase for any given climate scenario is uncertain and impacts will vary among basins. Water quality problems may increase where there is less flow to dilute contaminants introduced from natural and human sources. The increase in water temperature will alter the rate of operation of bio-geo-chemical processes (degrading and cleaning) and will lower the dissolved oxygen concentration of water. Similarly, increased occurrence of higher runoff will augment the load of pollutants and overflowing of sewers. Further, increased flooding frequency with overflow of treated or untreated wastewater sewer systems will cause serious harm to the biotic life cycle, and bring a higher possibility of out-breaks of water borne diseases (such as caused by cryptosporidium presence). Water quality in lakes may be even more sensitive due to a higher incidence of the eutrophication process (Hellmuth & Kabat 2002). The above impacts are in addition to increased risk of damage to storm water infrastructure and facilities (e.g. underground drains, levee banks, pump stations, etc.) due to higher peak flows. There are several other repercussions, which we can only conjecture for the moment, such as the increased risk of pipe failure, and collapses due to dry soil conditions. Climate change will affect different cities in different ways with some experiencing more frequent droughts and water shortages while others will have more intense storm events with subsequent flooding issues. Flexible solutions (that can accommodate changes) are hence required to reduce the vulnerability of cities to these changes.

3.2

Population growth and urbanisation

Population growth and urbanisation will be one of the world’s most important challenges in the next few decades. The United Nations Population Prospects Report (2006) illustrates the higher rate of population growth in urban areas in developing countries. Urban population in these countries will grow from 1.9 billion in 2000 to 3.9 billion in 2030, averaging 2.3% growth per year. In developed countries on 88

the other hand, urban population is expected to increase from 0.9 billion in 2000 to 1 billion in 2030, an overall growth rate of 1% (Brockerhoff 2000) (See Figs. 8 & 9). Moreover, both the numbers and sizes of cities, mostly in developing countries, are increasing due to the higher rate of urbanisation. In 1950 New York City and Tokyo were the only two cities with a population of over 10 million inhabitants. By 2015 it is expected that there will be 23 cities with a population over 10 million. Of these 23 cities, 19 will be in developing countries. In 2000 there were 22 cities with a population between 5 and 10 million, 402 cities with a population of 1 to 5 million, and 433 cities with 0.5 to 1 million. Daily almost 180,000 people are added to the urban population. It is estimated that there are almost a billion poor people in the world; of these over 750 million live in urban areas without adequate shelters and basic services (UN 2006). Population growth and rapid urbanisation will create a severe scarcity of water as well as have a tremendous impact on the natural environment. In order to meet future water demands, cities will need to tap their water supply either from deep underground sources, or surface sources situated a far distance from the urban area. Moreover, the rapid increase in built-up areas disturbs the local hydrological cycle and environment, by reducing natural infiltration opportunities and producing rapid peak storm water flows. Cities in developing countries are already faced with enormous backlogs in shelter, infrastructure and services, and confronted with insufficient water supply,

Figure 8. Average annual rate of population change, by major area, estimates and medium variant, 1950–1955 to 2045–2050. Adapted from the United Nations World Population Prospects from 2005.

89

Figure 9. Percent of population living in urban areas in major world regions, 1950, 1975, 2000, and 2025. Adapted from the United Nations World Urbanisation Prospects: The 1999 Revision from 2000.

deteriorating sanitation, and environmental pollution. The larger populations demand larger proportions of water, while simultaneously decreasing the ability of ecosystems to provide more regular and cleaner supplies. Sustaining healthy environments in the urbanised world of the 21st century represents a major challenge for human settlements, development and management. Again, flexible and innovative solutions are needed to cope with sudden and substantial changes in water demand for people, and for their associated economic activities.

3.3

Deterioration of infrastructure systems

In order for the urban water cycle to function effectively, it needs to be supported by appropriate infrastructure in good working condition. Protecting the infrastructure that treats and transports water (including sources, treatment plants, and distribution systems) is an important step in ensuring the safety of drinking water. However, in most cities worldwide, there have been years of neglected maintenance of water storage, treatment, and distribution systems. Poorly maintained water supply systems can generally be traced to insufficient financial resources and poor management. This deterioration in the water infrastructure threatens the quality and reliability of all water services. In particular there has been little or no management and maintenance of the underground infrastructure. A large proportion of this infrastructure is over 100 years old, placing it at increased risk for leaks, blockages and malfunctions due to deterioration. For example, water mains break in hundreds of thousands of locations each year in the United States, leaving water customers without a supply, or with a supply that is unsafe for consumption without special treatment (e.g., boiling or chlorination). 90

Escalating deterioration of water and sewer systems threatens our ability to provide safe drinking water and essential sanitation services for current and future generations. As the pipes crumble and leak, many cities are faced with expensive water and sewer problems. The longer these go unresolved the more serious the consequences become: placing vital public assets at risk of further degradation; posing unacceptable risks to human health and the environment; damaging public and private property; and impacting state and local economies. The cost for the rehabilitation of water infrastructure systems is increasing substantially due to their deterioration across the world. European cities are spending in the order of 5 billion euros per year for wastewater network rehabilitation. The UK has over 700,000 km of mains and sewer pipes, and performs over 35,000 maintenance jobs per month on these pipes; a 5% reduction in costs would save over £20 million for the UK (Vahala 2004). Similarly, many of the infrastructure systems in Canada and the United States, worth trillions of dollars, are failing prematurely and are in need of costly repairs. The estimated capital needed for the rehabilitation of the main urban water and sewer pipes, which are older than 50 years in the 50 largest cities of the USA, is more than $700 billion (Yan & Vairavamoorthy 2003). This will increase significantly over the coming decades due to the combined effect of further infrastructure ageing, urbanisation and climate change. These deterioration processes are even more severe for developing countries due to a variety of reasons: ageing of the systems, poor construction practices, little or no maintenance and rehabilitation activities due to limited financial resources, operation at higher capacities than design, etc. In addition, there is insufficient knowledge about specific classes of assets deterioration and the technical service life, and an inadequate database for determining the extent and/or value of the infrastructure assets. Further, there are not enough efficient decision support tools available to infrastructure managers and decision-makers (Misiunas 2005). Infrastructure deterioration impacts public health, the environment and institutions. A higher rate of water leakage means higher water losses and higher chances of infiltration and ex-filtration of water. This creates a higher probability of drinking water contamination and outbreak of water-borne diseases. Frequent break-downs of services, with therefore reduced water service quality and standards, also affect the willingness of consumers to pay. The resulting huge financial burden on municipal governments greatly increases the challenge to maintain and expand the infrastructure systems, to reach un-served populations and to meet the Millenium Development Goals.

4 NEW APPROACHES TO URBAN WATER MANAGEMENT With increasing global change pressures coupled with existing un-sustainability factors and risks inherent to conventional urban water management, cities of the future will experience difficulties in efficiently managing scarcer and less reliable water resources. The current model for ‘western’ urban water management schemes and corresponding infrastructure originates from the 19th century and was mainly driven by the aim to improve water services and public health. Sustainability criteria were 91

not of relevance at that time, and the robustness of urban water management (UWM) systems in terms of global change pressures such as climate change, urbanisation, industrial growth, and population growth were not considered. The conventional system has serious inefficiencies, such as high quality drinking water being used for all domestic purposes, and therefore the loss of useful chemicals as well as large quantities of drinking water utilised for transporting human excreta. There are also compelling environmental considerations which plead for a redesign of the cycle. The ever increasing costs for drinking water treatment and ‘end-of-pipe’ wastewater management, and the limitations of existing high-technology wastewater treatment systems, result in receiving environments often no longer being able to ‘naturally’ compensate for the huge abstractions and pollution loads, leading at times to severe ecological damage (SWITCH 2006). In order to meet future challenges, there must be a shift in the way we manage urban water systems. This paradigm shift needs to be based on several key concepts of urban water management: water is a cycle and hence we must consider interventions over the entire urban water cycle; we must reconsider the way water is used (and reused); and we must promote greater application of natural systems for water and wastewater treatment.

4.1

Interventions over the entire urban water cycle

An important aspect of urban water systems is the interactions that take place between different components of the system (e.g. foul water from leaky sewers entering into a drinking water distribution network). It is widely recognised that it is important to consider these interactions in order to maintain an effective, efficient and safe service of water and sanitation. Hence an integrated approach to urban water management (IUWM) is necessary. An IUWM approach involves managing freshwater, wastewater, and storm water as links within the resource management structure, using an urban area as the unit of management. The approach encompasses various aspects of water management, including environmental, economic, technical, political, as well as social impacts and implications. Urban areas are appropriate as units of management, as specific problems and needs faced by cities may transcend the physical and scientific boundaries embodied by more traditional units of management of catchments and watersheds. Hence, this unit of management offers a relevant framework for decision-making and concrete action. In this new approach, integration must encompass indistinctly the cross-sectoral forces (combining different water uses) and the territorial forces. Besides multiple water uses and functions (industrial, public water supply, sewerage, storm drainage) there is also the need to interact with sectors that directly impact the urban structure, such as municipal management, housing and urban transport. Applying an IUWM approach increases the expectation of satisfying the water related needs of a community at the lowest cost to society, while minimising environmental and social impacts.

4.2

Reconsider water use

It is a profound challenge to service more people with the same quantity of natural water while maintaining a control over the adverse environmental impacts. Hence, 92

it is important to look critically into water use practices and to develop strategies that maximise the benefits of water services while minimizing the usage as far as practically possible. In water stressed areas, balancing the demands for water among the various sectors will need to be accompanied by the use of new and alternative resources, by increased recycling of wastewater that will ensure better access to safe water, and by reducing vulnerability to extremes and increasing adaptive capacity. This will make a significant contribution towards achieving the Millennium Development Goals (MDGs). Demand management and water reuse opportunities are real and increasing. A combination of end-use efficiency, system efficiency, storage innovations (using different managed aquifer recharge options), and reuse strategies would reduce water demand. Water can be used multiple times by cascading it from higher to lowerquality needs (e.g. using household grey water for irrigation), and by reclamation treatment for return to the supply side of the infrastructure. In most of the developing countries, effective water demand management and reuse of the supplied water may be sustainable ways to reduce water stress. Technological breakthroughs will have the potential greatest impacts, mainly through the development of membranes, compact wastewater treatment technology and low-consumption devices.

4.3

Application of natural systems

Besides pipes and treatment plants (gray infrastructure), the use of green infrastructure should be applied to absorb and treat water. Green infrastructure refers to techniques and systems that use the natural capacities of soil and vegetation to absorb and retain water, and to take-up, transform, or otherwise treat pollutants in water. Natural systems are found to be more cost-effective and require low construction, labour and maintenance costs. They are much more convenient than conventional (biological) wastewater plants during the operational phase, because they require less energy than conventional systems. Limited mechanical devices are used in these systems thus reducing maintenance costs. In addition, it has been found that natural systems are generally efficient for the removal of most pollutants. Most importantly these systems are found to be very reliable even in extreme operating conditions; they can better absorb a variety of both hydraulic and contaminant shocks, hence making them more robust and resilient systems. It should be noted that natural systems are not only more robust but are also capable of removing multiple contaminants in a single system. Such engineered natural systems include constructed wetlands, soil aquifer treatment (for polishing wastewater for reuse) and bank filtration systems (river or lake) for treating drinking water.

5 INSTITUTIONS, STAKEHOLDERS AND CAPACITY BUILDING Historically the performance of urban water systems in developing countries remains below expectations, and this has been due not only to inappropriate technology. It should be recognised that urban water management poses extraordinarily complex 93

problems that cannot be solved by individual stakeholders. The failing of systems, particularly in developing countries, has been partly the result of a top-down approach with limited involvement of stakeholders. Finding consensus on what the problems are and how to solve them remains a big challenge. Another reason for failure has been the lack of understanding of the institutional landscape in which the urban water system must be managed and operated. It is difficult to find a proper and feasible governance model, since solutions are frequently very site-specific and they must be customised to take into account the correct regional, cultural and socio-economic aspects. Often the methods and techniques developed have not been appropriate for the local circumstances. The lessons learnt from these experiences have emphasised the need to recognise institutional landscapes and provide appropriate institutional development and capacity building programmes. Community organisation and people empowerment seem to be key elements in the process of implementing better water projects and management. A World Bank study (Narayan 1995) based on 121 rural water supply projects showed that public participation was the most significant factor in achieving successful implementation of the projects. The projects were funded by several different agencies and were located in Asia, Africa and Latin America. Another advantage is that the communities learn to deal with trade-offs in the decision-making process; it becomes clear that an overall optimum decision does not exist, and the best possible solution is only achieved through negotiation and consensus. On the other hand, it must be recognised that this process strongly depends on reliable information systems, on enhancing capacity for technical knowledge, and on raising awareness to better perceive the fragility of water uses and their sustainability.

5.1

Learning alliances

Learning alliances is a relatively new concept that aims to link up stakeholders along the water chain to interact productively and create win-win solutions (SWITCH 2006). They typically consist of a series of structured platforms, at different institutional levels (national, river basin, city, community, etc.), designed to break down barriers to both horizontal and vertical information sharing, and thus to speed up the process of the identification, adaptation, and uptake of new innovations. These platforms bring together a wide range of partners with capabilities in implementation (including the public and private sectors, academia, and community based organisations). Clearly, the involvement of these multi-stakeholder alliances will substantially contribute to a reduction in the vulnerability of cities and an increase in their capacity and preparedness to cope with global changes. In addition, innovations developed through these alliances will lead to greater impact and more potential for taking innovations to scale through the development of locally appropriate innovations, of ownership of the concepts and process, and of capacity of learning alliance members. Nesting learning alliances at different levels will both shorten the time between developing new knowledge and scaling it up, and ensure that local solutions are nationally relevant and applicable. 94

5.2

Institutional development

Clearly, improved IUWM in cities will require engagement with a complex array of administrative, political, institutional, social, and economic challenges. There is a need, therefore, to stimulate changes in policy and practice in urban water management within institutions, and also at other levels of government and in civil society. An underlying hypothesis is that without institutional change it will not be possible to achieve a paradigm shift towards more integrated management. The new paradigm is likely to require: • • • • •

Changes in holistic environmental thinking, Changes in institutional structures and frameworks, Change in use of means and resources, Changes in managerial methodologies and approaches, Changes in approaches to financial planning and management to include explicit attention to pro-poor and gender-specific strategies.

Developing and managing institutional improvements is a difficult process. Edwards (1988) has developed a manual that provides practical and useful information about developing and managing institutional change projects in the water supply and sanitation sector. He points out that institutional development projects should “focus on the development of comprehensive organisational systems and the people within the systems which make them work. The overall purpose of these projects is to achieve institutional learning or sustainability”. More recently there has been interest in the development of the ‘Change Management Forum’ (CMF) in India (www. cmfindia.org). The mission of this forum is to: “Promote institutional and organisational development and support reform of the urban water and sanitation sector through capacity building, knowledge sharing and promotion of partnerships”. The CMF works through policy and decision-makers from municipalities, water utilities and Pubic Health Departments to develop a critical mass of change champions. Activities of the CMF include dissemination of information on best practices, knowledge resource products, introduction of performance indicators, and the development of a benchmarking database. Accountability is another major challenge in institutional development. It is very frequent in developing countries that utilities and institutions are not accountable for their inefficient performance; expansion plans and alternative methods for reducing costs and increasing sustainability of water related services are rarely demanded.

5.3

Capacity building

The other critical links in the chain of sustainable water management besides the institutions are the knowledge based skills and attitudes (the capacity) of individuals and organisations, which need to be strengthened. The capacities are the knowledge and experience incorporated in the organisation—in its structure and in its staff (Alaerts 1999). The capacities allow the organisation to adequately resolve problems, and 95

to respond to opportunities. Another component is incentives, which influence the decisions of the staff and management to take certain actions. If the incentives for the staff as individuals and as an organisation point in the wrong direction, the possession of other capacities is of little value. Capacities, thus, are an essential element of institutions and actually determine the institutions. This is obvious for organisations, as discussed above, but it also holds true for non-organisational institutions, such as legal and regulatory frameworks, or the framework to devolve decision-making power to local government levels, as well as the economic and other incentive systems (Alaerts 1999). Capacity building (for the water sector) draws from three distinct sets of disciplines: water management principles; business, behavioural and administration sciences; and pedagogic sciences. UNU-INWH (2007) defined four pillars necessary for capacity building, which identify the capacities required at the community, state and federal levels of responsibility. These are: • Educate and train: including community awareness building, adult training and formal education, so as to provide sufficient numbers of competent human resources to develop and apply enabling systems, • Measure and understand aquatic systems: through monitoring, applied research, technology development and forecasting, so that reliable data is used for analysis and decision-making, • Legislate, regulate and achieve compliance: through effective governmental, nongovernmental and private sector institutions and through efficient enforcement and community acceptance, and • Provide appropriate, affordable water infrastructure, services and products: through sustained investment and management by both private enterprises and public agencies. This framework can be used to identify gaps in existing capacities, which can then be organised into a coherent and integrated development plan for implementation. The capacities are in fact the tools that can be used to develop and apply the enabling systems which, when fully in place and functioning, result in supply and demand balance.

6 CONCLUSIONS There is an urgent need for planned action to manage water resources effectively. The problems in urban areas of developing countries are of particular concern, as there are still large sections living without safe water supply and basic sanitation services. It has been widely acknowledged that several urban water interventions in the past (particularly in developing countries) have failed, and this has been in part due to little or no attention being given to the institutional landscape within which these interventions are applied, and to the lack of stakeholder involvement in the development and implementation of these interventions. Two frequent culprits for these failures were lack of capacity in its multiple facets and top-to-bottom managerial approaches. 96

In the future adequate provision of urban water supply and sanitation is likely to become more difficult, due to several change pressures such as the spread of urbanisation, climate-change, and infrastructure deterioration. The challenge is to develop appropriate technical and institutional responses to these pressures, responses that radically change the way in which urban water systems are managed. Interventions must be considered over the entire urban water cycle, recognising interactions between the various components of the urban water system. There must also be a rethinking of the way water is used and reused, and greater employment of natural systems for treatment (that are likely to be more effective against emerging contaminants). The objective must be to develop urban water systems that are more robust and resilient against these uncertain future pressures. To achieve these appropriate scientific and technological innovations and solutions current research is focused on: water reuse, reduced water use, disinfection technologies, compact treatment systems, water-friendly land use development, etc. However, to ensure maximum positive impact of these innovations and solutions, they must be coupled with components of institutional development (through capacity building activities), and greater stakeholder involvement in order to improve the decision-making process. Increased accountability and transparency of water institutions will also lead to improved conflict management. Clearly, if these components are included in the solution process, then they can substantially contribute to the reduction in the vulnerability of cities and their capacity and preparedness to cope with global changes.

REFERENCES ADB 1997. Water Utilities Data Book—2nd Edition, Asian and Pacific Region. Manila: Asian Development Bank. ADB 2004. Second Water Utilities Data Book, Asian and Pacific Region. Manila: Asian Development Bank. Alaerts, G.J. 1999. Capacity Building as Knowledge Management: Purpose, definition and instruments. In G.J. Alaerts, F.J.A. Hartvelt & F.M. Patorni (eds), Water Sector Capacity Building: Concepts and Instruments; Proc. 2nd UNDP Symp. on Water Sector Capacity Building. Rotterdam/Brookfield: A.A. Balkema Publ. Arlosoroff, S. 1999. Water Demand Management. International Symposium on Efficient Water Use in Urban Areas. Kobe, Japan: IECT-WHO. Brockerhoff, M.P. 2000. An Urbanizing World. Population Bulletin, A Publication of Population Reference Bureau 55(3): 1–45. Choe, K., Varley, R., & Bilani, H. 1996. Coping with Intermittent Water Supply; Problems and Prospects, Environmental Health Project; Activity Report No. 26 USAID, USA. Dzikus, A. 2001. Managing Water for African Cities: An Introduction to Urban Water Demand; Proc. Regional Conference on the Reform of the Water Supply and Sanitation Sector in Africa—Enhancing Public-Private Partnership in the Context of the Africa Vision for Water (2025). Kampala, Uganda. Edwards, D. 1988. Managing Institutional Development Projects: Water and Sanitation Sector, WASH Technical Report, No.49, Water and Sanitation for Health Project, USA.

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Elimelech, M. 2006. The global challenge for adequate and safe water. Journal of Water Supply: Research and Technology—AQUA 55(1): 3–8. GHK, 2002. Effective Strategic Planning for Urban Sanitation Service, Fundamentals of good Practice: 23. Hardoy, J.E., Mitlin, D. & Satterhwaite, D. 2001. Environmental Problems in an Urbanizing World: Finding Solutions for Cities in Africa, Asia and Latin America. London: Earthscan. Hellmuth, M. & Kabat, P. 2002. Impacts. In: B. Appleton (ed.), Climate changes the water rules: How water managers can cope with today’s climate variability and tomorrow’s climate change. Dialogue on Water and Climate, Delft. Intergovernmental Panel on Climate Change (IPCC) 2007. Working Group II: Impacts, Adaptation and Vulnerability, Summary for Policymakers: The Fourth Assessment Report of the Intergovernmental Panel on Climate Change: 1–23. Available at Kalvan, R. 2002. “Basic services for the urban poor”. Available at: Kelay, T., Chenoweth, J. & Fife-Schwa, C. 2006. Trend Report on Consumer Trends, Crosscutting issues across Europe. TECHNEAU: 46. Misiunas, D. 2005. Failure Monitoring and Asset condition assessment in water supply systems. PhD Thesis, Lund University, Lund, Sweden. Narayan, D. 1995. The contribution of people’s participation: evidence from 121 rural water supply projects. Environmentally Sustainable Development Occasional Paper Series No. 1. Washington DC: The World Bank. Rosegrant, M.W., Cai, X., Cline, S.A. 2002. Averting an Impending Crisis, Global Water Outlook to 2025. Food Policy Report, International Water Management Institute (IWMI). Colombo, Sri Lanka. Seckler, D., Amarasinghe, U., Molden, D., Silva, R.D. & Barker, R. 1998. World Water Demand and Supply, 1990 to 2025: Scenarios and Issues (Research Report 19). Colombo, Sri Lanka: International Water Management Institute. Segrave, A.J. 2007. Report on trends in the Netherlands: TECHNEAU: 113. Singh, N. 2000. Tapping Traditional Systems of Resource Management. Habitat Debate, UNCHS 6 (3). SWITCH 2006. HOME—SWITCH Project. Available at Thompson, J., Porras, I.T., Tumwine, J.K., Mujwahuzi, M.R., Katui-Katua, M., Johnstone, N. & Wood, L. 2001. Drawers of Water II. London: International Institute for Environment and Development. UN 2003. Millennium Development Goals. New York: United Nations. Available at UNFPA 2007. Unleashing the potential of urban growth. New York: United Nations. Available at UN-HABITAT 1999. Managing Water for African cities—Developing a Strategy for Urban Water Demand Management, Background Paper No. 1, Expert Group Meeting. UNEP & UN-HABITAT. UNICEF & WHO 2004. Meeting the MDG drinking water and sanitation target—A mid term assessment of progress: 36. United Nations Children’s Fund and World Health Organisation. UN-INWEH 2007. The “Four” Pillars. United Nations University, International Networks on Water, Environment and Health (UN-INWEH) Available at

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Vahala, R. 2004. European Vision for Water Supply and Sanitation in 2030. Water Supply and Sanitation Technology Platform. Vairavamoorthy, K. & Mansoor, M.A.M. 2006. Demand management in developing countries. In D. Butler & F.A. Memon (eds) Water Demand Management: 180–214. London: IWA Publishing. Vairavamoorthy, K., Gorantiwar, S.D. & Mohan, S. 2007. Intermittent water supply under water scarcity situations. Water International 32(1): 121–132. WHO 2000. Global Water Supply and Sanitation Assessment Report, Geneva: World Health Organisation–United Nations Children Fund. WHO 2001. Water for Health: Taking Charge. Geneva: World Health Organisation. WHO & UNICEF 2006. Meeting the MDG drinking water and sanitation target, The urban and rural challenge of the decade: 41. World Health Organisation and United Nations Children’s Fund. World Bank 2007. Global Monitoring Report 2007—Millenium Development Goals. Washington DC: World Bank. Yan, J.M. & Vairavamoothy, K. 2003. Fuzzy Approach for the Pipe Condition Assessment. Paper presented at Proc. of ASCE international conference on pipeline engineering and construction, Baltimore, Maryland, July 13–16, 2003: 2. Zuleeg, S. 2006. Trends in Central Europe (GERMANY / SWITZERLAND). TECHNEAU: 83.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Glocal water governance: Controversies and choices J. Gupta Institute for Environmental Studies, Vrije Universiteit, Amsterdam, The Netherlands UNESCO-IHE Institute for Water Education, Delft, The Netherlands

ABSTRACT: The current state of glocal water governance (global through to local) confirms that successful attempts to design instruments and approaches to improve water governance must take complex historical and contextual issues into account. Broad concepts in governance—sustainable development, integrated water resource management, good governance—are illusory and failure prone; nor is there a straightforward answer on where power should be located—centralisation versus decentralisation, the roles of private sector and stakeholder participation. While best aid delivery in water governance is constantly evolving, current insights can be useful in framing water management; and understanding the complex science-policy interface is critical to water governance design and local capacity building. Recommendations can neither be scaled up nor transferred to other regions, only transformed by knowledge brokers especially when local constituencies are interested. There is need to focus more on policies with a high compliance pull than conceptual utopias.

1 INTRODUCTION Water institutions are shaped by historical processes. While in some parts of the world there is a coherent system of water governance today, in other parts historical incidents have brought about changes that have been superimposed on earlier traditions without necessarily influencing them in fact. Today, any attempts to design instruments and approaches to improve water governance must take these historical and contextual issues into account if they are to be successful. However, such approaches also need to build on the latest scientific expertise developed in the specific field under study. This paper first defines glocal water governance, reviews major historical trends, discusses the role of concepts, power, aid and science in water governance and includes, where relevant, references to the UNESCO-IHE 50th anniversary symposium of June 2007 that discussed many of the issues presented here.

2 GLOCAL WATER GOVERNANCE Glocal water governance refers to the processes by which policymakers and other social actors manage their water resources at global through to local levels. It has an 101

exceedingly long history, a history in which different social actors in different parts of the world have made different choices (Caponera 1992; Cech 2003).

2.1

Water governance pathways

Water governance is shaped by three different pathways. The first is a bottom-up, historically evolving approach of social responses to local problems leading to customs and rules and subsequently legal principles about the management of water. The second pathway is the top-down approach of global policymakers often inspired by scientists and engineers about the best scientific way to manage resources. The third pathway is the autonomous development of policy as a result of the forces of globalisation (e.g. the development of ecolabelling systems or the advances in investment law; Gupta 2003). None of the above paths has a monopoly over the best policy. In fact they all, to some extent, fall short of expected goals. The first, while seemingly legitimate, has often excluded marginal groups such as indigenous peoples within societies. Social rules often, but not always, reflect the rules made by the most powerful at the cost of others. And besides, what may seem incremental in a history of 6000 years often hides the short-term turbulence caused by changes brought to a society through, for example, conquest. The second, while seemingly scientifically motivated, has political overtones and often neglects the importance of contextual aspects. It has political overtones in that some disciplines emphasise a preference for certain values over others; e.g. economics emphasises cost-effectiveness over equity and law emphasises property rights and human rights over cost-effectiveness. The third, driven by the capitalist and mercantilist ideology of the late 20th and early 21st century, does not often take social and environmental consequences into account.

2.2

Historical development of glocal water governance

Water governance is essentially location and context specific. The history of water law and politics (Dellapenna & Gupta, forthcoming) demonstrates how a number of different converging forces have led to similar policies in different parts of the world (Gupta forthcoming; see Table 1). While these forces have led to diverse impacts in different places, they have also led to similar patterns of governance and often similar degrees of confusion in different parts of the world. An example of this is the rapid spread of environmental impact assessments (EIAs) in the developing world following the 1972 Conference on the Human Environment. Although these assessments have been adopted in the policies of many countries, the actual implementation has been quite poor due to lack of resources—economic and social (Forero 2006). This demonstrates the degree to which external influences fit into the existing contexts of the countries into which they are imported. In many parts of the world, pluralistic systems of governance exist because with every new wave of converging forces, earlier rules were not necessarily rewritten. Developing governance rules for these countries needs to take into account 102

Table 1.

Converging forces on water governance through history.

Early forces

Modern forces

Converging forces (since)

Example

Civilisations (5000 BC) Religion (500 BC) Conquest (200 AD) Ideology (1900) Codification (1966) Epistemic communities Environmentalism (1970) Globalisation (1990)

Mesopotamia e.g. Hinduism, Judaism, Islam Roman; Napoleon; colonialism Communism ILA rules 1966; UN Law 1997 Engineers Policy and NGOs Private sector participation

these existing pluralistic systems that result from the different pathways (Gupta & Leenderste 2005; see also IWMI 2005). Sometimes the converging forces cause governments to respond in a way that leads to confusion in domestic policy. For example, the Philippines government has granted rights of access to land and water to indigenous people but did not do so with respect to poor Filipinos (Labang 2007). This can be attributed in part to the international awareness of the rights of indigenous peoples and the declarations and laws to deal with these rights (See Boelens et al. 2006 on water and indigenous peoples). In Indonesia, stakeholder participation and private sector participation are included in the same paragraph of the law, as if these were similar principles; whereas one calls for transparency in decision-making, while the other is more closely related to contractual developments and its associated secrecy.

2.3

Diffuse global water governance

The current state of global governance on water is unlike that in the field of climate change governance, where even though policies are fairly dispersed throughout the UN systems, there is an implicit command and control centre within the United Nations Framework Convention on Climate Change of 1992. This in turn is fed by scientific knowledge assessed by the Intergovernmental Panel on Climate Change. In the area of water, this is not the case. Water governance is very diffuse (Pahl-Wostl et al. forthcoming). There is one global water law dating from 1997—The UN Convention on the Law of the Non-Navigable Uses of International Watercourses—which is not yet in force, and which reflects mainly legal developments but much less the scientific developments in the water field. There are a number of policy and political declarations but these have few resources and no binding capacity. Some of these have been made in the formal United Nations context (e.g. the Millennium Declaration, the meetings of the Commission of Sustainable Development), but many have been made in the context of general relatively informal global water conferences (e.g. the World Water Forums). Although these meetings serve the general purpose of enhancing awareness, because of the lower degree of coordination they have little political effect on leaders, and instead reflect more the forces of globalisation. Gleick and Lane (2005) argue that these large general conferences should be abandoned in 103

favour of UN meetings that should systematically attempt to address global problems using the formal global tools. Large international organisations such as the development Banks and aid agencies also tend to develop their own water policies. Then there are a number of initiatives of civil society such as the World Commission for Dams.

2.4

Influences on policy

Increasingly, science and politics influence water governance through four general ways. The first is a broad set of visions and preconditions for successful water governance; the second focuses on where to concentrate power in relation to water governance; the third focuses on the role of development cooperation in improving water governance; and the fourth on the interaction between science and policy.

3 ARE GENERAL CONCEPTS USEFUL? Within the international scientific and policy community, three terms have become increasingly popular. These are the notions of sustainable development, integrated water resources management and good governance.

3.1

Sustainable development

The theoretical discussions of sustainable development have evolved from the idea of a sustainable society (Brown 1981), to the identification of indicators of sustainability (e.g. Munasinghe 2001) and more recent elaborations (e.g. Beg et al. 2002; Hildering 2004) that emphasise both inter- and intra-generational aspects as well as the need to balance social, economic and environmental aspects in so-called hard sustainability, or trade-offs among these aspects in so-called soft sustainability (Barnett 2001; Robinson 2004). It is seen both as an open-ended concept like democracy and legitimacy (Lafferty 1996) as well as somehow combining substantive and procedural elements (Dovers & Handmer 1993; Mebratu 1998). Simultaneously with these theoretical developments, the concept was adopted in the policy world (e.g. the Rio Declaration 1992; WSSD 2002). It focuses here on progress “that meets the needs of the present without compromising the ability of future generations to meet their own needs” (WCED 1987: 43). However, the International Court of Justice stated in the Gabcikovo-Nagymaros case of 1997 that it does not see the idea as a governing principle of law, but more as a theoretical concept. Sustainable development is seen as an overarching goal for all societies, a solution to the problems that economic growth has created in its wake. It provides a story line for the development of countries. It is seen both as protecting the resources of the earth for the use of future generations and being equitable in that it balances different interests. On the other hand, it is critiqued, since it is open to interpretation and because initial efforts at implementing it tend to show that the economic dimensions are 104

prioritised over the other two dimensions. It is also critiqued because it implicitly adopts an incremental approach to change, thereby giving the existing development paradigm a chance to evolve further, instead of imposing a new and different development paradigm (Chatterjee & Finger 1994). There is confusion about whether it is a goal or a process. Finally, many argue that there is a strong tendency towards trade-offs among the three aspects of sustainable development.

3.2

Integrated Water Resources Management

Integrated Water Resources Management (IWRM), promoted initially by academics (e.g. Koudstaal et al. 1992), was further elaborated in policy documents (e.g. Agenda 21, 1992; The Dublin Declaration 1992). It calls for 13 areas of change including the development of an enabling environment—with good policies, a legislative framework, a financial and incentive structure, an organisational structure and capacity building. It promotes instruments like water resource assessment, demand management, social change, regulation, economic and information management instruments and conflict resolution (UNWWDR 2006). IWRM is seen as a valuable critique to sectoral and bureaucratised policymaking. In taking a more holistic view of water resources, it forces governance agencies to coordinate and cooperate to ensure synergetic and equitable policies (UNWWDR 2006). However, IWRM is also seen as too complicated and utopian to implement. The UN World Water Development Report (2003: 30) shows that while the IWRM approach is accepted, its implementation is partial in both developed and developing countries. An idea that is not easily implemented or does not provide clear guidance may soon become frustrating for those working with it. Such frustration arises from the quantum leap that IWRM calls for in improving bureaucratic structure and scientific collaboration, not just in the developing world but also in the developed world (Rahman et al. 2003 on the European Union Water Framework Directive). A sequential approach prioritising some elements over others may be one helpful adjustment (World Bank 2003). This was reflected in the UNESCO-IHE symposium recommendations as well: “IWRM should be seen as a goal defined by guidelines but no hard boundary conditions. The process to achieve this goal needs to be contextually shaped through dialogue (cannot be done from outside) and may be incremental and patchy.” Further, while IWRM takes water as the central uniting force and is clearly driven from a hydrological perspective, a more eco-centric perspective would focus on ecosystems; it would look at how ecosystems could better function and recommend instead an integrated ecosystem management approach. Similarly an anthropocentric governance approach may look from the perspective of a nation state to see water as one of the natural resources that is absolutely essential for the economy, ecology and well-being of a nation, and argue therefore for an integrated national plan. After all, governments are accountable primarily to their own electorates. In other words, while there is nothing wrong with the concept of integration, the boundaries of the integration challenge are socially constructed, and an approach focused purely on water governance will tend to exclude other aspects. Besides, such approaches do 105

not always take into account local knowledge and priorities regarding what should be integrated.

3.3

Good governance

Good governance became a very popular concept in the 1990s and is seen as including procedural principles such as legitimacy and accountability, transparency in the policymaking process, efficiency and effectiveness in the policy delivery process, responsiveness which allows governments to react to new problems flexibly and effectively, governance at the lowest relevant level in the context of effective multilevel governance, opportunities for public participation, coherence and the rule of law. The UN World Water Development Report (2003: 373) defines good governance in the context of water as including an inclusive participatory approach, transparency, equity, accountability, coherency, responsiveness, an integrative approach and ethical considerations. It is argued in the recent literature on development that within the developing world improved management practices will only come as a result of better governance systems (Santiso 2001). Once good governance complements the existing legal system, societies will be in a position to resolve their own problems successfully, as they will then have the procedural and substantive wherewithal to deal with their contextual challenges. Good governance will imply a transparent, consultative, noncorrupt and highly efficient system of managing national resources. However, promoting uniform ‘good governance’ worldwide may be problematic, as each country has its own culture and systems (cf. WWDR 2006: 44). Besides efforts to exogenously influence good governance in countries can have counterproductive results (Anders 2005).

4 THE LOCATION OF POWER AND AUTHORITY IN WATER GOVERNANCE Framing issues in terms of governance rather than government implies a shift in authority from state-centred bodies to state and non-state actors. However, while potentially enhancing the legitimacy of decision-making, such a shift raises several critical issues regarding how one should locate power and authority in the area of water governance, who should pay for water governance, and whose knowledge is to be taken into account. Such debates are sometimes framed in terms of the decentralisation discussion, stakeholder involvement debate and private sector participation. These issues are discussed below.

4.1

Decentralisation vs centralisation

The debate on decentralisation versus centralisation in the water issue is a debate that is almost as old as human history. We see periodic trends switching favour between centralisation and decentralisation (Gupta forthcoming). These trends reflect evolving 106

and contextual discussions about the appropriate location of power to manage water resources. The arguments through history in favour of centralisation have been the need to control water resources and hold these in public trust for the country, the recognition that the water challenges of a region need to be dealt with holistically, the need to develop harmonised policies regarding water management, and the need for trained personnel to implement these policies. The arguments in favour of decentralisation (Rondinelli et al. 1984; WWDR 2006) are that centralisation does not take local stakeholder knowledge and interests into account; it imposes a top-down view that often benefits vested interests as opposed to those with less power in the process, and that ultimately it is only at the local level that policies can be effectively implemented. Decentralisation will ensure effective implementation, which may also be more cost-effective, and decentralisation can improve local democratic control over resources and make government more responsive and accountable. But decentralisation is often difficult to implement. It may not be accompanied by the decentralisation of resources and capacity building, and therefore result in lower quality decisions. Decentralisation may lead to fragmentation, and non-harmonised policies in neighbouring areas. And as there is as much power politics at the local level as at the national level, decentralising may merely shift the locus of the power struggle to the local level while externalising extra-territorial impacts of decisions made. Thus, the critical issue is to assure that the enabling conditions exist to make an effective choice for centralisation or decentralisation.

4.2

Stakeholder participation

A key recent issue is the need to combat the democratic deficit and technocratic decision-making in societies by developing participatory approaches. The need for public participation has been incorporated into discussions on good governance and IWRM. It has been promoted in a number of policy documents, the World Water Vision (2000), and is seen as important in some legal documents, and increasingly as relevant in water law (See Berlin Rules, ILA 2004). Legal frameworks permitting public participation tend to be strong in Thailand, Uganda, South Africa, Chile and the United States, and weaker in India and Indonesia (WWDR 2006: 77). Stakeholder participation in domestic and international water governance and project design and implementation is beneficial since it is expected to increase the legitimacy, compliance-pull and effectiveness of law and policy (Hildering 2004). It does so by being more inclusive of the people affected in decision-making. It sees local stakeholders as the experts with respect to their own problems and as the source of relevant knowledge for decision-making, and it creates ownership of the ultimate decision so that people are more motivated to implement the decision (UNWWDR 2006: 12). However, there are some major drawbacks. Managing stakeholder participation often leads to increased bureaucratisation and higher costs (Gupta 2003). Where participation by stakeholders is an uncompensated activity, poorer stakeholders often 107

are unable to participate effectively; and their motivation is also lower as they feel that their input is recorded but not recognised. The so-called ownership of the policy outcome may remain purely illusive if local people feel they have been manipulated into a situation where their views are inadequately taken into account. This often happens when, although there is a joint process, the actual writing is concentrated in few hands and, in effect, leads to control of the outcome of such participation (Keeley & Scoones 2003). Involving stakeholders does not automatically lead to equitable solutions with a high compliance pull. Communities have their own share of power politics and the withdrawal of the state as an actor that tries to deal with these power imbalances may serve to further accentuate them. Communities also tend to externalise issues such as protecting biodiversity, ecosystems or dealing with climate change. “The cultural and economic contexts within which new policies are implemented can lead to unpredictable and unintended impacts that can contradict the objectives of environmental protection” (Lemon 2001; cf. Stiglitz 2000). Finally, true local participation may lead to different local policies and a lack of harmony at regional and national levels (Stiglitz 2000).

4.3

Private sector participation

With liberalisation and globalisation, a discourse on private sector participation in water governance was launched. The importance of recognizing water as an economic good was promoted at the Dublin Conference in 1992 and at the World Water Forums of 1997, 2000, 2003 and 2006. Historically, however, both private and public sector bodies have often failed to manage water supplies. In the US it was precisely because the private sector did not manage well, that the public sector took over water supplies in the 19th century. In France it was the opposite (Gleick & Wolff 2003). Private sector participation in water governance is motivated by three arguments (cf. Barlow & Clarke 2002; UNWWDR 2003: 380): namely that many governments do not have the resources to provide water and sanitation services to large segments of the domestic population, while such resources may be mobilised through private sector engagement; that governments tend to be inefficient and bureaucratic, while the private sector has a reputation for efficiency (cf. Meier 2002); and that once property rights are clear, there will be greater motivation to address resource related problems (Petrella 2001 pp. 50–51; cf. Acemoglu et al. 2001; North 1990; van Dijk 2003). Encouraged by the forces of liberalisation, more than 92 countries went down this way of inviting private sector participation in water services in recent years (Gleick & Wolff 2003). However, empirical evidence shows that private control tends to raise water prices, as water is a natural monopoly (Petrella 2001; Shiva 2002), and tends to be less motivated to provide those without purchasing power with services. As water could arguably be seen as a political good, (Schouten & Schwartz 2006), and a basic human right (Smets 2000; McCaffrey 1992; see also General Comment No. 15, 2002), perhaps the ultimate responsibility should rest with government. Compromise deals have led to public private partnerships in many developing countries. Such partnerships are generally accompanied by contracts, and where the private sector actor is a 108

foreign player, an international contract, often also calling for state guarantees. Such guarantees were included in schemes in relation to Cochabamba in Bolivia, Plzen in the Czech Republic and Szeged in Hungary (Barlow & Clarke 2002: 91). These international contracts are governed by bilateral investment treaties and commercial law, and breaches of such contracts often lead to international court cases. For example, cities in Spain, Argentina, Hungary and Bolivia tried to cancel water contracts. But canceling international contracts is not a simple proposition. Clearly there is a role for private companies, but the conditions under which the services can be best provided still have to be worked out, and the UNESCO symposium working group on the issue concluded that: “Water pricing, markets and private sector participation in water management are not easy solutions in the context of developing countries. Designing effective instruments for developing country contexts calls for interdisciplinary contextual research, and not just prescriptions.” This discussion served to stimulate debate during the UNESCO-IHE symposium and led the working group to observe that: “The location of power is critical for water governance. Power is not only the control over natural resources, but also knowledge and financial resources, as well as the exercise of power and the legitimacy of power. This power needs to be shared among users and between levels both horizontally and vertically and there needs to be clear boundaries defined for each actor and level. With respect to international water resources, ideally, different power sharing rules (between national government, communities, private, etc.), need to be taken into account, depending on water source and use.”

5 THE ROLE OF AID IN WATER GOVERNANCE Development cooperation has a history of about 200 years; but most modern development cooperation dates back to the post world war-II era. Different theories have influenced the way development cooperation has evolved over time and have led to newer insights on how best to frame development cooperation. The story of aid has moved from technical assistance to aid to development cooperation to partnerships. Initially aid resources were used for reconstruction and infrastructural support in developing countries (1950s–1970s); then for supporting humanitarian assistance, on the one hand, and on the other hand, structural development programmes and debt relief; i.e. a focus on changing national economic policies (1980s), followed by a focus on promoting good governance (1990s) and in the late 1990s there was a realisation that aid only worked where there was good governance in place and that this would help countries make the right choices. However, following this there was a realisation that good governance and democracy cannot be imposed on countries and that where there were reformers in place those were the countries and projects which were likely to work (Pronk 2001; Wuyts 2002). In terms of the dynamics of aid, it was first seen as a short-term temporary measure to help developing countries develop. However, since no statistical co-relation has been found between the two, many have argued that aid has not helped countries develop (Boone 1994, 1996; Rajan & Subramanian 2005; Dollar & Easterley 1999); 109

although some argue that a small correlation is visible (Gomanee et al. 2005). This has tended to support the view that resources used for aid should be reduced since aid appears to be a task without an end. Others argue that the purpose of aid is to catalyse change through strategic intervention to help the poor and thus aid should be evaluated from that perspective (Pronk 2001). Furthermore, if aid is used to meet consumptive needs, there will be little impact on growth, even though there is an impact on human lives (Svensson 2000; citing Boone 1995, 1996). The question—is aid effective and under what conditions is it effective—has barely been answered in the literature. However, the history shows that initial investments in infrastructure and technical help were seen as inadequate to stimulate change. The change in focus on conditional aid to change national policies (e.g. through the structural adjustment programmes) often led to policy changes on paper but were not always effective since domestic politics and polity were more influential in shaping and implementing policy than foreign aid (cf. Burnside & Dollar 1997; Dollar & Easterley 1999). This led to an emphasis on the notion of “country ‘ownership’ as opposed to ‘donor conditionality’ ” (Dollar & Easterley 1999: 574) and it was argued that such ownership was easier if one aimed to identify reformers not create them (Dollar & Svensson 2000). The focus then was on identifying countries with good governance and policies on fiscal surplus, inflation and trade openness, and prioritising resources to these countries. It was argued that aid is more effective if provided to such countries than to countries with poor policies in place (Burnside & Dollar 2000). But this finding has been contradicted by more recent publications (Easterley et al. 2003). Is it then a wonder that aid has sometimes been very successful asks Pronk (2001)? Pronk argues that the tendency of aid providers to be relatively ignorant of the countries they work in, of having incomplete understanding of the local dynamics is a critical factor in the failure of aid. But this does not mean that aid cannot be successful. Part of the problems with aid stem from the donor country. The motives for providing aid range from altruistic (charitable, humanitarian; solidarity), through enlightened self-interest to promote peace and democracy, to the promotion of national political economic, environmental and strategic interests (Pronk 2001; Fitzgerald 2002; Alesina & Weder 2002). This often leads to pre-set choices of recipient countries and sectors through national processes in the host countries, which may lead to the marketing of certain ideas or a focus on non-democratic regimes, or pushing ideas where the donor is most motivated to do so (Burnside & Dollar 2000; Svensson 1998; 2000). “This institutional set up has resulted in a strong bias towards “always” disbursing committed funds to the ex ante designed recipient, irrespective of the recipient governments’ performance and the conditions in other potential aid recipient countries” (Svensson 2003: 383). The resources are also often tied to national interests to help donors rather than recipients (Pronk 2003). 41.7% of current OECD aid is not tied; the rest is either tied aid or not specified (OECD 2006: 31). Tied aid can increase the costs of a project by 20–30% (Jepma 1991); 15–40% (Joint European NGOs 2006). The UK International Development Act (effective since 2002) has declared tied aid illegal. Conditional aid often fails to meet its objectives, because they serve national interests of the donors and because they alienate recipient countries (Joint European 110

NGO Report 2006). Besides, donors manipulate the statistics to show how high their aid spending is, but technically speaking some of the money was not spent for aid. For example, NGOs claim that one third of reported European ODA was actually not technically speaking aid (Joint European NGO Report 2006). The problems in the donor countries include poor governance, the substitution effect of aid when aid displaces domestic savings and creates dependence on foreign resources (Jepma 1997; Pronk 2001; Ndulu 2002), and policy substitution (Svensson 2000). There are also complications in the relations between donors and recipients such as the mismatch between perceived priorities, the poor diagnosis of contextual issues, inappropriate assistance, the mismatch and poor chemistry between the actual partners working on the projects, and the huge administrative burden aid imposes on developing countries in order to meet the accountability requirements of the donors. Donors are different; some are very strategic with geo-political interests such as the US, some reward governments for their initiatives (Scandinavians, Australians), some provide assistance to past colonies (France), some provide assistance to those who support them at international negotiations (Japan) (Alesina & Weder 2002; Joint NGO Report 2006). This brief review begs the question—so how should water aid be crafted? Perhaps the purpose of development cooperation projects should focus less on economic growth and more on employment generation, impacts on the environment and ecosystems and social benefits (Ndulu 2002; Pronk 2003). Projects should include micro indicators which focus on the impacts on human lives, as opposed to only focusing on macro indicators. Where countries have good governance in place, a focus on projects may be a good choice; where countries have poor governance, policy support and support for domestic constituencies may be more relevant (Ndulu 2002; Harford & Klein 2004). Conditionalities work where there are domestic stakeholders who support the conditions (Pronk 2003) and if the foreign donor is consistent and persistent (Svensson 2002). The focus of the projects should be on innovativeness and catalytic functions and should fit with the context in which they are placed. There should be an identifiable demand and the project should not create distortions in salaries or structures or substitutions (Djankov et al. 2006). Discussions during the UNESCO-IHE symposium tended to move towards using aid resources for capacity building so that countries will be in a better position to help themselves through the development of their social capital.

6 THE ROLE OF SCIENCE IN WATER GOVERNANCE Let us then turn to the role of science in water governance. Each scientific discipline has its own bias. For example, “The natural and almost automatic reaction of an economist to scarcity is to price it. The natural and almost automatic reaction of an engineer is to control the scarcity by plugging leaks, harnessing the water, building dams and other engineering works. The natural and almost automatic reaction of a legal scholar who subscribes to the human rights school is that a scarce and necessary item has to be dealt with in terms of rights and equity principles” (Gupta 2003). 111

The disciplines often argue with one another as to what is the best way to promote water governance. Sometimes in the dialectic, some form a coalition and move forwards with certain notions, and others are left behind. In the area of climate change such a scientific coalition is visible in the Inter-governmental Panel on Climate Change; however, concerning water the UN agencies are cooperating to produce joint knowledge, but whether specific attention is paid to the presence of specific disciplines in knowledge creation is not clear; and whether there is an active effort to integrate the results from the different UN agencies is also not clear. In recent decades new insights have emerged in the scientific literature on how best governance can be improved. However, the jury is still out on a number of these issues. Will “best practices” and “best technologies” in some parts of the world turn out to be “feasible” and “effective” governance options in other parts of the world? Under what conditions would that be the case and what is the current state of thought on these issues? Apart from the disciplinary bias and the need for generalisable recommendations, there are also issues regarding how science is used by policymakers. Some argue that science is used in the public interest (Rousseau cited in Held 1987: 74), while others argue that there is a culture gap between scientists and policymakers and that they do not speak each other’s languages (Caplan 1978; Rich 1991). Still others argue that science provides pluralistic answers, and policymakers also have multiple interests, and hence science is selectively filtered by policymakers and only used if they can understand and relate to it and if it matches their intuitive expectations and is politically feasible (the concept of half-knowledge and public choice theories; Lazarsfeld 1967; Lindblom & Cohen 1979; Rich 1981; Marin 1981; Rich 1991; Fisher 2000). When we look at science and its role in international relations, there is no single view about its influence. Some argue that scientific results have no independent influence on international relations, since states will not use the results if they do not fit in their interests (realists and historical materialists). Some argue that science can have a moderate influence on policymaking if the issues are relatively simple (structured); but where problems are wicked and unstructured, science alone cannot be very influential. In these instances other actors are needed (neo-institutionalists). Still others argue that scientists who organise themselves into epistemic communities will influence policymaking by their influence on bureaucratic communities as well as their influence on international policymaking (cognitivists, Haas 1989). In the scientific community, however, differing schools of thought underlie research. For example, the reductionist school will try to reduce everything to quantitative figures and numbers, while legal anthropology tries to give the details of every situation and present a complex fabric of information. The different schools provide major contradictions about how problems can be addressed. Resolving these differences is in itself difficult. The science-policy challenge is often related to the fact that mono-disciplinary science can rarely provide the answers to real life problems; and while multi-, interdisciplinary and transdisciplinary science may be better able to do so, they are often not able to provide generalisable answers that operate at all levels (cf. Woodhouse & Nieusma 2001). Public interest science (Shiva & Bandyopadhyay 1986) and post-normal 112

science (Ravetz 1999; Functovicz & Ravetz 1992) try to bring science closer to the people by actively calling for people’s knowledge to be integrated in science. Part of the science-policy problem at the global level is attributable to the vastly differing levels of information in different parts of the world (Annan 2003). Transnational science may help to meet these challenges. This is science in which (a) the underlying values and assumptions are made explicit and varied regularly to reflect values of different blocs, nations and peoples, (b) the object of study frequently focuses on issues that possibly concern problems affecting people in other parts of our globe, (c) the views of other nationalities and peoples are incorporated in the research process, and which (d) calls for the development of common global values and the institutionalisation of those values both through scientific and legal communities and also through the policy and law making process. Thus, meeting the science-policy challenge at an inter-continental level implies having good transdisciplinary science, usable science, which can be applied in flexible forms. It can be applied as: simple “technological fixes”, or readymade solutions; enlightenment or providing some information so that policymakers come up with their own solutions; the provision of broad perspectives so that policymakers do not create new problems in solving existing problem; and finally frame-reflective policy analysis, where differing solutions and ideas are evaluated, compared and understood by the policymakers. The science-policy interface has one more dimension. Where scientifically supported policies and laws reflect local custom and state practice, there will be a high compliance pull. In other words, societies will tend to implement these policies and laws. This has been the key reason for the success of legal processes in societies and at the international level. However, because societies are increasingly transforming rapidly and large amounts of scientific information are being generated and used to formulate policy, there is a breakdown between social and state practice and national and international norms (Gupta 2005). This rapid change in the way policies and laws are crafted will inevitably lead to problems of implementation, more so in poorer than in richer countries. This calls for an explicit focus on the sort of science and policy instruments that are relevant in specific contexts. The UNESCO-IHE symposium also tended to agree with these sentiments and recommended that implicit values be made explicit in science and that there should be a synergy between local knowledge and international knowledge.

7 CONCLUSION The above theoretical framework is set out to challenge existing concepts and to shed light on relevant historical events. Much of this was an active influence on the debate during the UNESCO-IHE Symposium, and there appeared to be consensus on the need to move from the age of conceptual utopia to policies with a high compliance pull. There was also recognition of the need to learn from existing experiences worldwide in order to assess how power in water governance can best be allocated efficiently, effectively and equitably, the need to design development cooperation so 113

that it is effective in the specific contexts of application, and the need to develop better science-policy interface processes to improve the future of our unequal world.

ACKNOWLEDGEMENTS The author has worked on this paper as part of two projects—the Netherlands Organisation of Scientific Research VIDI project on International and Private Environmental Governance: Sustainable Development, Good Governance and the Rule of Law (contract number: 452-02-031), and the European Commission financed Adaptation and Mitigation (ADAM) Project (contract number: 98476).

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PART 3: Knowledge and Capacity Development

Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Capacity and capacity development: Breaking down the concepts and analyzing the processes H. Baser European Centre for Development Policy Management, Maastricht, The Netherlands

ABSTRACT: To better understand how capacity develops endogenously and is sustained, sixteen widely varied case studies are analysed through the lens of complex adaptive systems (CAS), providing empirical evidence and implications of what has and has not worked. A careful examination of three themes: a systems approach to capacity; what capacity is; and what induces capacity development, leads to better understanding of what is externally or internally driven; of planned, incremental, and emergence strategies; of the issue of time and sequencing; and of necessary combinations of approaches. This raises complex issues (and challenges some current thinking), such as the decreasing predictability of many capacity issues, the need to have a conscious understanding of the processes that stimulate change, and the need for a certain amount of misfit between context and activities to energise capacity development.

1

INTRODUCTION

Capacity and capacity development have been pervasive concepts in international development cooperation since the late 1980s. But for most of the 1990s, both capacity as an outcome and capacity development as a process—what we call in this report capacity issues—attracted little in the way of serious research. This pattern began to change in 2001 with a major UNDP initiative entitled Reforming Technical Cooperation, which was critical of the weak contribution of technical assistance to capacity development (Sakiko Fukuda-Parr et al. 2002). In late 2002, the Department for International Development (DFID) approached the European Centre for Development Policy Management (ECDPM) to carry out a research programme that would build on the UNDP work, but would also focus on what could be done to improve the effectiveness of the capacity interventions of international development agencies (IDAs), the multilateral and bilateral organisations as well as the multinational NGOs providing support to developing countries. This new study was to have two particular niches: to understand how capacity develops endogenously—from within a system—rather than to look at what outsiders do to try to induce it; and to bring in ideas from the capacity development literature beyond those generated by the international development community. The final

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report of the study is well over 100 pages and can be found at . This paper is based on the longer report but will cover only three themes from it: A systems approach to capacity, what is capacity? and what seems to induce capacity development?

2

METHODOLOGY

We carried out 16 case studies, a comparative study of two of the cases, and a review of capacity issues in NGOs in South Asia (These are summarised in Box 1 below.) The cases cover a wide spectrum of capacity situations ranging over different sectors, objectives, geographic locations and organisational histories. They extend from a national network of networks (COEP, Brazil) to a small unit of the Organisation of Eastern Caribbean States (OECS) to a trade negotiation centre in Russia. The intent of covering such a wide range of examples was to study the process of capacity development under different circumstances. Choices about which specific cases to pursue were taken on the basis of a combination of the potential insights, the availability of funding and donor preferences, case participant interest and our wish to have a variety of sectoral and geographic settings. The case studies were carried out between 2002 and 2004. Each case represents a Box 1.

Case studies.

The Lacor Hospital, Gulu province, northern Uganda SISDUK, a participatory development programme in Takalar District, South Sulawesi, Indonesia COEP—Committee of Entities in the Struggle against Hunger and for a Full Life, Brazil The Rwanda Revenue Authority (RRA), Rwanda The role of churches in governance and public performance, Papua New Guinea The Health Sector Support Programme (HSSP), Papua New Guinea Decentralised education service delivery, Pakistan Decentralised education service delivery, Ethiopia A comparative analysis of decentrlised education service delivery in Ethiopia and Pakistan The Environmental action (ENACT) programme, Jamaica The Environment and Sustainable Development Unit (ESDU), Organisation of Eastern Caribbean States (OECS), St. Lucia The Observatório network, Brazil The World Conservation Union (IUCN) in Asia Local Government Support Programme (LGSP), the Philippines The Centre for Trade Policy and Law (CTPL), Russia NGOs in South Asia The Public Sector Reform Programme (PSRP), Tanzania The National Action Committee Western Cape (NACWC), South Africa Summaries of the case studies, and the main insights gained from each one, are presented in Annex 2 of Capacity, Change and Performance which can be found at http://www.ecdpm. org/capacitystudy. Full reports of the case studies are available there.

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snapshot of a situation that existed at a particular point in time, which may have since changed. The analysis is situated at the ‘meso’ level, between the ‘macro’ and ‘micro’ ends of the capacity spectrum, focusing on the capacity of small systems and formal organisations. We have also reviewed a good deal of the various capacity literature(s), including much of the writing coming out of international development agencies and the NGO community, as well as other sources. For example, analysts focusing on the private sector in high-income countries have been writing about capacity issues for decades, albeit using different concepts, terms and contexts (Hamel et al. 1994; Salaman et al. 2003). There is also a growing interest in capacity issues in the nonprofit community in high-income countries (Light 2004).

2.1

A systems approach to capacity issues

There are many ways to think about capacity development as a process of change, some of which we will cover later in this paper. But one that so far has been little used in international development is the theory and practice of complex adaptive systems (CAS). We would stress that we do not regard CAS as the only way to explain capacity development nor as the universal explanation. Rather, we try to use it in this report to supplement rather than replace other approaches to capacity development. In practice, a good deal of our analysis is still reductionist in its unpacking of concepts such as context, capacity and change. But in our view, the CAS perspective can have real relevance for understanding capacity issues given its potential ability to explain how and why complex human systems unfold as they do. In cases such as ENACT in Jamaica and the two networks in Brazil, capacity development cannot be understood without looking at it from a CAS perspective. CAS is becoming more important for the following reason. The nature of development issues is changing. Most interventions now come with contested objectives, uncertainty about means and ends, a diverse and changing cast of participants and actors, and finally, the likelihood of unprogrammable time, energy and resources being needed to make headway. A sector-wide approach (SWAp) would be a typical example. The question then becomes: how can programme participants, country or external, deal with this rise in complexity and uncertainty? CAS thinking is a perspective or a way of mentally framing what we see in the world. It is more an orientation or a perspective than a formula or prescription. It assumes that all people function within a complex number of human systems and that thinking about the ways these systems shift and move can help to explain individual, group and organisational behaviour. CAS thus helps us understand the way human systems actually work, as opposed to the way we believe they should work. In particular, it provides insight into the unpredictable, disorderly aspects of capacity development, something that most current approaches to analysis tend to avoid. In most approaches to thinking about the behaviour of complex human systems four ideas are key. First, CAS thinking focuses on processes more than structures or outcomes as a way of managing; systems thinking has called this ‘means-based management’. Second, systems are seen as functioning on the basis 123

of interrelationships between people, groups, structures and ideas. The resulting patterns of interaction drive behaviour, events and outcomes. Third, the idea of emergence is one of the key concepts in terms of the way human systems change, which has to do with the constant need of complex systems to organize themselves into patterns and structures. Complex systems evolve on the basis of countless interactions amongst a huge number of elements. Emerging out of these interactions are system ‘properties’ such as capacity that have characteristics not found in any of the elements. Finally, human systems—indeed, all complex systems—have an in-built tendency towards self-organisation, the development of higher collective qualities like thought, purpose and capacity (Wheatley 2006). It is this process that drives the emergence of order, direction and capacity from within the system itself. Most approaches to systems thinking focus on the behaviour and dynamics of the whole, including its fit to its wider environment. Attention to the constituent elements is secondary. Bureaucratic and performance management looks at systems as machines. The new institutional economics tends to see them as markets. Systems thinking prefers the analogy of a living organism.

2.1.1

Some operational implications

Although many of the operational implications of a systems approach remain unclear, some principles of CAS helped us to better understand the cases, as follows: • Complex systems such as organisations are made up of other smaller systems. And they are, in turn, part of bigger systems, some of them global in scope. The Lacor Hospital in northern Uganda, for example, was made up of individual medical departments. It was also part of the Acholi tribe, the national health system of Uganda, the Catholic health system in Northern Uganda and the worldwide Catholic movement. All of these are complex adaptive systems that co-evolve within many capacity contexts. Understanding these dynamics and trying to influence them in some ways is critical; • Most current capacity assessment frameworks are based on the assumption that many capacity issues can be explained by a close examination of the parts or elements of the system. The systems perspective would hold that no single factor or constituent element—incentives, financial support, trained staff, knowledge, structure—will by itself be an explanation for the development of capacity. Thus single interventions, e.g. training, are not likely to make a significant difference to system behaviour unless they represent a key point of leverage that can shift system behaviour; • Systems thinking places little faith in the effectiveness of controlled, planned, engineered efforts at capacity development. Controlled and directed change, especially that imposed from an outside central source, is seen as having little chance of working over time. Indeed, it may damage the natural process of change by blocking or curtailing unforeseen opportunities for innovation if participants try to tightly design and control outcomes. What matters more from a systems perspective is the way system behaviour is ‘attracted’ to sources of energy—working with the natural dynamics and energy within the system and not against them; 124

• Having a detailed capacity development ‘strategy’ or design may thus be counterproductive. Complexity theory postulates that change is emergent rather than predetermined. An intervention may need, particularly in the early stages of its life, several different approaches that explore the way forward. The future, particularly in the medium and long-term, is likely to be inherently unknowable. Starting with ‘big bet’ guesses about the ends and means of capacity development may turn out to be counterproductive. The emphasis here is on emergence and opportunities rather than on goals and matching strategies. Approaches need to be ‘good enough’; • Capacity emerges or grows through self-organisation. It is not assembled like a machine. Systems change appears to take place most readily at the ‘edge of chaos’, i.e. that point in the evolution of a system between being tightly structured and inflexible and being uncontrollable and directionless. That point or space has the greatest potential for productive change. The challenge for external interveners may therefore be one of inducing or encouraging the emergence or self-organisation of capacity; • A combination of qualitative and quantitative analysis may be the most useful. Other approaches such as applying interdisciplinary analysis, working on the basis of a few simple rules, using metaphors and stories to communicate across boundaries, learning from experience, experimenting become more important; • Complexity theory tells us that small initial changes can have huge effects and vice versa (Eyben 2005). Nonlinear patterns of behaviour can escalate micro interventions up into large system-wide changes. This could mean that big system change could be instigated from the bottom through small interventions as well as pushed from the top through larger, more complex activities. Programme loans, SWAps or other multi-organisational efforts may need to be seen differently. The difference between ‘macro’ and ‘micro’ interventions starts to blur. Conventional formulations about ‘levels’ of capacity such as individual, organisational, multi-organisational become less useful. Macro and micro begin to reinforce each other. Simple rules and minimum specifications can lead to complex behaviours; • Systems thinking and complexity theory encourage us to rethink the nature of leadership and direction. What is the likelihood of effective prediction, targeting and control in complex systems? If systems have a life and a dynamic of their own, what is the scope for human agency and management? How can leaders get the balance right between direction and adaptation? • A systems view of capacity issues requires participants to think differently about their work. A group or organisation or a network that sees itself as a living system tends to manage in a different way (de Geus 1997; Rademacher 2005). This view encourages them to think more creatively about the complex interrelationships between capacity and performance. It reinforces the need to think about collective as opposed to individual action. It tends to bring out the imagination and ingenuity needed to develop more effective capacity. And it contests the conventional view that focusing on performance outcomes is, by itself, the most useful way to improve a process; 125

Table 1.

Comparison of assumptions in different approaches to planning.

Aspect

Traditional planning approaches Complex adaptive systems

Source of direction

Often top down with inputs from partners Clear goals and structures

Objectives Diversity Roles of variables Focus of attention Sense of the structure Relationships Shadow system

Values consensus Few variables determine the outcome The whole is equal to the sum of the parts Hierarchical Important and directive Try to ignore or weaken

Measures of success

Efficiency and reliability are measures of value

Paradox

Ignore or choose

View on planning

Individual or system behaviour is knowable, predictable and controllable

Attitude to diversity and conflict Leadership

Drive for shared understanding and consensus Strategy formulator and heroic leader Control and direction from the top Designed up front and then imposed from the centre Can be engineered in the present Direct

Nature of direction Control History External interventions Vision and planning

Detailed design and prediction. Need to be explicit, clear and measurable

Point of intervention

Design for large, integrated interventions Reaction to uncertainty Try to control Effectiveness Defines success as closing the gap with a preferred future

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Depends on connections between the system agents Emerging goals, plans and structures Expects tension and conflict Innumerable variables determine outcomes The whole is different than the sum of the parts Interconnected web Determinant and empowering Accept that most mental models, legitimacy and motivation for action is coming out of this source Responsiveness to the environment is the measure of value Accept and work with paradox, counter-forces and tension Individual and system behaviour is unknowable, unpredictable and uncontrollable Diverse knowledge and particular viewpoints Facilitative and catalytic Self-organisation emerging from the bottom Gained through adaptation and self- organisation Path dependent Indirect and helps create the conditions for emergence A few simple explicit rules and some minimum specifications. But leading to a strategy that is complex but implicit Where opportunities for change present themselves Work with chaos Defines success as fit with the environment

• Systems thinking suggests a rethinking of most of the current capacity tools and assessment frameworks now in use, starting with the logical framework. Most focus on analysing parts rather than wholes. Results-based management and other product-centred approaches may not fit the complex process needs of capacity development. System feedback is crucial for learning and adaptation. But current approaches to monitoring and evaluation may be constraining the ability and inclination to learn. Table 1 summarises some of the points discussed above.

3 THE CONCEPT OF CAPACITY The usual treatment of capacity as a concept does not give it an obvious intrinsic meaning. Rather, its use is mainly to connect and legitimise other issues, ranging from decentralisation to training to participation to service delivery to structures and systems. Most discussions about capacity lose coherence as participants involved in discussions bring forward their different understandings. In this paper, rather than trying to present a universal definition, we try to unpack the concept of capacity to explain what the cases suggest is inside it and to give it some operational value. We also try to identify the underlying factors that shape capacity. Our hope is to help people in particular situations to come up with their own understanding which will, in turn, support more effective interventions. The report puts forward two main ideas with respect to the nature of capacity. First, capacity is about the ability to do something. It can take the form of individual competencies, collective capabilities or overall system ability. Second, these abilities must go beyond the usual task of implementation—the implementation of technical or logistical functions or the delivery of programmes. They must also extend to the broader abilities that are needed to make an organisation or system endure and perform over time—the ability to master change and capacity development itself. Most development concepts have some central characteristics or ideas around which some basic principles can be built. Part of the difficulty in working with the concept of capacity has been the challenge of coming up with its core ideas that can add up to some sort of distinctive contribution. In this report we suggest five central characteristics or aspects of capacity that can give it some substantive and operational shape, as follows: • Capacity is about empowerment and identity, properties that allow an organisation or a group to be aware of itself, to grow, diversify, survive and become more complex. To evolve in such a way, systems need power, control and space. Capacity has to do with people engaging to take control over their own behaviour in some fashion; • Capacity has to do with collective action—the collective capabilities that allow groups, organisations, or groups of organisations to be able to do something with some sort of intention, with some sort of effectiveness and at some sort of scale over time; 127

• Capacity as a state or condition is inherently a systems phenomenon. In the language of systems thinking, capacity is an emergent property or the effect of multiple interactions. It comes out of a complex interplay of attitudes, assets, resources, strategies and skills, both tangible and intangible. It has technical, organisational and social aspects. It emerges from the positioning of an organisation or system within a particular context. And it usually deals with a soup of complex technical, organisational and social activities that cannot be addressed through exclusively functional interventions; • Capacity is a potential state. It is about latent as opposed to kinetic energy, about being not doing. Performance, in contrast, is about execution and implementation or the result of the application and use of capacity. Given this latent quality, capacity is dependent to a large degree on intangibles. It is thus hard to induce, manage and measure. As a state or condition, it disappears quickly particularly in smaller, more vulnerable structures when motivation disappears; • Capacity is about the creation of public value. In all the case countries, regardless of their level of development, there are many examples of capacity, some of them both complex and subversive of the public interest, such as organised corruption, the growth of gangs and other hidden conspiracies. What is more difficult is the strengthening of the capacity of a group or system to produce public goods and public value. In the next section, we try to give these broad ideas more operational content based on the patterns observed in the cases. We look at two interconnected aspects: individual competencies and contributions, and collective capabilities, both functional and intangible.

3.1

Individual competencies and contributions

At the heart of every human system are individual people who contribute—or not— to the development and the sustaining of capacity. The mindsets, motivations and hopes of individuals are crucial contributions to capacity, no matter how complex the system (Ghoshal & Bartlett 1997). Working with individual people does not have an immediate linear, causal relationship with overall capacity, as is assumed in some interventions. But individuals do make a myriad of contributions across a range of system activities. One set of individual contributions to capacity includes the so-called ‘soft’ competencies— such as crafting relationships, trust and legitimacy—as well as the more conventional ‘hard’ variety such as technical, logistical and managerial skills. The staff of the Environment and Sustainable Development Unit (ESDU) in the Caribbean, for example, worked hard to develop their social and interpersonal skills in an effort to get more coherence, commitment and balance back into the organisation. This focus, decided by the staff themselves, was an attempt to balance these ‘soft’ skills against the individual hard skills required in areas such as marine biology or natural resource management. 128

Perhaps the most obvious contributions at the individual level were those of leaders at all levels. The cases were replete with examples of the influence and impact of individuals and their contributions to capacity. We are talking here about a wide range of leadership functions—strategic management at the top, coordination, supervision and organisational learning in the middle and logistical skills at the operational levels. There was a small group of key individuals (say 5%) at the core of every system determined to develop its capacity. In practice, individuals were also at the core of the informal or ‘shadow’ structures that actually managed the various systems.

3.2

Collective capabilities

Capabilities enable an organisation to do things and to sustain itself. They are the collective skills or aptitudes of an organisation or system to carry out a particular function or process either inside or outside the system. In the cases, capabilities were the ongoing processes that emerged out of the system that enabled it—or not—to survive and create value. The system had to have the capabilities it needed to create the developmental value that outside groups want (Fig. 1).

Figure 1.

Elements of capacity.

129

Some readers may perceive these core capabilities as insufficiently technical or logistical, or too lightly focused on results and performance. But too often, past efforts at capacity development have added up to little more than narrowly focused efforts at improving project and programme implementation. Or they saw organisations as pieces of techno-rational machinery that needed to be fixed, tuned up or further developed through the process of capacity development. But it was clear that the groups, networks and organisations in the cases were living human systems that needed a wide range of capabilities to survive as well as perform. They functioned as attributes or properties of the whole. The capability to change, for example, involved technical, cultural, logistical and psychological elements. All these capabilities overlapped and formed elements of the others. And all five were necessary to ensure overall capacity. None was sufficient by itself. Here we describe each capability in more detail.

3.2.1

The core capability to commit and engage

Almost all the current discussion in development co-operation about the importance of ‘ownership’ and motivation has to do with the core capability to commit and engage in development activities. Its absence—or at least its fragility—dooms efforts at building any kind of a broader capacity. Organisations must be able to have volition, to choose, to empower and to create space for themselves. This is about the capability of a complex adaptive system—a living system—to be conscious and aware of its place in the world, to configure itself, to develop its own motivation and commitment and then to act (Homer-Dixon 2002). And to do it in time, over time and frequently, despite the opposition or resistance or non-cooperation of others (Kennedy School of Government 2007). This is a condition that goes beyond conventional notions of ownership. It has a lot to do with attitude, self-perception and human, social, organisational and institutional energy and agency. In the cases, we can see participants developing this capability in an effort to improve their overall capacity. This core capability is the one that energises all the others. We suspect it is also the key to self-organisation that lies at the heart of change in complex adaptive systems. Actors that developed it could overcome enormous constraints. When it was absent or weakened, they produced little of value. This core capability differs from that of carrying out technical and logistical tasks (see below). Both have to do with some sort of intentional behaviour. But the core capability for achieving results has more to do with ‘first-order’ change or the manipulation of skills and resources. It is about management, logistics, operations and task accomplishment. The capability to commit and engage, in contrast, is related to ‘second-order’ change, i.e. a complex blend of motivation, power, space, legitimacy, confidence, security, meaning, values and identity. It is connected to deeper patterns of behaviours that are partly structural, partly psychological, and usually deeply embedded. We can see examples of this core capability on display in the cases. At some point in 1999, ESDU in the Caribbean started to see itself not as a delivery agent for donor-funded programmes, but as an independent actor that needed to develop 130

its own identity and sense of direction. In this process, it changed its consciousness and sense of itself. It began to reshape its relationships with its funders, the member governments of the Organisation of Eastern Caribbean States (OECS) and its own staff. Some of the cases, such as the education sector in Pakistan and the health sector in Papua New Guinea, showed the condition of ‘stuckness’ that is the most obvious sign of lack of this capability. They were stuck in a ‘low commitment, low capacity, low performance’ equilibrium caused by political and bureaucratic instability and low levels of commitment. Citizens withheld support and legitimacy, leading to a ‘weak demand, weak response’ syndrome that further locks inaction in place. This pattern reinforces the poor performance, which leads back again to low commitment and low absorptive capacity. Many state structures are trapped in this kind of vicious cycle—the apparent inability to solve recruitment and under-spending constraints are typical—which is hard to escape solely through narrow technical approaches to capacity development. In such cases, satisfactory underperformance—lack of engagement and lack of results—becomes the most sensible option available. The capability to commit and engage is arguably the least understood of the five by external actors. Funders can relate to organisations that are technically or organisationally ‘unable’ to do certain things but they are puzzled and frustrated by actors that appear ‘unwilling’ to commit given the pressing needs to be addressed. Actors without this capability are usually characterised as lacking ‘commitment’ or ‘political will’. But the deeper explanations—usually political, cultural, psychological, social—do not lend themselves easily to the conventional ‘needs assessment’ or capacity analyses.

3.2.2

The core capability to carry out technical, service delivery and logistical tasks

This second core capability represents the most common way of thinking about capacity issues (e.g. Commission for Africa 2004; Boesen & Therkildsen 2005). From this perspective, organisations or systems are in the performance and results business. In most circumstances, they are supposed to deliver services, carry out functions, formulate policies, regulate activities, provide security or create some other form of public value. To do these things, they must carry out technical or logistical tasks such as programme analysis, financial management, project management, advocacy, community policing, vaccination campaigns, public communications and many others. The emphasis is on functional, instrumental ways of meeting a set of objectives and fulfilling a mandate. Attention to this capability matches up with the pressing need for IDAs to achieve or at least to be perceived to be achieving, substantive development outcomes. Many country governments also feel more comfortable with this instrumental perspective on capacity given the resultant shift of attention away from politics and power. However, the patterns in the cases suggest that this capability needs to be supplemented and combined with the four other capabilities to enable sustainable capacity to emerge. 131

3.2.3

The core capability to relate and to attract resources and support

This third core capability is about a basic imperative of all human systems, i.e. to relate and survive within the context and in connection with other actors. It involves being able to craft, manage and sustain key relationships needed for the organisation to survive. In the cases, organisations needed to attract support and protection, and to enter into relationships that produced new sources of funding, staff and learning. They could more effectively pursue their mandated goals provided they gain the legitimacy, operating space, control and buffering they needed to sustain themselves in a difficult context (Brinkerhoff 2006). This capability is particularly relevant in many low-income countries that are struggling to put in place an institutional and organisational infrastructure. In answer to the often-posed question ‘capacity for what?’, it has to do with consolidating and defending the system’s autonomy, functioning and existence. Legitimacy is key to the capability to relate and the case participants often gave careful attention to the relational issues underpinning it. In the Lacor Hospital case, senior managers made continuous efforts to build relationships with a range of other groups such as citizens and patients, other local hospitals, the national health service and international funding agencies. They needed the capability to manage symbolic appearances, to communicate effectively, to enter into productive partnerships and alliances, to manage political conflict and, in general, to secure the organisation’s operating space. They were so successful in establishing their legitimacy with local organisations that the Lord’s Resistance Group stopped threatening the hospital. The capability to relate also had political aspects. Organisations frequently had to compete for power, space, support and resources with a variety of other actors, including individuals, informal groups and networks and other formal actors (Hughes & Conway 2003; Lister & Wilder 2005).

3.2.4

The core capability to adapt and self-renew

The fourth core capability that showed itself in the cases was that of adaptation and self-renewal (Homer-Dixon 2002). In almost all the cases organisations were situated in a context of rapid, sometimes destabilising change. In Russia, the Centre for Trade Policy and Law (CTPL) in Moscow unfolded as part of the effort by the Russian government to transform its structures and policies as part of its campaign to join the World Trade Organization (WTO). In Indonesia, the SISDUK case showed the district authorities trying to cope with the government’s new decentralisation policy. In Tanzania, the Public Sector Reform Programme (PSRP) was only the latest in a series of major changes since the late 1980s. All the participants reliant on external funding constantly had to change their procedures to keep up with the latest donor initiatives. Almost all the cases revealed a process of capacity development taking place in a context of enormous institutional upheaval. Windows of opportunity for capacity development opened and then closed. In Papua New Guinea, for example, where ministers and senior officials rarely lasted in a job for more than two years, problems appeared in the form of complex, ‘wicked’ patterns that were resistant to 132

simple solutions. Factors that used to be seen as transitory constraints on effective implementation—political conflict, civil strife, cultural dislocation—were becoming permanent conditions.

3.2.5

The core capability to balance diversity and coherence

All the case actors needed to deal with the challenge of managing the balance between diversity and coherence. We can look at this issue from two perspectives. First, organisations needed different capabilities, interests and identities, and a variety of perspectives and ways of thinking. In practice, the benefits of this diversity helped them to build their resilience. Yet at the same time, they had to find ways of reining in the fragmentation in order to prevent the system from losing focus and at worst, breaking apart. Increasingly, the pressure on all systems was on the side of greater complexity, diversity and fragmentation. They thus needed ways to balance diversity and coherence, and to encourage both stability and innovation. The organisations also struggled to balance their different capabilities. If they paid too little attention to the technical and the substantive, they began to lose a sense of themselves as a human community. Too much attention to the ‘soft’ capabilities, and they began to lose the ability to deliver technical value and services. Some key capabilities were in contradiction, such as those to do with innovation and those concerning coherence and stabilisation. Effectiveness often came at the expense of efficiency. All the actors tried to achieve some balance and coherence amongst their capabilities. Often, this balancing involved trade-offs between, for example, being ‘technocratic’ and ‘political’ at the same time; having ‘hard’ versus ‘soft’ capabilities; focusing externally and internally; focusing on the short versus the long term; emphasising performance versus capacity; and being centralised or decentralised. In the cases, we see actors struggling with this diversity–coherence dilemma. IUCN in Asia devoted time and attention to being simultaneously decentralised and centralised. The ENACT programme in Jamaica came down on the side of greater flexibility and decentralised experimentation, but then struggled to induce the government to put in place a coherent approach to sustainable development. The COEP and Observatório networks in Brazil maintained a balance by having shared values and processes in some areas while leaving network members free to operate independently in others. Thus all the case actors tried to balance different aspects of their capacity and arrive at some sort of coherence.

3.3

Capacity

We use the term ‘capacity’ to refer to the overall ability of an organisation or system to create public value. The system must have competent people committed to generating development results. The system must have the collective embedded capabilities it needs to create the developmental value that outside groups want. It must have the support structure it needs to manage and sustain its capabilities. It must be able to find the resources and support in the wider context that allows the system to 133

survive and grow. And it must be able to pull these aspects together with some sort of integration, synthesis and coherence.

3.4

Operational implications

In the case organisations, no matter how large or small, we saw participants using these five core capabilities either explicitly or implicitly. The type of capabilities needed varied according to the sector, the mandate, the history and the age of the organisation. The capabilities could be general and almost routine or very precise and well developed, depending on the nature of the tasks at hand and the complexity of the system. Working in a system involving few people where the goals and means

Table 2. Examples of the collective capabilities needed to address less complex versus more complex systems. Core capability

Less complex

To commit and engage

To develop a shared commitment among senior managers to adopt a new personnel appraisal system

To carry out technical, service delivery and logistical tasks

To put in place a basic project management system for the restructuring of a small government unit To secure funding from To establish a partnership a range of sources between a government agency (communities, national/ and a private consulting group international, public to train public servants on or private) to improve how to use a new personnel academic training for appraisal programme future public servants To use a monitoring system to To develop a national capability for innovaprovide information to mantion in public sector agement on a new personnel management appraisal system To encourage both productive To build consensus among disagreement and consensus stakeholders of the most in the process of priority setpressing priorities and the ting for an organization sequencing of projects within the budget available for public sector reform

To relate and attract resources and support

To adapt and self-renew

To balance diversity and coherence

More complex

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To arrive at a consensus across a government system on implementing a new personnel management system, including staffing, appraisal and career development To plan and implement a major urban infrastructure renewal programme

were clear required a lower level of capabilities than a more complex system involving contested means and ends and many actors (Table 2). In practice, only two organisations—ESDU in the Caribbean and the LGSP in the Philippines—focused explicitly on the idea of collective capabilities and deliberately tracked their development. But many others did have some implicit sense of what skills they needed and tried in an ad hoc fashion to put them in place. It seems to us to be useful for individuals and organisations to regularly ask themselves the following four questions: • What competencies and capabilities do we need to do our work and to keep functioning? • To what level do we need these competencies and capabilities? • What competencies and capabilities do we now have, and to what level? • What competencies and capabilities are really needed, and at what level?

4

CAPACITY DEVELOPMENT

Capacity development is about the transitioning from one pattern or configuration of behaviour to another. As such, it is fundamentally about the dynamics of change— organisational, institutional, personal, political and logistical. In the cases, everyone, be they analysts or practitioners who dealt with capacity issues, had some sort of tacit mental model of change in the form of capacity development (Schön & Rein 2004). Their perspectives led to views about where to start a process of capacity development, what to do, and in what order. Each way of thinking, in practice, reflected different theories of change and different perspectives on human nature, although few were explicit. Even the most ‘practical’ people carried out their work on the basis of theories about change but, in many cases, there was a difference between what people said they were doing and what they actually did. And, inevitably, other pressures for change unrelated to the process of capacity development acted independently to alter outcomes. We can see these different approaches to capacity development at work in the cases. The Tanzanian Public Sector Reform Programme relied heavily on concepts to do with incentives, competition, accountability and demand-side pressures. IUCN in Asia developed its capabilities using principles of strategic management. The CTPL Russia case was based on an approach to strategic positioning common in the private sector. The ENACT programme in Jamaica and the ESDU in the Caribbean used many ideas to do with human behaviour and learning. And most donors tried to apply the basic ideas underlying bureaucratic and performance management in their approach to results-based management (RBM). A word of explanation. We see change, meaning a shift in the configuration and behaviour of a system, as a capacity-neutral term. It simply refers to a continual process of altering and shifting. Things can be getting better or worse. Capacity development, on the other hand, refers to a form of change that focuses on improvements to the ways in which things get done. This is the focus of the following section where 135

we describe various internally and externally driven processes for capacity development. We then consider the dynamics of the process observed in the cases, and the strategies used.

4.1 4.1.1

Internally driven processes for capacity development Human and organizational development

A common approach to capacity development in the cases was organisational development (OD). This process-oriented approach stresses the importance of human and organisational qualities such as resourcefulness, identity, resilience, innovation, collaboration, adaptiveness, courage, imagination and aspiration (see Box 9) (French et al. 1994; James & Mugore 2002). Individuals and groups could lack confidence and cohesion. Their individual creativity and initiative could be latent or suppressed. Internal communication could be inadequate, leading to mistrust and conflict. In the cases, organisations used OD techniques to try to address these issues by encouraging new attitudes, new roles and relationships, and altered forms of organisational behaviour. OD could help staff to craft emotional and psychological incentives for capacity development. It was used to put the human element into capacity development strategies. OD thus represented the ‘process as outcome’ end of the capacity development spectrum, as opposed to the ‘product as outcome’ approach of some other approaches. All approaches to capacity development have their limitations, and those using OD techniques are no exception. They pay little attention to the role of power and control; they are more useful at the micro and meso than at the macro level; the links to external factors, technical change and performance can be tenuous; integrating changes at the individual, group and system levels is a challenge. The implication is that OD approaches need to be combined with other approaches to capacity development.

4.1.2

Incentives, rewards and sanctions

Most capacity development strategies for the public sector in low income countries try to change the pattern of incentives to counter the collapse of incentives, rewards and sanctions which occurred in the 1980s and 1990s. Approaches such as the ‘new public management’, for example, use incentives and sanctions to erode the usual bureaucratic pathologies and encourage more attention to results and performance. Included in such a list of incentives would be salary supplements, performance-based incentives, efforts to boost demand and accountability, greater transparency and increased use of contractual relationships, competition and internal markets within organisations, especially those involved in service delivery. The careful use of incentives and rewards in the LGSP in the Philippines, for example, acted as stimuli to induce mayors to shift towards change and reform. In the education sector in Ethiopia, demand-side pressures coming from citizens acted as incentives and sanctions. But the cases were ambiguous about the relationship between capacity development and incentives, rewards and sanctions. First, the issue of incentives, unlike learning, 136

comes with ideological aspects, making it difficult to sort out objectively. Some analysts, especially economists in large multilaterals, see them as absolutely determinant (Kayizzi-Mugera 2003). Observers of civil society organisations, in contrast, pay them almost no attention in explaining effective performance (Fowler 2002). Second, it is difficult to be clear about what exactly is an incentive. Some analyses go beyond the tangible and the financial to include anything that provides pleasure or satisfaction to an individual. Pursuing the most selfless behaviour could then qualify as responding to incentives. Third, it was often difficult to understand how country participants at different times and at different organisational positions perceived incentives, rewards and sanctions, particularly those embedded in informal institutions and practices. Nothing but the broadest definition of incentives could account for some of the behaviour in the cases, such as the great risks taken by some Lacor Hospital managers to deal with an outbreak of Ebola. Narrow definitions of self-interest could not explain the willingness of some Brazilian companies to support the collective action of the COEP network. In practice, a variety of other motivators—non-financial, national pride, faith-based, values-driven, loyalty to colleagues—were at work. The cases show a complex mixture of ‘extrinsic’ and ‘intrinsic’ incentives at work at the individual level. In some cases, extrinsic incentives were key—such as the career development opportunities and free medical care offered by the Lacor Hospital. In others, they had little effect on participant choices, as in the case of the staff of CTPL Moscow, who appeared repeatedly to act against their short-term interests in order to accomplish larger goals in which they believed. And in yet others, incentives could, by purchasing temporary compliance or cooperation, undermine the very commitment they were trying to encourage. For example, the large funds put at the disposal of MPs in Papua New Guinea created expectations among constituents of gifts and bribes at election time that acted against candidates who refused to make such payments. This pattern of incentives, in turn, affected the quality of candidates prepared to run for election. It was difficult to sort out the differences between incentives acting on system behaviour versus those designed to affect individual behaviour. Incentives operating at the macro level, sometimes embedded in institutions or in informal arrangements, could have powerful effects on the functioning of formal organisations. On the other hand, incentives at the individual level were part of a ‘soup’ of motivators that influenced and shaped human behaviour. They mattered a great deal, but not all the time and not for everything.

4.1.3

Awareness, understanding and learning

Changes in human cognition and understanding play a key role in capacity development. Country participants who became more aware of an issue or idea would, in some instances, begin to reflect on and alter their behaviour. Managers who better understood a range of issues such as global trends or complex donor proposals were more likely to be committed and engaged. A sense of ownership, for example, was more likely in cases where country participants felt comfortable with the main outlines of a programme. Capacity development from this perspective was helping people to think differently. 137

In the cases, capacity development in the form of learning—as both a means to, and an end of—capacity was a priority for both IDA staff and country participants. This usually entailed absorbing and mastering new ways of thinking and then turning that new knowledge into capabilities for action and performance. But it also could involve ‘unlearning’ or capacity destruction, a usually painful process in which people faced the prospect of giving up behaviours and skills that had long been effective and which provided them with respect, identity and access to resources. Approaches to learning covered a wide spectrum of activities, including academic and professional courses, action learning, coaching, mentoring, benchmarking, selfreflection and group discussions. With the possible exception of Lacor Hospital, formal training did not make a decisive contribution to capacity development in any of the cases. Instead, most cases that initially favoured the conventional ‘capacity development as training’ eventually shifted away from this approach given the meagre results. Favoured methods were more likely to include on-site coaching, special courses, supported replication, relationship building, and local knowledge creation and dissemination. Part of the value of this action-oriented approach was the chance to come up with learning—social as well as technical—that was customised for a particular situation or organisation. A learning-oriented approach to change has many supporters in the international development community who see it, unlike politics, as one of the most productive ways to encourage capacity development. But it is apparent from the literature and the case experiences, that making organisations in low-income states ‘learning-friendly’ presents some major challenges (Carlsson & Wohlgemuth 2000; Roper et al. 2003). Nevertheless, groups and organisations in the cases did manage to learn, sometimes in dramatic fashion. To be effective, they had to focus on learning explicitly and make an effort to master it as a capability. They needed space, encouragement and protection to do it successfully. In many ways, the challenges to effective learning mirrored those facing capacity development itself.

4.1.4

Values, meaning and moral purpose

We were struck by the contribution of the values, meaning and moral purpose to the emergence of capacity. In some cases, organisations could acquire legitimacy and an identity based on their contribution to some sort of higher purpose or ideal, rather than on changes to technique, structure and assets. In the process, such an achievement could unleash the allegiance, loyalty and motivation of the participants in ways not possible with restructuring, incentivising or strategising. We stress here the potential capacity benefits of a genuine allegiance to a set of accepted values. The case actors that achieved this—the Lacor Hospital (see Box 5), ENACT, COEP, ESDU, IUCN in Asia, and the churches in Papua New Guinea— appear to have put in place an informal psychological contract with their staff and supporters that yielded benefits in the form of recruitment and loyalty, greater coherence across units and political protection. In the case of the Lacor Hospital, this took the form of citizens and officials protecting the hospital from attack by the Lord’s Resistance Army. Under these circumstances, moral purpose functioned as a sort of glue that kept the organisation resilient under difficult circumstances. It anchored the 138

process of capacity development and provided a moral basis for collective action. It helped organisations to develop the capability to commit and engage. Adopting a ‘values’ approach to capacity development was clearly not a shortterm endeavour. Those organisations that accomplished it sometimes took decades to establish the trust, the legitimacy, and the integrity to make a difference.

4.1.5

Formal structure and systems

One of the most common approaches to capacity development was to change the formal structure and functional systems of the organisation or system. All the case actors had a formal organisational structure of some sort, e.g. a network such as the Observatório, a centralised core such as the Lacor Hospital, or a complex multi-actor system such as the Tanzanian public sector. By the term ‘formal structure’, we refer to the explicitly designed pattern of relationships, authorities, information flows, decision making, and coordination that shaped how a system such as a ministry or network would function (Mintzberg 1979). Frequently, the question for the participants was what was, or should be, the relationship between changing the structure/system and developing capacity? Were changes to the formal structure and/or system the most important issues to address? Should capacity development start with them? Or should it be assumed that structural change would only work if the intangibles, e.g. culture, motivation or learning, were addressed either first or simultaneously? In the case of the Tanzanian PSRP, the government opted for structural change first, followed by cultural change.

4.1.6

Assets, resources and financial flows

Capacity development depended to some degree on the ability of the system to attract resources in the form of development funding, buildings, operating costs, equipment, information and location. Many of the case organisations encountered genuine difficulties in funding capacity development. They did not have the operating budgets to support training, or to buy new equipment, vehicles, petrol or other assets. The shortage of staff housing in places such as Papua New Guinea constrained the recruitment of staff particularly to rural areas. Thus, in these cases, the source, composition and conditionality of financial flows had a determinant effect on the process of capacity development. Governments, for example, that could not provide financing on time to its ministries and agencies in the field ended up with unspent allocations and demoralised staff.

4.1.7

Ownership, commitment and motivation

In the cases, the complex range of patterns led us to conclude that the interconnections between ownership, human motivation, commitment and capacity development are still only dimly understood even by the participants themselves, let alone external interveners. Capacity development remains a voluntary activity. IDAs obviously cannot develop the capacity of others without their permission. But country organisations themselves cannot compel their own staff to develop either individual or collective capacity. 139

The question of ‘commitment of whom?’ appeared frequently. Commitment could be strong at the top of a structure where decisions were made, but not at the middle and operational levels where actual implementation took place. Commitment could exist for one issue but not another. It could be strong at the beginning of a process but then drain away over time. It could grow and strengthen in circumstances where people had developed a better understanding of a particular strategy or initiative and became convinced of its relevance to their own needs, but required time and space to emerge. In this sense, ownership and commitment were dynamic qualities that could ebb and flow. The question of ‘commitment to what?’ also came into play and there were two types of answers. First, participants could be committed to a complex range of things, a set of outcomes, a process, a policy, an idea or set of values, a group or an individual, a potential personal benefit or an existing system (Eyben 2004). They could, for example, favour incremental changes to an existing institution but not an effort at sectoral transformation. In the Indonesian case, we see a complex pattern of commitments and motivations at play at the district levels that unravelled during implementation as the variations in commitments and interests became apparent (Box 2). Multiple participants had multiple motives at different levels and on different issues. Second, a general sense of commitment did not regularly extend itself to cover capacity development. Participants might be committed to a certain kind of result or a distribution of benefits, but often were not committed to developing the capacity to achieve them. Individuals might have conflicting commitments that acted against capacity development. Box 2.

Commitment and ownership: The SISDUK programme, Indonesia.

The SISDUK programme in Indonesia contended with a variety of commitments during the course of the programme. Policy makers and bureaucrats in Jakarta wanted fastdisbursing, widely spread programmes that would generate visible benefits in the short term. Provincial technocrats wanted to manage the programme using tested planning and budgeting techniques. Village heads wanted direct control over programme budgets. Community participants and programme field workers who understood the system best ended up having the least power.

In some of the cases, IDAs were reluctant to lose control of programmes they supported even at the risk of eroding country ownership. Much of the current enthusiasm for country ownership assumes that such a condition will be strengthened by a reinforcing sense of donor ownership. This may not always be the case. The act of exercising ownership by country actors could have positive or negative effects. Country ‘owners’ could have no interest in developing capacity and no wish for anyone else to do so. Ownership could be contested or unevenly distributed. In the cases, certain types of ownership emerged as a vested or blocking interest. Country participants who ‘owned’ a project could be reluctant to integrate into a SWAp. Teachers’ unions, for example, frequently exercised their ownership to block educational reform. In the Pakistan case, the ‘ownership’ of certain officials led them to resist all kinds of initiatives. For that reason, the type and degree of ownership did not always correlate with qualities that lay at the heart of capacity development— commitment, motivation, persistence, courage, confidence and determination. 140

Thus the pre sence of some kinds of ownership, contrary to current thinking, could be dysfunctional in terms of capacity development.

4.1.8

Leadership, management and entrepreneurship

In this section, we look at the issue of leadership specifically for capacity development. The cases showed a diversity of contexts, styles and outcomes but with some patterns. In some instances, such as the Observatório in Brazil (Box 3), a pattern of collective leadership appeared at the beginning and remained. But in others, such as COEP, the Lacor Hospital, ESDU, the PSRP in Tanzania and IUCN in Asia, the style of leadership shifted from that of the heroic dominating figure to a more distributed approach. Over time, a leadership group would emerge, connected by shared values, formal organisational structures and past experiences. In the Lacor case, this group numbered 15–20 out of about 500 total staff. Such groups usually developed a confidence and an optimism about their ability to meet a wide range of challenges and raised the organisation to a new level of capacity and results. In practice, the capability to commit and engage appeared to emerge out of this leadership group. We can thus see in many of the cases the practice of leadership as both a means and an end of capacity development. Box 3.

Leadership for capacity development: The Observatório network, Brazil.

In the Observatório network, leadership developed in the form of an ‘invisible steering group’ that reflected, and indeed composed, an informal governance agreement among the members. This informal unit grew out of a group of like-minded academics and analysts that formed in the 1960s and 1970s to advocate for better public health. Members of this leadership group circulated through various universities, research organisations and the public sector (particularly the federal Ministry of Health) while maintaining their involvement with the network. Over time, this first generation was slowly replaced by a second in the 1980s and 1990s. This approach to leadership was based on a common allegiance to the same agenda of democratisation and improved public health. The style was much more informal, collegial and values-based, as opposed to formal, individual and heroic.

A key leadership issue in the cases was time in position. Leaders who were intent on making a difference needed to be in place for a considerable period of time in order to have an impact on the capacity of the system. In the Tanzania case, for example, the Permanent Secretary in charge of public sector reform remained in position for almost 10 years at the wish of two presidents in an effort to sustain the process of reform. Yet some organisations that kept top staff in place for a long period also faced the potential problem of stagnation and lack of renewal. This applied in particular to smaller civil society organisations that were vulnerable to the ‘founder’s trap’ syndrome—leaders who created the organisation but who stayed too long in position. A key contribution of leadership for capacity development was that of a strategic mindset. In the cases, some senior managers showed a genuine interest in, and commitment to, capacity development as an end in itself. They wanted to help create and strengthen the institutions and organisations that their country needed to make progress. They persuaded their organisations or networks to be ‘mindful’ about 141

capacity issues. Such managers also developed a sense of strategic management and adaptation, i.e. the ability to adapt the system or organisation to the needs and challenges that it was facing (Hanford 2003) (Box 4), and to understand what kind of change the system could and could not manage. In the case of the Lacor Hospital, for example, managers put in place a process of external and internal consultation and reflection that helped it navigate through security breakdowns, integration into the public health system and changes in donor financing. Leaders play a special role in creating and protecting ‘operating space’ to allow capacity to develop. In almost all the cases, we can see leaders negotiating for resources, building coalitions and political support and protection. They used their networks to keep this operating space intact. Box 4. Two leaders change, adapt and learn: IUCN in Asia and ESDU. Two of the cases are revealing about the relationships between capacity development and leadership. The leadership paths of the directors of IUCN in Asia and the ESDU in the Caribbean showed remarkable similarities. Both were women. Both were members of minority communities within their countries and regions. Both worked in the environment field. Both were heads of regional units that were part of larger international organisations. Both were interested in building the capacity of their organisations to make a major contribution to their region. Both began their work by relying on a model of leadership based on heroic and centralised direction. At a certain point, both realised that they needed to do three things: focus directly on capacity development as a priority; develop their own capability and that of their organisation to think and act strategically; and change their approach to leadership from one of heroic direction to a more facilitating, distributed style in an effort to encourage initiative and ownership at the middle and lower levels of the organisation. Both these leaders and their staffs struggled to make the collective transition to a new style of leadership. An implication here has to do with the common image of effective leadership as heroic, hierarchical, dominating and charismatic. In several cases, leaders did emerge who could ‘drive’ performance and results. Yet it seems clear that such a style could also be ineffective in meeting the longer-term challenge of capacity development in the form of resilient and effective organisations.

4.1.9

Readiness and absorptive capacity

In the cases, readiness and absorptive capacity were elastic, dynamic qualities that were shaped over time by a broad array of factors, including: • the level of organisational commitment and motivation to deal with a particular capacity intervention; • the level of confidence of the participants in the eventual utility of the intervention; • the proposed speed, timing, complexity and duration of the intervention; • the perception of the risks involved; • the climate for and politics of the intervention; • the nature of the country understanding about an intervention; and • the attitudes of other stakeholders and external groups. 142

In the cases, readiness and absorptive capacity were about ‘fit’ and matching, and also about intangibles such as confidence, inducements and level of understanding. Why would an organisation or system accept a particular prescription or intervention? What would be the limits of such acceptance and openness? They were also about the willingness and ability to manage change in the form of capacity development. Organisations that had some experience in shifting their structures and behaviours would usually have greater levels of readiness and absorptive capacity than those that did not. They also varied over time and with the nature of the intervention—large, comprehensive efforts were more likely to fail, while smaller, more experimental interventions might succeed. Every organisation or system contained within it a series of rejection mechanisms that could be triggered by the nature and scope of the intervention. The capability to absorb effectively could also come with risks. In Indonesia, Takalar district eventually ‘absorbed’ the SISDUK programme by dispensing with its unique features and getting it to ‘fit’ within the regular procedures of the district bureaucracy. Effective absorption or ‘mainstreaming’ could thus have the unintended effect of killing or diminishing promising capacity development experiments and innovations.

4.1.10 Coherence All the actors in the cases struggled in some way to address a basic issue that shaped their capacity—the balance and the tension between diversity and coherence. They needed the ability to focus on their particular mandate and identity. In many cases, they had to respond to different clients, accountabilities and contextual factors. Since meeting the challenge of reconciling the demands of individual action and collective efforts was critical to capacity development, the ability to balance diversity and coherence is one of the five core capabilities. We can see this tension at work in several cases. IUCN in Asia, for example, began building its capabilities by focusing its attention at the country level supported by a headquarters and support unit in Bangkok. Yet over time it became apparent that clients were also demanding more comprehensive regional approaches that could address transnational issues. IUCN in Asia was then forced to balance country versus regional approaches in some kind of coherent way. This demand led, in turn, to a different type of organisational structure, different capabilities and mindsets, and even different types of staff. Achieving coherence is one of the keys to forming capacity. Individual competencies have to be combined into collective capabilities which, in turn, have to be balanced to produce a capable system or organisation. Coherence is thus both a means to and an end of capacity development. It has also acquired greater importance as development interventions have become more complex and diverse. Capacity as a condition lost effectiveness at both ends of the diversity-comprehensiveness spectrum. Too diverse, and the fragmentation may overwhelm collective action, but too much emphasis on integration can lead to a loss of variety, innovation and flexibility. 143

4.1.11 Resilience Much has been made of the need to make capacity sustainable. But too often, sustainability has amounted to little more than unproductive or even predatory longevity, a pattern that could be seen at work in many of the public sector organisations created in low-income countries in the 1960s and 1970s. Indeed, sustainability as a condition in such cases proved so dysfunctional that it had to be countered by efforts to reduce and eliminate it in the 1990s. Some of the cases, especially the Lacor Hospital, highlighted the need to think more about the concept of resilience (Box 5), or the ability of a system to deal with shocks and disruptions without changing its fundamental nature or its ability to create value. Such a capability is becoming more important in the context of rapid change, instability and fragility in many states (Weick & Sutcliffe 2001; Sheffi 2007). The immediate question is thus whether such a capability can be intentionally embedded in an organisation or system, and if so, by whom, and how? Box 5. Resilience in a difficult context: The Lacor Hospital, Uganda. The Lacor Hospital operated in what must be one of the most difficult contexts imaginable. Gulu province in northern Uganda had been devastated by war, HIV/AIDS, growing poverty, and in the early 1980s an insurrection involving the Lord’s Resistance Army. At various times the hospital was looted and some senior managers were kidnapped. In 2002, Lacor led the fight against an outbreak of Ebola, resulting in the containment of the disease but also the deaths of 12 of its senior medical and nursing staff. A series of massacres in May 2004 led to the nightly inflow into the Lacor compound of over 10,000 ‘night commuters’, mostly women and children seeking sanctuary. Later, the hospital had to adapt to being integrated into the national health service under the aegis of a SWAp, a transition that involved wrenching changes to its financial and reporting status. Yet throughout these dramatic events, the hospital showed its resilience by gaining in capacity, legitimacy and effectiveness.

Capacity seems to be directly correlated with the quality of resilience, as the cases illustrate. Organisations that were loyal to a set of values that participants clearly supported had the ability to withstand strain and disruption. People would continue to battle for the future of the organisation regardless of the state of its tangible assets. This capability for resilience appeared to come out of the informal, intangible side of the system such as a sense of confidence and mastery, a feeling that no matter what the challenges, the organisation had the spirit and presence to overcome them. The organisation or system might have a formal structure designed to withstand stress and disruption. The emphasis here would be on simplicity, decentralisation and delegation to allow distributed sources of energy and leadership to emerge in the event of shocks and societal collapse. Some sort of tacit redundancy would also likely be present in the form of informal partners, network allies and other actors able to free up resources and support the organisation in the event of shocks. In the Lacor case, the family of Catholic institutions provided emergency staff, resources and moral support. 144

4.2

Externally driven processes for capacity development

In this section we look at various externally driven processes and how they induce capacity development. These include the following:

4.2.1

Institutions

Most of the discussions about capacity development with country participants centred on the structure and workings of formal organisations. Yet it was clear that institutional issues—the formal and informal rules of social and political interaction, or rules of the game—could influence actor behaviour and determine the pattern of constraints and opportunities associated with capacity development. These institutions could be formal or informal. They could be laws and regulations or long-standing ways of interacting that had deep historical roots, and were themselves changing, albeit with different rhythms and for different reasons. Changes to formal institutions such as laws could be put in place relatively quickly as were various laws on decentralisation enacted in Indonesia, the Philippines, Ethiopia, and Papua New Guinea. Informal institutions were often much slower to change.

4.2.2

Demand and supply

There is a good deal of evidence in the cases for the power of demand. In the Philippines, the Local Government Support Programme showed the power of demand-side pressures from civil society organisations and citizens who worked to monitor the municipal councils. In Ethiopia, the Education Sector Development Programme provided for ‘watchdog’ institutions at the woreda and even kebele levels to monitor progress. The traditional gemgema system was also used for accountability purposes to carry out assessments of teachers and other public officials. On the other hand, it is not clear from the cases if demand-side approaches will by themselves lead inexorably to improved capacity in ways not possible under the old supply-side regime. If we go back to the question of how capacity emerges in a society, we saw the classic citizen demand pattern working in only a few of the cases. What emerged was a much more varied pattern of relationships between ‘demanders’ and ‘suppliers’ that worked at different times for different kinds of organisations. Many of the cases were characterised by huge needs and passive demanders. No energy or initiative existed on the demand side to pressure for more supply in the short or medium term. Often stakeholders just did not know about a service, or were not persuaded of its value. Many effective organisations in the cases emerged out of conditions of either minimal or high demand (Grindle 1997). In practice, capacity entrepreneurs tried to generate a ‘demand-inducing’ supply, or ‘opportunity structure’, focusing on the intersection of need and opportunity as well as demand (Bennett 2003). They found niches in the development market and then came up with goods and services that fitted within them. The Tanzanian Public Sector Reform case showed the effectiveness of this through initial ‘quick wins’ based on supply-led interventions that built support and confidence by generating tangible performance. Later, a pattern of reinforcing demand and supply would 145

ratchet the relationship and the organisation up to new levels of performance and legitimacy. Classic demand-side approaches had the best chance of working in cases where the means, outcomes and ends were tangible and measurable at the point of delivery. In particular, they applied best to service delivery organisations in the public sector such as health, education, justice and policing (WDR 1997, 2004). The cases show different kinds of demand-side pressures. In the Philippines, NGOs built on years of democratic activism to improve local services. In that case, both the supply and demand came, in large, part from a new, younger generation of leaders intent on improving governance and national development. In Pakistan, however, demand was limited by the lack of experience and a tradition of public action (Box 6). Box 6.

Demand-side strategies for capacity development: education sector, Pakistan.

In Pakistan in the period 1995–2003, a number of mechanisms had either evolved or were established to increase accountability in order to improve state education services: • a national bureau charged with designing the devolution policy and regulations to enhance accountability and service delivery; • citizen community boards charged with monitoring service delivery, and a body mandated to develop their capacity; • the Pakistan Bar Association attempted to give legal backing to demands from key groups to compel improved services; and • alliances with civil society organisations to work on creating greater demand. These demand-side mechanisms seem to have had limited influence on improving service delivery. Major constraints still existed on the supply side, including the bureaucracy, which had little commitment to improving educational opportunities; inadequate pay, leading to low staff morale; low public expectations of the state education sector; few if any pressures or incentives to perform; and a dysfunctional budget system. Changing these constraints would require supply-side interventions, at least initially, to stimulate the bureaucratic and political elites to fight for change.

The politics of demand, or demand ‘from whom’, was an issue in some of the cases. Various citizens and interest groups frequently made conflicting demands on suppliers. A host of other stakeholders, often in developed countries—the media, donors, auditors, politicians—imposed demands that could override those of distant beneficiaries. Powerful political groups could derail demands from peripheral groups. In practice, most capacity development interventions struggled to cope with imbalanced demands—too few from beneficiaries and too many from other self-interested groups. Bureaucratic ‘capture’—a form of demand—was a regular pattern of demand. The timing and sequencing of the demand and supply relationship was an issue in some of the cases. Supply-side interventions such as training could be mounted quickly. Governments wishing to create the appearance of action were inclined to start on the supply side. The Tanzanian Public Sector Reform Programme was a ‘supply’ side intervention for about a decade and only began to work on the demand side after over 15 years of work. 146

The debate about supply and demand needs to be situated in the context of social and economic rigidities that affect the ability of people to express their needs. These can be deeply rooted constraints that in many countries will require decades to resolve. For the foreseeable future, disadvantaged sectors of society may be left out of most development programmes unless those programmes reach out to them. Many of the case organisations found ways to initiate activity from the supply side and then quickly to connect these interventions to the demand side. This was true even in difficult contexts. Both the Lacor Hospital and IUCN in Asia, for example, gained strength in contexts of weak demand and dysfunctional institutions by developing activities that were relevant to often unexpressed but very real needs. They were not hostage to a shortage of demand.

4.2.3

Power and control

Capacity development has frequently been portrayed as an apolitical process during which participants willingly learn skills, techniques and behaviours that allow them to carry out their tasks. But many capacity development activities, such as organisational restructuring, downsizing, skills development, privatisation and transparency, are intertwined with issues of power, politics and vested interests. Such activities may shift authority and influence from some groups and individuals to others. Ideas and identities may be in conflict. Individual, group and organisational interests are usually at risk. In some cases, systems are designed to be ineffective for political reasons, while in others, essential capacity can be deliberately destroyed in order to support or protect other interests. The existence of and scope for action of many of the institutions and organisations in the case studies represented the outcomes of political bargaining among different groups in a society, many of whom acted, not surprisingly, in defence of their particular interests. Of particular importance here was the behaviour of political, bureaucratic, ethnic, regional and commercial elites whose ability to form supportive coalitions in support of capacity development was key. Political leaders in Tanzania and Rwanda acted to promote better capacity and performance in the public sector. Elites in Russia, the Philippines, Jamaica and the Eastern Caribbean provided resources, protection and attention. In contrast, political elites in Papua New Guinea had little interest in pushing for real reform and capacity development. Intra-organisational or system politics also influence capacity development. In many organisations, key groups and coalitions—headquarters managers, field offices, the finance section, a dominant ethnic group, a specialised technical group—might prefer to restrict or even undermine the performance of their own organisation rather than cede power to internal rivals. Three political issues were critical across the cases and participants in activities may find it useful to reflect on the following: • The pattern of restraints/incentives for elites; • The nature and durability of the space for institutional pluralism and distribution of power; • The degree of societal cohesion and political conflict. 147

4.2.4

Legitimacy

Legitimacy has long been recognised as a core element of effective governance (Brinkerhoff 2005). Citizens’ acceptance of political and institutional regimes affects their capability to exercise power and authority effectively and sustainably. But the case experiences indicate that the presence, or absence, of legitimacy also influenced the development of capacity across a range of circumstances. Actors that had earned or had been granted some sort of legitimacy appeared to benefit in terms of improved capacity. We can see in the cases examples of at least two kinds of legitimacy. First, actors such as the churches in Papua New Guinea had earned what has been called normative or moral legitimacy, in that they reflected socially acceptable or desirable norms, standards and values. Legitimacy came not from performance but from a reassuring symbolism and sense of connection. Second, organisations generated pragmatic or performance legitimacy, based on their instrumental value for their stakeholders. They performed and produced value for individuals and groups who, in turn, acted to support and protect them. Perhaps the most dramatic example of this exchange was the Lacor Hospital, which had offered health care services to all people in the Gulu area since the early 1960s. In return, residents defended the hospital against incursions of the Lord’s Resistance Army. The cases suggest that capacity was as much conferred from the outside as it was developed internally. Stakeholders—clients, peers and oversight organisations— developed their views on the legitimacy of an organisation based on how well it performed against its core capabilities, especially its commitment or motivation, its ability to carry out tasks, particularly delivery of services, its relationships and its adaptability and hence ability to survive. The need for legitimacy encouraged actors to earn support and approval from other groups in society. Part of this effort involved building trust, reputation, reliability and relevance. Organisations with little societal legitimacy, such as public agencies with a record of corruption, did not have much success in developing their capacity through technical or functional fixes. Citizens and other groups had already disconnected from them. Nor would legitimacy come just from improved performance, as many funding agencies might hope. Although external agencies might be able to do little about the issue of legitimacy, they need to be aware of its contribution to capacity and the long-term efforts that have to be made to achieve it.

4.2.5

The creation and protection of operating space

The cases suggest that the creation and protection of operating space is essential for effective capacity development. By the term ‘operating space’, we mean a protected area within which participants can make decisions, experiment and establish an identity. Such a space can be physical, organisational, financial, institutional, intellectual, psychological or political (Webster & Engberg-Pedersen 2002). It can be created and maintained in a variety of ways such as conscious positioning outside the main political battle ground in order avoid attention or predatory behaviour; protection by law, custom or legitimacy; or buffering by powerful protectors, including development agencies (Box 7). Access to independent sources of funding could also help to preserve autonomy. 148

Box 7.

JICA and buffering: SISDUK, Indonesia.

In Indonesia, the Japanese aid agency JICA buffered the SISDUK experiment from the intrusions and pressures of the local political and administrative system. It provided a space for innovation and experimentation that lasted for 4–5 years. Its pilot status gave it bureaucratic and financial protection. The programme related to a separate set of incentives and accountability arrangements. And beyond all these arrangements, JICA could defend the programme directly using its relationship with the government. Part of the explanation for later difficulties was the weakening of the operating space put in place during the pilot period.

Operating space for capacity development was critical for creating the conditions that allowed a psychological sense of ownership to take hold. The government of Jamaica, for example, designed the ENACT unit as a quasi-programme management unit (PMU) in an effort to free it from the control of any one department or ministry. Such an approach went against the conventional wisdom regarding the dysfunctions of PMUs and the need to use government systems. The Jamaican authorities wanted to encourage innovation and experimentation at an early stage of the capacity development process, neither of which was likely to come out of the established systems. The Pan-American Health Organisation, the Ministry of Health and the network itself constructed a delicate balance that allowed the Observatório network enough space to function and experiment—but also enough connection and collaboration to keep it relevant and focused. Some of the case actors were able to prevent IDAs from shutting down their operating spaces, including persuading funders to be less intrusive, and freeing up resources to support learning and reflection. Some agencies, such as CIDA, the World Bank and DFID, deliberately refrained from imposing onerous monitoring and evaluation (M&E) schemes on young organisations in the early stages, in part to allow them the space to experiment and develop their own approaches to M&E. Creating and maintaining space required a complex and delicate balance: too little space could lead to the withering of innovation, energy and commitment. Participants could become disempowered through the relentless erosion of their operating space. But too much space could be equally damaging. People and organisations lost a sense of accountability and responsiveness. They became isolated and cut off from other sources of energy and collaboration. Over the medium term, this tended to undermine their resilience and adaptiveness.

4.3

The dynamics and strategies of capacity development

In this section we look at the dynamics of the processes of capacity development that appeared in the cases. How did approaches to capacity development unfold in practice? Were they, for example, planned or incremental or emergent? Were they comprehensive or focused? Were they broad and political or narrow and technical?

4.3.1

Capacity development as an element of change

Capacity development as a process did not take place independently. The interconnections with other processes—retrenchment, mass dismissals, downsizing, rapid 149

expansion—could be supportive or damaging. In addition, different aspects of capacity development moved and changed at different speeds. Structural changes, training programmes, functional improvements and other ‘first-order’ changes could be put in place quickly. Deeper ‘second-order’ changes such as shifting ‘mental models’, building legitimacy or developing complex capabilities could take years to embed in daily practice. Change could unfold slowly over decades, as in the Lacor or Tanzania cases, or it could suddenly explode into action, as in the Indonesia case. Almost the entire focus of capacity development is on improving or developing. Often, the assumption is of creating something from scratch or adding something new. Almost all techniques and frameworks are premised on this positive direction. But what may be of equal importance and much more difficult to implement is the idea of capacity destruction. All the case organisations as they evolved acquired core rigidities, vested interests and outmoded practices, many of which had previously created value, results and even a sense of identity. Existing capabilities were the result of past, hard-won understandings about what to do and how to do it. But without their destruction, or at least reconfiguration, little progress on capacity development was likely to be possible. Some came close to mastering capacity change in the form of destruction; IUCN in Asia institutionalised it within their regular review cycles. Others, such as Takalar District in Indonesia, struggled unsuccessfully to change old relationships of control and power. After a period of community-based bottom-up planning, the village heads eventually reclaimed their old roles of choosing which community development projects would be funded. We thus see participants struggling to combine capacity development, capacity destruction and capacity maintenance.

4.3.2

Three approaches to capacity development

Approaches to capacity development can be categorised in many different ways, topdown and/or bottom-up, technical and/or organisational, individual and/or organisational. In this report, we use three other approaches: planned, incremental and emergent.

4.3.2.1

Planned approaches

In the cases, planned approaches were based on planning, control and intentionality or, put another way, the techniques of scheduled and engineered interventions or ‘planned’ change. The core assumption was that planning and ‘design’ could be used to generate shifts in capacity in an organisation or system from one state to another. This approach lent itself to targeting, to the crafting and achievement of clear objectives, to the scheduling of activities, and to the application of results-based management. Participants who favoured this perspective tended to see capacity development as an activity that could be managed like a project or a programme. All the case organisations used planned approaches to some degree, especially with respect to tasks that were clear in terms of ends and means, and that would respond to a disciplined, systematic approach. The use of a clear and accessible 150

planned approach helped to reduce confusion in the early stages, so that participants felt more comfortable, and allowed coordinated action. But we detected that such approaches were also used as symbolic devices to reassure participants and to gain legitimacy from IDAs. Creating the appearance of planned change was important in many instances. Case participants also needed the plans and data associated with this approach to compete for funds within country bureaucracies. Not surprisingly, the more participants relied on external funding, the more they claimed to be using a planned approach to capacity development. Box 8.

Planned change: The Public Sector Reform Programme, Tanzania.

Among the cases, the best example of planned change was that of Public Sector Reform Programme in Tanzania. The World Bank, DFID and others agreed in advance on the prescription of the new public management leading to comprehensive change across the public sector. Strong leadership came from the President and the permanent secretary. All ministries and departments were compelled to participate. External technical assistance assisted in the design of objectives and strategies for reform, including detailed work plans and implementation schedules. The impetus for change was thus on the supply side.

Planned approaches to capacity development appeared to work best under the following conditions: • • • • • • •

a shared consensus about policy and direction; resources to pay for the support systems; more tangible objectives especially technical and functional; the possibility of control from senior managers; the need to start on the supply side; an opportunity to quantify means and ends; and a focus on the formal and the programmable.

On the other hand, most participants were reluctant to employ systematically the planned approach as a ‘master’ strategy of change, i.e. the set of assumptions and principles shaping daily action. Only one case—the Public Sector Reform Programme in Tanzania—came even close to claiming it as its main strategy (Box 8). Such ‘big bet’ strategies using blueprint methods were seen as too complex, too unwieldy and too inflexible to deal with situations of great uncertainty and rapid change (Fullan 1999).

4.3.2.2

Incrementalism

A second approach seen in the cases was that of incrementalism, which is based on the principles of adaptiveness and flexibility in implementation. In practice, it was about the capability to make changes within a structured process of capacity development. Strategies could still have preset objectives and milestones, but they functioned more as guidelines than as actual fixed targets. The incremental approach to capacity development tended to work best in situations where the context was unstable and the choice of strategy was difficult to clarify. These included situations in which the participants were uncertain about making 151

predictions about capacity and performance needs, or when the constraints or the degree of commitment were not well understood. Such small experiments could lower the risks inherent in large, more complex interventions and could provide the foundations of a more complex system by building it from the ground up in ‘chunks’. In practice, incrementalism was the preferred approach to capacity development and was used most of the time by most case actors, especially the multi-sectoral, multi-actor systems whose ‘loose-coupling’ and sometimes conflicting interests and attitudes did not lend themselves to ‘planned’ change as a strategy.

4.3.2.3

Emergence

As described above, planned change relies on prediction, goal setting, hierarchical structures and top-down strategy. Control and intentionality are the key factors in making capacity development happen. Incrementalism relies more on adaptiveness, learning and adjustment. Emergence, as it appeared in the cases, represented yet another approach to change and capacity development in complex adaptive systems whose behaviour could not be managed in any conventional sense. They were living organisms with an inner dynamic of their own. The driving forces for change were not control and centralised direction or even adaptiveness, but rather relationships, interactions and system energy. Emergence needed a shared sense of meaning and values, some sort of collective identity and a system boundary, some fungible resources, some basic rules of conduct and a protected space that allowed for some freedom of action. Capacity was seen to emerge out of the multiple interdependencies and the multiple causal connections that were operating and being encouraged within the system. This was ‘means-based’ as opposed to ‘results-based’ management. It focused on nurturing relationships and then waiting for results and capabilities to emerge (Box 9). The usual mechanisms— clear objectives, explicit strategies, scheduled activities, targets—were not applied. Capacity from this perspective was partly about functional expertise, but also about system cohesion and energy. The emergence approach also depended on the nature of the context and the task. It functioned best in ‘complex’ situations. Emergence did not work well in situations of intense conflict and politicisation where relationships could not be sustained. It was not an approach to get a specific task accomplished within a short period of time. It fitted uneasily with many funders and senior managers who wished to see more control, direction and intentionality. In particular, it was unlikely to be acceptable as a capacity development strategy within large public sector organisations. It needed space and freedom to explore the best way forward. It did not mesh well with ideological constraints.

4.3.3

Combinations of capacity development approaches

Many organisations tend to rely on a single approach to capacity development. In the cases, no single approach, e.g. institutional reform, structural change, incentives, emergence, learning, organisational development, planned change or demand-side pressure, by itself, had the power and the traction to shift a complex system. All of them worked at certain times and in certain ways and for certain 152

Box 9. The emergence of capacity: Two networks in Brazil. We can see the process of emergence at work in the COEP and Observatório cases in Brazil. They were first energised by the pursuit of key values to do with democratisation and social justice. They grew organically through informal connections and relationships. They refused to set clear objectives at the outset. A direction and an identity emerged over time. Facilitation, connection and stimulation worked better than traditional directive management. There was no attempt to develop formal hierarchies at the outset. They experimented throughout the network with small projects and interventions. There was a constant exchange of experiences, information and knowledge. They spun off many working groups, informal communities and associations. Collective networking capabilities emerged through linking and connecting capabilities at the individual and organisational levels.

things. Each could make a contribution within a range of conditions. But to be effective, they usually had to be combined in some way with other capacity development strategies. What emerged in the form of a capacity development ‘strategy’ was frequently a complex, customised, or sequenced set of approaches. Some were more explicit, others more tacit. Participants tried to combine, integrate and sequence their approaches as they became more aware of the nature of their capacity challenge, the demands of stakeholders and the dynamics of their own organisation or system. The COEP network in Brazil, for example, used emergence in its formative period and then added a more incremental approach as the network reached a certain size and age. The LGSP in the Philippines simultaneously employed a complex array of approaches that had to be combined in an effective way (Box 10). Some were conventional efforts at planned change along a linear or staged pathway in pursuit of prescribed outcomes, while others were more incremental. Yet others were much more emergent and open-ended. Another pattern was the application of a planned strategy on the modern, formal side of the organisation, combined with more incremental or emergent approaches on the informal, shadow side. We can see this tactic at work in several cases, such as the LGSP in the Philippines, the health sector in Papua New Guinea, and CTPL Moscow. Many capacity development ‘strategies’ were possible and feasible, including ones that hardly looked like ‘strategies’. Some participants professed to have only a ‘no strategy’ strategy toward capacity development and resisted external attempts to impose one on them or compel them to follow a conventional version. Three of the cases (IUCN in Asia, ENACT, the Lacor Hospital) relied on a combination of values, general intent and learning. The participants then subtly resisted the use of formal plans, targets, milestones, work plans and the other conventional methodologies. The emphasis was on adaptiveness, flexibility in the face of unpredictable change and continual uncertainty (Mintzberg 1994). Strategies, in practice, formed and emerged over time. In summary, we found few capacity development strategies that worked well in all the cases. We found no ‘code’ or recipe for effective capacity development. A project 153

Box 10. A multi-faceted approach: The LGSP, the Philippines. Of all the cases, the LGSP was the most deliberate in employing a range of capacity development strategies simultaneously. The decision to go with many overlapping interventions was itself a strategic choice of real importance. In practice, the programme used the following approaches: • • • • • • • • • •

demand-side pressure from citizens and NGOs; supply-side access to training, international TA and other support services; institutional development through the new Local Government Act; conventional training; performance management and measurement using planned techniques; organisational development at the municipal level; facilitated learning through peer-to-peer exchanges; systems learning as a complex adaptive system; a focus on leadership and ‘followership’; and emergence as a way to connect up different groups in the local government system.

management unit (PMU) approach was quickly rejected in the ESDU case as a barrier to national ownership, but was successfully adopted by the government of Jamaica to promote national ownership of the ENACT programme. Heroic leadership was key to the initial success of IUCN in Asia, but it played no role in that of the Observatório in Brazil. Long-term technical assistance was quickly phased out in the Tanzania case to improve sustainability, but it remained critically important for the Lacor Hospital for the same reason. Simply put, we could find the reverse of much of the current conventional wisdom about capacity development, as well as much that confirms it. Part of the success of particular approaches clearly lay in individuals and groups thinking through their particular situation and then coming up with a customised way of matching, crafting, failing, adapting, learning and persevering.

4.3.4

The sequencing of capacity development

During the case research, we were interested in issues of sequencing—where to start, what capabilities to develop and in what order. On balance, we are cautious about suggesting a formula for sequencing. In the cases, there turned out to be many different sequencing ‘logics’ that applied at different times and in different ways. At one end of the spectrum, certain technical interventions clearly needed to be scheduled and planned, especially in situations where both the means and ends were clear. At the other end of the spectrum, participants using the approach of emergence did not attempt any detailed sequencing of steps. But in the middle, the case actors made decisions about the pace and flow of events depending on the circumstances. These decisions did not always respect the conventional wisdom that certain conditions are required before interventions at the meso and micro level can be productive. In some situations, organisations were able to buffer themselves from external threats and to benefit from the opportunities and spaces created by chaotic contexts. In others, suspending support at the meso or micro level was not a practical option given the time needed to create an enabling environment, or the domestic pressures for some sort of performance. What appeared to be 154

a better strategy was to help country actors in non-enabling contexts. On the other hand, in some cases, the grip of vested interests or the influence of certain institutional patterns made it sensible to delay interventions, especially those that targeted these interests directly, or to start with smaller, experimental attempts to introduce change. The LGSP in the Philippines used this strategy to avoid contentious battles with powerful groups that continued to control some municipal governments. In yet other cases such as ESDU and the churches in PNG, capacity development did not develop much momentum until senior leaders energised the process—by devising a broad strategy, putting the issue on the internal agenda, beginning to change their own behaviour or creating space within the system. There appeared to be a rough evolutionary process of sequencing at work in the development of capabilities. The creation or strengthening of a capability relied on a set of complementary investments in tangible assets, the development of individual competencies, in process development and in the establishment of relationships that frequently crossed the boundaries of the organisation. Over time, such capabilities were embedded in the organisation through a process of institutionalisation and routinisation that allowed participants to master them. We also emphasise here the idea and practice of balancing as opposed to sequencing. Organisations would focus on one aspect such as technical capabilities only to discover in time that other non-technical aspects, e.g. collective action or trust building, had fallen behind or weakened. This need for effective balancing seemed greater in situations of low consensus and commitment, as in the Philippines.

4.3.5

The issue of time

The ‘time’ issue raised most often was the need for participants to take a long-term approach. The argument here, which we partly agree with, centred on the requirements of a complex process of political and institutional change that might require years or decades to unfold. In the cases, we can see these deeper processes at work. Decentralised education service delivery in Pakistan had to contend with issues of power and authority at the state, province and district levels that had been contentious since colonial times. The effectiveness of local government reforms in the Philippines depended a great deal on the entry into power of a younger generation of mayors with a different set of values, skills and expectations. In this sense, the capacity of organisations and institutions reflected, and took energy from, deeper political, economic and social trends in a society. Processes that went too fast and outran the consensus that sustained them led, in turn, to individuals and groups dropping out and resisting the pace of change. But the long-term approach, no matter how appropriate in terms of the evolution of capacity development, had to face the hard reality of IDA impatience and loss of internal legitimacy. In an era of ‘demanding’ and ‘proving’ results, most long-term efforts had little chance of surviving without facing the need to demonstrate just what has been gained for the money expended. The cases thus show the opposite of the long term; i.e. the need for speed and urgency in the short term. Windows of opportunity would open briefly and create the space for capacity entrepreneurs to act. IUCN in Asia, the Lacor Hospital and 155

ESDU were each confronted with a crisis—the Asian tsunami, the Ebola outbreak in Uganda and environmental disasters in the Caribbean—that needed capabilities to be developed and deployed quickly. Many public officials had little interest in longterm capacity issues given the rapid rotation of staff within most public agencies. At the heart of the ‘time’ issue thus lay one of the most difficult of capacity challenges, that of combining short-term responsiveness, usually in the form of some sort of change in performance or technical capabilities, with the ability to focus over the long-term on the development of more complex capabilities such as slow, incremental, collective learning. The more effective case actors, such as the Lacor Hospital, IUCN in Asia and ESDU, succeeded at both levels. The less effective failed at one or both of these tasks. The challenge, particularly for organisations in the public sector, was to sustain both processes over a long period in a context of shifting political trends and bureaucratic dynamics. IDAs also struggled to address the time issue. In many instances, they tended to support short time frames—the usual 3–5 years—for capacity development. Yet many IDAs were also getting involved in ever more complex, multi-actor interventions such as SWAps. Some chose explicitly to focus on the long-term. The PanAmerican Health Organisation had supported the Observatório network in Brazil for over 30 years. The World Bank and DFID were halfway into a 20-year commitment to public service reform in Tanzania. CIDA had supported the ENACT programme for over a decade of ‘searching’ and refrained from premature pressure for shortterm performance (Box 11). Box 11.

Some questions about time.

• Under what circumstances should programme participants, both country and external, adopt a long-term view of capacity, as is frequently recommended? Is it feasible for them to do this given the constraints? What, in practice, would constitute a long-term view? What else has to happen for a long-term perspective to be viable? • How can we square the demands of the long-term with most public sector procedures? • When is the drive for short-term results—‘quick wins’—advisable and necessary? And when are rapid results supportive of a long-term process and when are they in conflict? • How important is it to think about time in terms of historical evolution? Do participants need to know about how the process of capacity development evolved to where it is now? • Do busy staff have enough time to devote to capacity development, and who pays? • Who sets a ‘timeline’, and on what basis? Who decides when it is the right time? • How does the resource of time match up with those to do with money, people, commitment and ideas?

4.4

Operational implications

The main message from the above analysis is the need for some sort of strategic thinking and acting to do with capacity development as a form of change. Participants in the cases gained by thinking through the potential dynamics of change, using planned strategies in some instances and emergent approaches in others. Participants also needed to communicate such strategies in a variety of ways to other 156

groups whose support or intervention was needed. Such strategies could be tacit in some instances and explicit in others. They could be conventional or highly innovative. They could be long or short term. But above all, there needed to be a mind at work that could in some way, contribute to the shaping of events and ideas about capacity development.

5 CONCLUSIONS At the beginning of this paper, we asked the question: Does capacity have any substantive meaning and development contribution of its own? Although we started out with some ambivalence about this concept, we now suggest the following advantages to retaining it, and even to giving it more emphasis: • It encourages us to think about a constantly neglected subject—the ‘how’ issues, the implementation challenges, the operational. It encourages us to accept the idea that strategies do not implement themselves, no mater how brilliantly conceived. They need to be underpinned by the ability to make them operational. Despite all that we know about this issue, the international aid community is still drawn to the ‘what’ and the ‘why’ issues at the expense of the ‘how’. • It encourages us to think about the deeper purposes of development cooperation. Are substantive gains such as those in health, education, agriculture, environmental protection—the usual idea of ‘results’—the only true end of development? Or is the ability of a country to choose and implement its own development path—its basic capacity—also an end of development as well? We see the strategic mindset that treats capacity as an end in itself as a crucial component of any serious effort to improve the ability of people and organisations to do things better. Countries need to see effective systems such as institutions and organisations as crucial elements of their development puzzle. Such systems house the collective ingenuity and skills that countries need to survive. In our view, the conventional emphasis on ‘results’ does not necessarily lead to capacity. But capacity usually leads to results. • It encourages us to think about a series of basic issues such as adapting to rapid change and resilience and sustainability. We discussed at length the different processes that can be used to support capacity development. A key choice about the nature of an intervention is: how can an outside intervener constructively support the efforts of others? How can external support be provided in a way that does not erode the motivation, initiative and autonomy that are the essence of self-help? What would a ‘helpful’ relationship in support of capacity development actually look like? In the cases, we see different approaches to capacity development creating different kinds of relationships or engagement. These fall into two categories—direct and indirect. ‘Direct’ implies that external actors take on direct responsibility for either implementing or designing a development intervention. They take or are given some sort of control and take independent initiatives albeit with some participation or agreement or assistance from country actors. The ‘indirect’ refers to a 157

Table 3.

Direct and indirect approaches to capacity development.

Direct approach

Indirect approach

Direct refers to the nature of the role of external interveners—TA personnel TA take a direct role in doing things; they achieve results

Under the indirect approach the priorities shift The donor’s ‘results’ are only those that provide support to the country staff to achieve things TA personnel do not work independently; they act indirectly through others The priority is not action and delivery, but support and facilitation Capacity development and promoting self-help are important Country staff do not cede ownership, temporarily or psychologically

Temporary control and ownership shifts to TA Capacity development is mainly a side benefit arising out of the effort to do things Results or products are the direct ends Ownership by the external intervener may be stronger than that of the country partner

facilitation or supportive role by external interveners whereby they work indirectly through country actors. They do not have independent responsibility or an area of action (Table 3). Increasingly, the indirect approach also includes working on the local conditions and processes that shape capacity development. In the cases, IDAs became involved in trying to change contextual forces in an effort to help create the space and opportunities for more effective capacity development in the medium term (Box 12). Examples of these broader interventions include support for improved governance in Papua New Guinea, the application of conditions for Russian accession to the WTO, and the opening up of new sources of revenue for Lacor Hospital. Most of the dilemmas and unintended consequences associated with direct external interventions are well known. Even though more advanced countries such as India or China have the capability to extract value out of the direct relationship without losing autonomy or control, such an ‘aid relationship’ between country and external intervener has an in-built tendency to teeter on the edge of dysfunction. Its apparent imbalance in resources, power and knowledge can give a feeling of mastery to the helper and dependence to the helped. It can confer ‘expert’ status on the helper that may be justified in terms of technical knowledge but is usually unwarranted in terms of process skills or country knowledge. It is likely to focus attention on gaps and weaknesses that can further add to the feelings of dependence and disempowerment of the country actors. This combination of factors can, in turn, unleash a range of logistical and psychological country reactions that can be tricky to recognise let alone address. The aid relationship can also get tangled up in a web of perverse incentives, hidden agendas, diversionary tactics and political influences on both sides that undermine its effectiveness. Both sides can get locked into an unproductive relationship. They are in it more by mandate than by choice. They have conflicting interests and motivations. They can end up without the will or awareness to make it work. 158

Box 12. An indirect approach: PAHO and the Observatório network, Brazil. The role of the Pan-American Health Organization (PAHO) in support of the Observatório network in Brazil is a classic example of an indirect approach. It involved a nuanced combination of external technical support, facilitation and protection. Part of the explanation for its effectiveness was PAHO’s own technical knowledge and familiarity with the Brazilian health sector. But the deep explanation revolves around the intervention strategy it followed over the medium and long-term, which involved almost no provision of funding or international technical assistance. PAHO’s strategy included: • • • • • •

an emphasis on joint learning, co-production and partnership through networking; experimental interventions uncoupled from rigid targeting; bureaucratic protection and buffering to maintain the Observatório’s operating space; the use of Brazilian technical assistance; building on strengths and opportunities; attention to creating appropriate relationships in a multi-actor setting, and connecting Brazilian actors into international networks and sources of knowledge; • a focus on capacity rather than performance; and • a 30-year horizon to provide for stability, continuity and trust.

Ceaseless negotiations and manoeuvrings then ensue which drain the relationship of any real energy. In addition, we would like to suggest a few other selected conclusions which arise form this paper, as follows: • The balance of issues in development cooperation is shifting against predictability and towards complexity and uncertainty. The complexity and the paradoxes of many of our cases did not conform to a linear cause and effect pattern of effects. They interacted amongst themselves to produce pressures, opportunities and traps, many of which could not be understood in advance. The planning and control model most commonly applied to development cooperation had limited utility in such a context; • The concept of complex adaptive systems thinking can be helpful in understanding and crafting capacity development interventions involving many actors. It can help us to see the deeper patterns of behaviours and relationships that lie beneath individual events and actions. But, because it puts less faith in planning and intentionality, it implies looking differently at causation, attribution and results chains. It encourages people to think more creatively about disorder, uncertainty and unpredictability; • Capacity development is about both first- and second-order changes. First-order changes are those relating to formal aspects such as structure and the configuration of tangible assets. Second-order or deep change involves altering mindsets, patterns of behaviour, degrees of legitimacy, and the relationship between the formal and the ‘shadow’ system. Machine building to fix gaps focusing on firstorder change is not enough; • Capacity development is about altering power, authority and access to resources. Rebalancing power creates winners and losers. Loser groups have to be dealt with 159

in some way so as to reduce their influence. This might include compensation or mollification; • Capacity development relies on voluntary collective action for its effectiveness. Even when people are members of formal organisations and their presence is mandated, they still provide voluntarily the key ingredients of capacity development— energy, motivation and commitment. External interveners can only indirectly facilitate the process by providing access to new resources, ideas, connections and opportunities; • A certain amount of ‘misfit’ is needed to energise capacity development. The development literature gives considerable attention to the need for fit between interventions and the cultural context. But a good deal of capacity development, and indeed a good deal of development cooperation itself, is premised on changing some cultural norms—essentially working to redress a ‘misfit’. Addressing gender inequalities, trying to instil professional standards of work and advocating greater respect for human rights all imply going against behaviour accepted by significant groups within some countries. Too much ‘fit’ with such a context may indicate a lack of dynamism and commitment to try to ignite change and reform. What is important is identifying which patterns of behaviour should be accepted, and which external actors and country stakeholders should endeavour to change; • If country groups are not prepared to challenge the system, analytical tools and techniques will not make the difference. The challenge for external interveners is to find the appropriate groups to support. It is often elite coalitions and bargaining that shape the space for capacity development rather than groups of the poor who have neither the resources nor the contacts to push forward change. Tools and techniques cannot substitute for the commitment of these groups.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Thinking out of the ordinary—promoting knowledge generation and research on water P. van der Zaag Department of Water Resources Management, UNESCO-IHE Institute for Water Education, Delft, The Netherlands

ABSTRACT: Water is special while knowledge is a strange kind of good. Promoting creativity and new ideas, and the production, management and reproduction of knowledge is more complex than producing any other commodity. This paper sketches the special character of water, knowledge and knowledge about water, and concludes that it requires ingenuity, creativity and commitment to find the lucky match between the strange and extraordinary aspects of water knowledge. The paper formulates three questions and brings insights from experiences in Southern Africa. How can research be made more demand driven and responsive to water-related development objectives and thus stimulate greater innovation? How can research capacity be strengthened and sustained locally and regionally, maximizing the value of local and indigenous knowledge? And what is the role of the North in supporting research capacity in the South and finding sustainable mechanisms for funding research and capacity building?

1 INTRODUCTION: DEFINING THE PROBLEM This paper explores the specific characteristics of water, knowledge and water knowledge in order to gain insights into the ways in which the production of knowledge about water can be promoted, especially in developing countries. Access to water is a decisive factor for the well-being of all human beings, both for health and productive considerations. Increasing people’s access to water requires the development of new water systems and, significantly, the overhaul and refurbishment of existing ones. It is increasingly being realised that the huge monetary and physical resources required are necessary but not sufficient to achieve the targets set by the United Nations’ Millennium Development Goals (MDGs). What is required is adequate and appropriate local and regional (academic, technical, intellectual, organisational) capacity to analyse, plan, design, implement, manage, operate, maintain and renovate water systems. Such capacity is premised on adequate knowledge about water. Knowledge about water, however, is unevenly spread across the globe, and whereas large chunks of water knowledge are generic and global, other aspects are locally or regionally specific. Transferring knowledge from one person to another, and from one region to another, is burdensome and “sticky” (Von Hippel 1994), and generating new locally or regionally specific knowledge 163

that capitalises on, and adapts, knowledge developed elsewhere is not likely to occur spontaneously but requires active support (Opschoor 2006). The ability to reflect, to critically analyse situations, define problems, define ways in which answers may be found, allocate the means, conduct research, interpret the results, act and adapt, and in the process produce new knowledge, are invaluable faculties. This type of “second order capacity”, namely the capacity to create new capacity, is a scarce resource everywhere (Watson et al. 2003). One important locus where second order capacity is being reproduced and nurtured is at the universities and other tertiary educational institutes. These are the places where the modernizing forces of society should be given space, where the value of science is promoted and the political and industrial spheres of life are being mediated (IAC 2004a). As the report “Inventing a better future” of the InterAcademy Council (IAC) states: science brings imagination and vision and allows people to analyse present and future situations, make sounder choices and invest their resources more wisely. A proper university should not only be the locus of knowledge reproduction, but also that of the generation of new knowledge. Education and research go hand in hand. For society this is a felicitous combination that allows researchers to earn a living without a need to privatise the knowledge they generate (Foray 2004). Moreover, without the research connection, education is more likely to remain stagnant or to become obsolete. Thus, it is making an obvious point when stating that higher education should be allocated sufficient resources, also in poor countries. Publications from many different institutions concur that it is in the self-interest of poor countries to invest in research and education, science and technology. Moreover, it is in the interest of the global community that richer countries assist poorer countries in financing their educational programmes, because to solve the challenges the world faces requires the thinking power of all bright brains; leaving some of this capacity “under-utilised” would clearly be sub-optimal if not a waste. Yet, in reality the situation is far from optimal. In Africa on average 40% of the established posts in science and technology training institutions are vacant, 55% of laboratory equipment is obsolete, and two thirds of the institutions do not meet the staff:computer ratio of 2:1 (ANSTI 2005). A clear and distinct global knowledge divide exists, whereby a relatively small group of rich countries produce nearly all academic publications (31 countries produce 97.5% of the world’s most cited publications; see Fig. 1) (King 2004). There is, therefore, a disconnect between the desirable state and the situation on the ground. When reviewing recent literature on capacity strengthening of research and education, and science and technology (these fields are often lumped together), one is struck by the frequent use of the word “should”: developing countries should promote science and technology, should spend at least 1% of GDP on research and development, and should promote an open culture of scientific debate. Such formulations are flaccid if not accompanied by good and critical analyses of the current state of affairs and what is needed to force a breakthrough and achieve a fundamental change towards a more desirable state. Making sufficient financial resources available for tertiary education and R&D may not be enough. But what is? In order to begin to find an answer to this question, the paper sketches the special character of water, of knowledge, and of knowledge about water. Subsequently a 164

Figure 1. Publications by continent of origin (adapted from National Science Foundation 2004).

number of more specific questions are formulated, which are illustrated by relevant examples and references.

2 WHY KNOWLEDGE ON WATER IS SPECIAL We probably all agree that “water is not an ordinary good” (Savenije 2002), and that “knowledge is a strange good” (Foray 2004: 91). If this is so, how special would “water knowledge” be? It is important to acknowledge the specific characteristics of both goods, otherwise simplistic solutions for the promotion of knowledge on water may be proposed that simply will not work. Finding the “right” ways of stimulating the creation of new ideas and new solutions to important problems is therefore itself an exciting field of inquiry.

2.1

Water

Water has at least three attributes that make it special, and that have important implications for its management: water is vital, finite and fugitive. Fresh water is vital to sustain life, for which there is no substitute. This not only means that water has a very high value to its users, it also gives it characteristics of a public good, as no people may be denied access to it for primary requirements. Although water is a renewable resource, it is practically speaking finite. Many (consumptive) uses of water are therefore exhaustible or subtractable, meaning that the use by somebody may preclude the use by somebody else, and thus rivalry may emerge between competing uses. The finite nature of water confers to it properties of a private good, as it can be privately appropriated and enjoyed. Its finite nature also implies that water use often 165

has negative externalities. It should also be noted that some uses of water, or its services, are nonrival, such as navigation and flood control. Water is a fluid and fugitive resource. It is therefore difficult to assess the (variations in) stocks and flows of the resource, and to define the boundaries of the resource. This complicates the planning and monitoring of withdrawals as well as the exclusion of those not entitled to abstract water. Its fugitive nature makes it also more costly to harness, requiring the construction of reservoirs, for example. The fugitive nature of water, and the resulting high costs of exclusion, confer to it properties of a common pool resource. Water resources management aims to reconcile this unique combination of the vital, finite and fugitive attributes of water. This is not a simple task. The property regime and management arrangements of a water resources system are therefore often complex. Different perspectives and approaches have been proposed for designing the right water institutions, but no consensus exists, especially when it comes to the economics of water, and the involvement of the private sector in services provision. There are also large regional variations, often influenced by climatic, biophysical, cultural and historical aspects. It is likely that for local problems often locally specific solutions need to be developed. No “one size fits all” knowledge base suffices to resolve the challenges.

2.2

Knowledge

Knowledge, just like water, is a special good. Knowledge as a resource has some features that set it apart from other types of resources. This implies that promoting the generation of new (scientific) knowledge and its dissemination requires policies and measures that are often complex. The most peculiar aspects are that knowledge is non-excludable, its externalities are often positive, it is a non-rival good and it is cumulative (Foray 2004). The non-excludability of knowledge means that it is very difficult to make it exclusive or to control it privately. Knowledge is a fluid just like water, but unlike water it is not at all bulky but portable. Knowledge can, of course, be kept secret, yet as soon as it is revealed it slips out of one’s grasp. Information and knowledge continuously escape from the entities producing them and can thus be used freely by competitors or rivals, who benefit but from whom it is technically difficult to obtain compensation. Knowledge, thus, tends to have large positive externalities. Unlike water, knowledge is not finite. It is inexhaustible, and its use not subtractable. It is therefore a non-rival good. The use of existing knowledge by an additional agent does not imply the production of an additional copy of that knowledge. The author does not have to produce an additional unit of knowledge every time its use is extended, nor does somebody else’s use of that knowledge deprive any other person from that knowledge. Transmitting knowledge can therefore be considered a positive sum game that multiplies the number of owners of that knowledge indefinitely. The non-rival nature of knowledge has wide-ranging implications. Since the marginal cost of use is nil, cost-based pricing mechanisms do not work. Knowledge is cumulative and progressive: it is an intellectual input that is likely to spawn new ideas and new goods. This means that externalities enhance not only 166

consumers’ enjoyment but also, and above all, the accumulation of knowledge and collective progress. Thomas Jefferson formulated it thus (cited in Foray 2004: 94): The fact is, that one new idea leads to another, that to a third, and so on through a course of time until someone, with whom no one of these ideas was original, combines it all together, and produces what is justly called a new invention. The threesome of uncontrollability, non-rivalry, and cumulativeness of the production of knowledge can create a powerful momentum. Knowledge production is therefore nonlinear and requires critical mass before obtaining a self-reinforcing dynamic. Given these attributes of this strange good, it is a challenge to design institutional arrangements that will foster the development of knowledge. The problem is to address adequately the “knowledge dilemma”. Foray (2004: 116) formulates this dilemma thus: Only the anticipation of a positive price on use will guarantee the allocation of resources for creation, but only a price that is nil will guarantee efficient use of knowledge, once it has been produced. There may therefore be few incentives for the private sector to invest in knowledge infrastructure, unless adequate measures are in place. It is for this same reason that maintaining the backbone of a country’s knowledge infrastructure has to be the duty of the state. Yet without the pull for new knowledge from the wider society, including the private sector, the knowledge infrastructure may become obsolete. A carefully chosen mix of public and private roles and incentives is therefore required.

2.3

Water knowledge

Managing water resources properly is important in terms of human development. Not doing so leads to serious social and economic costs. This has long been recognised and is reflected in the conclusions of the Earth Summit in Rio 1992 (Chapter 18 of Agenda 21), the Millennium Summit in New York (the MDGs) and the World Summit on Sustainable Development in Johannesburg in 2002 (the Johannesburg Plan of Implementation). Given the serious challenges facing the world community with respect to water, there is a growing realisation that the capacity to properly develop and manage water resources and water systems is inadequate and unevenly available. It is therefore pertinent to understand the conditions that allow the generation of knowledge on water resources and its development and management, and to investigate what policies and interventions may promote the creation of water knowledge. How could water research best be financed, taking account of its public good nature? Which types of investments should be prioritized, from enhancing the quality of primary and secondary education, to applied research into robust water treatment techniques, small-scale pumping technologies, dynamic optimisation tools for water allocation, or the use of mobile phones for flood warning? Since water is an extraordinary good whose management regime is complex, and knowledge similarly has a complex combination of attributes, it seems dauntingly difficult to formulate policy measures that will promote the development of knowledge 167

on water. It will require properly identified and carefully formulated problems, and then ingenuity, creativity and commitment, in order to find adequate solutions.

3 KNOWLEDGE GENERATION AND RESEARCH—DEFINING KEY QUESTIONS For the generation of knowledge through research the following three questions emerge as key: • How can research be made more relevant and responsive to water-related development objectives? • How can research capacity in water be strengthened and sustained locally and regionally? • Should the North support and promote research capacity in the South? If so how? These are not new questions. A number of recent publications from regional and international organisations also try to develop answers, for example: the African Network of Scientific and Technological Institutions (ANSTI 2005); the InterAcademy Council (InterAcademy Council 2004a, 2004b); the Millennium Project (Juma & Yee Cheong 2005); the Netherlands Development Assistance Research Council (Rawoo 2005); the UK Parliament (United Kingdom House of Commons 2004); and the Organisation for Economic Co-operation and Development and the World Bank (OECD 2006). This paper wishes to take note of the lessons learned, as well as explore some recent experiences specific to the water sector. Here we offer a preliminary review.

3.1

A more responsive and development-relevant research capacity

Evidence seems overwhelming that without research capacity economic and social development cannot occur. As mentioned earlier, a knowledge divide exists between nations. There is a clear distinction between countries that have less than 1,000 experts per million people working in the research and development sector, and those who have more (Fig. 2). Only if there is sufficient critical mass does a relationship emerge between the number of researchers and the Human Development Index rank. Under-spending on R&D is therefore inefficient. But this evidence is circumstantial and indirect. It is very difficult to demonstrate the direct economic returns to investment in research capacity (for an interesting attempt, see Conningarth Economists 2004). Even then it could be argued that just investing in science and technology may be missing the point, for these in themselves are not sufficient to cause social progress and economic development. “The real challenge lies in embedding science in all spheres of government policy, and introducing educational, regulatory and fiscal measures to enable innovation to flourish across the economy” (Dickson 2007). Often the limited knowledge resources of a country are underutilised, and its researchers are employed by ill-funded institutions that are frequently isolated from 168

Figure 2. A country’s rank on the Human Development Index HDI and the number of researchers per million people based on data of 177 countries (UNDP 2006).

the large societal questions. Just boosting the budget of such organisations may not make a change. It may, however, be a prerequisite for significant change to occur. An example is a new and straightforward government policy in Ghana that results in a significant and structural increase in the financial resources channeled to primary, secondary and tertiary educational institutions, namely through allocating a certain fixed portion of VAT revenues to education (and similarly for the public health sector). The above argument is characteristic for a supply–driven perspective. We should of course also consider the demand side: where is the demand for new knowledge, for new technologies, and for new and locally specific solutions (be they sophisticated and based on the latest developments, or basic) to age-old problems? Why does demand often remain hidden? If a genuine demand for specific knowledge were able to connect with the potential sources of such knowledge, it would boost the value of local knowledge and set the flywheel of innovation in motion. Why does it often prove difficult to match the demand for knowledge with those who could potentially develop it? Here we briefly look at one example of rapid innovation where a dynamic linking of supply of a new technology and a demand for it did evolve. An area where a genuine and strong demand for innovation is unfolding is in communication technology. If we take Africa as an example, a true revolution is occurring. Whereas in 1998 there were in total 14 million households connected to telephones (landlines and mobile phones), by 2006 there were 160 million mobile phone subscribers, and every year more people get connected: 48 million during 2005 alone (Fig. 3). Ten years ago few people correctly predicted this development. The first lesson therefore is: information matters and is valued—much more than many observers realise. What makes mobile phones so attractive and even essential? Apart from their having appeal as prestigious objects (a point which has been made too often and which has overshadowed all their other, more tangible, qualities), such phones provide access to information about markets where hitherto no such access existed, such as for a farmer who needs to know where the demand for her perishable tomatoes is highest, or for a job seeker to be quickly reachable by peers whenever an opportunity arises. Other exciting applications have emerged: early warning 169

Figure 3. Number of mobile phone subscribers in Africa, 1998–2006 (GSM Association et al. 2006).

for spatially specific threats (floods, contaminations), banking and money transfer, the simultaneous mobilisation of masses during periods of political tension (e.g. the Philippines), and finally, a really unanticipated application, the measurement of rainfall. Concerns about restricted access to the web in developing countries are real and a cause for concern. However, access to mobile phone networks must be a good indicator of future access to the internet, since once you are connected to a mobile phone network, access to the internet is a real possibility. This bodes well for the youth who are eager to widen their horizons, learn and make a difference! In all, this new technology has completely changed the opportunities open to many people. People have welcomed it, assimilated those technical features that fit their needs and aspirations, found new applications, and have been willing to pay a price for it. This latter aspect is the clearest manifestation of the existence of a real demand. In the water sector, and especially for hydrology and water resources management, new opportunities are opening up through the rapidly increasing applications of remotely sensed data from satellites. Rainfall, cloud cover, surface albedo, temperature, actual evaporation, crop yields, surface area of dams and changes in groundwater volumes can all be measured from space. Although the accuracy and reliability of these measurements vary greatly, these can only improve in the future. This technological opportunity is especially relevant for countries that lack adequate transportation and other infrastructure, and will certainly lead to better water management decisions. This potential, however, will only bear fruit if three conditions are met. First, a real demand for better information on water resources and their management should exist. Second, there should be local capacity to utilise these new techniques, to critically evaluate and creatively experiment with them, and find new, locally relevant, applications. Third, there must be a willingness and (institutional) capacity to include such information in the appropriate management systems. 170

For such knowledge capacity to be present, the local knowledge institutions must be functional, up to date and connected to global developments. Hence the importance of universities having access to the relevant scientific journals, of lecturers being engaged in research, and postgraduate students conducting thesis research. The positive spin-off of such research activities is that they help to maintain and improve the academic quality of undergraduate and postgraduate programmes at universities. The types of research and research themes that should receive priority would be determined by need, and also heavily depend on how knowledge institutions and research groups are connected and embedded in society. However, innovation capacity also requires some level of redundancy within the knowledge infrastructure, as well as space for curiosity driven research.

3.2 3.2.1

Sustaining research capacity in water Research funding

A plea for increased research funding is often heard. Experts have made several suggestions how this could be done, e.g. through fixing a percentage of GDP, and through sectoral funding (whereby a portion of a nation’s tax levies on for-profit corporations are redirected into a special fund for financing the conduct of research in selected science and technology areas of economic interest to the nation). Often also a case is made in favour of public-private partnerships; some argue that this would ensure that research is directed to promising applications and would yield immediate results. But the persistent question is why research remains under-funded. It would appear that politicians and entrepreneurs see little value in research compared to other priority areas. They seem to lack faith in the capacity of researchers to address real problems and to doubt whether research investment will ever pay off. An example where funding for research has been institutionalised, with an enormous positive impact, is the Water Research Commission (WRC) in South Africa (Box 1). The WRC is an interesting example of how a country maintains and stimulates knowledge and research capacity, and how such an institution helps in shaping and strengthening the interface between research and society. The WRC concept may not be replicable everywhere, since it is premised on significant commercial water use by users that have an ability to pay. Nevertheless, the WRC has been the inspiration behind the establishment of the Water Research Fund for Southern Africa (WARFSA). This fund is open to any researcher or institution resident in a member country of the Southern African Development Community SADC, and a thorough system of peer review ensures that only the best research proposals are selected for funding. A board consisting of researchers with different professional backgrounds and from different countries in the region formulates the research policy of the fund and defines priority areas. The fundamental difference between the WRC and WARFSA is that the latter is donor-funded (mainly by the Swedish and Danish development organisations Sida and Danida), which may put a greater challenge on ensuring responsiveness to the needs of the region. WARFSA is currently searching for ways to better link societal demands to the research community, and is reviewing its potential role in promoting that connection. 171

Box 1. The Water Research Commission of South Africa. The Water Research Commission (WRC) of South Africa is a statutory body which has a budget that is independent and separate from the government budget and composed of revenue from a small tax on all bulk and commercial water uses in the country. The WRC has boosted the water research infrastructure in that country, both private (mostly engineering companies) and public institutions (mostly universities), through a system of regular solicited and unsolicited calls for research projects. The WRC also disseminates the research findings through reports and an open access scientific journal (Water SA; http://www.wrc.org.za/publications_watersa.htm). A recent report analysed six research projects funded by the WRC, and found that the economic benefits resulting from these projects were significant. These investments in research had a benefit-cost ratio of nearly 25! (Conningarth Economists 2004).

The question of how research funding can be made sustainable is a difficult one. We should acknowledge here that in many countries it is not (yet) possible for the water sector to generate sufficient funds to maintain a full-fledged research programme. Cross subsidies from other sectors or from donor countries may be necessary. The question then is how under such circumstances the right research priorities will be articulated, the right research products be generated, and how the knowledge infrastructure can be maintained while remaining sharp and responsive.

3.2.2

Knowledge networks

Several recent publications have suggested that one important way of stimulating research is to identify leading research centres, to heavily invest in these and to connect them to similar centres elsewhere. This focus on supporting “centres of excellence” has been strongly identified by the InterAcademy Council (IAC 2004a: 5), but has a potential pitfall. As it singles out the relatively stronger research groups, this focus may exclude small research groups that on their own would not have critical mass but if connected could make meaningful contributions. An example of a more inclusive regional network of knowledge institutions is WaterNet in Southern Africa (Box 2). Box 2. WaterNet of Southern Africa. WaterNet links some 50 university departments and knowledge institutions in 12 southern and eastern African countries. What these departments have in common is an interest and expertise in topics relevant to water. Individually, they have insufficient breadth to cover the broad field of water resources management, but in pooling their knowledge resources together they cover all major water aspects, from hydrology to water and sanitation technologies, from environmental engineering to economics and law etc. In so doing WaterNet is in a position to offer a unique and regional Master programme in IWRM, in which six universities are directly involved (University of Dar es Salaam in Tanzania, Chancellor College of Malawi, Polytechnic of Namibia, University of the Western Cape in South Africa, University of Botswana and the University of Zimbabwe), as well as many guest lecturers from other WaterNet member institutions. The WaterNet Master programme in IWRM involves 12 months course work and a 6 months thesis research. Over the period 2001–2006 nearly 180 students have graduated.

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Connecting institutions on a regional basis makes sense not only in that it allows the pooling of resources, but also because water has a transboundary dimension. Through connecting universities regionally, knowledge capacities are spread and shared, which contributes to equity and is more cost-effective than doing this only at the national level (Opschoor 2006). Furthermore, students from different countries sitting in the same class and learning the same concepts enhance respect and mutual understanding. Moving these students around in the region further exposes them to a regional perspective. All this will facilitate future cooperation on water, and in fact provide an investment in future peace. In addition, there are synergies between initiatives such as the WaterNet network and the WARFSA fund (Box 3). WaterNet also implements two major research projects in which several member institutions as well as international knowledge partners collaborate: the “IWRM for Improved Rural Livelihoods in the Limpopo river basin” project of the Challenge Programme on Water for Food (Love et al. 2006), and the Smallholder System Innovations in Integrated Watershed Management project in the Pangani (Tanzania) and Tukhela (South Africa) (Bhatt et al. 2006). The Southern African case provides a good example of how research and capacity building can go hand in hand. Box 3.

Synergies between the WaterNet network and the WARFSA research fund.

Because the WaterNet Master programme in IWRM includes a 6 months thesis research project, there are some interesting synergies with the WARFSA fund. WARFSA supports several research projects in which WaterNet member institutions and their academic staffs are involved. Such projects provide a good research environment/infrastructure for MSc thesis research as well. This combination of tertiary education and research demonstrates a powerful combination. Many WaterNet graduates have through their thesis research contributed new insights in a variety of aspects of water engineering and management. Some of it has been presented at the annual WaterNet/WARFSA/GWP-SA Symposia and published in the journal Physics and Chemistry of the Earth, which annually publishes a special issue with the best Symposium papers. This is a growing body of scientific output that currently consists of five special issues containing more than 200 papers. This is significant: one out of six scientific articles with “water resources” and “Africa” in its title, abstract or key-words, published in the period 2002–2006, originated from the WaterNet/WARFSA Symposia. These articles are also frequently cited: on average 1.7 times (Van der Zaag 2007).

WaterNet is a first step towards a knowledge community characterised by a strong connectivity among its parts, a sharing of resources and distributed access. These elements are the ingredients for a learning society that is able to frame its own societal problems and find new ways of resolving them. Sharing of knowledge and wisdom among the WaterNet members, clearly a key factor in the success of the network, has not been identified as problematic. In order to learn lessons for other networks, it would be useful to better understand why this is the case. Three additional points should be taken into account when considering how research capacity can be sustained and promoted: • Apart from South-South cooperation, the need for North-South cooperation and “triangular” forms of collaboration remains evident. 173

• The focus of this paper has been very much on higher education and research. We should not lose sight of the need to foster a culture of experimentation, of stimulating creativity and curiosity driven approaches. This certainly requires other types of interventions, also at the level of primary and secondary education. • The possibilities of new technologies that may have the potential to unlock new opportunities should not result in neglecting, or worse belittling, local and indigenous knowledge. A valid question is how “local” knowledge can be respected rather than neglected, ignored or despised, and remain a source of inspiration and even a source of scientific discovery, patents and income.

3.3 3.3.1

Should the North support and promote research capacity in the South? Opening up

This final section asks a nearly rhetorical question. The North does have a role to play to support and promote research capacity in the South. However, the key lies in the type of support that the North can and should offer. There can be active and passive types of support. Starting with the latter: if the global knowledge divide is to be bridged, the North should open up and share its knowledge resources with the South and make them accessible. The importance of this type of support is often conveniently overlooked, but it is likely to have few negative consequences and should therefore receive priority. An increasing number of journals are open access, such as the journals Hydrology and Earth System Sciences and Ecology and Society. However there is a downside, simply because journals do need a viable financial basis. In the case of these two journals it is not the reader but the author who pays (depending on size and some other details, an author would pay from 500 euros upward per published article). Water SA, another open access journal, is free for both reader and author and is funded by the water consumers of South Africa through the WRC (see above). Most other scientific journals are not freely accessible, but are actually prohibitively expensive for most universities in developing countries. Students and staff at many universities in developing countries are thus often in effect excluded from access to up-to-date academic knowledge. The Online Access to Research in the Environment (OARE) initiative is therefore important. OARE allows free access to key journals for institutions located in the poorest developing countries (Box 4). Other initiatives include Access to Global Online Research in Agriculture (AGORA) of the Food and Agricultural Organisation of the UN, and the Health InterNetwork Access to Research Initiative (HINARI) and regional databases of scientific publications such as the Sahel Institute’s (INSAH) E-library. In general there is a need for new approaches to copyrights that provide more suitable ways of protecting intellectual property rights and rewarding innovators, while at the same time supporting the public interest in having broad and rapid access to knowledge and technology. Concepts such as “creative commons” are in this respect promising (see http://www.creativecommons.org). 174

Box 4.

Online Access to Research in the Environment (OARE).

Set up by Yale University, the United Nations Environment Programme (UNEP), the MacArthur and Hewlett Foundations, and 300 of the largest and most prestigious publishers and scientific societies and associations, Online Access to Research in the Environment (OARE) now represents the largest collection of scholarly, peer-reviewed scientific research in the environment related sciences—including water—currently available to 106 least developed nations in Africa, Asia and the Pacific, Latin America and Eastern Europe. The project provides access to approximately 70% of the world’s most prestigious scientific journals, together having an annual US retail subscription value in excess of $1.3 million (Personal communication Dr P. Walberg of OARE).

3.3.2

Capacity strengthening

In order to find ways in which the North can actively support and promote research capacity in the South, it is important for Northern organisations to acknowledge current weaknesses and solicit the views of the South. Frequently Northern support for capacity strengthening in the South results in the opposite, namely in weakening local capacities as new dependencies are created. Four sets of questions beg for answers. First, which modalities of support are preferred? Which types of support and interventions have proven to be effective in capacity strengthening? What lessons may be learned and best practices deduced? Second, the brain drain is often blamed for the weakening of local capacity; but is this always the case? Can the brain drain sometimes be turned into a gain? What roles do the intellectual diasporas play, and how could their positive contributions be enhanced? Third, is there a special role for international and UN organisations in capacity building? If so, what? How can such institutions cooperate with other donor institutions and local partners? Finally, how can the success of capacity building programmes be measured? What are useful indicators?

4 CONCLUSION This paper has argued the need to identify adequate and locally relevant institutional responses to regional water issues. It has tried to show how research can be made more relevant and responsive to water-related development objectives, and how we can stimulate the demand side for knowledge and better link this to potential sources of knowledge, thus sparking innovation. Encouraging examples from Southern Africa show how research capacity in water can be strengthened and sustained locally and regionally. In a globalising world, as well as this South-South cooperation there will be an increase in North-South cooperation, and in “triangular” forms of collaboration. Whereas the paper has mainly focused on higher education and research, there is also a deep need to stimulate a broad culture of experimentation, which 175

should start with providing young children with toys that trigger their imaginations, curiosity and creativity. The need for local and indigenous knowledge will always remain, and in fact it can be argued that modern technologies need these local perspectives for unexpected innovations to emerge. The North, by opening up its scientific resources to the South and supporting research capacity in developing countries, could also benefit in a reciprocal way from this growing creativity and innovation.

REFERENCES African Network of Scientific and Technological Institutions (ANSTI) 2005. State of science and technology training institutions in Africa. Nairobi: UNESCO Regional Bureau for Science in Africa. Bhatt, Y., Bossio, D., Enfors, E., Gordon, L., Kongo, V., Kosgei, J.R., Makurira, H., Masuki, K., Mul, M. & Tumbo, S.D. 2006. Smallholder system innovations in integrated watershed management (SSI): Strategies of water for food and environmental security in drought-prone tropical and subtropical agro-ecosystems. IWMI Working Paper 109. Colombo: International Water Management Institute. Conningarth Economists 2004. Research impact assessment: lessons to be learned from the cost-benefit analyses of selected WRC research projects. Research report TT 226/04. Pretoria: Water Research Commission. DGIS 2005. Onderzoek in ontwikkeling. DCO/OC. The Hague: Directorate General of International Cooperation DGIS, Ministry of Foreign Affairs. Dickson, D. 2007. Investing in science: a cautionary tale. SciDev.Net Editorial, 22 February. Foray, D. 2004. The economics of knowledge. Cambridge, MA: The MIT Press. GSM Association and Wireless Intelligence 2006. GSM World News—Statistics Q2 2006. Available at http://www.gsmworld.com/news/statistics/index.shtml InterAcademy Council 2004a. Inventing a better future: a strategy for building worldwide capacities in science and technology. Amsterdam: InterAcademy Council. InterAcademy Council 2004b. Realizing the promise and potential of African agriculture. Amsterdam: InterAcademy Council. Juma, C. & Cheong, L. Yee (eds) 2005. Innovation: applying knowledge in development. Task force Science, Technology and Innovation. Millennium Project. London: Earthscan. King, D.A. 2004. The scientific impact of nations; what different countries get for their research spending. Nature 430: 311–316. Love, D., Twomlow, S., Mupangwa, W., Van der Zaag, P. & Gumbo, B. 2006. Implementing the millennium development food security goals—Challenges of the southern African context. Physics and Chemistry of the Earth 31(15–16): 731–737. National Science Foundation 2004. Going up: a rise in publications suggests that science is booming in Latin America and Asia. Nature 432(7013): 8. OECD 2006. Cross-border higher education for development. Interim report 27–28 March. Paris: Organisation for Economic Co-operation and Development. Opschoor, J.B. 2006. Tertiary capacity development and societal development: reflections in relation to OECD/World Bank “Cross Border Higher Education for Development” draft. World Bank/OECD/Nuffic Seminar, 14–16 September; The Hague: World Bank/OECD. RAWOO 2005. Mobilizing knowledge to achieve the millennium development goals. The Hague: Netherlands Development Assistance Research Council RAOO.

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Savenije, H.H.G. 2002. Why water is not an ordinary economic good, or why the girl is special. Physics and Chemistry of the Earth, 27(11–22): 741–744. UNDP 2006. Human Development Report 2006: Beyond scarcity: poverty, power and the global water crisis. New York: United Nations. United Kingdom 2004. The use of science in UK international development policy. House of Commons, Science and Technology Committee. London: The Stationary Office Ltd. Van der Zaag, P. 2007. The impact of a regional water resources capacity building: citations of the published proceedings of the WaterNet /WARFSA/GWP-SA symposia in Southern Africa, 2001–2005. Physics and Chemistry of the Earth [doi:10.1016/j.pce.2007.07.035] Von Hippel, E. 1994. Sticky information and the locus of problem solving: implications for innovation. Management Science 40: 429–430s. Watson, R., Crawford, M. & Farley, S. 2003. Strategic approaches to science and technology in development. Policy Research Working Paper 3026. Washington DC: World Bank.

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Challenges in knowledge and capacity enhancement: A southern perspective L. Brito Department of Forestry, Faculty of Agronomy and Forestry, Eduardo Mondlane University, Maputo, Mozambique

ABSTRACT: The South needs the capacity to choose its development path, and this is why knowledge and capacity building are so important. The example of Mozambique illustrates why assistance is needed from the North in order to achieve this. Alternating between droughts and floods, with an economy highly dependent on agriculture and lacking capacity to manage and develop its water infrastructure, Mozambique needs intelligent and sustainable water management as the key to its development. This is an education challenge at all levels in the country. By creating ‘Networks of Excellence’ with partner institutions in knowledge management, knowledge is not only created, organised and stored, but also transferred, utilised and re-created. Northern countries like the Netherlands, which have been strong partners, now need to root their research activities in partner Southern institutions, so that there is a true progression from research about, to research with, to research by, the South.

1 INTRODUCTION The growth of the populations and economies of the South is increasing the pressure on water resources, critical for development, while the supply of water from the water cycle is constant in comparison. In certain cases climate change is also aggravating the situation, and estimates for Africa predict less water than today. As competition for water increases, conflicts may well continue or even worsen. The South needs the capacity to choose its development path, and this is why knowledge and capacity building are so important. This paper will use the experiences of Mozambique to indicate some of the challenges and opportunities for knowledge and capacity enhancement for Africa.

2 MOZAMBIQUE: WATER AND AGRICULTURE Water in Mozambique has become a complex issue. Nearly all its several water basins are international with Mozambique on the receiving end. When there is a lack of water regionally, Mozambique has no water and when there is excess water, Mozambique has too much. So the country alternates regularly between droughts and floods. 179

Water demand is increasing, and although urban, rural and industrial demands are being accommodated by increased supply in most sectors, this is not the case in agriculture. Past projections of use are much higher than what is actually in use today. Nor is water use in agriculture efficient. These are critical limiting factors since Mozambique’s economy is agriculture-based. Figure 1 illustrates how agriculture and forestry, as in many other countries of the region, are the basis of the economy. In addition, most rural people are subsistence farmers. So agriculture is not only of huge importance for the GNP but also for the daily lives of people in rural areas. The climatic variability of Mozambique makes it very complex to plan as no successive years are ever the same. It is not possible to predict whether there will be excess water or drought or whether the rains will come in February or July. Figure 2

Figure 1.

% GNP per sector in Mozambique 2001.

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Figure 2. Agricultural growth rates in the SADC Region (World Bank 2006 presented by Pius Chilonda in News of IWMI’S Work in Africa, 2007).

Figure 3. Utilization of irrigation infrastructure in medium size systems (50–500 ha) (MADER 2003).

181

illustrates the unpredictability of agricultural growth in the SADC region, which has made it difficult to concentrate efforts on expanding agriculture. The resulting complex management process needs to be addressed with the generation of greater knowledge and improved capacity to deal with this climatic variability. Figure 3 shows the amount of medium sized installed irrigation infrastructure actually in use in Mozambique. From small to large size irrigation systems, there is a significant trend of using less than the installed capacity. Not only is there a lack of infrastructure but Mozambique is an agricultural country without the capacity to use the little infrastructure in place. This is the clearest indication that this is primarily a human and institutional capacity building issue.

3 EDUCATIONAL CHALLENGES Comparing the level of education in different sectors of the economy shows that there are substantially less educated people in agriculture, even though Mozambique’s GNP is highly dependent on agriculture. This may be a reason why Mozambique does not utilize in full its irrigation capacities or manage its water resources well. This is a huge educational challenge, complicated further by the fact that most young people in the country do not study beyond primary school. This means that primary school education is vital for teaching water knowledge. There are basically five to seven years to give school children the capacity to learn continuously and provide a sufficient foundation for the capacity to intervene in the management of water in Mozambique. Therefore, it is important to focus on quality not just quantity of primary school education. Quality education requires focusing first on building a common vision for development, building core values, respect for diversity, and giving knowledge and know-how, which students can use in their daily lives. In Mozambique, science and technology curricula make up nearly 90% of education (MESCT 2002), both at the primary and secondary level. However, no concepts and skills are imparted in integrated water resources management. This should change; people must be aware that water is an opportunity for development and that it is a common good that has to be rightly managed to serve all. Furthermore, to spur local development and share local knowledge on this topic, there is a clear need for a critical mass of scientific capacity at the national and local levels. It is important to guarantee that everybody has access to water knowledge, not only the scientists and graduates, in order to develop a society that takes decisions based on that knowledge. Transforming knowledge into action is capital for investment. Therefore, the South needs to increase funding for research and training, but crucially a further step is needed.

4 KNOWLEDGE INTO ACTION Transforming knowledge into action cannot be done with research and training alone. It also requires an extensive knowledge management system. 182

Action

Not in code, tacit and personal Transfer implies learning

Knowledge

Information

Accumulated personal information from wich an appropriate action results

Data in context and with personal meaning

In code, tacit and explicit Easy transferable

Data

Representation of reality (text, numbers, diagrams)

Figure 4. What is knowledge?

Knowledge is always associated with action. With knowledge one can decide in an informed way how to act effectively. Data and information are just the (necessary) raw ingredients. Why do we usually stop at information? Because it is easier. To ‘do knowledge’ and to have knowledge, one must learn. This learning requires an enabling environment and a developed capacity to learn. The third step of the knowledge cycle (Figure 5) is the place where learning in Southern societies usually stalls regarding development. Southern educational and research centres do very well with the creation of new knowledge. They even organize and store the knowledge; but it is rarely transferred, and therefore there is little practical utilisation and hardly any re-creation of that knowledge. All of these five steps are required in order to maintain a knowledge society and move beyond information.

4.1

Build networks

While networks of individual scientists are very natural as they work together and share ideas out of principle, other kinds of networks need to be developed in order to drive the full circle of knowledge. “Networks of Excellence”, as they are called in Mozambique, are needed: institutional networks that transcend the level of individuals. And these networks need to be embedded in societies. There should be partnerships with 183

Figure 5. The knowledge cycle.

civil society, schools, governments, media, and businesses, in order to achieve the transfer of learning and the re-creation and utilisation process in the widest sense possible. These embedded networks are fundamental, and therefore UNESCO-IHE and other Northern institutions should continue efforts to build links not only to Southern institutions, but through diverse institutions to the local people. Researchers start from the beginning of the cycle, producing new knowledge, and move then to the development of new products, the marketing of the developed products, understanding how they are being used by society, and then returning to research with the lessons learned to create new knowledge. The full cycle requires from researchers the ability to interact and develop very strong networks not only between research institutions but also with industry and society at large.

4.2

Communication and application

Networks are a very important way to disseminate knowledge and communicating to policy makers, scientists and the wider society is critical. While there are many ideas for actions, there is a need to identify these from research and develop momentum for the application of research findings. There is a role in this for universities, and for secondary and primary schools. In curriculum development, innovative concepts and the development of know-how need more support. In the case of water, UNESCO-IHE is in a very good position as part of the UNESCO family to influence the way the Education for All programme is addressing water issues in order to ensure that there is sufficient quality education in this regard. There is also a need to be more pro-active in the scientific/development community and learn through application: go to the field and work with people. As was 184

expressed at the NUFU Dissemination Conference in Norway, June 2007, there is a need to move from Northern “research about” to “research with”, and finally, to “research by” Southern partners. This means working in the field and on location. For IHE-UNESCO it poses more challenges: it requires strengthening research networks as part of capacity development in the South, and offering courses at partner institutions in the South, where they will be further developed and appropriated by them, re-creating knowledge in the process.

4.3

Southern institutions

Southern educational institutions need strong leadership at policy and institutional levels. They need to develop stronger roots at the local level and nationally in order to better understand relevant issues, challenges and needs. Therefore, institutions should partner with the different social and economic sectors of society in networks for sustainable development. They also need to influence the way primary school curricula are being developed. In order to apply best practices, current knowledge and research need to inform education, and vice versa.

4.4

Partner institutions

Partner universities of Southern institutions should work with their counterparts to identify common agendas based on common interests. These agendas then can form proper incentives for Networks of Excellence. Northern partners need to establish a stronger presence in Southern countries rather than temporarily sending professors. This will build Southern capacity to offer graduate and post-graduate courses at Southern universities, for which there is a demand. For example, UEM has sent a proposal to UNESCO-IHE offering a space in Chokwé, in the South of Mozambique, for the establishment of a longer term presence there. This sort of arrangement can facilitate the movement from networks of scientists to networks of institutions. It is important that partners refocus research about Africa, which is quite abundant, into research for Africa. Research for Africa also requires research in the North, because Northern policy frameworks tend to influence the South dramatically. Southern understanding of these frameworks needs to increase in order to develop a more effective voice when negotiating in the international arena. In this way, Northern institutions can help augment the capacity of Southern institutions. At the same time, sharing should be two way, with Northern institutions inviting more Southern lecturers and students. The exchange of knowledge needs to be both constant and dynamic.

4.5

Development cooperation

Today, there is a need to support more graduate and post-graduate programmes, both in the North and in the South. As an example, The Netherlands has been a strong partner for Mozambique for many years. But cooperation has changed; the current 185

system of fellowships in the Netherlands is insufficient to accommodate demand. The higher English proficiency requirement creates a problem for Mozambique and all other non-English speaking countries. The numbers of graduate students from Mozambique supported by The Netherlands has dropped in the last few years since the Dutch government changed its fellowship policy. Donors should put more effort in supporting long-term graduate and post-graduate courses everywhere, both abroad and in their own countries, as well as more student and professor exchanges in both directions. Increasing strategic funding for research infrastructure in Southern higher education institutions is critical. The current fragmented cooperation, with very small sums per project, needs to be replaced by a more comprehensive approach that defines strategic research areas and the top research programmes. Investing in these can create the critical mass required in the South, whereby the Networks of Excellence can really learn. In addition, in order to strengthen the Networks of Excellence and a learning society, donors need to actively support outreach activities that promote and disseminate the knowledge created.

5 CONCLUSION There is a clear need to address water issues and water education with a much more consistent approach. The way forward is still fuzzy precisely because programmes in water education and training are insufficient. The recommendations from “Water for a Changing World: Enhancing Local Knowledge and Capacity” offer applicable lessons on how to refine strategies for enhanced water education.

REFERENCES Chilonda, Pius 2007. Regional Strategic Analysis and Knowledge Support System Node for Southern Africa. News of IWMI’S work in Africa, May 2007. MADER, 2003. Resumo do Inventário Nacional do Regadios Existentes realizado entre 2001 e 2003. Maputo. MESCT 2002. Estudo sobre educação para a Ciência no ensino primário e secundário em Moçambique. Maputo. Vieira, Fernando 2004. Comunicação pessoal. Lisbon.

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The role of knowledge generation at UNESCO-IHE: Past-present-future S. Uhlenbrook, P. van der Zaag & R.A. Meganck UNESCO-IHE Institute for Water Education, Delft, The Netherlands

ABSTRACT: This paper gives a brief overview of the development of research at UNESCO-IHE, the importance of which has increased significantly with the mandate to build research capacity in the developing world and with the increasing pace of knowledge generation and transfer. The current research agenda and implementation framework are discussed, including the five thematic thrusts: water security, environmental integrity, urbanisation, water governance and information and communication technology. Large knowledge gaps exist in all water-related disciplines, complicated by the increasing need to connect hydrological, ecological, climatic and socio-economic systems across various scales. Finding sustainable solutions in water management, particularly in developing countries, is increasingly complex; consequently, fundamental and applied integrated research is essential to reach technically and politically acceptable solutions. The Institute addresses these challenges with its partners in the South as a way of ensuring that practical solutions are found and local research capacity is fostered.

1 INTRODUCTION UNESCO-IHE is one of the largest post-graduate education and training facilities in the world dealing with the broad aspects of water resources, and the only unit in the UN system with the authority to confer accredited MSc and PhD degrees (the latter in collaboration with Dutch Universities) in water science and engineering, environmental science, water management and municipal water and infrastructure. At the same time the Institute has a research focus, an aspect that is becoming increasingly important for catalysing development of a cadre of future water leaders from developing and transition-economy countries. Both tasks, education and research, are carried out in partnership with key academic centres world-wide. Building necessary research capacity in the South is also an important aspect of sustainable development. Therefore, education and research are fully integrated into all aspect of the Institute’s programmes and mutually supportive of its goals. This implies the applicability of the research in the context of sustainable development as expressed in the Institute’s vision statement: “UNESCO-IHE envisions a world in which people manage their natural resources in a sustainable manner and in which all sectors of society, particularly the poor, can enjoy the benefits of basic services”. 187

The international agenda developed by the United Nations and other partners provides the overarching framework within which UNESCO-IHE develops its education and research agendas and work plans. Increasingly the orientation is aimed at poverty eradication as defined in the MDGs, the World Summit on Sustainable Development, the Commission on Sustainable Development and the International Hydrological Programme of UNESCO (IHP). The latter is an intergovernmental body of UNESCO and an increasingly important driver in setting priorities in the water sector related to broader development mandates. Additionally, the Institute takes the official development assistance policies of several entities of its host country, The Netherlands, into account when developing its research agenda. This is a result of a long-standing relationship with the Ministry for Development Cooperation and with other parts of the Dutch government, which have traditionally used the expertise of the Institute in conducting research on water and environment, water education and capacity building in the framework of the MDGs, internationalization of education, and knowledge development and knowledge sharing. The Institute was founded as a Dutch entity in 1957 and since mid-2003 has been an integral part of UNESCO as a so-called Category I Institute. The Institute has awarded some 13,600 MEng and MSc degrees and 70 PhD degrees to mid-level professionals from 162 countries. Participants at all levels, but particularly those undertaking an MSc or PhD programme of study, are exposed to the latest knowledge and current research in their respective fields. In addition, many contribute to the generation of new knowledge themselves and also submit research results to peer-reviewed publication outlets with their academic mentors. It should come as no surprise that the importance and foci of the research have changed significantly over the last 50 years. The objectives of this paper are (i) to give a brief overview of the evolution of the research efforts, (ii) to describe the current research agenda and framework, and (iii) to discuss future challenges in the field of water research.

2 THE STUDY OBJECT: WATER AND THE AQUATIC ENVIRONMENT The focus of research at UNESCO-IHE is to enhance knowledge about processes and systems of water and the aquatic environment. Environment is defined as the biophysical surroundings and the social context with which living organisms (humans, biosphere) interact. Water in the natural and man-made environments plays a vital role in sustaining life on all scales, particularly in relation to the supply of fresh water, and the provision of public and environmental health, energy, food and habitats. Additionally, as endorsed by the United Nations, water is considered a strategic resource for sustainable social and economic development, a basic human right, and a global security issue. In 2002, safe and secure drinking water was formally declared a basic human right for the first time by the UN Committee on Economic, Cultural and Social Rights. This resolution obligated the 145 signatory Member States to treat access to water as a “human right … a social and cultural good, not merely an economic commodity.” (Environmental New Service 2002, 2003). 188

The aquatic environment is studied from three perspectives at UNESCO-IHE. First, natural sciences aim to understand the processes that are inherent in the biophysical environment and the consequences of interventions in that environment. Second, engineering deals with technological solutions to develop and manage local conditions in support of the human population and the ecosystems. Third, social sciences are involved with studying policies and decision-making processes concerning the allocation, access and use of limited environmental resources, conflict resolution and negotiation, and the resulting socio-economic impacts. Consequently, modern research approaches are being developed at the Institute that contribute, on the one hand, to a thorough understanding of fundamental principles of the involved disciplines, and on the other hand to holistic solutions to water-related problems, which must be of an inter-disciplinary nature, technically and economically feasible, and socially, economically and environmentally sustainable.

3 EVOLUTION OF RESEARCH ACTIVITIES AT UNESCO-IHE In the early years of the Institute research undertaken by staff was of minor importance, as the main task was to provide post-graduate technical education courses in hydraulic engineering and sanitary engineering. Turning out capable technicians and engineers who could employ existing technology was the immediate goal, and this reflected national objectives resulting from the devastating floods of 1953 in the Netherlands—flood control, and land recovery and development. Over time, the scope of the educational programmes widened as it became apparent that new knowledge played a vital role in training, and that training itself led to the development of new knowledge—a vital two-way academic street. In recent years, important scientific achievements have been realised as greater emphasis has been placed on addressing specific economic development needs and environmental management priorities, including among others: • development of many computer models for simulating processes in hydrology and hydraulics, ranging from physically-based models to data-based modelling systems, including data integration and uncertainty modelling (e.g. Abbott et al. 1986, Abbott 1993); • development of innovative technology for ensuring the provision of safe water supplies (e.g. arsenic filter for arsenic containing groundwater; Petrusevski et al. 2003) and sanitation (e.g. ecological sanitation); • development of modern tools for prediction and management of floods (utilizing the latest ICT every time new opportunities arose during the last decades); • development of novel techniques for water treatment and pollution prevention (e.g. El-Shafai et al. 2007); • contributions to transboundary water management (Savenije & van der Zaag 2000); • further development of the concept of virtual water to assess international trade and official development assistance commitments more holistically (Hoekstra & Hung 2002; Ma et al. 2006); 189

• enhanced understanding of processes in aquatic ecosystems in lakes, rivers, wetlands, groundwater and coastal zones (e.g. van Dam et al. 2002); • development of Hydroinformatics as an academic discipline (Abbott et al. 1994); and • advancement and development of knowledge generation, sharing and management tools (e.g. e-learning, role plays, field experiences, shared research activities, conflict resolution games etc.) and concepts for capacity building (Alaerts et al. 1991, 1999). The entire context of developing and delivering education and research programmes has changed since the Institute’s founding in 1957. Both capacity building at different levels in developing countries (e.g. van Hofwegen 2004), and the development of research capacity in institutions of higher education, have become much more important. In fact, many countries consider institution building as a fundamental component of national development objectives. Given the importance of water in the development picture, building research faculties and local technical capacity is vital to the overall aim of addressing poverty. Nowadays, the research and development environment is characterised by rapid generation and dissemination of knowledge, largely related to the extremely fast developments of and access to ICT. Therefore, in the mid-1980s the Institute made a conscious decision to include a research component in the Masters degree programme. The PhD programme, which was always a research based degree, started in the latter part of that decade and produced its first graduate in 1993, Dr. Khin ‘Nini’ Thein from Myanmar. She graduated in hydroinformatics; her promoter was Professor Mike Abbott. The number of PhD graduations gradually increased and today the Institute produces 8–11 per year (to date in total 70 PhDs have graduated). The increased research output at the Institute is also reflected in the Institute’s publications trend—in total and in peer-reviewed journal outlets (totaling 129 and 47 respectively in 2002, and 212 and 89 respectively in 2006). The numbers of publications and PhD graduations are expected to grow further in the coming years. The number of post-doctorate and other research fellows is also rising, as are the number of scholars who select UNESCO as a venue to spend a sabbatical year. Also, since joining UNESCO, the management of the Institute has made a concerted effort to hire only PhD degree holders, even in the most junior academic positions, and has brought in nine new (full) professors (often replacements of retired colleagues). This latter development has stimulated the scientific cores to address priority themes as will be discussed later in this paper. That UNESCO-IHE has made tremendous strides in improving its overall scientific credibility is validated by the positive outcome of the formal MSc accreditation visit in 2006, its acceptance as an associate member of the prestigious Dutch Research School SENSE (Socio-Economic and Natural Sciences of the Environment), and the fact that all of its Professors hold so-called zero nomination appointments at Dutch universities (equivalent to a “courtesy” or “affiliate” graduate research school designation in North American universities), providing the Institute the authority to promote PhD research fellows with these universities. The Institute’s 190

current accreditation to issue MSc degrees covers the period 2008–2012. The PhD is awarded jointly by UNESCO-IHE and a university and uses a European model of full time research of an approved topic supplemented by course work as needed. It must be noted that as a part of the United Nations, UNESCO-IHE can now promote PhD candidates with any accredited university in the world once an agreement is reached with that university as to the status of the Institute’s professors and the quality of its PhD research programme. Currently, the Institute employs academic staff members from various disciplines within its academic domain, including natural sciences (physics, mathematics and the earth and life sciences), engineering and technology (civil engineering, agricultural engineering and informatics) and the social and behavioural sciences (policy, economics, law, management and administration). The professors lead core groups that comprise the five academic departments (Table 1). Several scientific staff members play leading roles in various professional associations and hold editor positions at key water and development journals such as Water Resources Research, Journal of Hydroinformatics, Environmental Science and Policy, Journal of Hydraulic Research, Journal of Hydrology, Hydrological Sciences Journal, Irrigation and Drainage, ASCE Journals of Hydraulic Engineering, Water Resources Planning and Management, Water Science and Technology, International Journal of Sustainable Development, Physics and Chemistry of the Earth, and Hydrology and Earth System Sciences. Table 1. List of scientific cores and chairs at UNESCO-IHE (Status May 2007; not including emeritus Professors). Dept.

Scientific core

Water Engineering Hydraulic Eng. & River Basin Dev. Coastal Engineering & Port Dev.

Land & Water Development Hydrology Environmental resources Pollution Prevention and Control Freshwater Ecosystems

Professors River Engineering—Prof. Dr. N. Wright* Coastal Eng. & Coastal Zone Mgt— Prof. Dr. D. Roelvink* Ports and Inland Waterways— Prof. H. Ligteringen** Land & Water Development— Prof. Dr. Ir. E. Schultz* Hydrology and Water Resources— Prof. Dr. S. Uhlenbrook* Environmental Biotech.—Prof. Dr. Ir. P. Lens* Environmental Biotech.—Prof. Dr. H.J. Gijzen** Freshwater Ecosystems—Prof. Dr. J. O’Keeffe* Water Quality Management— Prof. Dr. Ir J. Leentvaar Environmental Resources— Prof. Dr. R. Meganck*** (Continued )

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Table 1. Dept.

(Continued). Scientific core

Management & Institutions Water Resources Management

Water Services Management Urban Water and Sanitation Integrated Urban Engineering

Water Supply & Sanitation Hydroinformatics & Knowledge Management Hydroinformatics

Knowledge Management

Professors Water Resources Management— Prof. Dr. Ir. P. van der Zaag* Water Resources Management— Prof. Dr. Ir. H.H.G. Savenije Water and Environmental Policy and Law— Prof. Dr. J. Gupta Coastal Resources Management— Prof. Dr. Ir. F. Rijsberman** Water Services Management— Prof. Dr. M.P. van Dijk* Integrated Urban Engineering— Prof. Dr. K. Vairavamoorthy* Flood Resilience of Urban Systems— Prof. Dr. C. Zevenbergen Urban Water Supply and Sanitation— Prof. Dr. G.L. Amy*

Hydroinfromatics—Prof. Dr. D.P. Solomatine* Urban Hydroinformatics—Prof. Dr. R.K. Price Environmental Hydroinformatics— Prof. Dr. Ir. A.E. Mynett Capacity Building—Prof. Dr. Ir. G.J.F.R. Alaerts*

* Chair of a core group. ** Professor with a zero nomination at UNESCO-IHE. *** Director of UNESCO-IHE.

The Institute has three principal and two cross-disciplinary research themes that are of immediate concern to developing countries and countries in transition (Fig. 1). Each theme is “anchored” in one academic department, but inter-departmental cooperation takes place during the research in all themes. An excellent example is the interdisciplinary research efforts of the SWITCH project (EU funded, budget € 24 million, 32 partners from 17 countries, coordinated by UNESCO-IHE). Its main objective is to develop a vision for ‘the city of the future’, addressing water quantity, water quality and water services problems and issues for cities and their catchments. In this and other projects, research findings and developed methodologies are not exclusively applicable for the developing world, but are often also explored with partners from developed countries and generally applicable to water-related problems. However, special attention is given to the physiographic and socio-economic conditions in river basins in the South. 192

Figure 1. The current fields of study and research at UNESCO-IHE.

The three principal priority themes and two cross-cutting themes are summarised in the following subsections.

3.1

Water security

The water security theme, anchored in the Department of Water Engineering, is directed to maintaining the balance between water availability, demand and water quality. This theme involves protection against floods and droughts, food security, energy security, the wise use of water resources (i.e. engineering aspects) and the impact of changes to water systems (e.g. climate change, land use change). A special focus is on making farming systems more productive and more resilient to climate variability/change by means of innovative irrigation techniques, ecologically sound land use practices, and nutrient management. Research activities include: • Hydraulic engineering for rivers, coasts and ports (UK, Bangladesh, Netherlands); • Surface water/groundwater interactions in tropical regions (Malaysia, Tanzania, South-Africa); • Water, food and livelihoods in the river basins Limpopo and Karkheh (Zimbabwe, South Africa and Mozambique, Iran, Ghana); • Morphological modelling of rivers and coasts (Mekong River, Vietnam, Netherlands, USA), e.g. post hurricane Katrina research project on “Storm surge modelling and coastline stability”; • Research networks in the context of the Nile Basin Capacity Building Network for River Engineering (NBCBN-RE), in which all Nile riparian countries participate; 193

• Monitoring and modelling of groundwater flow systems and contaminant transport (China, Ghana, Yemen); and • Process-based hydrological modelling using remote sensing and tracer data for flood prediction and land use change impacts (China, Tanzania, Nepal, Thailand, Malaysia).

3.2

Environmental integrity

The environmental integrity theme, anchored in the Department of Environmental Resources, deals with balancing human development and the quality of the natural resource base. Central issues include equitable allocation of natural resources, pollution prevention and control, cleaner production, and sustainable development and use of freshwater ecosystems. Special attention is given to environmental water allocation (incl. bio-physical and socio-economic dimensions); and investigations about the payment for environmental services is a recently developed research line. Other research activities include: • Environmental science in the field of biotechnology, e.g. sulphur and metal biotechnologies; • Wetlands of the Lake Victoria basin, livelihoods for riparian people versus ecosystem integrity (Kenya, Tanzania, Uganda); • Constructed and natural wetlands and lakes to support water quality management in a catchment context and sustainable fish production (East Africa); • Roads and floods in the Mekong flood plain: MRC flood management programme (Cambodia, Vietnam); • Environmental water valuation and allocation in the transboundary Mara basin (Kenya, Tanzania); • Tropical shallow coasts; ecological processes in sea grass meadows and impacts of human activities; and • Waste water treatment, management and cleaner production (Colombia, Mexico, Ghana).

3.3

Urbanisation

The urbanisation theme, anchored in the Department of Urban Water and Sanitation, addresses the rapid increase in urban populations and the enormous pressures this poses on local governments for expanding and modernisation of services and infrastructure related to water supply, treatment and distribution, and wastewater collection, treatment and re-use. The principal aim is to increase access to safe water and sanitation in urban and peri-urban areas of large and medium-sized cities through (i) increasing the efficiency of urban water supply systems (incl. re-use of water; closing the urban water cycle) and water demand management, (ii) developing innovative, sustainable technology for water supply and sanitation including ecosan, and (iii) innovative financing. Other research activities include: • Use of natural systems to provide drinking water (EU reclaim project; many sites world-wide); 194

• Waste water treatment through soil aquifer treatment and river bank filtration (Israel, China, Ghana); • SWITCH—Research and development towards sustainable cities in the future (>10 investigation sites and demo cities worldwide); • Flood resilience investigations (Netherlands, UK, Germany, Greece, Eastern Europe); • Arsenic removal technology for safe groundwater supply (Bangladesh, Eastern Europe); and • Functioning of European water markets, and water economics in the developing world (Europe, India).

3.4

Water governance

The water governance theme, anchored in the Department of Management and Institutions, focuses on decision processes in water resources management and on adequate and innovative institutional forms that enhance accountability and public participation, from the local scale and the watershed to the river basin scale and beyond. Research focuses on making catchment organisations more effective in allocating water, in mediating conflicts and in finding a balance between economic development and environmental sustainability, through up-scaling of local (customary) water management arrangements. Other research activities include: • Institutional arrangements in the river basins Pangani (Tanzania) and Limpopo (Zimbabwe); • Simulating and optimising water allocation in river basins (Euphrates and Tigris, Zambezi); • Transboundary IWRM on the Incomati-Maputo river basins (Mozambique, South Africa, Swaziland); • Conflict and cooperation on water resources (with the UNESCO-IHP project “From potential conflict to cooperation potential—PCCP”); • Integrated watershed management research in Upper-Lancang (Mekong; China); • Analysis of river basin organisations (in cooperation with CapNet); • Water poverty indices and water scarcity indicators; and • Modelling of hydrosolidarity (Tanzania).

3.5

Information and communication systems

The information and communication systems theme, anchored in the Departmet of Hydroinformatics and Knowledge Management, explores the opportunities provided by modern information and communication technologies for monitoring and acquiring data, for computer-based modelling and for decision support and knowledge-based systems for integrated water resources management (e.g. See et al. 2007). One special focus is on developing new tools for real time monitoring, early warning and disaster management. Other research activities include: • Real-time monitoring and management system for the Yellow River basin (China); 195

• Urban storm water modelling and management (Brazil, UK); • Analysis and further development of capacity enhancement approaches and tools that are applicable to water institutions in the developing world; • Management of hydrological extremes—ensemble flow forecasting to deal with prediction uncertainty and climate change (China, Netherlands); • Data-driven and computational intelligence methods for hydrological and hydraulic modelling; • FLOODsite—developing new uncertainty analysis frameworks for flood risk management; and • Hydroplan—tools for asset management of water distribution and sewerage networks.

3.6

Inter-disciplinary and collaborative research

The Institute is particularly well-placed to address complex inter-disciplinary research topics as, for instance, the impacts of global changes on water, which affect all fields of study. To that end the Institute established inter-departmental working groups. Currently, three such working groups initiate and coordinate research activities related to the following themes: (i) Water and climate, (ii) Flood risk management, and (iii) Environmental water allocation. An additional group is being contemplated on conflict and cooperation on transboundary water bodies. Last but not least, international environmental governance and knowledge networks are a focus in the Institute’s research, for example, WaterNet (IWRM partnership for Southern Africa), the Nile Basin Capacity Building Network for River Engineers (NBCBN-RE), and START an advanced institute on global environmental change and the vulnerability of water resources in the context of the Millennium Development Goals. WaterNet is a good example of fruitful cooperation within a knowledge network generating research and research capacity in the South. WaterNet is implementing two major research projects: the Challenge Programme on Water for Food (CGIAR project) and the SSI programme (Small-holder System Innovations), and closely works together with the Sida-funded WARFSA research programme. These WaterNet-related programmes together account for 15–20% of all waterrelated peer-reviewed publications from Africa in recent years. Several facts are influencing all research efforts undertaken at UNESCO-IHE. Almost all research projects require active collaborators/partners, both within The Netherlands and abroad. This is particularly important for the Institute given its mandate to foster the development of both researchers and knowledge institutions (education and research). These partners are selected on the basis of the 29 MoU partnerships in which the Institute currently participates, the UNESCO International Hydrology Programme (IHP) and its twelve Category II water centres, or the different knowledge networks (PoWER, WaterNet etc.) to which the Institute belongs. Good collaboration with the Dutch universities, particularly those where the professors hold their zero-appointments is crucial (i.e. Delft University of Technology, Wageningen University, VU Amsterdam, Erasmus University Rotterdam). Stronger collaborations within the Dutch Research School SENSE are 196

currently being developed. Additionally, the Institute is participating in a number of relevant Dutch, European and other international research networks, and it works very closely together with national knowledge centres such as WL|Delft Hydraulics, GeoDelft, TNO, KIWA and Rijkswaterstaat. The research activities are funded by national and international research agencies; and other funding agencies include donors for development, and international bodies such as the European Union, the government of The Netherlands (e.g. DGIS), the Netherlands scientific research foundation (NWO-WOTRO), the Swedish international development agency (Sida), the World Bank, the Consultative Group for International Agricultural Research (CGIAR) and BSIK.

4 FUTURE CHALLENGES FOR WATER RESEARCH AT UNESCO-IHE In almost every basin of the world, anthropogenic activities have disrupted natural hydrological and ecological regimes (e.g. Oki et al. 2006). The societal and environmental challenges linked to water-related problems are absolutely staggering in many cases (e.g. UN 2006). Due to global changes (climate change, land use changes, population increase, and politically driven processes resulting from globalisation trends), the magnitude and complexity of water problems has increased in many cases, aquatic ecosystems are being destroyed or are under enormous pressure, and regional water disparities have become more pronounced. Large knowledge gaps also exist in all water-related disciplines, and understanding of the coupling between hydrological, ecological, climate and socio-economic systems across scales is inadequate. Consequently, finding sustainable solutions in water management (interdisciplinary and often transboundary) is becoming increasingly complex and difficult. A well-developed research programme can be a vital mechanism for addressing these problems and providing decision-makers with credible data and knowledge upon which to base policy and investment decisions. With its twelve scientific cores (see Table 1) covering a similar number of disciplines the Institute is in a unique position to make significant contributions to the complex research challenges. UNESCO-IHE will only succeed in this if it further develops its research activities in collaboration with partners in the South as well as in the North. The Institute will continue to invest in the quality of its research and in the development of relevant research lines to contribute to a better understanding of bio-physical and engineering aspects of water-related processes, water management and good governance of water and environmental resources in close collaboration with its partners. Because of its inter-disciplinary setup with water scientists from almost all disciplines, the Institute will continue to address water problems in an integrated way. It will stay alert and responsive to new developments in the field, either from the technical side or from the external policy environment. The tension in maintaining a balance between fundamental and practical/applied research will remain, but in the long term both are needed. Fundamental research will ultimately assist in helping solve practical water-related problems. Applied research can test the 197

value of new knowledge in real-world settings. In research projects in the developing world (the vast majority of all projects at the Institute), a participatory approach involving local institutions is essential. Without “buy-in” and even pro-active support from those who are supposed to benefit from the research and associated investments, any project is at risk. Research is an essential part of the educational programmes of the Institute, in particular for capacity building at higher levels; and it therefore guarantees the longterm sustainability of the programmes, and has a long-lasting impact on development through the building of human capacity. Measuring other direct impacts of research for development, in particular of more fundamental research projects, remains difficult. It is today possible to measure the research output (number of papers and citations in journals with different impact factors etc.), but a high output does not guarantee the uptake of new knowledge in practice. Therefore, it is evident that additional ways for the dissemination of research results (outreach programmes, policy briefings etc.) are very important. Generally, it is clear that to really make a difference there needs to be a long-term commitment of all stakeholders involved, i.e. the researchers, the academic institute, the funding agency and the user of research results, and a continuous following of the developed research agenda. To reach this long-term commitment the research agenda needs to meet the strategic research interests of the demand side (e.g. local governments, policy makers, civil society) and the supply side, i.e. the researchers in their academic environment (research institute, mentors etc.). Research findings are more likely to be utilised and adopted if they come from demand-driven research projects. In a development context it is often unclear where exactly such demand for knowledge originates. Articulating and matching demand and supply of knowledge is therefore not always straightforward and unproblematic, and could in itself be a valid topic of research. Fulfilling its mandate, UNESCO-IHE will continue to serve the global community as a centre of excellence in water and environment, i.e. it will offer excellent opportunities for knowledge generation and sharing to contribute to sustainable management of the world’s water resources. Therefore, the Institute is looking forward to continuing and expanding cooperation with other centres of excellence in integrated partnerships in the North and the South. Together we can engage the great challenges ahead, including making access to clean water for all (a fundamental human right) a reality.

REFERENCES Abbott, M.B. 1993. The electronic encapsulation of knowledge in hydraulics, hydrology and water resources. Advances in Water Resources 16: 21–39. Abbott, M.B., Bathurst, J.C., Cunge, J.A., O’Connell, P.E. & Rasmussen, J. 1986. An introduction to the European Hydrological System—Systeme Hydrologique Europeen, ‘SHE’, History and philosophy of a physically-based, distributed modelling system. Journal of Hydrology 87 (1–2): 45–59.

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Abbott, M., Solomatine, D., Minns, A.W., Verwey, A. & Van Nievelt, W. 1994. Education and training in hydroinformatics. Journal of Hydraulic Research, Extra Issue 32: 203–213. Alaerts, G.J., Blair, T.L. & Hartvelt, F.J.A. (eds) 1991. A strategy for water sector capacity building. UNDP/IHE Report-24, New York/Delft. Alaerts, G.J., Hartvelt, F.J.A. & Patorni, F.-M. (eds) 1999. Water Sector Capacity Building: Concepts and Instruments. Rotterdam/Brookfield: A.A. Balkema Publ. El-Shafai, S.A., El-Gohary, F.A., Nasr, F.A., van der Steen, N.P. & Gijzen, H.J. 2007. Nutrient recovery from domestic wastewater using a UASB-duckweed ponds system. Bioresource Technology 98 (4): 798–807. Environmental News Service 2002. Water and health declared a human right. Geneva, 5 December. http://ens-news.com/ens/dec2002/2002-12-04-01.asp Environmental News Service 2003. Environment and human rights linked before UN commission. Geneva, 15 April. http://ens-news.com/ens/apr2003/2003-04-11-01.asp Hoekstra, A.Y. & Hung, P.Q. 2002. Virtual Water Trade, a quantification of virtual water flows between nations in relation to international crop trade. Technical Report Virtual Water Research Report Series no. 11. UNESCO-IHE Delft, The Netherlands. Hofwegen, van P.J.M. 2004. Capacity-building for water and irrigation sector management with application in Indonesia. In Capacity Building in Irrigation and Drainage Issues and the Way Ahead. FAO Water Reports 26, Rome, Italy. Ma, J., Hoekstra, A.Y., Wang, H., Chapagain, A.K. & Wang, D. 2006. Virtual versus real water transfers within China. Philosophical Transactions of the Royal Society B. Biological Sciences 361: 1469. 29 May. New York Times 2007. UN Council hits impasse over debate on warming. 18 April. Oki, T., Valeo, C. & Heal, K. (eds) 2006. Hydrology 2020: An Integrating Science to Meet World Water Challenges. IAHS red book 300. Petrusevski, B., Sharma, S.K., Kruis, F.P., Omeruglu & Schippers, J.C. 2003. Family filter with iron-coated sand: Solution for arsenic removal in rural areas. Water Science & Technology. Water Supply (2) 5–6. See, L., Solomatine, D.P., Abrahart, R. & Toth, E. (eds) 2007. Hydroinformatics, computational intelligence and technological developments in water science applications. Hydrological Sciences Journal, special issue, June. United Nations 2006. Water a shared responsibility. World Water Assessment Program, The second United Nations World Water Development Report. Paris: UNESCO. United Nations Wire 2007. UN attacks climate change as threat to peace. 19 April. van Dam, A.A., Beveridge, M.C.M., Azim, M.E. & Verdegem, M.C.J. 2002. The potential of fish production based on periphyton. Reviews in Fish Biology and Fisheries 12: 1–31. Savenije, H.H.G. & van der Zaag, P. 2000. Conceptual framework for the management of shared river basins with special reference to the SADC and EU. Water Policy 2 (1–2): 9–45.

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Capacity challenges on the path towards water security P. van Hofwegen World Water Council, Marseille, France

ABSTRACT: A precise definition of water security should comprise of four elements, the actors, needs, resources and infrastructure, and specific challenges that go with each element. Serving four levels of water security—securing human life, securing human livelihoods, food security, and economic and social development— requires sophisticated cooperation of empowered capacities at multiple levels. As a public affair, politicians and national, regional and local governments are key players and adequate negotiations among all users and interests is necessary. The distribution of sufficient infrastructure with adequate financial, technical and human capacity to manage, operate and maintain the systems is also critical. Water security is enmeshed with broader issues of population growth and climate change; nonetheless, successful responses to capacity challenges are possible. Users can be conscious and informed participants; system managers and agencies can be service-oriented and accountable; there can be adequate knowledge and coordination; and water security can be high on the political agenda and everyone’s responsibility.

1

DEFINING WATER SECURITY

Water security needs to be established with the available potential of resources in a competitive environment of multiple uses and users. Increasing population, economic development, pollution and climate change put increasing pressure on the resources available. In this context, water security involves the sustainable development, management, use and protection of water systems, the protection against water related hazards (health risks, floods and droughts), and the safeguarding of (and access to) water services for humans and the environment, now and for future generations. Beyond securing basic human needs, water security is perceived differently in different geo-socioeconomic settings. Individuals, communities, farmers, industries, nations and societies, all want assurance of access to their needed amount and quality of water for their particular purposes. For example, the Global Water Partnership (2000) defined water security as an overarching goal where: “… every person has access to enough safe water at affordable cost to lead a clean, healthy and productive life, while ensuring that the environment is protected and enhanced”. This definition focuses on individual water users in an environmental context, without considering other users such as agriculture and industries. The World Business Council (2006) focuses on a broader user’s perspective and defined water security as “having access to sufficient quantities of water of adequate quality, at the right time and in the right place, to meet a user’s needs”. 201

Grey and Sadoff (2007) looked at water security from a development perspective and incorporated water related risks due to shortage or excess of water, thus defining water security as: “… the availability of an acceptable quantity and quality of water for health, livelihoods, ecosystems and production, coupled with an acceptable level of water-related risks to people, environments and economies”. Water security also has to be looked at from a time perspective, to secure or enable improvement of livelihoods, to ensure a healthy living environment and to enable a sustainable social and economic development for present and future generations. Peoples need to face the main water security challenges of this era: population growth; economic development; resource degradation and climate change. Taking all these factors into account allows us to establish a more precise definition of water security: “Water security is the availability of an acceptable quantity and quality of water under changing circumstances for basic human needs, livelihoods, ecosystems and production, and the protection against negative impacts from excess water coupled with an acceptable level of water-related risks to people, environments and economies for the present and future generations”.

2

CAPACITY DIMENSIONS OF (LOCAL) WATER SECURITY

Water security is not only about the availability of water as a resource. It is also about the availability of infrastructure to harness the resource and provide the water services, and the capability to manage and maintain this infrastructure. Reliable service delivery depends on the serviceability and robustness of facilities and the financial, technical and human capability of service organizations to operate and maintain them. Many of the actual water security problems are due to a lack of the right mix of human resources, financial resources and incentives to properly operate, maintain and repair service infrastructure, be it for water supply, irrigation, flood protection, pollution control, or environmental purposes. Water security also involves the protection of water sources from water related hazards. This protection depends on political factors, cooperation within national and trans-boundary basins and aquifers, and the level of peace and stability in a region. The local inhabitants of each region have to be considered, their culture, values and social and economic situation, and their traditions and coping mechanisms for water excess and shortage. The development of water security, therefore, will be shaped by these local characteristics and will include local knowledge, local standards, local approaches and local solutions, incorporated into the extensive system of knowledge and instruments provided by institutions and governments.

3

ELEMENTS OF WATER SECURITY

Developing water security requires the balancing of the needs and availability of water, with the institutions and infrastructure required to provide an accepted level 202

of security at an acceptable level of costs and risks. Figure 1 demonstrates the interrelationships among the four key elements of this equilibrium. A checklist of these elements is: • The needs to be secured: what are they? How much water is involved? How sensitive are the needs to variations in availability? What are the priorities and what measures are possible to reduce these needs? • The actors: the key actors who need water, those who manage water, those who regulate, those who coordinate and those who ultimately decide; and supporting actors such as civil society, research and education institutes, financing agencies, and governments. • The resources and their potential: What are they? How much water is involved? What is the variability of water availability? What physical and non-physical measures are necessary to develop these resources to meet the needs? • The infrastructure: What is available; how can existing infrastructure be upgraded or modernised to facilitate the requirements in a water efficient and cost effective way? Providing water security comes at a financial, environmental and social cost to be balanced against the risks. Therefore, a detailed assessment is needed of what is available in terms of water resources, institutional capacities and societal needs.

Figure 1.

Elements composing water security.

203

4 THE NEEDS: LEVELS AND PRIORITIES IN WATER SECURITY Water is essential for life, and no one contests that every individual should enjoy the right to access water and sanitation in order to meet their basic needs and live in dignity. However, at present more than 1.2 billion people worldwide are still denied access to safe water, and 2.6 billion people still lack access to basic sanitation. Every year 1.8 million children die from avoidable water-related diseases. Over 800 million people suffer from malnutrition and billions of people still live in absolute poverty (UNDP 2006). These are the people who are most vulnerable and are the first to suffer from water insecurity. Water security not only refers to security on quantity and quality of water but also to security against floods and other water borne hazards. Four levels of water security and priorities can be distinguished: • Securing human life: basic needs and protection (drinking water, health, sanitation, hygiene, protection against life-threatening floods). The most explicit reference to the right to water is made in General Comment no. 15 (2002) which interprets Articles 11 and 12 of the International Covenant on Economic and Social Rights (ICESCR). There is also recognition in national legislation of the right to water which “entitles everyone to sufficient, safe, acceptable, physically accessible and affordable water for personal and domestic uses. An adequate amount of safe water is necessary to prevent death from dehydration, reduce the risk of water-related disease and provide for consumption, cooking, personal and domestic hygienic requirements” (Dubreuil 2006). • Securing livelihoods: access to water is required for farming, productive uses and a range of different purposes to secure livelihoods, and to exercise social, religious and cultural activities, to create a healthy living environment (e.g. flushing sewers, draining malaria mosquito pools, etc.) and to provide a sufficient level of protection against “high frequency” destructive floods to protect these livelihoods. • Food security : food agriculture will remain the primary user of water in the foreseeable future. More food and fibre are needed to cope with population growth, economic development and the trend towards more water intensive-meat based diets. Increased production and productivity are needed, as well as changes in consumer behaviour in many developed countries to reduce water intensive nutrients in the diet and levels of waste. • Economic and social development: promotion of agriculture, energy production, and industry in order to enable development of employment opportunities, access to proper nutrition, education, health and the safeguarding of investments for repair of damage caused by floods or droughts.

5 WATER SECURITY GOVERNANCE Every human being is an actor in the theatre of water security. Many take it for granted or are unaware, while others take it seriously and pursue action in an organised manner through user groups, consumer associations and/or civil society organisations. 204

Water security concerns everyone; we all have a responsibility to enable it, and to better understand how to assure this. It is useful to distinguish five main groupings of actors: • All users whose needs are to be secured, and whose lives and properties need to be protected. Users also have the responsibility to protect resources, minimize pollution, contribute to security provision and act in solidarity with those that do not have the means or resources. • Water resources managers and utility operators (public, private, community or user associations), who need to be well informed on the water situation and have the necessary facilities to implement the provisions of water security and to ensure reliable delivery of the agreed levels of services at the least cost. • Organisations and coordination structures where water managers, governments and users meet to set priorities, decide on allocations, protection measures, etc. • National and local governments, who have to set the water security policies, develop the institutional framework enabling stakeholder coordination and participation, prepare associated legislation and regulations, allocate budgets, facilitate access to finance and cost recovery for operators, and set policies for staff recruitment, incentive mechanisms and capacity development. Service failures and emergency response to droughts and floods become primarily issues of local governments. • Politicians, who need to be well informed on water issues before they decide on behalf of their constituencies. Providing water security is a public affair and therefore essentially a responsibility of government, through its local governments and specialised agencies. Levels of water security will be the result of a negotiation process among all those concerned, and require a common agreement on security standards based on application of the right to water, water rights and other entitlements. In such negotiations a hierarchy must be observed in which priority is given to basic human and domestic needs. Many countries have made this explicit in their legislation. Distribution capacity needs to be available, both in terms of infrastructure that allows delivery and use, and adequate financial, technical and human capacity to manage, operate and maintain these systems. However, it is impossible for a government to ensure that all citizens are provided with their rightful amounts of water without the active participation and involvement of the people: communities, water users associations, water conservation groups, farmer groups etc.

5.1

Water rights and right to water

Water rights secure access to water for existing users and offer equitable ways to meet additional water needs related to population growth and migrations, including effects of urban expansion, economic growth and environmental protection. The right to water is an effective instrument to provide water security for all. In a case where many people are unserved, it can be powerful for mobilizing local resources towards local initiatives to obtain equitable and affordable access to water services. It also places the issue higher on the political agenda. 205

However, even if new laws and regulations are enacted, they may sometimes remain unimplemented, because they are opposed by powerful stakeholders, constrained by lack of political priority and institutional capacity or crippled by unworkable stipulations. While water right systems may help secure supplies for basic needs by restricting competing uses, actual delivery to satisfy basic needs depends on developing water supply systems and the institutions that manage and finance service provision (Bruns et al. 2005). Competition for water will continue to grow. Water users and water management organisations seek better institutional arrangements for coordinating use and resolving conflicts. Water security matching basic needs, livelihood, food-security, and industrial and environmental requirements needs to be based on mutual agreement among the actors through a process of negotiation and resulting in rights, standards and processes to allow proper planning and implementation of water allocation. Thus, water security provision includes mobilisation and empowerment of user groups and providing them with the necessary financial and technical support. It requires a reorientation of the practices of water agencies, changing them into clientoriented providers of water related services.

6 TACKLING WATER SECURITY THROUGH RESOURCE MANAGEMENT 6.1

Hydro-meteorological observations

The first requirement in the quest for water security is to know how much water of which quality is available. In a rapidly changing environment due to urbanisation and land-use changes, the continuous collection and interpretation of hydro-meteorological data is of extreme importance. Unfortunately, the development and maintenance of hydro-meteorological observation systems, and the capacity to make real-time purpose-relevant synthesis for decision-making, are usually lowest on the list of budget allocation priorities. Many decisions that are made are based on out-of-date, inaccurate, and, sometimes, irrelevant data.

6.2

Development of access to resources

Many countries, especially those in Sub-Sahara Africa, suffer from scarcity of water because water resources are inadequately developed due to economic and capacity constraints. Infrastructure is necessary to enable harnessing of these resources to provide the necessary water security. Fragile political systems, low levels of economic activity and lack of access to markets make initial investments unattractive. Under such circumstances, development of water security requires international solidarity mechanisms in terms of financial and technical support to create appropriate infrastructure and to enable social and economic development. Such approaches benefit from making optimal use of local knowledge, local solutions and local technology. 206

6.3

Access to alternative resources

In basins where water use approaches or exceeds the level of renewable water, access to alternative sources is required, such as the reuse of waste water and desalinisation. Water resource managers and politicians also have the possibility to explore the potential of virtual water, reducing the stress on local resources by importing high water consuming food products. To earn sufficient foreign exchange to pay for such imports requires access to foreign markets and the ability to export produce, goods and services (World Water Council 2003).

6.4

Trans-boundary water bodies

Water use in any one place affects its use and vulnerability in other places, including in other countries. Modest changes in water use upstream can affect water security in downstream countries, or vice versa with the establishment of historical water rights of downstream riparians. There are three main causes for these effects: competition for a finite supply of water; impacts on water quality; and changes in flow regimes. There are 39 countries with a combined population of over 800 million that depend for more than 50% of their needs on resources from outside their borders. International water resources like rivers, lakes, and aquifers support the hydrological interdependence of 40% of the world population. Lake Chad and the Aral Sea are visible illustrations of what happens when water flows are radically changed. Though drought may be blamed, the present water scarcity has been engineered through human intervention and the diversion of flows. (UNDP 2006) In any country it is a politically challenging task to allocate water among users. Adding national borders to the equation complicates governance, especially when competition for water is intensifying. Trans-boundary rivers, lakes and aquifers bind countries into environmental resource sharing arrangements that shape water security and create livelihood opportunities. The optimal approach is to jointly manage water rather than to allocate quantities and share benefits according to each country’s’ comparative advantage; but cooperation is only likely to begin if the cost of cooperation is less than the benefits. The governance of international water courses must take into account the effects of use in one country on other countries, the availability of alternative water sources, the size of the population affected, the social and economic needs of the watercourse states concerned, and the conservation, protection and development of the watercourse itself. In 1997 principles for sharing water were codified in the UN Convention for the Non-navigable Use of Shared Water Resources. The core principles are “equitable and reasonable utilisation”, “no significant harm” and “prior notification of works”. However, at present only 15 countries are party to the convention, partly because it does not provide tools for resolving competing conflicting claims and lacks a practical enforcement mechanism. Other reasons may be that up-stream and down-stream riparian countries simply do not agree to the same set of principles. 207

7 CHALLENGES FOR WATER SECURITY 7.1

Matching infrastructure with management capacity

Water security is about the capability to protect, manage and maintain the resources and the infrastructure needed to provide the wide range of water services intended. Reliable service delivery depends on the serviceability and robustness of facilities and the financial, technical and human capability of service organisations to operate and maintain them. Many current water security problems are due to lack of capacity, financial resources and incentives to properly operate, maintain and repair service infrastructure. Technology choice is another important factor and should be based on affordability and local management capacities. It should be the result of interactions between service providers and their clients on the character and required level of security and service, the cost of service and the associated price to pay. This becomes even more relevant when systems are jointly or exclusively managed by user groups, like water user associations with irrigation systems, or communities with local water supply or sanitation schemes.

7.2

Uptake and scaling-up of local innovation—many thresholds to overcome

There are in many cases discontinuities between research programmes in use and real needs, due to weak interaction between the research community and the users and managers of water resources. The establishment of communication platforms could be a main step forward in bridging this divide, making research more relevant. Research results also should be translated and disseminated in communicable terms to different levels of audience—not just for peers in the scientific community but also for decision-makers and communities. Local research has resulted in many potentially cost-reducing innovations, but certifying and marketing these remains an obstacle for many. Much water saving or water purification technology exists but is often not accessible. And often water saving potential cannot be realised because of lack of management capacity, technical support or operational funds. The development of a local innovation capacity, and linking this with service organizations, establishes a technological support capacity and also triggers the development of a local water culture with pride in achievements and momentum in enhancement of sector performance.

7.3

Adapting to climate variability and climate change

Taking into account the predication of increased extremes in climate and the consequent increased likelihood of longer droughts and more extreme floods, measures may need to be put in place to increase the capabilities of communities, water user associations and water service providers to deal with these phenomena. Enhanced understanding of the nature, extent and impacts of climate change requires progress in climate science on forecasts (seasonal and decadal) and their 208

downscaling, and on the effects of climate change on water resources and water availability in the next decade. In addition, clarification of the needs of water resource managers for improved information and data collection is needed, as a basis for developing appropriate response strategies. To formulate priority adaptation measures, impact and vulnerability assessments are required for distinct water users (e.g. utilities, water boards, national governments, coastal protection, agriculture, nature). These assessments must deal with the accelerating trends (sea level rise, snow cover melt, increased water scarcity) and extremes (including droughts, floods, hurricanes and storms) associated with climate change. Adaptation options and cost-benefit analysis include the following: • Capacity building and finance, • Early warning systems, • Structural measures (reduced leakage and increased storage as a coping mechanism), • Non-structural measures (land use and spatial planning combating water pollution and desertification, effective management of surface and groundwater, conservation of watersheds and coastal aquifers, and rain water utilization).

7.4

Bio-fuels

Spiraling oil prices, the realisation that oil and gas reserves are finite, the desire to reduce CO2 emissions and the desire to become more energy independent have led to increasing interest in alternative energy sources. Bio-fuels have become an interesting alternative and changes in agricultural practices are already taking place. Sugar-cane, palm-oil, corn and other crops are now increasingly produced for bio-fuel production. Adverse effects of bio-fuel production are becoming more and more evident. For sufficient production much land is needed. Forests are being cleared for this purpose. Existing land for food production is being converted into bio-fuel crops, reducing food production capacity and consequently contributing to a recent trend of continually rising cereal and food prices. Additionally, bio-fuel production is more productive when water management measures are taken. Irrigation and drainage for this purpose claim an important share of already scarce water resources. On the other hand, bio-fuels may provide an opportunity to lift the agricultural sector out of its cycle of low commodity prices and position as an unattractive area for investments in innovation. Critically, impacts of bio-fuel production on water and land resources, water and food security, economic development and the livelihood of people, need to be better understood in order to achieve bio-fuel production without adverse effects.

8 THE CAPACITY CHALLENGES Achieving water security requires a wide spectrum of capacity development approaches, dealing with users, user associations, land and water resource planners 209

and managers, service providers, local and national governments, politicians and parliamentarians, educators and researchers. This section indicates each of these specific capacity challenges and describes successful responses to each of them.

8.1

Capacity challenge 1: Water conscious users

To contribute to the sustainability of water systems, water users are aware of their rights and obligations. They understand what the impact of their behaviour is on water availability for themselves and for others, and the effects of possible over-exploitation and pollution of surface and groundwater resources. To be able to respond, water users are informed about how they can secure their water needs and what water saving and pollution prevention measures they can apply to enhance water use efficiencies. They have access to technology, technical advice and finance to invest in innovation. To make water rights and right to water meaningful, they participate in decision-making processes on service provision and tariffs and have access to legal recourse.

8.2

Capacity challenge 2: Accountable, service-oriented utility and system managers

Utility and system managers use a customer and service oriented approach for reliable provision and expansion of agreed levels of service at least cost. They have capable staff with the right level of knowledge, skills and behaviour for planning, development, management, operation, maintenance, billing, fee collection and administration. This is achieved through well-developed training, education and coaching in combination with proper incentives for optimal system performance. These managers and staff are able to communicate with and provide adequate technical support to communities and water user groups. To keep the serviceable infrastructure in good condition managers know the extent and state of assets and have the capability and knowledge to make and use asset management plans to operate, maintain and improve the infrastructure. The utilities and system management operations are adequately funded through service fees and targeted subsidies. The utility and system managers are directly accountable to their clients and subsidy providers, whose representatives also make up part of the governance bodies.

8.3

Capacity challenge 3: Environmentally conscious, sustainability oriented water resource managers

Water resource management agencies are adequately staffed and equipped to provide reliable day-to-day bulk water supply services. Based on data and facts and on trends in availability and use for the short, medium and long term, they develop and simulate alternative scenarios for water security strategies and operational scenarios for ground and surface water development, use, and protection. They communicate the 210

results to stakeholders and politicians, thus enabling well-informed decision making on water allocations, issue of water rights and licenses, land-use planning, and ecosystem protection measures. By effective monitoring and reporting, environmentally conscious water resource managers know the (dynamic) state of eco-systems and understand the impact of use of land and water resources. They protect catchments, develop and implement measures to conserve rain, surface and groundwater, and they control pollution. They communicate with all layers of society, knowing that they require inputs and support from all levels to develop and implement adequate management plans. They also act rapidly in response to drought, flood and pollution hazards. They have adequately funded early warning systems, hydro-meteorological networks and water quality monitoring systems in place with capable and reliable staff for observations, analysis, maintenance, renewal, and reporting.

8.4

Capacity challenge 4: A well informed, representative and empowered water resource coordination

Providing water security for all requires setting priorities, identifying trade-offs, making choices and compromises, clarifying consequences, and estimating and accepting certain levels of risk. Seldom can all desired levels of water security for all users and uses be achieved. To facilitate decision making on strategies and investment plans for water security and the associated development, management, use and protection of water and land resources, mechanisms are established for debate and exchange of ideas, positions and interests. These mechanisms allow for the consideration and balancing of diverse interests, rights and obligations, thus minimizing and mitigating adverse effects. And these interactions are sustained with adequate knowledge supplied by knowledge institutes and local actors, which identify and evaluate possible scenarios and the impact of choices and compromises.

8.5

Capacity challenge 5: A self evolving, easily accessible, multi-disciplinary, multi-interest knowledge base

To achieve water security solutions which are affordable and acceptable, academic and research institutions, professional associations, practitioners, and also local knowledge networks are mobilized to contribute to the development of a knowledge base for a better understanding of existing situations, lessons and best practices on coping strategies already applied, and linkages with local knowledge. The successful knowledge base has a low threshold access, because it is understandable for nonwater experts, focused on non-water expert users, and is affordable! Research and education programs are more demand oriented and linked to the realities of present and future needs. Modern instruments, like the Water WIKI, are used. Observation networks, data systems and simulation models are linked to the knowledge base, which is continuously updated and fed by academic and research institutes, user and practitioners groups. 211

8.6

Capacity challenge 6: Water conscious, visionary, enabling and facilitating parliamentarians, and national and local governments

Water security is a priority on the political agenda. Efficient communication of information to politicians and decision makers is achieved through the mass media, by well-informed journalists making use of ‘hot’ water issues to promote public awareness on people’s water situations. Information is understandable for non-water specialists and allows translation into a policy framework that serves short-term electorate interests as well as long-term water security. Water law and management experts develop and improve legislation and its enforcement, and access to judicial recourse, in order to enhance service delivery, empowerment of water users, and access to finance to enable investments in service delivery. Information systems on water security and risk mitigation options are geared towards the needs and requirements of local authorities and national governments, as they have to create the enabling environment for water management institutions to make water security possible.

9

CONCLUSION

Along with our endeavour to achieve water security, we also need to face the main challenges of this era: population growth; economic development; resource degradation; and climate change. Many of the actual water security problems are due to lack of the right mix of human resources, financial resources, and incentives to properly operate and maintain interrelated service infrastructures, be they for water supply, irrigation, flood protection, pollution control, or environmental protection. Water security requires a mobilisation of politicians, national and local governments, to put water security high on the political agenda. It needs a reorientation of water agencies toward becoming accountable, client-oriented providers of water related services, which also mobilise and empower user groups and provide them with the necessary financial and technical support to take needed measures to enhance their water security levels. Such agencies need to be well staffed, funded and equipped to provide society with adequate knowledge to take informed decisions. Academia, research institutes and local knowledge networks should be pillars for the development of such a knowledge base. The power of the media and the use of well-informed, knowledgeable journalists should one of the cornerstones. Better use could be made of both local and international media to raise concern and to mobilise the different layers of society. To address the six capacity challenges for water security, the capacity development processes need to go beyond their traditional orientation towards the water sector only. More attention needs to be paid to the mobilisation of politicians and society at large. Education and training efforts should focus on a wider range of skills and knowledge to empower adequate communication, inclusive management, and the skilled operation and maintenance of service infrastructure.

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Water security affects everybody in all layers of society, but it is also shaped by all of us. Water security is everybody’s concern and everybody’s responsibility!

REFERENCES Bruns, B.R., Ringler, C. & Meinzen, D.R. 2005. Water Rights Reform: Lessons for Institutional Design. Washington DC: International Food Policy Institute. Dubreuil, C. & Hofwegen, P. van 2006. The Right to Water—from Concept to Implementation. Marseille: World Water Council. Available at http://www.worldwatercouncil.org. Grey, D. & Sadoff, C. 2007. Sink or Swim: Water Security for Growth and Development. Water Policy 2007: 545–571. London: IWA Publishers. UNDP 2006. Beyond Scarcity: Power, Poverty and the Global Water Crisis. Human Development Report. Van Hofwegen, P. 2006. Financing Water for All—Report of the Gurria Task Force. Marseille: World Water Council. Available at http://ww.worldwatercouncil.org. World Business Council for Sustainable Development 2006. Business in the world of water, WBCSD water scenarios to 2025. Available at http://www.wbcsd.org. World Water Council 2003. Virtual Water Trade—Making Conscious Decisions. Marseille: World Water Council. Available at http://ww.worldwatercouncil.org.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Water knowledge networking: Partnering for better results J. Luijendijk* Department of Hydroinformatics and Knowledge Management, UNESCO-IHE Institute for Water Education, Delft, The Netherlands

W.T. Lincklaen Arriëns* Asian Development Bank, Manila, Philippines

ABSTRACT: Changes inside and outside the water sector are creating new demands for knowledge and capacity, but water institutions have considerable inertia and do not easily adjust to changing demands. Change from outside the sector includes pressures from population movement, trade policy, or urbanization, among other factors. ICT has spurred the creation of new knowledge networks in the past decade. Existing water knowledge networks need to give attention to the changing demands on the water sector and determine how they should respond. New networks need to keep under review whether their existence caters for the priority needs of the water sector. A framework for improving water knowledge networks is proposed that focuses on 1) catering to demand, 2) delivering results, and 3) managing the networking process. Specific attention is given to determining and measuring outputs and outcomes, and to identifying success factors and overcoming constraints for effective networking.

1 OVERSEEING THE SCENE—NETWORKING GALORE In this paper we explore current practice and some new directions in knowledge networking for the water sector. We begin by listing some of the networks of various types that are already in operation. Subsequently, we provide the necessary background and definitions, review earlier research results, introduce a framework for analysis, and recommend further actions. An illustrative list of some relevant water-related networks is presented below.

1.1

Global networks

Water networks at the global level include the Global Water Partnership (GWP), the CAP-Net network for capacity development in integrated water resources management

* The views expressed in this article are those of the authors and do not necessarily reflect the views and policies of UNESCO-IHE or the Asian Development Bank or its Board of Governors or the governments they represent.

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(IWRM), the International Network of Basin Organizations (INBO), the Partnership for Water Education and Research (PoWER), Streams of Knowledge (STREAMS), the Gender and Water Alliance (GWA), the Water Integrity Network, UNESCO’s International Hydrology Program (IHP), the Global Environment Facility’s International Waters Learning Exchange and Resource Network (IW:LEARN). Professional networks include the International Water Association (IWA), the International Water Resources Association (IWRA), and the American Water Works Association (AWWA). Global knowledge networks of interest to the water sector include the World Bank’s Global Development Learning Network, the Managing for Development Results Community, and others.

1.2

Regional networks

Examples of water networks at the regional level include the Asia Pacific Water Forum (APWF) and its Network of Regional Water Knowledge Hubs (APWF KnowledgeHubs), the River Network (North America), the European Water Partnership (EWP), Nile-Net, the Nile Basin Capacity Building Network for River Engineering (NBCBN-RE), WaterNet (Southern Africa), the Network of Asian River Basin Organizations (NARBO), the Latin American Network of Basin Organizations (LANBO), the Southeast Asian Water Utilities Network (SEAWUN), the South Asian Water Utilities Network (SAWUN), the Central Asia and South Caucasus Water Utilities Network (CASCWUN), the Africa Water Utilities Partnership, Water for African Cities, Water for Asian Cities, Latin American Network for Water Education and Training (LA-WETNet), Arab Integrated Water Resources Management Network (AWARENET), and the networking among national water sector apex bodies in Asia.

1.3

Country networks

A number of country water partnerships have been established around the world in response to the Global Water Partnership and its regional water partnerships. Consider for example the Indonesia Water Partnership and the Netherlands Water Partnership, and also the Collaborative Knowledge Network Indonesia (CKNet-INA), the Partnership for Capacity Building in IWRM Indonesia, and various country CapNets, e.g. the Cap-Net in Brazil.

2

MANAGING WATER FOR A CHANGING WORLD—AN INTRODUCTION

The world community is facing an increasingly daunting challenge of how to manage its water. The term ‘water security’ was used at the World Water Forum in The Hague in 2000 to underline the vulnerability of people, economies, and ecosystems to ever growing pressures on the world’s limited water resources (World Water Council 2000). 216

Awareness is now increasing internationally for the need to mitigate the effects of climate change, and it is becoming clear that developing countries and poor communities, which find themselves least equipped with knowledge, capacity and infrastructure to adapt, may be hit hardest by water scarcity, floods, environmental degradation, and rising sea levels. Rapidly growing cities around the world have become the prime engines of economic growth, yet their capacity to manage their water and waste is being increasingly stretched. At the World Water Forum in 2003 in Kyoto, the international community already signalled an urgent need to double investments in water infrastructure, and to build the capacity of cities for managing their water services (World Water Council 2003). The year 2007 marked a turning point in history with half of the world’s population now living in cities. An estimated 180,000 people move into cities each day, adding more than 60 million city dwellers each year, the vast majority of whom are in developing countries. This rate is expected to continue for the next 30 years (UN-Habitat 2006). It is also expected that the larger and mega cities will have the economic power to attract qualified people and build organizations to manage their water and waste. The largest increase in population, however, is expected in small to medium-sized cities, and it is they that will face the greatest constraints in knowledge and capacity to manage their public services, including water and waste. Recognizing this challenge, the World Water Forum in 2006 in Mexico City focused on local actions to address the global water challenge (World Water Council 2006). In a similar manner, it is expected that people and organizations working in the large river basins of the world will find ways to collaborate in improving water resources management in a more integrated manner (IWRM). At one end of the scale, the Yellow River Conservancy Commission in the People’s Republic of China employs tens of thousands of people in nine provinces to carry out its challenging mandate. The Commission is already a knowledge leader in its field, and its success is primarily determined by the willingness of riparian stakeholders to collaborate in effective actions (Yellow River Conservancy Commission 2007). At the other end of the scale, newly established river basin committees like the one in Thailand’s Bang Pakong river basin may rely on just a handful of trained specialists to deliver results, starting with knowledge on particular problems and solutions in the basin. Such smaller river basins will definitely face a big challenge in building their local knowledge and capacity for water resources management (ADB 2006). While international attention in recent years has focused on the need to increase investment in water services and better management of water resources, there is growing consensus that the world’s water crisis is primarily one of water governance. Investments in water infrastructure need to be complemented with much higher investments in knowledge and capacity development. There is ample evidence that this makes good economic sense. Drawing on the example of Japan’s economic success since 1945, the Asia-Pacific presentation to the World Water Forum in 2006 in Mexico City recommended that for every dollar invested in infrastructure, another 217

seventy cents should be invested in the “software” side, including education and capacity building (Japan Water Forum 2006). The Asia Water Watch 2015 study commissioned by the Asian Development Bank and partners reported that every dollar invested in clean water supply and sanitation might produce up to six dollars in economic benefit (ADB 2005). At local levels, experience shows that the economic rate of return (ERR) of conventional water infrastructure rehabilitation projects can be doubled or even tripled when significant investment components are added for capacity development (Van Hofwegen 2004). When the Asian Development Bank adopted its policy for supporting agriculture and natural resources research in 1995, it showed that the ERR of investments in such research could be higher than regular development projects, even up to 90 percent (ADB 1995a). More than ten years later, a panel of eminent persons recommended that ADB should focus on combining higher levels of infrastructure investments with development of knowledge and research through regional networks (ADB 2007a). The case for making better use of local knowledge and capacity becomes even more compelling when we consider that, despite international awareness of the need to increase water investments, official development assistance (ODA) for water has declined since the middle of the 1990s. OECD figures show that the share of water supply and sanitation investments declined from 8% in 1999–2000 to 6% in 2001– 2002 and have remained constant at 6% in 2003–2004. And of all private funding for infrastructure, only 5% went to water supply and sanitation services (World Bank 2007). The water challenge remains enormous. Globally, 1.1 billion people lack safe drinking water and 2.6 billion lack improved sanitation. While the vast majority of un-served people live in the Asia-Pacific region (70% of those without safe drinking water and 75% of those without improved sanitation), the service levels are lowest in Sub-Saharan Africa. Achieving the millennium development goal (MDG) target 10 globally would require a doubling of the current investment levels in the water supply and sanitation sector in developing countries: from 15 billion USD/year to 30 billion USD/year. (World Bank 2007) For the Asia-Pacific region, Asia Water Watch 2015 estimated that annual investments totalling $8 billion are needed at a minimum, excluding any upgrading from basic service levels and wastewater treatment (ADB 2005). Apart from investments in water supply and sanitation, significant additional investments are also needed for irrigation services, river basin management, flood management and mitigation, hydropower and multipurpose infrastructure, and wastewater management. While the annual investment needs around the world for water services and better management of water resources keep rising, the key challenge is for people to deliver better results. If there is agreement that the world’s water crisis is primarily one of water governance, the central challenge is to empower people and organizations with a vision, mission, and values, and to look for ways enhance their knowledge and capacity to improve their performance. Luijendijk & Mejia-Velez (2005) concluded that the social capital of the water sector is at “the heart of the matter”. 218

3 ABOUT KNOWLEDGE AND CAPACITY—SOME DEFINITIONS Knowledge and capacity are like two sides of the same coin. The same is true about good governance and capacity development (ADB 1995b). Capacity development is understood to involve three levels: the individual, the institution, and the enabling environment. Figure 1 shows the three levels with resulting outputs and goals. Successful reforms in the water sector are often the result of leadership by one or more champions. Traditionally, capacity development has focused mainly on education and training to increase individual knowledge and skills. Motivating and empowering individuals through coaching to improve their attitude and develop leadership skills has received less attention to date. Practitioners of knowledge management now refer to knowledge as the capacity for effective action. Boom quotes Karl Erik Sveiby as saying “I define knowledge as a capacity to act.” According to Boom, knowledge is about “know how” or “what works” in a given context, while information in general is “know what” or “what is” (Boom 2007). Luijendijk and Mejia-Velez (2005) suggest that the best definition might be the one provided by Ikujiro Nonaka who said that knowledge is the “justified belief that increases an entity’s capacity for effective action”. “Explicit” knowledge is distinguished from “tacit” knowledge. The first refers to knowledge that “can be expressed in facts and numbers and can be easily

Figure 1. Capacity development: Levels, activities, outputs and goals (Van Hofwegen 2004).

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communicated and shared in the form of hard data, scientific formulae, codified procedures, or universal principles” (Luijendijk & Mejia-Velez 2005). Tacit knowledge, however, is “highly personalized and hard to formalize. Subjective insights, intuitions and hunches fall into this category of knowledge.” Boom refers to tacit knowledge as undocumented knowledge. (Boom 2007) “It is embodied in people (human capital), or embedded in informal work processes (structural capital), or earned through working relationships outside (stakeholder capital).” Boom further suggests that tacit knowledge is more important than explicit knowledge for three reasons: 1) it accounts for an estimated 75–95% of total organizational knowledge; 2) expertise and mastery, the highest forms of knowledge, are mostly tacit; and 3) innovation processes depend for the most part on tacit knowledge to get started. In this age of information and communications technology (ICT)-driven knowledge applications, Boom warns that knowledge managed through ICT is often no more than a fraction of the total knowledge in an organization. Boom refers to claims that employees tend to contribute only 5% of their personal intellectual capital of tacit knowledge to their organization’s knowledge repository. Since ICT is limited to encoded or explicit knowledge, Boom contends that ICT “tends to distort policy and decision-makers’ attention away from the greater fraction of what creates value for the organization, and ultimately for the economy” (Boom 2007). The process of knowledge management is understood to accommodate the development and use of both explicit and tacit knowledge. Management scholars have begun to proclaim the possibility of knowledge management becoming “the most universal management concept in history” (Takeuchi 2001 as reported in Zhu 2004). Nonaka et al. adopted an epistemological dimension in their model, distinguishing between tacit and explicit knowledge that are being continuously converted in a social learning process (Nonaka et al. 1995). The interplay between the two types of knowledge leads to processes of knowledge conversion, expansion, and innovation. The starting point is the well-known cyclical model of knowledge generation (socialization, externalization, combination, internalization) shown in Figure 2. Socialization is the process of creating new tacit knowledge out of existing knowledge through shared experiences, for example in informal social gatherings or networks. Socialization therefore leads to shared knowledge. Externalization is the process of converting tacit knowledge into explicit knowledge, for example concept creation in a new product development. Externalization leads to conceptual knowledge. Combination converts explicit knowledge into more complex and systematic sets of explicit knowledge, called systemic knowledge. This is where databases and computer-supported analysis come in. Internalization, finally, is the process of turning explicit knowledge into tacit knowledge, for example by training. This type of knowledge is called operational knowledge. In this way, tacit knowledge, supported by explicit knowledge, becomes a synonym for “capacity to act” or a competence to solve problems (Luijendijk and Mejia-Velez 2005). Tacit knowledge is highly contextual, and it recognizes the importance of local, traditional, or indigenous knowledge. 220

Figure 2. Types of knowledge and the knowledge creating process (Nonaka et al. 1995).

Knowledge management and capacity building are closely related. Knowledge management operates in an environment with relatively strong institutions and where knowledge is considered a constraining factor for further development and improved efficiency (Luijendijk & Mejia-Velez 2005). On the other hand, capacity building primarily deals with environments of weak institutions and poor governance. Both knowledge management and capacity development deal with the same basic questions, i.e., how the decision-making process can be improved, and how tasks can be executed properly, by applying appropriate knowledge that has been collected in raw form or acquired through sharing in networks.

4 ABOUT KNOWLEDGE NETWORKING—SOME BASICS It needs no explanation that rapid advancements in ICT in recent decades have enabled and catalyzed communication and collaboration among people around the globe. Luijendijk and Mejia-Velez (2005) pointed out that “globalization, which is seen as a threat to many local communities, owes its pervasiveness to the worldwide networks that provide instant communication, including Internet.” Most notably, ICT has caused the “death of distance” as a determining factor in human communications (Cairncross 1997). ICT has, of course, not yet spread evenly around the globe, with millions of people in poor countries yet to be “connected” to this revolution and its opportunities. However, many poor countries are leapfrogging technological steps that took decades or longer in developed countries (e.g. cell phone rather than landline networks). And applications of ICT for poor countries are increasing rapidly, e.g. GPS-based systems using solar energy, IT kiosks in local communities, and cell phones used for micro-credit and issuing flood and typhoon warnings. 221

The introduction of networking itself has affected modalities of thinking and learning. Engel (1997) reports that one of the main problems constraining the development of sustainable solutions is the one-sidedness of many social and institutional learning processes. That is, people are told what to think rather than being invited to contribute their own ideas and insights, while the importance lies in people being able to adapt themselves effectively to rapidly changing circumstances. Networking has provided space for the latter to happen and adaptation will occur. Importantly, networking has also diminished the predominance of traditional “expert-to-counterpart” models in favour of two-way communication and partnerships that focus on what each side can “bring to the table” (Fukuda-Parr et al. 2002). Knowledge networks can exist in formal institutional arrangements between organizations (like in the Global Water Partnership) or in Communities of Practice (CoP) where the focus is on individuals and their tight, informal relations within and also around organizations. As such, Luijendijk & Mejia-Velez (2005) explain that “knowledge networks: 1) emphasize joint value creation by all the members within the network and thereby seek to move beyond the sharing of information to the aggregation and creation of new knowledge; 2) strengthen capacity for research and communication by all members in the network; and 3) identify and implement strategies to engage decision-makers more directly, thereby linking to appropriate processes, and moving the network’s knowledge into policy and practice.” They continue to explain that “knowledge networks tend to be more focused and narrowly-based than information networks; more cross-sectoral and cross-regional than internal knowledge management networks; more outward-looking than communities of practice; and they involve more partners than some strategic alliances.” Box 1. Knowledge Network Approach (Luijendijk & Mejia-Velez 2005). Objective: faster flow of knowledge to end-users The network: • Identifies, mobilizes and activates the individual and organizational capacities in the different organizations and countries, • Facilitates the process of sharing knowledge and experiences between people not only from the region but also with experts outside, • Creates and supports opportunities for knowledge dissemination (training, education, workshops, seminars, etc), • Guides people to become involved in the application of knowledge in the real, knowledgedriven world, where quality is the key to success.

Knowledge networks bring together providers and consumers of knowledge. Communities of practice (CoP) are seen as the primary building blocks of knowledge networks. CoPs are “groups of people that gather around a common interest or theme, and deepen their knowledge by interacting on an ongoing basis” (Wenger et al. 2002). CoPs serve to generate, share, and disseminate knowledge. They often comprise 20–30 people and are cultivated by organizations as a contributing factor to knowledge management. CoPs normally use both face-to-face meetings and ICT applications. “Distributed” CoPs are those that link people across time zones, 222

countries, organizational units, languages and cultures, and rely solely on ICT. For these CoPs it is more difficult to build trust and personal relationships, which are key factors for success. The essential differences between a CoP and a knowledge network are in the scale/size, the relationships and in the connectivity among members. A community of practice is a smaller, more personal, more narrowly focused, informal and tightly connected. Networks have less identity and practice. However, networks are important in developing relationships and are more about sharing information (rather than knowledge) among individuals and organizations. Apart from CoPs, other building blocks for knowledge networks are internet-based learning and education, and internet-based interactive platforms offering functionalities and services to the network members. From a broader perspective that regards knowledge and capacity as part of a continuum, the family of partnerships, networks, and communities of practice that support cooperation in knowledge and capacity development in the water sector can all be considered as water knowledge networks. Below we see that there can also be networks within networks. Luijendijk and Mejia-Velez (2005) argue that the strength of knowledge networking is that it starts where the knowledge exists, namely, with the professionals, who form the backbone of knowledge networks by collaborating in CoPs. They recommend that knowledge networks can therefore best be initiated through a bottom-up approach involving the professionals, and later seek a more formal institutional embedding through agreements with sector institutions. This process is illustrated in Figure 3.

Figure 3. 2005).

Institutional framework for capacity building (Luijendijk and Mejia-Velez

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In this constellation, partnerships form the enabling environment that serve to promote and support knowledge networks. And knowledge networks can rely on “CoPs”, “nodes” or “knowledge hubs” which are sub-groups or sub-networks of the larger network that have accepted a role as focal point for a particular topic of interest or for a specific geographic region.

5 WATER KNOWLEDGE NETWORKING—A FRAMEWORK FOR FURTHER ANALYSIS In this paper we suggest that further analysis and improvement of water knowledge networking can benefit from a three pronged approach focusing on needs, results, and management. The first prong reviews how a water knowledge network caters for critical water sector needs. The second assesses what results are delivered by the network. And the third reviews how well the process of networking is organized and managed. Key dimensions of each of these areas are explored in the following sections.

5.1

Demand side—what the water sector needs from networks

Key question: How can networks respond to priority water sector needs?

5.1.1

Water services and resources

Over the past decade, the needs for knowledge and capacity in the water sector have been better understood and articulated as countries and institutions around the world have carried out sector assessments and formulated policies, strategies and action plans on a more comprehensive basis. UNESCO-IHE itself has made a significant contribution to this area through its symposia on water sector capacity building in 1991, 1996, 2001 and 2007. The most recent symposium marked the Institute’s 50th anniversary. Water policies increasingly distinguish between the governance of water as a service and water as a resource. There is also better understanding of the necessary national level superstructure of the sector, often referred

Catering to demand Water Sector Needs

Networking Results

Network Management Managing the process

Delivering results Figure 4. Analyzing water knowledge networks.

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to as national water reforms, or the “enabling environment” to oversee and facilitate the delivery of water services and the management of water resources. It is understood that all three areas (enabling environment, water services, and water resources management) are in need of better knowledge and capacity development, and that dedicated knowledge networks can help to improve performance of sector institutions in these three areas.

5.1.2

Involving civil society

The increasing involvement of civil society in the water sector is both a driver for change, and an area where more knowledge and capacity is needed. Civil society covers a multitude of different organizations. The Asian Development Bank regards civil society as including non-government organizations engaged in development and/or advocacy work, the academic and international research organizations, and parliamentarians. The media are either considered as part of civil society or regarded as a separate group; however, the lines are increasingly blurred as media and communications modalities change and new formats like weblogs become popular.

5.1.3

Private sector participation

The participation of the private sector in delivering water services, and in supporting water resources management, continues to be a major challenge (issue) in both developing and developed countries around the world. What is clear is that government budgets alone will not suffice to finance the necessary investments. More knowledge is needed based on local experience and lessons learned, without ideological prejudice against, or in favour of, the merits of private sector involvement. Recent changes include the involvement of small entrepreneurs and medium-scale domestic firms to support water services, especially to poor communities (ADB 2007b).

5.1.4

Changes abound

Much more work is needed to compile, analyze and compare experiences of water management in a decentralized environment, including the roles of local governments in water services and water resources management, and to determine their priority needs for information, knowledge, and capacity. Many of these needs reflect changes in the sector over the past decade. Water security, environmental integrity, urbanization, governance, and the use of information and communications systems are some of the drivers for these changes. Policy and decision-makers at national and local levels urgently need information and advice on how their jurisdiction will be affected by climate change, and what adaptive strategies and measures they can adopt. Managers of coastal cities faced with increasing shortages of raw water resources and rising costs of developing new supplies want to know if large-scale desalination is becoming a feasible alternative to expand their water services. National and local decision-makers and river basin organizations are looking for advice if they should introduce explicit water user rights through licensing. Meanwhile, the challenge of restructuring urban water utilities to expand their services to poor communities and other customers remains as important as before, 225

and mayors want to know what models of public-private partnerships can be adopted to make this happen with the involvement of small entrepreneurs as well as medium and large private firms. The paradigm of fixing environmental degradation only after economic development needs have been satisfied looks increasingly out of date, and knowledge is in high demand for proactive approaches that involve cost sharing by consumers, e.g. through payment for environmental services, adoption of environmental flows, and sustainable wetland management. The 2006 Stockholm Water Prize winner Asit Biswas predicted that “the world of water will change more in the next twenty years compared to the past 2,000. We must anticipate events and not follow them.” He also said that most of the changes will be driven from outside the water sector by population dynamics, trade policy, and the growth of small cities, amongst others (SIWI 2006).

5.1.5

Knowledge and ICT

The need for better knowledge networking in the water sector should also be seen in the broader context of countries taking deliberate steps to introduce knowledge-based economies (KBE) and knowledge-based development (KBD). This includes building ICT supported networks that can benefit networking among water sector professionals. Some of these networks can address common areas of interest such as improving governance and enhancing civil society, which can have direct application and benefits for the water sector. Among developing countries, the recent emphasis on initiatives of managing for development results is one such example (Boom 2007).

5.1.6

Regional development

Regional differences may, of course, also give rise to different demands for knowledge networking. For economies with highly developed institutional capacities, the demand for water knowledge networking would be different than for countries with low levels of capacity. Regions might also express demand for networks that amplify the identity, issues, solutions and social capital of the region. For example, in 2006 the countries of the Asia-Pacific region acted on their desire to establish a water “network” that would encompass all of the region, rather than only the sub-regions, for which water networks (partnerships) were already established earlier. The Asia-Pacific Water Forum was thus announced at the 4th World Water Forum, and launched later that year in Manila. Similarly, countries in Africa had earlier moved to establish water sector networking which helped to articulate the needs and strategies of that region.

5.2

Supply side—what networks should deliver

Key question: How can networks focus on delivering results?

5.2.1

Outputs and outcomes

The merits of outcome-based approaches and managing for development results are widely recognized, yet their introduction is still relatively recent. Many organizations in the world are still using planning and reporting systems that focus predominantly 226

on inputs, activities, and sometimes outputs. A quick review of websites of water knowledge networks currently in existence reveals that many appear to be focused primarily on implementing activities under a broad umbrella of lofty objectives. Simple outputs are often mentioned, like the number of people trained. It is still rare to find descriptions of specific network services and products and their intended outcomes. And rarely is there mention of expected outcomes in terms of measured performance improvement in network member organizations. There is no doubt that a focus on results helps networks (and organizations) in continually verifying (regularly reviewing) their relevance, effectiveness, and efficiency. In contrast, an activity-driven approach risks missing out on their significance, effectiveness and efficiency, particularly in a sector that is subject to profound and rapid changes. Networks that do not focus on delivering specific results tend to rely on the satisfaction of their members for their continued existence. This satisfaction is derived from activities the members are used to and comfortable with, at least for as long as they can raise the necessary resources to continue the operation of the network. An equally important challenge for networks is to keep a practical focus and remain grounded in reality. There is a need to guard against focusing on the virtual concepts of models (like IWRM) such that they replace the actual realities and needs on the ground. In their technical paper on water rights and allocation, Bird and Lincklaen Arriëns (2008) urged members of the Network of Asian River Basin Organizations to keep a practical focus on solving and avoiding problems in their river basins while continuing to help build the enabling environment for IWRM over a longer term.

5.2.2

Determining results

If the case for focusing on the delivery of results is acknowledged, the question arises—what types of results could a water knowledge network set out to achieve? The definition of knowledge as a “capacity to act” offers us some direction. A focus on results can be strategic (what to do), operational (how best to do it), and related to performance improvement (how to do it better). Policy advice might be seen as a strategic result of networking. Toolkits, on the other hand, are useful for organizations and individuals to know how best to carry out activities. And benchmarks are important for setting standards for better organizational performance. The distinction between explicit and tacit knowledge is also helpful. The process of making tacit knowledge explicit and usable for sharing is an important network challenge. Referring back to Nonaka’s cycle, networks could consider which tacit knowledge is externalized and socialized, and when and how this conversion takes place. If knowledge is defined as the capacity to act, knowledge networking could be focused on a wide array of results. If the network focuses on producing knowledge products and services (strategic, operational, or performance oriented), questions can be asked who benefits from these services, and who are the network’s clients whose needs should be satisfied? If the network focuses on research, questions can be asked on the clients, topics, and application. Networks that are focused on capacity development can be asked who their clients are, if the clients are in the driver’s seat, and if capacity development activities are based on thorough and participatory 227

diagnostic assessments. Networks can also focus on advocacy and promotion of good practice, in which case results are linked to clear messages and their adoption by targeted audiences or client groups. Lank (2006) suggests that there are eight principal reasons for organizations to collaborate, and these can be used to provide additional insight into what could be desired results of networking: 1) more effective research; 2) greater influence; 3) increased probability of winning business; 4) faster, better, or cheaper development of products, services, or markets; 5) faster, better, or cheaper delivery of products or services; 6) in-depth learning; 7) meeting an external requirement; and 8) saving costs. Reasons 1, 2 and 6 seem clearly relevant to water knowledge networking, while reason 8 might provide a result for networking in areas where human and financial resources in the water sector are severely constrained, like in the Pacific island countries. Lank also suggests that collaboration is concerned with the process of working together to achieve one or more specific outcomes, a focus on actions not just words, and collaborative leadership and consensus building. These distinctions provide further thought to assess the effectiveness and results of a network. Are outcomes achieved through collaboration? Do the results go beyond words? Has the networking produced collaborative leadership and consensus building? Depending on specific objectives and circumstances of water knowledge networks, a number of other dimensions may also be important in measuring their success. For example, one might ask how the network 1) supports the MDGs by improving water security of the poor; 2) focuses on increasing local capacity, ability, and skills (the capacity to act); 3) facilitates a division of responsibilities by agreeing which organization is responsible to focus on what topic; 4) provides advice to planners and decisionmakers outside the water sector; 5) involves civil society, the private sector, and the public; and 6) helps local organizations enhance their knowledge and capacity.

5.2.3

Measuring results

Current practice in water networks seems often limited to measuring outputs, including the number of members, events organized, materials and tools produced, and people trained (including trainers and capacity builders). More consideration is needed to develop a framework for determining and measuring outcomes. Not all can be measured quantitatively, e.g. the extent of empowerment, or the use of policy advice; hence the framework should include qualitative and narrative indicators. A breakdown of results by target group will also be important, including the results that are considered to be relevant to enhancing local knowledge and capacity.

5.3

Managing the process—how networks can work better

Key question: How can networks organize for success? In this section we focus on the ‘how to’ questions of effective partnering and organizing for success. We also refer to some recent developments that networks take advantage of, and recall some elements of earlier wisdom that continue to be relevant. A number of perspectives are offered for consideration. 228

5.3.1

Success factors

Are there common factors that will guarantee a successful network? The answer is both yes and no. There is enough knowledge about networks to point to some factors that are necessary for success in most cases. Networking, however, remains a fast developing phenomenon, and new insights are emerging continuously. “Trust is the basic lubricant for networking and sharing knowledge” (GTZ 2006). Successful networks tend to operate informally with only a few rules. For example there may be no rules for non-disclosure of important findings of a network member. Boom (2007) therefore contends that there are three important success factors: 1) trust; 2) a common goal; and 3) the need to know other members personally (not only through cyberspace). GTZ (2006) asserts that good network management, transparency, and trust are preconditions to involve decision-makers in networks. Gloor (2006) points out that effective networks for innovation are marked by high degrees of connectivity, interactivity, and sharing. Initiative, leadership, and vision by members are also important for network success. Networks need champions, leadership, multipliers, and standards (for example benchmarks for performance of member organizations). Networks can promote organic and incremental growth of knowledge and capacity among their members. However, in case of paradigm shifts being introduced, champions are needed, followed by leaders to internalize the changes and push through change against inertia. Some networks, like professional associations and those focused on research, expect sustained operation over a longer term. However such sustainability may not be necessary or even possible for networks focused on innovation. Permanence is therefore an option to be selected, with success factors changing accordingly. For networks seeking sustained operation, financial contributions from members will be more important than for temporary networks that might reach their objective with time-bound support of one or more sponsors. Wenger et al. (2002) point out that the level of energy and visibility in communities of practice often varies, in accordance with five stages of development, with corresponding developmental tensions. The first stage is marked by the discovery or imagination of potential, and is followed by coalescence with a choice of incubation or delivering immediate value. During the next stage of maturing, the community will need to choose between focusing and expanding. At its peak stage of stewarding, questions of ownership versus openness arise. And in the final stage of transformation of the community, the issue may be to let go or to live on.

5.3.2

Constraints to success

When the success factors for effective networking are not achieved, problems are bound to occur, and they need addressing. However, further analysis of networking constraints is needed since not a great deal of information is available from water knowledge networks about factors that hold back their performance. In addition to the commonly raised issues of insufficient budgets and networking hardware, two factors seem particularly important. The first is the ability of networks to reach decision-makers at both national and local levels with their products and services. This, for example, is a concern 229

heard about networking among research organizations. The networking itself may be experienced as successful because it satisfies the professional interests of the participating researchers. However, achieving the outcome of the research depends on “clients” outside the network, and remains a challenge. A second concern is how water organizations can be persuaded to spend more time and effort in networking. Ask a cross-section of staff in national and local governments and in development organizations including the multilateral development banks, how much time they spend as a consumer or member of networks (by regular web surfing and reading), and the result is likely to be much lower than expected. This is partly because many organizations have not yet recognized the benefits of networking for their own work, lack a corporate policy to promote networking, have yet to put in place staff incentives to spend time on networking, and have no organizational focal point to coordinate this.

5.3.3

Digital divide

While ICT is driving development and networking forward with ever greater connectivity and speed, the prevailing digital divide in the world continues to impede access to such networking by many local practitioners and poor communities in the developing world, and also by the elderly who feel unable to participate. Unless water knowledge networks can find ways to bridge these divides, the risk is that the social capital of local traditional and indigenous water knowledge will be marginalized to extinction. Also, it can be noted that modern ICT-supported networks are often premised on models, prescriptive solutions, and innovation through (perceived) paradigm shifts, while traditional low-tech communities in developing countries have a heritage of cultivating consultative approaches and incremental improvements. Modern ICTsupported water networks could therefore be encouraged to reach out and accommodate knowledge and social capital from low-tech local communities in developing countries. To enhance knowledge and capacity development at local levels, a combination of high-tech and low-tech networks, or a cross-fertilization among such networks, might be needed, with proper interfaces that need developing.

5.3.4

People for networking

Knowledge networks are networks of people and therefore rely on them. However, reviews of networking experience and performance tends to overlook this obvious fact. In comparison, much more attention has been devoted to the analysis of the organization and ICT application for networking. The empowerment of individuals is, however, a key ingredient to capacity building of organizations and networks, together with the cultivation of vision, mission, and values. Coaching and mentoring have a high ‘return on investment’ to enhancing networking for knowledge and capacity building. Lank (2006) distinguishes some typical functions and roles of individuals in collaborative ventures such as networking. She identifies organizational sponsors, gatekeepers (relationship and partnership managers), partnership coordinators, advisory partnership facilitators, and project (network) managers. She also recommends that 230

organizations consider appointing a chief relationship officer, which would help in partnering and networking. Commenting on the specific leadership qualities required for collaborative working, she quotes Doz and Hamel (1998) that “Executives do not wake up one morning with an unexplained urge to collaborate. It is not in their nature.”

5.3.5

Networks within networks

Networks are not homogeneous. They often comprise groups within the network. Gloor (2006) identifies three types of networks within each other, which are similar to those described by GTZ (2006). The larger network is seen as a collaborative insight network which helps people with a shared interest. GTZ refers to these people as the lurkers in the network. Within that larger network, some members (people and/or organizations) take a more active role in sharing knowledge and act as a collaborative learning network that focuses on stewarding of best practices. Finally, at the core of the other two, an even smaller group works as a collaborative innovation network with total dedication on generating fundamentally new insights. These groups within the network are shown in Figure 5. Gloor describes a number of conditions for collaborative innovation networks (COINS) to be successful, including 1) being a learning network, 2) having an ethical code, 3) being based on trust and self-organization, 4) making knowledge accessible to anyone, and 5) operating in internal honesty and transparency. He claims that the combination of the three networks creates a strong ripple effect.

5.3.6

Cutting across boundaries

Today’s ICT-supported knowledge networks can cut across boundaries and levels in hierarchies. Network members, however, are still tied to professions, position levels, and hierarchies within their organizations, and to the position of their organization in the constellations of local, regional, national, and international levels. This raises questions of who should be linked to whom in effective knowledge networks, and this question is particularly relevant when we focus on enhancing knowledge and capacity at local government level. Assuming that more networks will emerge in the

Figure 5.

Groups within networks (after GTZ 2006 and Gloor 2006).

231

coming years to link practitioners at local levels with each other, more knowledge is needed on how this can best be done. With the wide use of the internet and ICT, open access networks are expected to increase, and individuals can take part in several networks at the same time. Language is another issue to be considered. Most local government practitioners will want to communicate in their country’s language, or even in local languages. Products and services at local level will need to be disseminated in the appropriate language. Most of the ICT-supported water knowledge networks seem, however, to operate in one or few languages, and the questions arises who will network with whom in what language, and how language will be factored into a hierarchy or constellation of intersecting networks? Another dimension of language in networking concerns the use of technical and scientific jargon versus language for consumption of decision-makers and the general public. Networks need to consider these for effective operation and for reaching their intended clients.

5.3.7

Assessments to do

Many knowledge networks engage in regular surveys or assessments, and there seems to be scope for improvement by sharing knowledge and experience on how this can best be done. In a departure from past practice, more surveys and assessments will need to be focused on the needs of local practitioners and decision makers. Gloor (2007) identifies three tools: 1) the knowledge map that focuses on “what is” and provides global or local knowledge about a topic, 2) the talent map that focuses on “who is” and shows who has the expertise on the topic, and 3) the trend map that focuses on “what will be” and presents global or local trends about the topic. Capacity building activities, including those in the water sector, are all too often designed based on training needs assessments rather than more comprehensive diagnostic assessments taking into account the individual and institutional levels and their enabling environment (refer Figure 1). Networking that aims to enhance capacity will therefore need to engage more in diagnostic assessments with the full ownership of the organizations concerned.

5.3.8

Stories that work

Why is it worth remembering that one of the most effective tools of knowledge management is to share stories and anecdotes? It is because people remember and easily identify with them. The majority of management, leadership, and self-enrichment literature published in the past decade has made extensive use of stories and anecdotes to get their messages across to their audiences. Water knowledge networks might consider adopting a similar approach in delivering some of their key messages through stories and anecdotes during networking activities and on their websites, newsletters, and publications. This may also help in reaching out to local level practitioners and decision-makers, and to externalize tacit knowledge. 232

5.3.9

Networking push and pull

Successful networking requires the delivery of products and services (push) that add value and thereby attract (pull) existing and new members. More research seems needed on the type of products and services that consistently produce added value and create “pull”. For example, anecdotal feedback to the authors suggests that network members might value receiving a regular synthesis of good practices in their topic of interest, for example an annual overview of what is happening in countries around the world on the topic of water legislation.

5.3.10

Networking everywhere

Recognizing the need to make best use of time and financial resources, the organizers of large water events are increasingly supportive of organizing side events, and these provide a cost-effective opportunity for networks to conduct face-toface meetings of their members. With some advance organization on the part of the host organization, even more use could be made of water events by creating opportunities for country delegations to meet and forge partnerships, ranging from a straightforward exchange of information to setting up exchange visits, staff exchange programs, and developing joint programs of collaboration or twinning. Concluding such partnerships could also be recognized as one of the many objectives of water events.

5.3.11

Incentives for change

Of all the products and services that networks can offer their clients, which ones are most likely to trigger change and improvements in performance? The Asian Development Bank’s recent experience in helping regional water networks to introduce performance benchmarking and peer reviews has been welcomed by participating member organizations, some of which have given feedback that it has already changed the mindset of their staff. The ADB is supporting separate networks for water utilities, river basin organizations, and national water sector apex bodies, and all are now benefiting from performance benchmarking, and the latter two from peer reviews (ADB 2007c).

6 OUTCOME OF THE SEMINAR AT THE SYMPOSIUM In discussing this paper, in both plenary and break-out sessions during the symposium, “Water for a Changing World: Developing Local Knowledge and Capacity” at UNESCO-IHE, June 2007, participants agreed that networks are proving their value in disseminating and sharing knowledge. Networks are also increasingly effective in sharing tacit knowledge, identifying common problems, building attitudes and confidence, and generating new knowledge. Water knowledge networks are therefore becoming important vehicles for knowledge and capacity development in the sector. The participants developed the following key messages and short-term actions. 233

6.1

Key messages

• Water knowledge networks help water leaders and practitioners in addressing the complex challenges in today’s fast-changing world, • These networks can play an important role in shuttling information and knowledge among local, regional and global levels, • Successful water knowledge networks, have a clearly defined purpose, operate with transparency and trust among members, and deliver value to members and clients, • Access to knowledge networks can empower local communities and vulnerable groups to take action to improve their water security, • Since effective solutions are increasingly generated at local levels, knowledge networks should increase vertical connectivity to involve local stakeholders and tap their experience, • Development partners and funding agencies should facilitate water knowledge networks among practitioners and support their activities, including face-to-face and video meetings, and project visits, as these are critical in sharing important tacit knowledge in developing and adapting solutions, • Funding is also needed to mobilize a critical mass of trainers in developing and managing effective knowledge networks that capitalize on the benefits of knowledge sharing, • Decision-makers and managers should support their knowledge workers to engage actively in knowledge networks as a core part of their daily tasks, • These networks will then play an important role in meeting the large and growing demand for training, innovation and research in water organizations at all levels, by facilitating collaboration and removing barriers for sharing experiences and knowledge, • Educational institutions should also capitalize on knowledge networking as they have as much to gain from collaboration as from competition, • Networking among educational institutions can involve matchmaking services for collaborative research projects, joint curriculum development, as well as staff exchanges.

6.2

Short-term actions

• Build regional water knowledge networks with lead organizations and knowledge hubs, using global experience in effective knowledge networking, • Agree on common but differentiated responsibilities of water knowledge networks (knowledge, research, capacity, advocacy), • Develop interfaces between local, country, and international networking (including the use of multiple languages), • Develop coaching programs to develop leadership in networking, • Build effective CoPs within water organizations, • Develop incentive schemes for water organizations staff to contribute and share knowledge through CoPs and networks, • Equip and retool water organizations for better networking and knowledge sharing skills, 234

• Invest to bridge the digital divide (poverty, elderly), • Develop and disseminate knowledge networking etiquette, values, standards.

7 EXAMPLES OF WATER NETWORKS The Asia-Pacific Water Forum (http://apwf.org/) was launched in 2006 as an independent and inclusive network for sustainable water management in the Asia-Pacific region. The network aims to capitalize on the region’s diversity and rich history in dealing with water as a fundamental part of the human existence. Specifically, the APWF will help boost investments, build capacity, and enhance cooperation. The network is organized to deliver results under three priority themes (water financing, disaster management, and ecosystems) and five key result areas (developing knowledge and lessons, increasing local capacity, increasing public outreach, monitoring investments and results, and supporting the forum and regular summits for leaders of government, private sector and civil society). Each theme and key result area has a lead organization for coordinating work planning and implementation. PUB Singapore and UNESCO are co-lead organizations for the first key result area of developing knowledge and lessons, and the Asian Development Bank and UNESCOIHE have facilitated the launch of a network of regional water knowledge hubs to address priority water sector topics (http://www.apwf-knowledgehubs.net). The network was announced at the first Asia-Pacific Water Summit in December 2007 in Beppu, Japan, and launched during the Singapore International Water Week in June 2008. Japan Water Forum serves as the Secretariat of APWF, while Singapore chairs the APWF Governing Council. The secretariat of APWF KnowledgeHubs is hosted by PUB Singapore. Cap-Net (http://www.cap-net.org) is an international network made up of autonomous international, regional and country networks and institutions committed to capacity building in integrated water resources management (IWRM). The network’s mission is to enhance human resources development for IWRM by means of establishing or strengthening regional capacity-building networks. Cap-Net was established in 2002 and is a UNDP project, funded by the Netherlands Ministry of Foreign Affairs. The Global Water Partnership (GWP) has adopted the Cap-Net project as an associated program and considers it one of its flagship projects. Cap-Net is hosted by UNESCO-IHE Institute for Water Education in Delft (The Netherlands). Cap-Net has three major interlinked axes of activities: 1) Networks: support the establishment, facilitate access to information and exchange of experience between regions; 2) Capacity building: analyze capacity building needs, improve capacity building materials, and assist in the development of capacity building strategies; 3) Website to disseminate information on training programs and courses, make training materials available, provide information on national, regional, and global networks. Results include 1) 550 trainers who have in turn impacted thousands of decision-makers, water managers, and fellow capacity builders, thereby exponentially increasing capacity in IWRM; 2) Establishment or strengthening of 20 geographical and four thematic networks affiliated with Cap-Net; 3) Over 1,000 member institutions 235

organized in regional and country partnerships; 4) Network training events and education programs; and 5) Nine operational topic or geographic e-discussion groups on capacity building in IWRM. The Collaborative Knowledge Network (CKNet-INA) aims to increase the capacity of leading Indonesian universities in delivering capacity building services for water professionals and institutions. The network was established in 2005 with 10 member universities working together in capacity building in the field of infrastructure, water and environmental management. The objective of the network is to strengthen water sector performance and support water sector reform activities. The network focuses on building capacity in Indonesian universities to deliver demandbased training courses in water resources management at national, regional and local levels for both individuals and institutions. Development of decentralized capacity building and training applications are planned, including an e-learning system for online education and training. Planned topics include water quality management, and gender and water management. Partners collaborate using a communications network for knowledge sharing. The network recently joined the Platform for Capacity Building in Integrated Water Resources Management in Indonesia (http://www. cbiwrm.ihe.nl/) which aims to facilitate communication and collaboration between the networks, institutions, and their individual members involved in capacity building for IWRM in Indonesia. The mission of the Gender and Water Alliance (GWA, http://www.genderandwater. org/) is to promote women’s and men’s equitable access to and management of safe and adequate water, for domestic supply, sanitation, food security and environmental sustainability. GWA is active in 56 countries in Sub-Sahara Africa, Asia, Eastern Europe, Europe, Latin America and the Caribbean, Middle East and North Africa, North America and Oceania. GWA operates as an associated program of the Global Water Partnership. Outputs include electronic conferences, gender ambassadors reports of major events, an annual gender and development report, a best practices and lessons learnt booklet, case study compilation, gender policy development guide, and advocacy material (brochures, posters, postcards, checklists, video), monitoring and evaluation frameworks, training of trainers manual for gender ambassadors, training of trainers programs, a manual for gender and water, and pilot project documentation and reports. The Global Water Partnership (http://www.gwpforum.org) was formed in 1996 with the vision of developing a worldwide network that could pull together financial, technical, policy and human resources to address the critical issues of sustainable water management. It sees itself as a worldwide partnership for all those involved in water management: government agencies, public institutions, private companies, professional organisations, multilateral development agencies and others who are committed to the Dublin-Rio principles. GWP identifies critical knowledge needs at global, regional and national levels, helps design programs for meeting these needs, and serves as a mechanism for alliance building and information exchange on integrated water resources management. The mission of the Global Water Partnership is to “support countries in the sustainable management of their water resources.” GWP’s objectives are to 1) clearly establish the principles of sustainable water resources management, 2) identify gaps and stimulate partners to meet critical 236

needs within their available human and financial resources, 3) support action at the local, national, regional or river basin level that follows principles of sustainable water resources management, and 4) help match needs to available resources. GWP’s architecture comprises 1) twelve regional water partnerships across the world, 2) an annual meeting of consulting partners (the members), 3) a steering committee, 4) a technical committee of up to 12 internationally recognized professionals, 5) a financial partners group, and 6) the Secretariat in Stockholm which is supported by advisory centres in Denmark, UK, and Sri Lanka. GWP has fostered the establishment of many country water partnerships in developing and developed countries across the world, for example the Indonesia Water Partnership (http://www.inawater.com/) and the Netherlands Water Partnership (http://www.nwp.nl). The Mekong Program on Water Environment and Resilience (M-Power, http://www.mpowernet.org) works as a network of organizations to help democratise water governance and support sustainable livelihoods in the Mekong Region through action research. Activities are undertaken throughout mainland Southeast Asia including major river basins such as the Irrawaddy, Salween, Chao Phraya, Mekong, and Red as well as other smaller basins. Water governance involves negotiating decisions about how water resources are used. Benefits and risks—both voluntary and involuntary—are redistributed by such decisions. The Nile Basin Capacity Building Network for River Engineering (http://www. nbcbn.com/Home.asp) was established in 2002 as a regional knowledge network to strengthen the human and institutional capacity of the riparian countries managing the water resources of the Nile River Basin. The network’s long-term objective is to contribute to the establishment of an overall knowledge network for the Nile region (Nile-Net) as a means to support stability and solidarity, and to support the activities of the Nile Basin Initiative in building strategic partnerships between water professionals, research and government authorities in a sensitive environment in Africa. Members are water sector practitioners and institutions from all 10 riparian countries, with over 200 water professionals collaborating in 13 communities of practice. The network focuses on building an environment for stimulating and supporting collaborative applied research. It supports the development activities of in-country “nodes” as well as joint regional research “clusters” in which all countries participate. Six country nodes serve as host institutions for regional research clusters: Egypt for GIS and modelling, Ethiopia for river structures, Sudan for river morphology, Tanzania for hydropower, Uganda for environmental management, and Kenya for flood management. Regular face-to-face research cluster events organized in each of these hosting countries are complemented by interaction through the website, which offers the members a virtual meeting space to work collaboratively regardless of time and space. (Luijendijk et al. 2000, NBCBN-RE 2005). Networking of water sector apex bodies in Asia (http://www.adb.org/Water/ NWSAB/). National water sector apex bodies in Asia, such as national water resources councils and boards, started networking in 2004 with the support of the Asian Development Bank. To date, ten countries in the region have established a national water sector apex body, and more are expected to do so in the near future. No formal network has yet been established, but regional meetings have agreed on a work plan 237

of priority activities, starting with the introduction of performance benchmarking and peer reviews. The apex bodies of the Philippines and Thailand have already completed a peer review process. The Partnership for Water Education and Research (PoWER) is a network of 18 educational institutions in the field of water that aims to build capacity in developing countries by delivering qualified professionals in the fields of integrated water resources management (http://www.unesco-ihe.org/power/about.htm). The network was formed in 2001 to respond to the urgent appeals for supporting the Millennium Development Goals (MDGs) agreed at the World Summit on Sustainable Development in Johannesburg. PoWER’s mission is to combine the strengths of all partners to enhance the capacity of each partner. It mobilizes and shares knowledge globally to deliver it locally. PoWER enables people to acquire the specialist knowledge they need in the fields of water management and environmental resources, helps strengthen the capacities of its partner institutions and stimulates the use of innovative educational methods and techniques. PoWER builds up the capacity of institutions and communities, enhancing a quality system for water education. In the process of combining strengths and levelling the capacities of the individual partners, joint products in the field of education, training and collaborative research are developed in a multi-disciplinary manner. These products are demand-responsive, validated to meet mutually agreed standards. PoWER’s annual results include 1) delivering 1,000 postgraduates; 2) training 3,000 participants through short courses; 3) reaching 800 decision-makers through seminars; and 4) connecting 3,000 professional participants in e-seminars, videoconferences, and face-to-face learning sessions. PoWER partners are involved in 130 research projects, including research at PhD-level, and have an alumni community of more than 18,000 professionals. PoWER is guided by a task force; technical committee; panel of rectors, vice-chancellors and directors; academic working groups for joint products; and its alumni community. Information on global and regional river basin networks can be found at International Network of Basin Organizations (INBO) (www.inbo-news.org/), Latin American Basin Organization (www.inbo-news.org/relob/Lanbogwp.PDF) and the Network of Asian River Basin Organizations (NARBO, www.narbo.jp). NARBO has pioneered a process for performance benchmarking of river basin organizations (www.adb.org/Water/NARBO.asp) supported by peer reviews. The mission of the River Network (http://www.rivernetwork.org) in North America is to help people understand, protect and restore rivers and their watersheds. Established in 1988 it supports grassroots river and watershed conservation groups. With nineteen staff members working in three offices across the USA, the network connects over 4000 organizations. It cooperates with local watershed protection groups, state river conservation organizations, tribes, and schools. The network operates a river source information centre, provides publications, training and consultation, offers a grant program, and provides referrals to other service organizations and networking opportunities (GTZ 2006). The South East Asia Water Utilities Network (SEAWUN)(http://www.seawun. org/) was established in 2002, with the support of the Asian Development Bank, to 238

help utilities improve their performance in the delivery of water supply and sanitation services for all, including operation and management efficiency, achieving financial viability, and advocating for sector reforms for improved policy environment, contributing to realize the goal “Water for All”. The vision is to develop a strong regional, non-profit making and self-sustainable organization, which is demand driven, by focusing its activities on the key issues agreed upon by the members of the organization. The network’s five priority programs are benchmarking, cost recovery, human resources development, unaccounted-for-water reduction, and regular member needs surveys. The Secretariat of SEAWUN is located in Hanoi, Viet Nam. Building on the experience of SEAWUN, the South Asia Water Utilities Network (SAWUN, http://www.adb.org/water/SAWUN/) was established in 2007. STREAMS of Knowledge (Global Coalition of Water and Sanitation Resource Centres) (http://www.streams.net/) (STREAMS) describes itself as an autonomous, self-sustained, recognized and credible leader organization of resource centers, uniquely positioned locally and globally and effective in capacitating the sector in supporting the development of pro-poor policies for the sustainable implementation of water, sanitation, health and hygiene. WaterNet (http://www.waternetonline.ihe.nl/) is a UNESCO-IHE supported regional network of university departments and research and training institutes specializing in water. It’s mission is to enhance regional capacity in IWRM through training, education, research and outreach by sharing the complementary expertise of its members, based in Botswana, Kenya, Lesotho, Mozambique, Namibia, South Africa, Tanzania, Zambia, and Zimbabwe. The network’s strategy is to 1) raise awareness for IWRM, 2) stimulate regional cooperation, 3) increase access to training and education in IWRM, and 4) stimulate and strengthen research in IWRM in Southern Africa. Among its results to date are 1) scientific papers published in Physics and Chemistry of the Earth, an Elsevier international peer-reviewed science journal, 2) a modular masters degree program with five specializations (water resources management, hydrology, water and environment, water for people, and water and society), with full scholarships to pursue the program, 3) English language courses to ease access to the courses delivered to participants from non-English speaking countries of the area, and 4) collaboration with other networks (such as the Water and Sanitation Program Southern Africa and Cap-Net) to facilitate training for country water partnerships in compiling national IWRM plans. Research is stimulated through WaterNet’s symposia, staff exchanges between institutions in the region, the masters theses research projects supported from the WaterNet Fellowship Fund, and collaboration with the Water Research Fund for Southern Africa resulting in some synergies in research support.

REFERENCES Alaerts, G.J., Blair, T.L. & Hartvelt, F.J.A. (eds) 1991. A Strategy for Water Sector Capacity Building. Proceedings of the UNDP Symposium, Delft, 3–5 June 1991. Delft, The Netherlands; New York, NY, USA: International Institute for Hydraulic and Environmental Engineering; UNDP (IHE report series 24).

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Alaerts, G.J. 1999. Capacity Building as Knowledge Management: Purpose, Definition and Instruments. In G.J. Alaerts, F.J.A. Hartvelt & G.M. Patorni, (eds) 1999. Water sector capacity-building: Concepts and instruments. Rotterdam/Brookfield: A.A. Balkema. Alaerts, G.J., Hartvelt, F.J.A. & Patorni, G.M. (eds) 1999. Water sector capacity-building: Concepts and Instruments. Rotterdam/Brookfield: A.A. Balkema. Asian Development Bank, 1995a. The Bank’s Policy on Agriculture and Natural Resources Research. Manila: ADB. Available at http://www.adb.org/Documents/Policies/AgricultureNatural-Resources/agri-natural-resources.pdf. Asian Development Bank, 1995b. Governance: sound development management. Manila: ADB. Available at http://www.adb.org/Documents/Policies/Governance/ default.asp?p=policies. Asian Development Bank 2005. Asia Water Watch 2015: Are Countries in Asia on Track to Meet Target 10 of the Millennium Development Goals? Manila: ADB. Asian Development Bank 2006. Final Report of the Pilot and Demonstration Activity: Bang Pakong Dialogue Initiative. Asian Development Bank 2007a. Toward a New Asian Development Bank in a New Asia: Report of the Eminent Persons Group to the President of the Asian Development Bank. Manila: ADB. Available at http://www.adb.org/Documents/Reports/EPG-report.pdf. Asian Development Bank 2007b. Water and small pipes: what a slum wants, what a slum needs. Water for All e-Newsletter May 2007. Available at http://www.adb.org/Water/ actions/phi/water-small-pipes.asp. Asian Development Bank 2007c. Information on networks and partnerships. Available at http://www.adb.org/water/operations/partnerships. Bird, J. & Lincklaen Arriens, W. 2007. Water rights and allocation in Asia (paper being finalized). Manila: Asian Development Bank. Boom, D. 2007. Unpublished draft paper on knowledge economies in Asia for a seminar at the ADB Institute. Manila: Asian Development Bank. Cairncross, F. 1997. The death of distance. Boston: Harvard Business School Press. Doz, Y. & Hamel, G. 1998. Alliance Advantage: The art of creating value through partnering. Boston: Harvard Business School Press. Fukuda-Parr, S., Lopes, C. & Malik, K. 2002. Capacity for development. New solutions to old problems. London: UNDP, Earthscan. Available at http://capacity.undp.org/books/book1. htm. Gloor, P. 2006. Swarm creativity: competitive advantage through collaborative innovation networks. Oxford: Oxford University Press. Gloor, P. & Cooper, S. 2007. Coolhunting: chasing down the next big thing. New York: Amacom. GTZ 2006. Work the Net—A management guide for formal networks. New Delhi, March 2006. International Institute for Sustainable Development 2007. Networking information. Available at http://www.iisd.org/networks. Japan Water Forum 2006. Asia-Pacific Regional Document for the 4th World Water Forum Final Report. Mexico. Available at http://www.apwf.org/archive/documents/ APSynthesis_PartI.pdf. KM4DEV Community 2007. Study of the participation of decision-makers in networks for knowledge sharing. Available at http://www.km4dev.org. Lank, E. 2006. Collaborative advantage—how organizations win by working together. New York & Basingstoke, New Hampshire: Palgrave Macmillan.

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Luijendijk, J., Boeriu, P. & Saad, M.B. 2000. Capacity building in the water sector in Africa. Proposal for a Nile river network. In Symposium proceedings “The learning society and the water environment”, Paris, 2–4 June 1999. Luijendijk, J. & Mejia-Velez, D. 2005. Knowledge networks for capacity building: a tool for achieving the MDGs? In Workshop proceedings on design and implementation of capacity development strategies, Beijing, China, September 2005. Rome: IPTRID Secretariat, FAO. NBCBN-RE 2005. Knowledge networks for the Nile basin: Using the innovative potential of Knowledge Networks and CoP’s in strengthening human and institutional research capacity in the Nile region. Delft: NBCBN-RE. Nonaka, I. & Takeuchi, H. 1995. The knowledge-creating company; how Japanese companies create the dynamics of innovation. New York: Oxford University Press. Stockholm International Water Institute (SIWI) 2006. World Water Week 2006 Synthesis Report. Available at http://www.siwi.org/downloads/WWW-Symp/2006_synthesis_ web.pdf. Sveiby, K.E. 1997. The New Organizational Wealth: Managing and Measuring KnowledgeBased Assets. San Francisco: Bennet-Koehler Publishers. Takeuchi, H. 2001. Towards a universal management concept of knowledge. In I. Nonaka & D. Teece (eds.) Managing Industrial Knowledge: 315–329. London: Sage. United Nations Habitat 2006. State of the world’s cities report 2006/7. Nairobi: UN-Habitat. Van Hofwegen, P. 2004. Capacity-building for water and irrigation sector management with application in Indonesia. In Capacity development in irrigation and drainage; Proc. of the International Workshop during the International Commission on Irrigation and Drainage, Montpellier, France, 16 September 2003. FAO Water Reports 26. Rome: FAO. Wenger, E., McDermott, R. & Snyder, W. 2002. Cultivating communities of practice: A guide to managing knowledge. Boston: Harvard Business School Press. World Bank 1998. Knowledge for Development, World Development Report no. 21, Washington DC: World Bank. Available at http://www.worldbank.org/wdr/wdr98/index.htm. World Bank 2003. Water resources and irrigation sector management project. Appraisal Document. Washington DC: World Bank. World Bank 2007. Staff analysis of water investments. Washington DC: World Bank. World Water Council 2000. Ministerial Declaration of The Hague on Water Security in the 21st Century. The Hague: the Netherlands. Available at http://www.waternunc.com/gb/ secwwf12.htm. World Water Council 2003. The 3rd World Water Forum Final Report. Financing Water Infrastructure Statement. Kyoto Shiga & Osaka: World Water Council. Available at http://210.169.251.146/html/en/finalreport_pdf/FinalReport.pdf. World Water Council 2006. Final Report of the 4th World Water Forum: Local Actions for Global Challenge. Mexico. Available at http://www.worldwaterforum4.org.mx/files/ report/FinalReport.pdf. Yellow River Conservancy Commission 2007. Information on the work of the commission. Available at http://www.yellowriver.gov.cn/eng/introduction/. Zhu, Z. 2004. Knowledge management: towards a universal concept or cross-cultural contexts? Knowledge Management Research & Practice 2 (2): 67–79. Palgrave MacMillan. doi:10.1057/palgrave.kmrp.8500032. Published online 27 May 2004.

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Enhancing nations’ capacity: From theory to practice. The role of the World Bank Institute K. von Ritter & A.S. Ramsundersingh World Bank Institute, Washington, DC, USA

ABSTRACT: The World Bank Institute develops and applies capacity development tools to assist countries with sharing knowledge, articulating its development priorities and developing capacity at institutional, organizational and individual levels. The Institute focuses its attention on application of best-practices that are generated from assessment of on-going capacity development initiatives, and from new theoretical insights. Currently, it is engaged to develop methods that allow to tap tacit knowledge and experience-based knowledge, to complement traditional knowledge transfer. Second, it has developed a Results Framework to allow measurement of the outcomes of capacity development, which in turn improves the effectiveness and focus of the capacity development.

1 THE WORLD BANK INSTITUTE The World Bank Institute (WBI) is part of the World Bank Group and shares its mission of poverty reduction. Capacity enhancement is a very important instrument to achieve this mission. Capacity enhancement is a shared agenda in the World Bank, with groups working in four key areas: a first group is working on knowledge generation and research, a second on policy formulation, a third on the implementation of capacity development projects, and a fourth is working on knowledge sharing. The principal mandate of the WBI comes from this fourth area, with some inevitable overlap with the activities in the other three areas. WBI works with policymakers, technical experts, civil servants, business and community leaders, civil society stakeholders, and others in World Bank partner countries. The Institute helps countries prioritize their development objectives, identifies capacity constraints, and assists in designing interventions at three levels: individual, organizational, and institutional.

2 WORKING WITH THEORY AND PRACTICE WBI’s activities focus more on practice than theory, and are both of a tactical nature, geared towards achieving results in the shortest possible time, and of strategic nature, working in longer time frames. To perform this work effectively, however, requires an appreciation and understanding of the theory, and—in this case—its complex 243

relationship to practice. It is therefore necessary to carefully assess the numerous efforts to put theory into practice, in all their complexity, so that a consensus can emerge about the most effective elements of this practice. The toolbox for knowledge and capacity development is very much a work in progress, yet there are four perspectives that are proving helpful. First, it is important that we can measure the results of capacity enhancement. Second, it is important to focus on, and learn how to deal with institutional frameworks as well as the organizations and individuals operating within these frameworks. Third, it is important to better understand how to provide strong incentives for individuals and organizations to actively acquire and develop capacity, and make proper use of it. And fourth, it is important to push beyond formal knowledge and its transfer, and tap into tacit knowledge (see also the chapter “Knowledge and capacity development (KCD) as tool for institutional strengthening and change” in this Volume). Tacit knowledge among others in effect enables people to better manage risks in cases where not everything is known prior to the action or investment. Many current theories are very good at explaining past trends, but are less successful in providing answers about the future. A few theories allow development of future scenario alternatives, but still fall short of providing operational guidance to leaders or organizations on how to choose for low-risk options, or how to best mitigate risks. The capacity to manage risks and thus to provide the leadership to achieve a goal in the future is in effect more an ‘art’ than a ‘rational skill’. Thus, WBI operates in the reality of the present constraints while attempting to solve problems sustainably.

3 ACHIEVING EFFECTIVE RESULTS MEASUREMENT Strong drivers are pushing toward more explicit results measurements. The external environment of the donor community demands accountability. The internal environment in the World Bank demands from us to learn what works and what does not work and how we can design the strategies for new and more efficient knowledge and capacity development (KCD), which in turn should make measurably more effective contributions to the broader development objectives. These drivers have led WBI to develop a Results Framework applicable to each program by starting with identifying the key development objectives, which can serve to describe the baseline situation (as example of a Results Logic, see figure 1). Once these specific objectives are agreed upon, the barriers or constraints to achieving the objectives are identified, and capacity development measures are applied, in the understanding that capacity development is one element in the process of achieving the overall development objectives. This more comprehensive approach has allowed WBI to identify the typical outcomes that a KCD activity should generate. These outcomes are, for example: In training and education activities: • Participant awareness and understanding raised; • Participant confidence improved; 244

• Participant knowledge and skills enhanced; • New/improved participant actionable planning. And, in Technical Assistance interventions: • • • • • • • • •

Civil society and the private sector involved in the process; Stakeholder agreement reached; Increased capacity to design strategies and policies; Increased effectiveness in managing operations; Increased ability to monitor and evaluate operations; New conceptual frameworks learned; Shared knowledge applied to local circumstances; Policy and program implemented; Compliance with laws and regulations achieved.

Each of these outcomes is a self-contained category that would derive from comprehensive and complementary KCD activities, where outcomes emanate from the trained or ‘enabled’ group, which then through specific change agents will be made to create a ripple effect that influences factors in the enabling environment, in institutions and policies, and in organizational capacity, which in turn will contribute to achievement of the development objective. Many institutions have come to realize that change will not happen effectively when individuals are only trained without simultaneously also enhancing change in their enabling and policy environments, including their incentive structures.

B a s ic L o g ic M o d e l H um an, fin a n c ia l, o rg a n iz a tio n a l, s o c ie ta l a n d o th e r re s o u rc e s

In p u ts

W hat a p ro g ra m d o e s w ith th e re s o u rc e s : Im p le m e n ta tio n e v en ts a n d a c tio n s

D ire c t p ro d u c ts o f p ro g ra m a c tiv itie s : t y p e s , le v e ls a n d ta rg e t s o f s e rv ic e s to b e d e liv e re d

A c tiv itie s

O u tp u ts

P ro c e s s

S p e c ific c h a n g e s in p a rtic ip a n ts ’ b e h a v io r, k n o w le d g e , s k ills , s ta tu s a n d le v e l o f fu n c tio n in g

O u tc o m e s

L o n g e r-te rm c h a n g e s in o rg a n iz a tio n s , c o m m u n itie s o r s y s te m s

Im p a c ts

R e s u lts

Figure 1. A typical Basic Logic Framework to allow articulation of a Results Framework (From World Bank operations for Community Driven Development).

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4 AN EXAMPLE—THE CARBON FINANCE ASSISTANCE PROGRAM The development objective here is to help countries move towards a low-carbon path, through increased engagement in the carbon finance market. This carbon finance assistance program is designed as a multi-year engagement, working at different levels, and now covering about 40 countries. An institutional analysis revealed the importance of barriers to capacity at all three levels, i.e. the enabling environment with its institutional policies, the organizations, and their staff. As illustration of a barrier to capacity, in some countries the designated national agencies do not have the capacity to process the proposals coming to them; hence the whole program of clean development mechanism proposals and carbon financing is due to stall. A response to this barrier was prepared, as well as a measurement of outcomes for the country-level activities. Recognizing that countries are at different stages of capacity and development and have different types of needs, they were pooled in 3 groups: countries with weak institutional and regulatory capacity; countries where old institutional and regulatory frameworks were in place, but which required fine-tuning to handle the latest and more modern developments; and countries capable of responding immediately. For Africa, this approach has allowed the establishment of a baseline that relatively accurately describes the current situation in 13 countries. Four countries were in the first category, eight countries in the second, and only one country, South Africa, in the third. It also showed whether countries are in the process of moving toward the second and third categories, thus giving a view beyond the immediate outcomes and a sense of what has been created on the ground. As a consequence of this approach, the Clean Development Mechanisms market has tripled in the last year and a half, to US $5 billion. In addition, the Results Framework will allow to track in the next 2–4 years how these countries will gradually become better able to participate effectively in this market.

5 AN EXAMPLE—WORKING WITH ORGANIZATIONS For maximum impact on development outcomes, organizational capacity is necessary. Individual skills by themselves sometimes can have considerable effect, but it is through organizations that development becomes sustained. Organizational frameworks allow to be more programmatic and engaged over extended periods of time, which generally is essential to achieve a higher development objective. An example of this is WBI’s work in Indonesia, with the development objective of making urban water services delivery more sustainable. In Indonesia water supply utilities are owned by the local governments (municipalities or districts, and in one case, a province). Indonesia has 340 water utilities, of which more than 200 are financially or management-wise ‘unhealthy’ as per the classification of the Government of Indonesia. About hundred are unstable but willing to change, and about 40 are doing well and making significant progress. In the context 246

of the growing climate, urban population and economic stresses, an escalation of the water crises in urban water supply can only be avoided through a systematic and comprehensive strategy of debt-restructuring and capacity enhancement of both the local government and water utilities. Rather than using the traditional model of direct workshops and training that are internationally financed, this effort focuses on working at the three institutional levels in synchrony. The first is the enabling environment, with the aim of creating a more investment-friendly climate in the water utility sector. The second is to strengthen the policy environment with tangible incentives for debt restructuring of water utilities and local governments. The third area is to build a community of local experts with experience in change and financial management, customer relations, incentive-based human resources management, and reduction of non-revenue water and asset management. An approach has been developed to select local government and water utility leadership champions, and improve on their organizational readiness to ‘graduate’ to negotiations with the country’s Ministry of Finance to find tailor-made solutions for debt write off, debt restructuring and for new capital investment. To raise the profile of the water sector, active cooperation is sought with the Indonesian association of water utilities (PERPAMSI) to empower this institution through establishing capabilities for bench-marking the performance of utilities, and, in the future, to provide knowledge and skills-building to its member utilities. The capacity enhancement program of PERPAMSI focuses on leadership development, adjusting the constitution of the association to better deal with the diversity of the main actors in the water sector and to play an advocacy role in debt restructuring. Progress is evident in terms of increased intensity of negotiations between individual water utilities and their respective local governments, PERPAMSI, and the Ministries of Finance, Home Affairs, Public Works and Planning. A group of 20 leaders from water utilities and mayors met with national government officials to formulate a consensus on how to strengthen the water utility sector and prepare the necessary enabling measures, such as debt-write off and debt restructuring, in return for good governance, raising tariffs, and better overall corporate planning for a period of five years with clear investment goals. Some organizational capacity development work has begun, both directly with the utilities and with the new board of PERPAMSI, aiming to identify how best to position themselves strategically in this dynamic environment.

6 AN EXAMPLE—INCENTIVES, AGENTS OF EMPOWERMENT The power and importance of incentives can be illustrated by an example from India. In this instance, no clear way existed to assess the impact of WBI training in urban management. To remedy this, a group—including staff from the Indian Urban Institute—worked together to develop a core curriculum combining the standards of the national government, state governments, and professional associations, and create a national certification for urban managers. This widespread acceptance of this 247

certificate introduced a new incentive and created a new situation. Before, people had liked capacity enhancement and training, but had not necessarily valued it. Now they started valuing it, and the certification has become a necessary step in career development. WBI is working to expand this concept to cover complete organizations, not just individual staff. For example, it also includes the quality of the staff providing the training in the evaluation of the training, and for the certification, as additional incentive for people to seek and apply knowledge.

7 EXPERIENCE-BASED LEARNING, AND MOBILIZING EXISTING KNOWLEDGE Achievement of development objectives requires more knowledge than can be attained through formal knowledge transfer alone. Therefore, innovative and experiencebased learning, and better mobilization of existing knowledge, are critical. WBI has experienced this in connection with the carbon finance assistance program. Each year it joins an international trade fair where actual buyers and sellers of carbon emission certificates convene in Cologne, Germany. The WBI trainees are given the opportunity to be exposed to a large gathering of about 2,500 professionals, and to engage in offering their own projects as sellers. This is a rough market, with a lot of competition from many countries and hard-nosed brokers, and it can be a frustrating experience; but it is also an invaluable learning experience, which could not be offered or recreated in a workshop or in a lecturing environment. Absorption and internalization of knowledge are also facilitated by interaction and participation. Therefore, WBI is developing simulation games and role-plays to be used as part of the learning process and is working on the creation of a sustainabledevelopment simulation game. It is also trying to tap into what has been discussed as tacit knowledge, in part through special workshop design, using the ‘wisdom of crowds’, i.e. the collective and creative intelligence of groups, especially in circumstances of high uncertainties and political dynamics. The underlying consideration is that retention and the likelihood that knowledge will be applied are much greater where there is an interaction, whether this is in the form of a discussion, debate, dialogue, or whether mutual teaching is involved.

8 CONCLUSION While it is certain that the theory of capacity development will still become more complex, it seems that the practice has begun to develop certain patterns. The practice is becoming more focused, better designed for results, and is showing more impact on the achievements of results. As it is applied to the broader context of organizations, as it builds in stronger incentives both for individuals and for organizations to absorb and apply knowledge, and as it moves to combine formal knowledge transfer with intuitive and existing creative knowledge, it will prove to be an increasingly valuable tool for attaining and maintaining development goals. 248

Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Toward good water governance: Knowledge is power? L.A. Swatuk Natural Resources Governance Research Unit, Harry Oppenheimer Okavango Research Centre, University of Botswana, Maun, Botswana

ABSTRACT: To free water resource management from both traditional Western interests favoring in particular the US and Europe and likewise from the political interests of those in power in developing countries, water scientists and practitioners must take a critical look at today’s prevailing concepts of “good governance”, including water governance, and integrated water resource management (IWRM). The primarily Western biases of good governance concepts have not led to the progress predicted by the theory, which is shown by confronting how Conca’s (2006) articulated good governance conditions of territory, authority and knowledge often fall prey to national and power interests. The key to the way forward is a higher and sufficient degree of self-reflection and honest observation of the actual empirical evidence of what does and does not work in water management, particularly in developing countries.

1 INTRODUCTION It was not until the end of the 20th Century that governance was acknowledged to be at the centre of the so-called “global water crisis” (Rogers & Hall 2003). Openly acknowledging the political nature of water management decisions, however, remains a difficult task (Allan 2003). Whereas it has long been recognised that water management decisions reflected the interests and needs of powerful individuals, groups and organisations (Reisner 1993), the application of these decisions—in the form of water service delivery development—was regarded as an apolitical act. It was not the place of the engineer to question the social, economic and ecological value of projects s/he was expected to carry out. Today, much has changed. Water management is now regarded as an interdisciplinary activity requiring intergovernmental planning and stakeholder participation. In some cases it is also regarded as necessarily interstate and/or global in focus and practice (see Gupta’s notion of “glocal water governance” in this Volume). Decisions are expected to adhere to the criteria of integrated water resources management (IWRM); i.e., they should result in socially equitable, environmentally sustainable, and economically efficient practices. Given the increasing complexity of the decision-making process, governance is now regarded as a key variable in achieving IWRM (UN WWDR2 2006).

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This essay focuses on water governance, in particular the discourse around “good governance” and its application to water resources management. As shown below, the dominant discourse of good governance offers a standard, template solution to unsustainable, inefficient and inequitable outcomes of water management through, inter alia, institutional reform, stakeholder participation and private sector involvement. However, despite the concerted effort to realise this agenda in developing countries, in many cases problems have deepened. The essay suggests that we as scientists are complicit in this outcome: among other things, failure to interrogate our basic assumptions leads to a recurrent narrative involving “weak states” that “lack capacity”, so “failure” remains the fault of Third World actors (George & Sabelli 1994: 142). The essay argues that blind application of “good governance”, as conceived by dominant world actors such as the World Bank, to water resources management constitutes part of the problem, not the solution. To move toward IWRM, therefore, water professionals must resist received ideas. Instead, we should revisit our categories and concepts; reflect on the consequences of our practices; and confront systematically the bases (and biases) upon which we “take action”. We must arrive at our own criteria—based on observable outcomes and empirically verifiable data—for good water governance.

2 DEFINING “GOVERNANCE” “Governance” emerged in the wake of the Cold War as a Western state policy response to the collapse of the Soviet Union and to Third World popular pressures for an end to authoritarian rule. For Moore (1996), it differs only slightly from post-World War II American attempts to install democracies in their own image across the post-colonial world. For George and Sabelli (1994), as a political project, it is just as flawed. According to Hyden and Bratton (1992) governance is “[t]he conscious management of regime structures with a view to enhancing the legitimacy of the public realm”. For Serageldin and Landell-Mills (1991), governance is “[t]he use of political authority and the exercise of control over society and the management of its resources for social and economic development”. According to Pierre (2000), “Governance refers to a sustaining coordination and coherence among a wide variety of actors with different purposes and objectives, such as political actors and institutions, corporate interests, civil society, and transnational organisations. The main point here is that political institutions no longer exercise a monopoly of the orchestration of governance … Governance is shorthand for the predominant view of government … It is also … more palatable than ‘government’ which has become a slightly pejorative concept”. Thus, governance is both outcome and process, involving a variety of legitimate and authoritative actors. As an outcome it reflects settled social relations. If it is good, it suggests widespread—if not universal—social approval of its practices. Good governance can never reach an end point; as a process it depends on the reiteration of activities that deepen trust. It is most readily constituted and observable at a local level (see Hirsch and Alam in this Volume), so raising questions about the fungibility 250

of effective local governance, in particular the ways and means of moving from one socio-geopolitical scale to another. However, such questions are rarely asked by dominant Western actors whose primary interest is creating a stable world order wherein their hegemony is maintained (Moore 1996). Thus, “governance”—as a key tool in this endeavour—is extended from outside, from the developed states such as the G-8 and multilateral actors such as the World Bank to the developing states. As a model developed elsewhere, it lacks roots—though some of its routines may have resonance—in local places (Swatuk & Vale 1999). As such, it must be imposed, so signifying “a relationship of tutelage between UN experts and developing country governments” (Wilson 2006). The imposition of good governance, most typically as a cross-conditionality for Western aid (Nanda 2006), inevitably has created serious political problems in recipient countries (Sachs et al. 2004). As noted by the World Bank (2002), Good governance includes the creation and protection of property rights … It includes the provision of a regulatory regime that works with the market to promote competition. And it includes the provision of sound macroeconomic policies that create a stable environment for market activity … Good governance requires the power to carry out policies and to develop institutions that may be unpopular among some—or even a majority—of the population. (emphasis added) Thus, good governance, as conceived by Western actors and articulated by the World Bank above, requires anti-democratic political order. However, in the name of “increasing aid effectiveness”, donor states continue to press forward with the good governance and liberal market agenda (Nanda 2006)—a process labelled by Stoneman (1993: 87) as “market totalitarianism”.

3 GOOD WATER GOVERNANCE Despite the problematic and contested nature of “governance” as concept and practice, it was perhaps inevitable that the governance discourse would trickle down from the macro political (i.e. the “state”) to the sectoral level, just as structural adjustment was implemented by the IMF and the World Bank in terms of macro-economic policy and sectoral reform (Moore 1996). It was also perhaps inevitable that water resources management came under the governance microscope quite early. Water is the centrifugal force in all development, requiring in most cases extensive investment in infrastructure, and therefore is susceptible to kleptocratic practices through the constellation of big government, big industry, and finance capital active in mostly weak states. Moreover, the globally perceived “world water crisis” has manufactured the perception of a shared agenda: all states face a water crisis; but some states have more technical, financial and human resource “capacity” than do others. Water resources development and management also created a prime setting for the “smart partnership”/public-private partnership experiment that has dominated development thinking for some time. This was stated most forcefully at the Johannesburg 251

Summit in 2002, following which came the current global focus on water and sanitation (Swatuk 2003). The most commonly accepted definition of water governance comes from the Global Water Partnership: “Water governance refers to the range of political, social, economic and administrative systems that are in place to develop and manage water resources, and the delivery of water services at different levels” (Rogers & Hall 2003). According to the authors of the UN World Water Development Report 2 (UN 2006: 46, 47), water governance has four dimensions: a social dimension concerned with “equitable use”; an economic dimension concerned with “efficient use”; an environmental dimension concerned with “sustainable use”; and a political dimension concerned with “equal democratic opportunities”. This by-now-familiar IWRM agenda is said to be “anchored in governance systems across three levels: government, civil society and the private sector”. To realize “effective governance”, the UN Report proposes a checklist that includes the following (UN 2006: 49): participation; transparency; equity; effectiveness and efficiency; rule of law; accountability; coherency; responsiveness; integration; and ethical considerations. The absence of some or all of these practices has resulted in “bad governance”, the consequences of which are well-known. At the national level, a partial list would include, inter alia, outdated laws and policies; lack of implementation; exclusive/ partial service leading to winners and losers; an urban bias but with vastly inequitable urban service delivery; powerful producer groups such as industry and farming that dominate policy through effective lobbying; fragmentation of decision-making and of the legal system leading to resource degradation; and particularly in arid, semi-arid and sub-tropical environments, continued societal vulnerability and lack of preparedness for drought and flood. At the level of the “water sector”, so-called bad governance has resulted in, among other things: groundwater over-pumping; indiscriminate borehole location; “self-help” resource “management” resulting in a tragedy of the commons; upstream abuse; pollution; increasing numbers of people with no/limited access to potable/necessary water; increasing numbers of people below WHO standards; deterioration of infrastructure/unaccounted for losses; land degradation leading to siltation; increase/decrease run-off/infiltration; fisheries depletion; eutrophication; invasive species/water hyacinth proliferation—the list goes on and is well-known (UN 2006).

4 KNOWLEDGE AND CAPACITY FOR GOVERNANCE: CURRENT TRENDS 4.1

Accepted explanations and solutions

The dominant discourse explains the persistence of these problems and of poor water governance as being due to a variety of factors such as human resource capacity limitations; outdated legislation; inappropriate technical interventions and/or limited technical and financial capacity; lack of proper or appropriate 252

information; partial decision-making structures and/or limited institutional capacity; and, especially, corruption. To “solve” these problems, the water world has argued on behalf of the following reforms: • new approaches: IWRM as a consensual approach; • new policy and law: holistic policy, the precautionary principle, and popular participation; • new structures: the basin/watershed as the unit of management; • new procedures: inter-departmental, inter-governmental, inter-disciplinary, civil society participation, transboundary cooperation, and information and data sharing; • new decision support tools: modelling, forecasting, (basic/social/environmental) assessments, and economics; • new networks of global governance: concepts, protocols, discursive spaces, and donors. From the development of documents such as the EU Water Framework Directive to the formulation and enactment of new water laws to the creation of new institutional arrangements such as catchment councils, reforms have been undertaken throughout the world. These actions have been legitimized through iterative processes taking place at all levels of governance across the world. However, for IWMI (2007: 7–8), “much unfinished business remains. In 2003, 850 million people in the world were food insecure, 60% of them living in South Asia and Sub-Saharan Africa … [and] the last 50 years have also witnessed unprecedented changes in ecosystems, with many negative consequences”. How then to explain the persistence of poor water governance? For Wilson (2006), “In our haste to concur that these are all good things, we can … forget that it matters how these things are pursued”. To help explain this phenomenon, it is useful to turn to Conca’s (2006) articulated conditions for effective governance: territory, authority and knowledge. According to the reform programme, the territory to be governed is the “watershed”. Where this is a transboundary watercourse, it is to be managed cooperatively by those riparian states that have control over its resources. Numerous documents devised at national, regional and global levels recognise “the state”—alone in the case of a river basin that lies wholly within its own borders, or in concert with other states sharing a river basin—as the primary locus of authority (e.g. Phillips et al. 2006). All stakeholders are to participate meaningfully, especially at the level of the resource itself (“subsidiarity”). Where stakeholders are a combination of actors—i.e., states and civil society—forums are to be created. In the case of transboundary watercourses, commissions and other formal sorts of institutions are to be created with a view to the enabling of a well-functioning inter-state regime (with binding principles, rules and procedures). In terms of knowledge, all decisions are to rest on scientifically derived information that is openly available to all interested parties. Thus, in theory at least, good 253

science will lead to best practice as enacted by states in concert with civil societies in the transparent and accountable pursuit of collective social/economic goods.

4.2

A critique and alternative explanation

In practice, such good ideas play out quite differently. In some cases, interventions based on acceptable explanations and solutions have been sustainable. But in many cases they have not (Swatuk 2005). For example, in terms of territory, developing structures of governance at basin level too often negatively affect disempowered and marginalized communities, as decisions are made in the “national” interest in pursuit of economic growth and development (Boege 2006: 15–17). In almost every case, the new water architecture has disrupted settled social practices (both functional and dysfunctional but persistent) and worsened outcomes (Swatuk 2002). With regard to authority, assuming the state to be an unproblematic actor— generally in pursuit of the public good but lacking either appropriate capacity or having been hijacked by unscrupulous “leaders”—fails to acknowledge the very particular character of most Third World states. Assuming they “lack capacity” ignores the fact that they have real capacity that is most often put in service of a narrow band of actors arrayed around its limited but real powers (Clapham 1995). For Turok (1987), “Too many critics and opponents have been harassed and imprisoned for us to fail to appreciate that the state is not simply a theoretical construct; it is a de facto internal force, an established machine governed by rules and discipline with a powerful capacity for coercion and control”. With regard to transboundary water resources management, a “regime” may be shaped around cross-border problems (e.g. a shortage of electricity) that in the end have significant negative impacts upon local people and natural environments at the level of the resource. Indeed, such outcomes were the impetus for the commissioning of the World Commission on Dams (see Conca 2006 for an overview). For Wilson (2006), “In privileging both states and governments as the engine of change … the model carries the distinct tendency to harden and intensify the democratic deficits it decries”. How can one justify through knowledge the continued support for watershed approaches that lead to scrambles for power upstream and downstream, water acts that invest full power in kleptocratic states, and an integrated approach that sets government departments against one another in the fierce inter-bureaucratic struggle to hang on to scarce budgetary resources? The technical-rational approach to social engineering based on the pursuit of universal goods (such as democracy and human rights) ignores the value-laden nature of the dominant approach. Tony Allan (2003) rightly and usefully characterises the struggles on-going within the water sector as an inter-paradigm debate (cf. Turton et al. 2007). Whereas Reisner (1993) could read the end of the “first dam-building era” in the U.S. as a collective will to “undo the wrongs caused by earlier generations doing what they thought was right”, it seems to me that much of the Third World is interested in undertaking those wrongs before they get things right: i.e. build the dams and the inter-basin transfer schemes and worry about environmental health and equity later. Indeed, as shown in Phillips et al. (2006), such activities are often the basis for “benefit sharing” 254

between and among states. So, to paraphrase Reisner, whereas many Americans may be heading “back to the future” (toward a post-industrial relationship with rivers), developing world leaders such as those in Africa, Asia and the Middle East are moving “forward to the past”, i.e. the high modern fascination with man’s control over nature. Given the Southern African region’s regularly destructive experience with drought and flood, who would deny them their “sovereign right” to develop water resources infrastructures before attempting to manage the resource efficiently? (cf. SADC 2005). However, in the context of highly unequal, natural resource dependent states, water reforms that seek to empower all stakeholders are being understandably resisted by those actors (big farmers; big industry; heavily-subsidized urban citizenries) that stand to lose in the reform process. Moreover, the pater familias approach to water reforms (from the global expert and external donor to the “ignorant” local recipient) seems to be reproducing the anti-democratic tendencies it purports to decry: “as a technical model democracy empties itself of most of the democratic project” (Wilson 2006). Underpinning the “international” approach to water resources management is a Western liberal theory of regimes and international organisation that is “deployed in a subliminal and axiomatic fashion” (Furlong 2006). Purveyors of the global good of IWRM assume that sustainability can be built in parts, through the careful construction of issue-specific and/or basin-specific negotiated structures and processes. Many of us are complicit in support of this belief (Swatuk 2002; 2005). Clearly, there is, at best, only limited “buy-in” among those actors who matter most—governments and private sectors. These actors by and large control and have access to all the water resources they need, so they are disinclined to shift their patterns of use no matter how good the “science” and how extensively disseminated and generally held is the knowledge. Perhaps this is why the World Bank is supporting a second dam-building era for the Third World: what all empowered actors can agree on is the need to harness water and this will cost money. Lastly in terms of theory, UN documentation is rife with claims that good governance is “prerequisite to sustained and sustainable growth and development, including poverty reduction” (UN 1998). But what if this is not the case? Where in the world and through history has liberal democracy preceded economic development? Both are phenomena of the modern world. Western states, in the competition to industrialise, were initially ruled by monarchs unwilling to share power. With the rise of the industrial class came revolution in a variety of forms. Along with and following revolution came war. And with this violence came the eventual extension of rights to citizens and duties to representative governments. Imposing liberal democracy from above, aside from being an undemocratic process in the extreme, is doomed to fail in weak, developing states loosely articulated to global capitalism through shallow economic bases (Graf 1996; Swatuk & Vale 1999). In addition, prior to the age of high-modernity with all of its changes in demographic structures and resource use, authoritarian systems of rule were both the longest lasting and the most successful managers of water resources through hydraulic infrastructure (Wittfogel 1957). 255

5 FOUR OBSERVATIONS Given the argument above, it seems to me that as scientists interested in sustainable water resources use and management, we must consider, at minimum, the following four observations: • Be aware of the value-laden and contested-nature of the “good governance” discourse: At a macro-level it is largely an unproven experiment that has had the opposite effect of that intended. Extended to the sectoral or micro-level, we are beginning to see similar problems developing. Perhaps it is better that we steer clear of the “good governance” terminology and continue to frame our aims and objectives in terms of sustainable, equitable and efficient water resources management. • Be reflective in the construction and application of theory: Unquestioned assumptions (e.g. “democratic governance can lead to a virtuous cycle of development”) and “common sense” categorisations thought to be universals (e.g. the state) have perverse effects when applied in particular settings. • Acknowledge that our science often has unintended social and environmental impacts: While water adheres to basic physical principles, its historical use and abuse results from its primary adherence to historically proven socio-economic and political principles—in other words, water flows toward money. Thus, as scientists our “good intentions” and “sound ideas” are often handmaidens to unwise practices. Even a seemingly benign concept such as “environmental flow” will have serious repercussions in application, particularly in highly unequal societies. Better science and indisputable data will not automatically induce best practice or “good governance”. • Recognise the profoundly political nature of enforced institutional and societal change: It is the height of arrogance to tell whole societies that they should change and be more like “us” (with our planetary-wide ecological footprint). In my view, it is little wonder that the attempt to enforce “good governance” from “above” has resulted in a dramatic scramble for power and the creation of so-called “low intensity democracies” across the “developing” world.

6 A WAY FORWARD There remains a wide gap between the IWRM ideal and current practice across the globe. Following on from the four observations above, and in line with the conclusions and recommendations reached at the symposium “Water for a Changing World: Developing Local Knowledge and Capacity” at UNESCO-IHE, June 2007, it seems to me that we must consider, among other things, key questions across the following six areas: • What information is absolutely indispensable for good water management? How can we collect and disseminate such information in weak states with divided civil societies? • What issues might be reasonably considered both unproblematic and apolitical? Can these issues be given priority and, once successfully addressed, can the positive 256

•

• • •

experience have a “knock-on” effect throughout the water sector and across the society? Based on tangible empirical examples, what constitutes “good water governance”? Is it fungible? If so, in what direction does it travel: from the global to the local? From the local to the global? From one issue to another? From one sector to another? From one government department to another? From one management structure to another? Can “best practice” be translated across sectors and/or societies and by what method? Based on tangible empirical examples, what constitutes “good governance”? Is it divisible? What aspects may be realised in weak and fractious societies? Based on tangible empirical examples, what are the preconditions for realising good water management? Given the truisms that things given and not earned will not be respected, and that things imposed from outside will not endear themselves to the recipients, is there justification for the belief that a “truth claim”—e.g. IWRM—will take root and eventually bear fruit in all manner of soil?

Belief in “IWRM” is akin to a religion—when asked where is the proof of the existence of this water management god, it is not readily shown, though it may be glimpsed fractionally in particular cities, in particular government departments, on particular streams and rivers, and in particular projects. Globally, good governance holds the same status. However, these are not unproblematic concepts and we should carefully consider the basis upon which we go forth and proselytise on their behalf. Unquestioning belief most often leads to explanations of convenience; when faced with “failure”, the main aim is to preserve the integrity of the belief rather than interrogate the basis for belief itself. Self-reflection, in my view, constitutes the necessary first step in a reformulated approach to water management, particularly as it is being extended to developing societies. As scientists engaged in experimentation, we must be very clear about what we mean by good water governance and not rely on definitions handed down to us by entities such as the World Bank or developed country governments, whose interests (e.g. financing hydraulic infrastructure; promoting First World industry) may be very different from ours and from those whom we hope to help.

REFERENCES Allan, T. 2003. IWRM/IWRAM: a new sanctioned discourse? Discussion paper no. 58. Water Issues Study Group, University of London. Boege, V. 2006. Water Governance in Southern Africa—Cooperation and Conflict Prevention in Transboundary River Basins. BICC Brief 33. Bonn: BICC. Clapham, C. 1995. Africa in International Relations. Cambridge: Cambridge University Press. Conca, K. 2006. Governing Water. Cambridge: MIT Press. Furlong, K. 2006. Hidden theories, troubled waters: international relations, the “territorial trap” and the Southern African Development Communities transboundary waters, Political Geography 26: 4, 438–458.

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George, S. & Sabelli, F. 1994. Faith and Credit: the World Bank’s Secular Empire. Harmondsworth: Penguin. Graf, W.D. 1996. Democratisation “for” the Third World: Critique of a Hegemonic Project. Canadian Journal of Development Studies, special issue: 37–56. Hyden, G. & Bratton, M. 1992. Governance and Politics in Africa. Boulder: Lynne Rienner. IWMI 2007. Water for food, Water for Life, A Comprehensive Assessment of Water Management in Agriculture. London: Earthscan. Landell-Mills, P. & Serageldin, I. 1991. Governance and the external factor. In Proceedings of the World Bank conference on development economics. Moore, D. 1996. Reading Americans on Democracy in Africa: From the CIA to “Good Governance”. European Journal of Development Research 8 (1): 123–148. Nanda, V.P. 2006. The “Good Governance” Concept Revisited. The Annals 603: 269–283. Pierre, J. 2000. Introduction: Understanding Governance. In J. Pierre (ed.), Debating Governance: 1–10. Oxford: Oxford University Press. Phillips, D., Daoudy, M., McCaffrey, S., Ojendal, J. & Turton, A. Trans-boundary Water Co-operation as a Tool for Conflict Prevention and Broader Benefit Sharing. Global Development Studies No. 4. Stockholm: Ministry for Foreign Affairs. Reisner, M. 1993. Cadillac Desert. New York: Penguin Books. Rogers, P. & Hall, A.W. 2003. Effective Water Governance. TEC Background Papers 7. Stockholm: Global Water Partnership. Sachs, J., McArthur, J.W., Schmidt-Traub, G., Kruk, M., Bahadur, C., Faye, M. & McCord, G. 2004. Ending Africa’s Poverty Trap. Brookings Papers on Economic Activity I. Washington DC: Brookings Institute. SADC 2005. Regional Strategic Action Plan on Integrated Water Resources Development and Management (Annotated Strategic Plan 2005–2010). Gaborone: SADC. Stoneman, C. 1993. The World Bank: some lessons for South Africa. Review of African Political Economy 20 (58): 87–98. Swatuk, L.A. 2005. Political challenges to implementation of IWRM in Southern Africa. Physics and Chemistry of the Earth 30 (11–16): 872–880. Swatuk, L.A. 2003. From Rio to Johannesburg and Beyond: ways forward for the post-WSSD Commonwealth. The Round Table 371: 465–476. Swatuk, L.A. 2002. The New Water Architecture in Southern Africa: reflections on current trends in the light of Rio +10. International Affairs 78 (3): 507–30. Swatuk, L.A. & Vale, P. 1999. Why democracy is not enough: southern Africa in search of human security. Alternatives 24 (3): 361–90. Turok, Ben 1987. Africa: what can be done? London: Zed. Turton, A.R., Hattingh, H.J., Maree, G.A., Roux, D.J., Claassen, M. & Strydom, W.F. (eds) 2007. Governance as a Trialogue: Government-Society-Science in Transition. Pretoria and Berlin: CSIR & Springer. United Nations 1998. The causes of conflict and the promotion of durable peace and sustainable development in Africa. Available at http://www.un.org/documents/ga/docs/53/plenary/ a53–231.htm. UN-World Water Assessment Programme 2006. Water a shared responsibility. The United Nations World Water Development Report 2. Paris & New York: UNESCO & Berghahn Books. Wilson, Zoe 2006. The UN and Democracy in Africa. London: Routledge. Wittfogel, Karl 1957. Oriental Despotism. New Haven: Yale University Press. World Bank 2002. World Development Report. New York: Oxford University Press.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

A negotiated approach in ensuring use of local knowledge and capacity for water resources management M.M. Alam University of Dhaka, Dhaka, Bangladesh

D. Hirsch Both ENDS, The Netherlands

ABSTRACT: The ‘negotiated approach’ was developed when nine organizations in 2001 brought together their experiences from Asia, Africa and Latin America of working to link the knowledge and experience of local actors with that of water management experts and decision-makers at local, regional and national levels. Based on the premise that true negotiation processes lead to the capacity enhancement of all stakeholders, the key requirement of the negotiated approach is the empowerment of local actors to be able to present and discuss their own needs and strategies for sustainable development. A case study examination of the Khulna-Jessore Drainage Rehabilitation Project in Bangladesh demonstrates the process and effectiveness of this method, reveals the need for strong people’s institutions, with appropriate mandates and adequate financial backing, and indicates elements that can be strengthened through Knowledge Capacity Development.

1 INTRODUCTION—LOCAL KNOWLEDGE IS KEY TO GOOD GOVERNANCE FOR SUSTAINABLE DEVELOPMENT Informal, indigenous and local knowledge is often neglected in the decision-making processes regarding development work affecting the life and livelihood of people at the local level. Local actors, including local governments, community based organizations, and water user groups, are primarily treated as recipients of the knowledge and capacities of outside experts, instead of being recognised as capable of contributing their own knowledge toward the management of water resources in a sustainable manner. Local knowledge tends to be disqualified as “too local”, “not scientifically rigorous”, or “too anecdotal”. Yet, refusal to take this type of knowledge into account often results in flaws in the decision-making process, which systematically dwarfs participation by local actors. Meanwhile, local actions can be used as micro foundations for macro analysis and policy making. Local knowledge can be the basis for developing innovative, practical and action oriented approaches to sustainable and equitable resources management. Ignoring the perspective of and input from local actors can impede policies 259

and investments that are essential for the attainment of the Millennium Development Goals (MDGs), and hamper the implementation processes (WCD 1999). This paper describes the negotiated approach, illustrates its effectiveness through a case study in Bangladesh, which leads to its conclusions that: local actors are producers of valuable and practical knowledge; indigenous approaches toward water resources management based on local knowledge can often be articulated into scientifically rigorous options; and capacity building should focus on strengthening local actors in developing and presenting their knowledge, and negotiating their visions on sustainable water management with other actors, including decision-makers.

2 THE NEGOTIATED APPROACH 2.1

Defining the negotiated approach

In 2001, nine organisations from different parts of the world came together to develop a common understanding of the potential of local knowledge to achieve sustainable water resources management. Experiences of the participants, in Bangladesh, Bolivia, Cambodia, India, Peru, South Africa and Thailand, revealed that similar approaches have been developed and implemented. All demonstrated that locally developed, informal knowledge does take into account the wider policy context, and that local actors can connect their visions to regional and national policy processes (Both Ends 2005). The organisations and the initiatives undertaken by them are listed below. Together, the participating organisations developed the “negotiated approach”, an approach, which is based on the premise that true negotiation processes lead to the capacity enhancement of all stakeholders. To achieve true negotiation Table 1. Organisations practicing the negotiated approach. Country

Organisation

Initiative

Bangladesh

The Khula-Jessore Drainage Rehabilitation Project (KJDRP)

Bolivia

Center for Environmental and Geographic Information Services (CEGIS) Centro A.G.U.A.

Cambodia India Peru

AMRC Gomukh AEDES

South Africa

AWARD

Thailand

AMRC

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The Tiquipaya Watershed at the Central Valley of Cochabamba The Case of the Se San River Basin Bhima River Basin The Management in the Cotahuasi Basin, Arequipa Save the Sand Project: An Integrated Catchment Management Initiative Water Management in the Nan River Basin: Key Issues of Negotiation

processes, the empowerment of local actors to present and discuss their own needs and strategies for sustainable development is a key challenge and requirement. As Swatuk (2007) argues, good governance “is most readily constituted and observable at a local level”. Through the work of these nine organisations, the negotiated approach has evolved into a framework that; • empowers local actors to effectively participate in decision-making processes on the basis of their experience, knowledge and vision on sustainable water management at local and national levels; • provides examples of local actors contributing to sustainable development and structural poverty reduction; • presents a new way of looking at and designing capacity building and policy processes by focusing on the inclusion of a key stakeholder group, e.g. local actors, as full-fledged participants in all phases of the policy process; • calls on decision-makers and other relevant actors to recognise that good governance calls for recognition of the important contributions that local actors can make to sustainable development, so that they are allowed to play a key role in policy and decision-making processes (Gupta 2007). The process involved in the negotiated approach is described in more detail in Box 1 in regards to the case study below.

2.2

Capacity building through the negotiated approach

Capacity building following the negotiated approach focuses on empowering local actors—community-based organisations, NGOs, and local governments. Exchange visits can play an important role in providing concerned groups with a broader scope of their local problems by sharing knowledge and experience with other local actors from different regions and countries, to discuss their problems and to identify corrective measures. These visits would enable discussions on local realities against the backdrop of a broader framework of integrated water resources management, and create a network of like-minded organisations, which in itself is a step toward empowerment of local stakeholders. A participatory approach should be adopted in facilitating organisations to make their own needs assessment and capacity building work plan. An active involvement of the participating organisations in the needs assessment and work-plan formulation is essential to guarantee “ownership” of the initiative. The organisations play a key role in this process; the external impetus is merely to facilitate the process. Regarding advice and expertise on River Basin Management strategies and proposal development, it is necessary to facilitate the support of experts from other localities, regions and countries to help and inspire the local groups in developing water management approaches. It is also important to link local action to national and basin level policy discussions. A constant link is to be made between on-theground realities of participating organisations and water-related policy agenda on national and basin levels. 261

3 ILLUSTRATING THE NEGOTIATED APPROACH IN PRACTICE: KHULNA-JESSORE DRAINAGE REHABILITATION PROJECT (KJDRP) 3.1

Case study area

This section is based on The Khulna-Jessore Drainage Rehabilitation Project in Bangladesh, which contributed to the development of the negotiated approach (EGIS 1998). This paper further takes into account the continuing evolution of the physical, socio-economic and institutional aspects of the area since the time of completion of the case study. The project is located in the districts of Khulna and Jessore within the coastal area of Bangladesh, which constitutes one of the largest deltaic regions of the world. The study area includes parts of three different river basins: the Bhadra, the Hari and the Sholmari. The water regime of the area is characterized by the saline water of the Bay of Bengal that comes in from the south through a number of tidal rivers and by the sweet water carried by rivers from the northern part of the country. Fishing is an important occupation in the area. Brackish water shrimp farming is common in some parts. For the purpose of crop cultivation polders have been built to prevent salinity intrusion into the area. However, the Khulna-Jessore area in Bangladesh has long faced acute and recurring problems of waterlogging in one of the world’s largest and most fertile deltas. (see Fig. 1)

3.2

Main challenges

Polders in the districts of Khulna and Jessore (constructed in the 1960’s) were quite effective in keeping the protected areas relatively free from the problem of surface water salinity, allowing extensive crop cultivation. However, sediment that continued to come with the tidal waters could no longer enter into the area protected by polders, and so was deposited onto the riverbeds, lifting the riverbeds up. The clogging of the rivers meant that the water accumulating within the polders due to rainfall and flow of water from upstream could not easily drain out through these rivers, and this

Table 2.

Description of case study area.

Main river basin Altitude Study area Average annual rainfall Population Main income activity Average household income

The study area includes parts of the basins of three different rivers: the Bhadra, the Hari and the Sholmari. Around 2 meters above sea level 127,800 ha 1,751 mm 1.1 million Agriculture, fishing, shrimp farming Around US $ 800 per annum

262

Figure 1. Map of the study area. Source: CEGIS.

caused serious drainage congestion. Vast areas were thus waterlogged, agricultural activities could not be undertaken, and many homesteads were inundated. The problem in the area caused by the waterlogging had many different dimensions. It affected the biophysical environment and consequently affected production of fish and paddy as well as other socio-economic factors. Thus it was not only a physical drainage problem, but also a problem for sustainable water resources management in the area. The challenge in this area has been to solve the drainage problem in a manner conducive to the life and livelihood requirements of the inhabitants of the area and to ensure that the adopted measures are environmentally sustainable.

3.3

Stakeholders

The stakeholders in the project include the Bangladesh Water Development Board (BWDB), which is the government agency responsible for executing water resources management projects, the Asian Development Bank (ADB), which is the agency funding the project aimed at rehabilitation of drainage in the area, and the Water Management Associations (WMAs), which are institutions of local people voicing their needs and suggestions with regard to water resources management. Another stakeholder is the Center for Environmental and Goegraphic Information Services (CEGIS), which is a public trust providing the Government of Bangladesh with research support in matters relating to water resources management. 263

3.4

The study

The Khulna-Jessore Drainage Rehabilitation Project (KJDRP) was initiated by BWDB in 1995 in order to solve the drainage problem of the area and received funding from the ADB. Engineering consultants were engaged to come up with a solution, which eventually consisted of dredging the rivers and simultaneously building a large regulator downstream from the area, which would let water flow out, but not in. The people of the area, however, felt that the proposed regulator would not solve the problem and would in fact aggravate it over time. Their argument was that large volumes of sediment would be deposited in the southern vicinity of the regulator, thereby causing waterlogging in vast areas to the north. This prompted the ADB to ask for an independent Environmental and Social Impact Assessment (EIA/SIA) of the regulator option, which was carried out by CEGIS during 1997–’98. While initiating the fieldwork for the EIA/SIA, CEGIS found that the local people had an alternative option to suggest for solving the problem of drainage congestion in the area, which was based on their local knowledge about how tidal actions in rivers can be used in keeping these rivers relatively free of sedimentation. Their preferred option was to keep the tidal rivers open and create tidal basins at appropriate locations to ensure sufficient tidal flows to keep the rivers deep enough for effective drainage of water from the area. After some convincing, BWDB agreed that this alternative option should also be considered in the EIA/SIA. However, as the people were not able to articulate their view in terms of where the tidal basins should be located or what should be their physical dimensions, this was done by CEGIS with input from the Surface Water Modelling Centre (SWMC). This option was named the Tidal River Management (TRM) option. The EIA/SIA conducted by CEGIS concluded that the TRM option would indeed be the most suitable choice for solving the problems in the area in a sustainable manner. Box 1. The negotiated approach. The negotiation process involved numerous meetings and discussion sessions between the proponents of Tidal River Management option (TRM), i.e. local NGOs and Water Management Associations, assisted by CEGIS, and the decision-making authorities, i.e. the Bangladesh Water Development Board (BWDB), assisted by their consultants and the Asian Development Bank (ADB) as the financier. Initial negotiation sessions were on the acceptability of TRM as an option to be considered by the EIA/SIA. On popular demand and upon better articulation of TRM as an option by CEGIS, it was included in the scope of the EIA/SIA. Subsequently, the EIA/SIA demonstrated that TRM was the most suitable option for solving the waterlogging problem. This strengthened the argument of those in favour of TRM in the negotiation process that was carried on through meetings and discussion sessions with the decision-makers. Ultimately both the BWDB and the ADB accepted TRM as the option to be implemented.

The TRM option has now been implemented in the Hari River system. The Water Management Associations, which were formed at an earlier stage to look after the interests of different hydrological zones within the area, have a major responsibility in ensuring that the option is a continuous success. 264

3.5

Lessons learned

One major lesson learned from the case study is that it is important to utilize local knowledge in designing programs for water resources management. This helps in adopting technologies that are appropriate for the life and livelihood needs of the people and also sustainable from an environmental standpoint. The case study shows that a negotiation process pursued by community level stakeholders, while supported by appropriate institutions, can succeed in making concerned authorities honour popular demand. Another important finding of the case study is that strong people’s institutions, with appropriate mandates and adequate financial backing, need to be in place for managing water resources at the local level in a manner conducive to the welfare of general people. In the case study presented, to make the whole effort more beneficial to local people, the functioning of the WMAs with regard to managing their water resources and liaising with concerned government institutions needs further streamlining. Issues like the financial needs of the WMAs and the mandates they require for operation and maintenance should be addressed more adequately. For WMAs to function properly, they need financial strength. Although they had the mandate to take up certain small scale water management projects and get involved in some operation and maintenance (O&M) activities relating to water resources management (more O&M functions could be delegated to them), limitation of funds prevented them from taking up such activities to any considerable extent. In this regard subsidies from the government would be essential; they could also benefit financially if they were given the right to lease out, on behalf of the government, some of the land and water bodies owned by the government within their areas. All this would enhance the much needed financial autonomy of the WMAs.

3.6

Efficacy of the negotiated approach, and ongoing issues

The bottom up process of negotiation in solving the problem of waterlogging in the concerned locality resulted in the articulation and adoption of the Tidal River Management option, which had been a longstanding demand of local people. Implementation of this option gave considerable respite to the problem of waterlogging in the area. The negotiated approach thus brought in and articulated an innovative option that was based not only on people’s perception of how to solve the problem, but also on the scientifically tested efficacy of the option. Through negotiation it was possible to make concerned parties agree on an option that was conducive to the life and livelihood needs of the people. This people’s option has also been sustainable from the environmental standpoint. Implementation of the initial phase of TRM under KJDRP was accomplished without much difficulty. However, the negotiated approach at KJDRP was not able to evolve people’s institutions sufficiently to carry the work further forward. The WMAs at the different hydrological regions and the apex Water Management Federation did not work in full harmony, did not attain control over any significant amount 265

of resources (financial or otherwise), were not as participatory in nature as would be desirable and thus lacked in strength to continue negotiation with the “authorities”. The local government institutions were not effectively involved in the process and the institutions created for water resources management ended up being less than effective. Necessary financing could not be assured. No compensation mechanism could be established to ensure that those who lose out during interim periods of the management process are duly compensated by those who gain. There is recognition of these factors among the local people and their institutions, and realisation that the process of negotiation would have to continue on to establish TRM on a stronger footing for implementation on a larger scale in similar geophysical and socio-economic circumstances.

4 DISCUSSION 4.1

The negotiated approach as an essential mechanism

The Bangladesh example shows that it is possible to obtain agreement from concerned authorities on options based on popular demand when these are pursued effectively through a process of negotiation involving community level stakeholders as well as relevant institutions. The challenge is to obtain the necessary platform for negotiation. Although local level stakeholders have their own perspective regarding water resources management, they often do not have a mechanism available to them for pursuing it with relevant agencies. Capacity building through the negotiated approach strengthens their position. It is important to have strong people’s institutions not only prior to and during the process of negotiation, but also during and after implementation. It is essential to ensure a continuous process of monitoring and adaptation by them in the face of dynamic physical and socio-economic circumstances. For sustainability of the outcome of a negotiated approach in water resources management, one has to ensure involvement of local government institutions. In fact, these institutions should provide the platform for negotiations. Experience shows that creation of institutions parallel to local government does not serve the ultimate purpose of the negotiated approach toward water resources management. Identifying how to involve local government institutions in the process of negotiation has always been a challenge. At this point, local government institutions in many lessdeveloped countries suffer from a lack of mandate, autonomy and resources to make a difference. In most initiatives involving water resources management, even in the ones that are negotiated by end-users, there are people who gain at the cost of those who lose during parts of the project life. There is need for a mechanism by which those who lose are compensated by those who gain. Otherwise, the very sustainability of the system becomes questionable. The development and use of monitoring capacities and the adoption of equalising measures at local levels are essential in this regard. 266

Local perspectives, valuable as they are in addressing problems of water resources management, need to be rooted more intimately in scientifically rigorous paradigms, so that the question of “soundness” of the approach does not become an issue. This requires an interactive process of problem solving with an open mind between community members and professionals having expertise in relevant fields of water resources management.

4.2

Specific recommendations concerning knowledge and capacity development (KCD)

The negotiated approach has significant potential to contribute to more sustainable water resources management. In addition, true negotiation processes lead to capacity enhancement of all stakeholders (learning through negotiation processes). However, the negotiated approach as it stands now has some weaknesses that can be addressed through KCD. KCD should be used as a valuable instrument to generate an attitude among decision-makers of seeking the participation of local level stakeholders. Incremental KCD processes can relate and combine different types of knowledge through involvement of diverse stakeholders. In order for the negotiated approach to reduce risks from questions of legitimacy and credibility, there is a need to develop tools that allow actors to identify and bridge knowledge gaps. KCD processes should ensure inclusion of different stakeholders through learning alliances and by making partnership building an integral part of KCD methodologies. Given the potential of the negotiated approach, key actors in decision-making processes (governments and development partners) should redesign these processes, including those related to transboundary basins, to take into consideration options developed by local stakeholders, and should allow these stakeholders to negotiate their options. In this regard it is important to make use of scientific programs that emulate and articulate approaches based on local knowledge and visions of water resources management. It would be useful to initiate advocacy and awareness raising processes for the purpose of convincing global institutions, national governments, international aid agencies and bi-lateral donors about the important contribution local knowledge and actors can make to achieve sustainable water resources management. Showcasing examples in which local actors have actually contributed to sustainable water resources management policies and projects can play an important role. Also useful would be to identify a credible champion to partner in this process (e.g. UNESCO-IHE), and work together towards developing experience with the negotiated approach through learning by doing, through active sharing of past and present experiences, and by including this type of approach in curricula. Stimulation of south-south KCD processes, advocacy among local actors, and peer group exchanges, using for example the UNESCO-IHE alumni network of practitioners, could also help carry forward the case of the negotiated approach. 267

REFERENCES Both ENDS. 2005. River Basin Management: A Negotiated Approach. Amsterdam. Available for downloading at http://www.bothends.org/strategic/RBM-Boek.pdf. Environment and GIS Support Project for Water Sector Planning (EGIS, now CEGIS) 1998. Environmental and Social Impact Assessment of Khulna-Jessore Drainage Rehabilitation Project, Dhaka. Gupta, J. 2007. “Glocal” Water Governance: Controversies and Choices. This Volume. Swatuk, L.A. 2007. Toward Good Water Governance: Knowledge is Power? Presented at Water for a Changing World: Enhancing Local Knowledge and Capacity; intern. symp., Delft, 13–15 June 2007. Unpublished. World Commission on Dams 1999 Dams and development. A new framework for decisionmaking. Available for downloading at http://www.dams.org.

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Knowledge modelling for the water sector: Transparent management of our aquatic environment S. Velickov Bentley Systems Europe B.V., Hoofddorp, The Netherlands

ABSTRACT: Expanding knowledge and communications revolutions will enable the urgent transformation of traditional top-down water management required by the world water crisis if sustainability is to be achieved. Higher level multi-disciplinary and cross-functional actionable knowledge, including hydroinformatics and Earth Observation (EO) information, can be rapidly transmitted in all directions and to all stakeholders as water resources knowledge modelling and water information services (WISE). More public water debates will also help achieve a participatory and transparent approach. Valencia, Spain as a historic example and the recent construction of the Øresund fixed link between Denmark and Sweden demonstrate the integrated water management and good transparent governance needed worldwide. Today’s college educated younger (Y) generation, increasingly interconnected on all continents via internet, computers, and wireless communications, are a powerful motivated force for moving the continents toward the realization of the Millennium Development Goals of the United Nations, including targets in the water sector.

1 THE MULTIDISCIPLINARY KNOWLEDGE CHAIN Our world is a chaotic dynamic system that is in continual change; our climate is changing, the sea level is rising, the land is shrinking, our aquatic environment is deteriorating, and the weather is becoming more extreme. There is evidence of an emerging global water (and energy) crisis that threatens lives, sustainable development and even peace and security. This in turn further strengthens the pressure on our limited water and natural resources like never before. Any strategy for integrated water management and sustainable development must properly address people’s vital need for water, and hence must be transparent, accountable and in the interest of all stakeholders and society as a whole. It has become globally evident that the current technocratic and “top-down” approach to water management practice, especially linked to large infrastructural projects, is not sustainable and requires an urgent change in the attitude of “business as usual”. On the other hand, knowledge has become one of the central attributes of our current societies. The unprecedented information and communication technologies (ICTs) revolution in our post-modern societies has placed an even higher premium on knowledge having the potential of generating wealth, but more importantly on contributing 269

to the sustainable development of present and future generations. In the last 20 years, ICTs have brought about a major shift in technological, socioeconomic, and cultural conditions and values throughout the world. The ICTs revolution is therefore as important as the industrial revolution in the mid 18th and early 19th centuries. Applications of knowledge in the water and environmental sector, such as numerical modelling, are characterised by a change in the way knowledge is produced and employed within society. Just as knowledge is encapsulated at every stage of the life cycle for any product (such as a telephone, windmill, pump etc.), knowledge is produced, encapsulated and employed in a similar way in the water sector. The transformation from a society of knowers to a society of consumers of knowledge has led to a condition of society where we can distinguish between knowledge providers and knowledge consumers (Abbott 2007). Undoubtedly, such a social transformation has been accelerated by the development of the internet, mobile telecommunication networks and new ICT carriers, where communication (including education and training) in the water sector is taking on a new dimension, facilitating the “death of distance”, and is offering new functionalities and services never before seen. In this new post-modern society of knowledge providers and knowledge consumers, an organisation can only be a knowledge provider if it has a form of more valuable knowledge (higher level of knowledge) than the knowledge consumers in its business environment. This more valuable knowledge by definition implies that the knowledge provider possesses knowledge that is firstly relevant to the knowledge consumer and secondly is potentially actionable in a particular context, such as in the water sector. The difference between the knowledge level of the provider and the consumer can be visualised as a knowledge gradient that facilitates the flow of knowledge between them, and the process is usually called a knowledge transfer in capacity building terminology. Generally speaking, the greater this knowledge gradient, the more knowledge will tend to pass from the provider to the consumer, if the consumer is able to assimilate the knowledge effectively. Note that the knowledge gradient can be either positive or negative, that is to say, the knowledge transfer can occur in both directions, from West to East and North to South, but also from East to West and South to North. In addition, the more this actionable knowledge is augmented by the consumer, the greater the value of the knowledge to the consumer. Consequently, the value attributed to the provider also increases. We could similarly refer here to knowledge supply and knowledge demand chains in the water sector, which stipulate novel ways of personal, community and institutional capacity building activities. As numerous studies and projects in the water, environmental and renewable energy sectors show, especially in large infrastructural projects, such as the recently opened Øresund fixed link between Denmark and Sweden, the higher level of knowledge is essentially multidisciplinary and cross-functional. Therefore, water and environmental engineers, ecologists, marine biologists, geologists, civil and mechanical engineers, economists, sociologists, ICT engineers and many others have had to work together in partnership with the different stakeholders, including the general public, in ways that were not possible before, in order to make such projects a reality. One essential success factor has been the provision of real-time water information services 270

to all stakeholders. This was centred around the integration of ICT tools, such as remote sensing satellites, surveying and SCADA systems, internet and mobile phone access to information, and other model-based decision support instruments, with which all stakeholders could monitor the progress of the project and results from different scenarios, and pro-actively participate in the decision-making processes. The challenge of facilitating such stakeholders’ involvement is in structuring and making the multidisciplinary knowledge actionable for transparent management of the particular aquatic environment. This essentially demands a socio-technical transformation from the paradigm of institutionally-centralised knowledge on modelling encapsulated in software packages, toward the new paradigms of “software-as-a-service” (Abbott et al. 2006) or even “knowledge-as-a-service” (Velickov & Lobbrecht 2007). The multidisciplinary conjunctive knowledges that are necessarily linked together in such paradigms need to be structured and modelled using knowledge modelling techniques, which arise from new developments in information and communication technologies (the semantic web in particular) and in computational intelligence techniques. The essential aspect of knowledge modelling, which distinguishes it from the broader area of knowledge representation (including database and information systems), is the focus on knowledge (as experience or competence) at a level that is an abstraction from the implementation level, that is the level of structures. For instance, a knowledge model of an engineering design for a water distribution system will focus on the problem solving behaviour and conjunctive knowledges of the various stakeholders involved in generating the design, rather than on the implementation of the system. Knowledge modelling technologies, in particular problem solving methods and ontologies, are relevant to many disciplines besides water management. The main reasons for the growing interest and application of knowledge modelling technology in the water sector can be summarised as: • Ambiguous terminology and lack of mutual understanding among key stakeholders; • Malpractice such as careless handling of input data, inadequate model setup, insufficient calibration and validation of models and frequent model use outside its scope; • Lack of data or the poor quality of available data; • Insufficient knowledge of the processes underlying ecological modelling and associated feedback loops; • Miscommunication by the modeller to different end users and stakeholders concerning the possibilities and limitations of the models and the ways of aggregating and presenting model results; • Inappropriate usage and integration of model results in decision-making; • Lack of documentation, good modelling practices and transparency of the modelling process, leading to infrastructural projects which can hardly be audited and reconstructed; • Insufficient consideration of the socio-economics, institutional and political issues, and a lack of an integrated modelling approach including a conflict resolution mechanism. 271

Because of these challenges, any capacity building activity addressing individuals, communities and institutions should build on state-of-the-art information and communication technologies and knowledge modelling in particular. This was recently demonstrated by the implementation of the G2 real-time knowledge modelling ICT platform for operational monitoring, maintenance and decision support for key stakeholders of the water distribution networks in the cities of London, Paris and San Diego. Without proper capacity building activities at both the individual and institutional (in this case, water utility) levels, and the embodiment of ICT tools in the working culture and the business processes of the organisations, such implementations are rarely possible.

2 THE RAPIDLY CHANGING ROLE OF MODELLING AND ICT In the rapidly developing context of information and communication technologies and systems, it is natural to ask what contribution one of the fundamental technologies of modern science—namely, mathematical modelling (typically including extensive numerical simulations)—can bring to our efforts to enhance understanding of natural processes and phenomena in the aquatic environment. A moment’s consideration makes it clear that the potential contribution is profound. For instance, we can immediately identify a number of water and environmental problems of overwhelming importance: the motion of the water in the oceans, the generation and mitigation of floods, sediment transport and morphodynamics, water quality etc. We can obtain an accurate quantitative (only) description of the causal relationships between specific processes, actions and consequences for these problems from studies of highly sophisticated mathematical models containing many subtle and interacting effects. The branch of science born in the 1960s known as computational hydraulics, which enables the discretisation of the physical domain and the corresponding physical laws dressed in mathematical equations governing the natural water and environmental processes, is now well established. By bringing these computational fluid dynamics techniques together with the recently proliferating information and communication technologies, a new discipline emerged in the early ‘90s that is now known as hydroinformatics (Abbott 1991). A hydroinformatics system consists of an electronic multidisciplinary knowledge encapsulator that models part of the real world and can provide a service for the simulation and analysis of physical, chemical and biological processes in water, for better management of the aquatic environment. Therefore, the development of mathematical models, which adequately represent our current image of reality, is at the heart of hydroinformatics (Price 1996). But hydroinformatics is even more complex, in that it is an emerging socio-technical construct (see Jonoski 2002). This leads to the modelling of socio-political issues also—for example, socio-economic consequences of certain activities in the aquatic environment or the involvement of different stakeholders and public participation in the decision-making processes in the management of limited water resources. In addition to the complex technical issues, one must also try to account for the vagaries of human psychology. We can expect that issues based on global water-related problems, as well as the general consequences of limited resources and degrading environmental conditions, will become increasingly 272

relevant factors. These have to be taken into account in the future development of hydroinformatics systems as services. Increasingly, however, the complementary role of data-driven modelling based on computational intelligence techniques is being recognised (Solomatine 2002). This is because pure mathematical theories may fail to make sufficiently accurate predictions of complicated water end environmental-related processes because the real world dynamical systems do not always obey equations with numerical and analytical solutions. In such cases, data-driven models can play an important role in making models out of data that can stimulate the knowledge discovery process, assimilate data, automatically calibrate numerical models, and provide efficient tools for uncertainty and sensitivity analysis. Numerical and data-driven models rely heavily on computational power and information technology. As present-day personal computers pre-eminently become communication devices, the role of modelling is rapidly changing towards a new generation of hydroinformatics systems based on service-oriented architectures and on modelling software as a service. Undoubtedly, ICTs are facilitating a better management of our water-based systems by enabling the creation of co-called Water Information Services (WISE) for all involved stakeholders. Through the utilisation of enhanced earth-observation (EO) technology it is today possible to create a true value for operational water-resource management in trans-boundary river basins. The ICTs have advanced to a stage where we are able to integrate real-time remote sensing data and information with distributed modelling services and in-situ water-cycle data, such as precipitation, runoffs, soil moisture, evaporation and evapotranspiration. Novel open-source online modelling services are emerging with front-end GIS interfaces applied to digital catchments and digital cities (water infrastructure) for different targeted user groups and stakeholders. These services are being demonstrated through various MSc and PhD studies within UNESCO-IHE, and through non-governmental initiatives such as the WaterKnowledge Initiative and the emerging products of commercial companies in the water sector such as Bentley Systems, HydroLogic, DHI, Wallingford software, WL|Delft Hydraulics and others. In order to mitigate the potentially catastrophic effects of water-related disasters such as floods, droughts or mud flows, it is essential to increase, apply and integrate our understanding of the variables associated with the global water cycle. As recent hazardous situations in Europe, Africa, Asia and the Americas have shown, the death toll of these natural disasters can be significantly reduced if we process real-time EO information early enough, and make it available in a form that can be used in local water-management practice. The proper use of EO data and information can also help reduce social, economic and ecological impacts and help us to be better prepared for the effects of climate change, such as extreme rainfall, longer periods of drought and a rise in sea level. The challenge in this respect is to integrate earth-observation technology, in particular remote sensing, with modelling and monitoring services of in-situ data and information. This will enable the international community to make use of real-time, operational decision-support systems to forecast potential disasters and issue warnings to governments and local communities (Fig. 1). Services such as data streaming, intelligent 273

Figure 1.

Schematic layout of the scope of the water information services.

processing, robust and reliable hydro-meteorological forecasting and warnings should become available to water authorities and the general public all over the world in an effort to protect our societies from the potential catastrophic consequences of natural disasters through better management of our aquatic environment. Particular attention must be given to developing countries where so many people are continually threatened by water-related extreme events, and where cost-effective solutions are essential. There is, therefore, a clear and urgent need to develop novel methodologies, hydrological products and services that can be used to achieve this objective. Research and development, coupled with capacity building activities, including collaborative education and training, are needed to build a framework that integrates remote-sensing earth-observation systems, hydro-meteorological modelling and forecasting with operational water management. This can only be done in close cooperation and interaction with water authorities, institutes, universities, private companies and the concerned stakeholders. The communication facilities now make it possible for all to get actively involved in the decision-making process, to make maximum use of local knowldege, and so to cultivate ownership by a community of its water systems. 274

3 MANAGING SCARCE WATER RESOURCES: A CHALLENGE FOR DEMOCRACY Valencia provides one of the oldest examples of what today would be known as integrated water resources management. Wearing workers’ blouses and delivering their decisions orally, the people’s judges are ordinary workers democratically elected for two years to represent each of the eight irrigation networks in the basin. Their word is final. In essence, Valencia’s water tribunal exemplifies “good governance” of a water-based system. It is effective, accessible, affordable, respected, fast, transparent, and involves the whole community. And it takes the river basin as a whole as its starting point, a principle that has only been recently recognised and is gaining momentum at both national and international levels in the water sector. Therefore, stakeholder participation in the decision-making process for managing water-based systems is not new. The general purpose of active stakeholder participation in major projects concerning water-based systems is to induce a change in the built environment that aligns with a positive change in the social environment. As experience with many large-scale infrastructural projects shows, when social change is not realised, the process of transforming the built environment suffers accordingly. Stakeholder participation is an inherently multi-faceted and controversial topic in the water sector. Abbott (2007) argues that stakeholder participation is essentially a socio-technological transformation. His work shows that essential issues of this socio-technological transformation, and the experience of so-called “First World” projects, are equally relevant to “Third World” projects. He suggests that every project exists in an outer physical world, that is, the tangible built environment, and in an inner world of the collective minds of stakeholders, that is, the intangible self-emerging social structures. The creation of a communications environment in which these two worlds can begin to align is essential to the success of the project (Fig. 2). This alignment is now increasingly possible thanks to the internet and the varieties of communication devices such as mobile phones, PDAs, laptops, ipods, iphones, and so on. Several World Bank and UN reports, such as the UN world Water Development Reports, describe the rapid development of the information and communication technologies as a digital divide hindering the development work and capacity building activities. However, in recent years we have witnessed the development, production and launching of the first “100-dollar” laptop or “XO laptop”, and the so-called blue communication device for post-secondary education, which will undoubtedly change communications and access to technology in the “Third World” (Fig. 3). The key arguments for this impact were that that children learn better through computers than books; and it is widely believed among technology educators that that the real purpose of getting a computer is to learn about computers, and especially computer programming and communication technologies. One of the biggest challenges therefore is to move the debate about water management out of the jargon-filled circle of workshops and symposia into the public arena. This was done, for example, in the building of the Øresund fixed link between Denmark and Sweden, as mentioned above. It was also done in many large infrastructural projects in the “First World” countries, such as the Delta works in 275

Figure 2. The outer and the inner worlds aligned with information and communication environment.

Figure 3. The “100 dollar” laptop user interface (www.laptop.org) (left) and the blue communication device for post-secondary education (right).

the Netherlands, the construction of several off-shore wind platforms in the North Sea (Sweden, Denmark, Norway and Germany), the large wetlands restoration project in Florida, integrated river basin management of the river Rhine, river regulation works of the Danube river, and many other projects. Knowledge providers (both academia and commercial companies) in the water sector are now working on new ways to involve people with little or no scientific or technical training in complex decision-making by encapsulating complex scientific models within a simple role-playing interface. Such “intelligent” internet-based distributed communication platforms can be used to answer questions such as “if we use so much water for a dam, what will happen to the irrigation downstream?”, with the emphasis on collaborative water management. However, the main obstacle to building trust and achieving 276

such cooperative management of water resources is the lack of political will. But the recent UN World Water Development Report says the situation is improving: “Although progress in water governance and related management areas has been incredibly slow and uneven,” it says, “there are encouraging signs that water governance reform is taking place in many countries”. This participatory approach is also taking hold in the water industry as companies expand their operations globally and adopt more flexible management practices. Less than 20 years ago the knowledge base for a water supply company consisted primarily of design drawings, operation and maintenance manuals, and inherent understanding of the system through the skills and experience of staff. Today, assessment of demand by customers, higher standards of water quality treatment, improved concern for public health, policy frameworks and directives, metering, and better operations and maintenance in the full project life-cycle all require a wider collaboration with other professionals. Bridges of trust are being built among consumers, water companies and government, requiring more accessible and conjunctive knowledge. They include various public and service level agreements detailing dates, terms and quality of water service deliveries by companies to meet consumer demand reliably with a proper public impact. Further examples of these emerging connections between stakeholders include public consultations on particular water schemes and public-private partnerships in the water sector. Much of this operating knowledge, however, still tends to be based on the needs of advanced “First World” countries. All too often, low-income “Third World” and developing countries adopt laws, regulations and working practices from advanced countries, when in many cases they lack the capacity to apply and enforce them. While several low-income countries have developed local expertise to deal with challenges in their water sectors—examples include Mexican wastewater and irrigation reform practices and Brazilian expertise in water and sanitation in poor communities—these experiences are not systematically shared with other developing countries. Language and financial and cultural barriers impede the transfer of knowledge. Communication channels built on the ICT tools must be facilitated to boost this knowledge circulation and, in the knowledge chain process, place higher value on local expertise, which is more appropriate to the practice of water management in the local context.

4 THE NEW GENERATION Y AND CAPACITY BUILDING CHALLENGES A recent Financial Times poll carried out in the US, EU countries, China, India and Africa, shows that 90% of college students, referred to here as the new Young (Y) generation in the world, want to do work that will have a real impact on the world as defined by the objectives of the UN Millennium Development Goals. Whereas their parents wanted to excel in business or did not have the opportunity to harvest the advances of the information and especially communication technology, they aspire to jobs that can make a difference in the world, including in the water sector. Having grown up with the new technology, they enjoy (even prefer) working virtually 277

and by nature collaboratively, and they do not take orders as readily as the post-war generation did, thus making them natural decentralised decision-makers. We are starting to see a huge increase of individual freedom in education and training, but also in business. Technology is allowing large numbers of people to make decisions for themselves, and this is amounting to a big political (democratic) change. When people make their own decisions at school, in the community, or at work, and also about their aquatic environments, they become more flexible, dedicated and creative, which are critical success factors in the new creative economy. A decentralised decision-making process, facilitated by ICTs, was vital to the development of Linux and Open Source software together with its “anarchistic ethic” of voluntary professionalism. It is also the basis for collaborative brokerage systems, such as eBay, which has enjoyed phenomenal growth by giving all the decision-making power to the consumers of goods (including knowledge), and has contributed enormously to society’s new entrepreneurialism in the process. These developments are also latent in the water sector as well. Nowadays we are witnessing an exponential growth of open source modelling software, such as SWAT, OpenGIS, OpenCFD (open computational fluid dynamics), OpenMI (open modelling interfaces), HamoniQuA and many others, coupled with online education and training materials that are highly relevant to the water sector. Novel approaches are required, especially at the level of motivation and sustainable business models, to deliver customised public-serving water information services for capacity building activities, as advocated by the WaterKnowledge Initiative. A recent study conducted by NOVA (a Swedish international business development institute) with more than a hundred multinational companies, including the water sector, investigated the drivers and barriers for knowledge sharing and capacity building in international multicultural environments. The study clearly demonstrated that employees from “Third World” countries are much more motivated and eager to learn and share knowledge compared with their “western” colleagues. But what about the governments, local authorities and companies who still favour the top-down and command-and-control technocratic management styles? Most likely, we will see parallel movements there for a while. Ensuring access to technology and access to the “water knowledge base” (as termed by the UN organisations), is one of the key challenges that will inevitably take time. With the emergence of small private specialised telecommunication companies in the “Third World” and developing countries, reliable and cost-effective solutions are appearing. In this context it is interesting to note that Macedonia, as a developing country in the Balkans, is the first country in the world fully covered by free wireless access to the internet. All primary and secondary schools and universities are connected to the global communication space and are being equipped with computers, thanks to private initiatives. We see similar developments in South America, Asia and some African countries. Therefore, some countries will adapt and others will not. But the change will really come with the growth of new types of anarcho-syndicalist social structures, companies and businesses that will drive the “open source” and “open mind” activities. Then the old style “business as usual” in the water sector will fade away including the hierarchies, glass ceilings, reductive technocratic thinking and even the 278

comfortable offices. One thing is certain, capacity building activities with the new generation Y will never be the same again.

REFERENCES Abbott, M.B. 1991. Hydroinformatics, Information Technology and the Aquatic Environment. Avebury, UK: Ashgate & Brookfield, US: Aldershot. Abbott, M.B. 2007. Managing the inner-world of infrastructure. Proceedings of the institution of civil engineers 160: 26–32, ICE. Arnold, J.G. & Fohrer, N., 2005. SWAT2000: Current capabilities and research opportunities in applied watershed modeling. Hydrological Processes 19(3): 563–572. Price, R.K. 1996. Hydroinformatics, modelling and knowledge management. Keynote paper. IHE–Delft. Jonoski, A. 2002. Hydroinformatics as Sociotechnology, Promoting Individual Stakeholder Participation by Using Network Distributed Decision Support Systems. PhD thesis. Rotterdam: Balkema. Solomatine, D.P. 2002. Data-driven modeling; paradigm, methods, experiences. Proc. 5th Int. Conference on Hydroinformatics. Cardiff, UK, July 2002: 757–763. Velickov, S. & Lobbrecht, A. 2007. Kennismodelleren voor het water sector. In preparation for H2O magazine. Velickov, S., Solomatine, D.P. & Price, R.K. 1998. Programming Internet for hydroinformatics—examples of remote modelling. Hydroinformatics ’98—3th International conference on hydroinformatics, Copenhagen, Denmark, 1998.

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Innovative education: Integrating a new educational concept and e-learning W. Jochems Eindhoven School of Education, Eindhoven University of Technology, Eindhoven, The Netherlands

ABSTRACT: Innovation is a keystone at UNESCO-IHE both as one of the qualities of expertise in the water sector that it teaches its students and in its own approach to training delivery. In its mission of providing trained water professionals equipped with real expertise and committed to life-long learning, the institute highlights problem-based learning as the optimal method for achieving these goals. Careful research has gone into the design and sequence of the program, and into the adjustments required by the teachers and coaches of the students, so that high quality outcomes are assured and professionally assessed. The addition of e-learning allows even closer linkages to be developed between the learning students do in the “residential” setting with that accomplished through projects in the field, thus enhancing both information and communication as well as enabling the creation of e-portfolios for accumulated work storage and assessment.

1 INTRODUCTION The vision of UNESCO-IHE on education and the future of the institute is formulated as follows by the Committee on Innovation for Education (2007): In the coming years UNESCO-IHE will be an institute that promotes innovation in the design and delivery of teaching and learning activities, to improve the quality of the students experience. It will promote pedagogical and didactical methods that are student-centred and will arouse curiosity, stimulate independent learning and encourage the development of critical thought in its students. The focus will be on enhancing student learning and encouraging life-long learning…. Increasingly, employers of water professionals expect their staff to continue learning throughout their professional lives in order to keep abreast with the latest knowledge and technical skills in the water sector. UNESCO-IHE wants to deliver people who will become real professionals, i.e. experts in the domain of water and water management who are able to solve water problems and also feel responsible for the development of their expertise and profession. Therefore, UNESCO-IHE aims not only at teaching specific knowledge and 281

skills, but also expertise development, which demands an appropriate curriculum. This contribution first discusses what is meant by expertise development and next focuses on the kind of curriculum that is needed and the development of such a curriculum.

2 EXPERTISE DEVELOPMENT Considerable research has been done on the question of how a beginner or a novice, in a specific domain, becomes a real professional or expert, especially in the case of medicine and teacher training. The main characteristic of expertise can be summarized as follows: becoming a real expert requires thousands of hours of practice, as expertise is based on an enormous amount of experience. This is why expertise development is also called experiential learning. An important part of it is the development of routines allowing an expert to work efficiently. Feedback and coaching play an important role in the shaping of expertise. The main difference between an expert and a novice is not only the amount of expertise (Berliner 2001). The expertise of an expert is better structured and therefore more accessible. An expert also has routines that allow giving more attention, time, and (mental) capacity to the complex parts of the problem. In addition, experts can switch more easily to different positions and perspectives as compared to novices. Although an expert might take more time to analyse a problem, (s)he in general will arrive at a solution in a shorter period of time. Finally, expertise is domain related, so its generalisability is very limited. Expertise development can start at school but mainly takes place at work, as it is based on experiences. By introducing real life problems and field work into the curriculum an institute can support the start of expertise development at school.

3 PROBLEM-BASED LEARNING According to the Committee on Innovation for Education of UNESCO-IHE, problem-based learning is the optimal educational approach for expertise development of water management professionals (Committee on Innovation for Education 2007). This method situates learning in the context of real-life situations, thereby promoting students’ critical thinking and independent learning as well as planning and communication skills and the appreciation of teamwork in multidisciplinary teams. It promotes the integration of knowledge, skills and attitudes (“enculturation in the profession”) and puts the profession in the centre and not just knowledge or theory. It teaches students how to learn for themselves, carry out research and find new sources of knowledge, especially in the perspective of lifelong learning. Other educational approaches also stress the importance of the profession. While problem-based education is applied in training general practitioners, competency-based education is used for teacher training and case-based for the training of lawyers. A common characteristic is that learning and learning activities 282

are structured according to a set of problems, competencies, or cases that cover the work of a professional in that domain. Problem-based learning (PBL) has been researched on a large scale and although it seems to pay less attention to knowledge, studies have shown that “problem-based” students do not underperform. Comparative studies demonstrate that both in terms of knowledge and of skills PBL-trained students appear to act at least at the same level as their colleagues who have been trained “traditionally” (Prince et al. 2003). Problem-based learning is not only a concept with respect to learning, it also is a way of designing, developing and implementing curricula. The first step is to determine the set of problems representing the domain of problems a water expert will face in his/her work. This requires the involvement of experts who can help the institute arrive at a representative selection, both in terms of depth and breadth. Secondly, this set is analysed in terms of components, underlying knowledge, skills, complexity, etc. in order to arrive at an ordered, structured series of problems to be treated in the programme, each related to specific knowledge, skills and attitudes. The third step is to design learning situations: this in essence is setting a problem and providing the students with all kinds of resources that might be used to solve the problem (text books and articles, sources on the worldwide web, experts that can be asked for advice, videos illustrating procedures, worked-out examples that can be used, etc.). Also some coaching and guidance has to be made available, e.g. by a teacher or by a more experienced peer, who also can provide feedback on the solutions arrived at. The core of the procedure is designing problems and providing support for solving them. This is of importance, both for the delivery and the organisation, and these two aspects require a closer look.

4 INNOVATIVE DELIVERY: INTEGRATING A NEW EDUCATIONAL CONCEPT AND E-LEARNING The new educational concept leads to a mix of learning opportunities available at the institute, at home, at work in the field, and a mix of media providing resources for learning, such as books, internet sites and the worldwide web, articles, videos, teachers and peers, experts at site visits, etc. E-learning is a very interesting option as it enables students to link learning in the residential setting with learning at a distance in the field. Learning in a residential setting takes place at UNESCO-IHE in the form of (guided) self study (with printed materials, video materials, materials from the web, etc.), small group sessions and group work (classroom meetings and internal projects with reports and presentations), and finally practical work and skills training. Learning in a distance mode takes the form of training on the job, site visits and field work. In this context e-learning can play three roles. First, it is a means to provide information needed for these activities (a wide variety of learning resources). Second, it enables greater communication between students and their teachers, coaches and peers. This increases support to students in the form of feedback, coaching, guidance, distributed collaboration, etc. And third, it can be used as an e-portfolio to store the products, reports, presentations and reflections of the 283

student on his or her work, which can also be used for assessing the student’s progress and performance. In this way e-learning becomes an integrated part of the learning process, bridging face-to-face learning with distance education and training on the job (Jochems et al. 2004). The question remains, what is an optimal and affordable mix in the case of UNESCO-IHE?

5 MONITORING THE CHANGE It should be clear that a problem-based curriculum is not a number of courses or modules delivered by different teachers, who are working more or less independently. Instead, it is a collection of interrelated study activities, supported by a team of teachers and coaches who jointly are responsible. This has a strong impact on the organisation of the programme, and even might make a transition to a problem-based curriculum quite difficult, because teachers are required to become team players (Borko et al. 2002). From a pedagogical perspective, teachers are used to playing a role as subject matter experts, mainly delivering their knowledge. In the problem-based situation they often are experienced senior colleagues who also coach and guide their ‘junior colleagues’. In many cases students will indicate what they think they need in order to be able to solve a particular problem. This more student centred approach might be quite challenging for experienced teachers who are used to being in the lead. It also implies an organisational change. The individual responsibility of each teacher for his or her part of the programme, including testing or assessing students, becomes a team responsibility in the sense that a group of teachers and coaches jointly is involved in assessing students, in defining the procedures for assessments or tests and in setting the criteria to be met. This also can be difficult in situations where teachers are used to taking responsibility for their own subjects. Therefore, monitoring the introduction of a new educational approach is very important. This is achieved not only by measuring the perceptions and evaluations of students and teachers involved, e.g. through the use of questionnaires, but also and primarily by measuring the results and performances of the students. To achieve this, especially in the context of the implementation of a complicated educational innovation, first, unforeseen problems and obstacles have to be detected as soon as possible and mid-course corrections made. Second, the educational change needs to be legitimized, in terms of learning outcomes and learning processes. Finally, measuring the performance of students is of course needed as the basis for certification.

6 EPILOGUE The innovation described is suited for the training of professionals who not only have to develop knowledge and skills in a specific domain (e.g. water and water management), but who also should be able to use these in a wide variety of situations. It also implies that learning at the institute (residential learning) has to be combined with field work (distance learning) as an important part of the learning process. Finally, 284

it should be clear that expertise development starts at the institute, but does not end with the graduation ceremony. The approach described allows the institute to play a part in the further development of water experts.

REFERENCES Berliner, D.C. 2001. Learning about and learning from expert teachers. International Journal of Educational Research 35: 463–482. Borko, H., Elliott, R. & Uchiyama, K. 2002. Professional development: a key to Kentucky’s educational reform effort. Teaching and Teacher Education 18: 969–987. Committee on Innovation for Education 2007. Summary report, February 20: 2. Delft: UNESCO-IHE. Jochems, W., Van Merriënboer, J. & Koper, R. (eds) 2004. Integrated e-learning; implications for pedagogy, technology, and organization. London: Routledge Falmer. Prince, K.J.A.H., Van Mameren, H., Hylkema, N., Drukker, J., Scherpbier, A.J.J.A. & Van der Vleuten, C.P.M. 2003. Does problem-based learning lead to deficiencies in basic science knowledge? an empirical case on anatomy. Medical Education 37: 1–7.

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Water for a Changing World – Developing Local Knowledge and Capacity – Alaerts & Dickinson (eds) © 2009 Taylor & Francis Group, London, ISBN 978-0-415-47757-4

Knowledge transfer and sharing at UNESCO-IHE: The next 25 years M.B. Abbott European Institute for Industrial Leadership, Château Latour de Freins, Brussels, Belgium

ABSTRACT: The current development paradigm that weights the ‘West’ both overtly and subtly as superior in science and knowledge to the ‘East’ and ‘South’ is headed toward certain exposure and replacement as the pendulum of the world knowledge/power balance swings inexorably away from today’s ‘First World’ toward a new ‘Zeroth World’. This dynamic is releasing forces that will increasingly impact the responses of UNESCO-IHE: forces already earlier described by Heidegger, Foucault and others, which bear directly on the powerful tools of knowledge transfer and sharing. One is Foucault’s ‘insurrection of subjugated knowledges’, which has the potential to overcome the current impasse in ‘Third World’ development. A close look at key elements in the long history of the sea of changes in ‘Worlds’ reveals the scope of the challenges facing significant western training institutions like UNESCO-IHE.

1 THE NATURE OF THE KNOWLEDGE THAT IS BEING TRANSFERRED AND SHARED The current paradigm of knowledge transfer, as it exists at UNESCO-IHE, is predicated upon a balance of knowledge in the Northern Hemisphere that places the socalled ‘West’ in a superior position to that of the so-called ‘East’, while the Southern Hemisphere is for the most part placed in an even less privileged position again. Thus knowledge is supposed to flow for much the greater part from the ‘West’—because it is supposed to be composed primarily of Europe and North America (otherwise called ‘The First World’)—towards ‘the rest of the world’, most of which is still widely regarded as ‘The Third World’. Of course, this view is necessarily treated to much denial and obfuscation, with terms such as ‘knowledge networking’ and ‘knowledge sharing’ used to cover over the ‘Western’ supposition of possessing some superiority in its knowledge. The result is that this supposition is often hidden under the implicit assumption, which is really a presumption, that ‘modern science’, as it evolved in Europe after the Condemnations of 1277, is ‘the only true science’, while technology is seen merely as ‘applied modern science’ in this same sense (see Gilson 1955: 384–427). Let us first look at how this, essentially Eurocentric view, has come to be employed, following Abbott (2007). The present world-economic situation is one in which the consumption of natural resources by the ‘First World’, as a more prosperous part of human society, has increased 287

at a rate that is clearly unsustainable, even as in another and larger part of human society, constituting the ‘Third World’, the number of people living in abject poverty and unable to avail themselves of these resources has long continued to increase. Of course, many ‘aid projects’ have been undertaken and are still in progress to redress this situation, but their success is widely seen as mostly marginal and in many cases unsustainable. There has correspondingly been a large and long-ongoing campaign to increase expenditures on aiding this so-called ‘Third World’, and especially in the areas of infrastructure. Consequently, many promises have been made over the years to provide the means to ameliorate this still-ongoing situation, but many of the erstwhile aid-providers have reneged upon their specious promises. This is especially evident in the water sector, where the efforts that have been made are frequently seen to have had little longer-term and overall benefit, and indeed are regarded by many working in this ‘Third World’ as fundamentally misguided and in most cases futile. At the same time, there is a certain consensus among some people with a long and direct experience of working on infrastructural projects in the ‘Third World’ that this situation arises because of the absence of any real, or genuine, stakeholder participation. This absence of most of the true or genuine stakeholders, who have the most direct stake in the outcome of the project concerned, is due to their not being represented at all, having been disenfranchised by a richer and more influential minority. There have, of course, been many attempts to change this situation by direct interventions on the part of international and non-governmental organisations, primarily financed by ‘First World’ societies but directed towards the enablement of specific communities in the ‘Third World’. Whatever the good intentions of community enablement, however, the autonomy of the stakeholders concerned is much too often compromised within this construction. This is in the first place because, beyond these interventions, there lurks a further hindrance, in that the introduction of a genuine stakeholder participation, in which the poor and oppressed could take a major and indeed leading part in a project, necessitates the taking of a sociotechnical position that is way beyond the capacities of most of those who are established in this area. This situation can in turn be traced at least partially to the long-ongoing struggle for the control of the development agenda between the various organisations involved, which has actively discouraged the development of any serious capacity in the socio-technical leadership of civil engineering projects within the third world (Abbott & Thein 2003). Instead there reigns a technocratic attitude that is largely dismissive of such initiatives. There are singularly few persons who are prepared to grasp the nettle of genuine stakeholder participation, and, inseparable from this, stakeholder empowerment, in the third world. More specifically, this is often because the relations between those promoting such projects and those who are realising and operating them are afflicted by technocratic attitudes that Martin Heidegger (1927:122–123;1962:158–159) characterised in terms of deficient modes of solicitude, whereby even an apparently positive mode of solicitude may in fact be deficient. This is often experienced where an aid recipient is only ‘receiving instructions’, basically only being ‘trained’, rather than being challenged-out to develop his or her inherent capabilities and to exercise these independently. 288

From a socio-technical point of view, the poor and oppressed have been for the most part disenfranchised within projects, despite the fact that the success of the projects depends fundamentally upon their knowledge. Even when they have been to some extent enabled they lack power. Their disenfranchisement occurs because their knowledge is for the most part not accepted by those who are nominally responsible for the projects: the managers then see themselves and the more privileged minorities with which they cooperate as the repositories of ‘the only true knowledge’, which they like to associate with … ‘modern-scientific knowledge’. Michel Foucault (1976, with his italics) exposed “the inhibiting effect of global, totalitarian theories” of this kind. Although such theories provide useful tools for local research, they do so only “on the condition that the theoretical unity of these discourses is in some sense put into abeyance, or at least curtailed, divided, overthrown, caricatured, theatricalised, or what you will. In each case, the attempt to think in terms of a totality has in fact proved a hindrance to research”. We have however increasingly become witnesses to a counter movement. Michel Foucault observed many years ago now that “over and above, and arising out of this thematic, there is something else to which we are witness, and which we might describe as an insurrection of subjugated knowledges”. It is as we observe such currently ongoing insurrections that we also “come to entertain the claims to attention of local, discontinuous, disqualified, illegitimate knowledges against the claims of a unitary body of theory which would filter, hierarchise and order them in the name of some true knowledge and some arbitrary idea of what constitutes a science and its objects”. Foucault emphasised that the inclusion of these more local, popular, disqualified, indigenous knowledges did not constitute any positivistic return to a more ‘careful’ or ‘exact’ form of science, for he saw these precisely as anti-sciences in the sense of their opposition to the current ideology of modern-scientific totalitarianism. As he explained: “We are concerned … with the insurrection of knowledges that are opposed primarily not to the contents, methods or concepts of science, but to the effects of the centralising powers which are linked to the institution and functioning of an organised scientific discourse in a society such as ours.” It is these centralising powers, and not modern science itself, that are so inimical to the local, popular, indigenous knowledges. Within the myopic context of these centralising powers, modern science itself becomes no more than a superstition, and ‘modernity’ becomes nothing more than a ritual. The presently ongoing, even if only partial and ephemeral, insurrections of subjugated knowledges that we observe in many places today have the capacity, if properly led, to provide the only realistic means to overcome the present impasse in ‘ThirdWorld’ development. This is correspondingly the most relevant aspect of stakeholder participation today, even if many, and probably most, of these stakeholders are currently dispossessed, terrorised, driven from their lands, deprived of their water, and abused in every other way, and all of this on a massive scale (e.g. Roy 1999). To the extent that movements of this kind succeed, they constitute a rejection of the mandate claimed by the respective governments to control water resources. This, in turn, often leads to other forms of insurrection again, which can only be mitigated when 289

democratic means exist or can be imposed, either to prescribe limits to the mandate, as in some parts of India, or to promote genuine stakeholder participation against entrenched privileged minorities, as in several parts of Latin America. The adoption of this sociotechnical perspective, based upon the acknowledgement that the greatest crime of all is to deprive people of the possibilities to exercise their own deep-rooted knowledge and understanding, could easily overcome the present untenable situation at a small fraction of the costs currently being incurred in the largely euphemistic name of ‘development aid’. In much the same vein, we observe that, by their intercourse with those who identify with specific creatures, such as certain species of mammals, birds, plants and others in the world of nature, some of the participants in this stakeholder endeavour have come to attain to an awareness that the knowledge of modern science, even in its most authentic sense, is still in fact exceedingly restricted and severely circumscribed as compared with the depth of knowledge and understanding exhibited by the world of nature, and this is one of the most salutary of all experiences. In the terminology of a Husserlian phenomenology, such knowledges are for the most part pre-predicative, pre-linguistic, and thereby pre-scientific. (For example, although modern science is so greatly concerned with measuring things precisely, in fact it can only measure the creations of nature with any precision at all when they are dead!)

2 THE CURRENT RAPIDLY CHANGING BALANCE OF KNOWLEDGE/POWER IN THE WORLD This situation is now changing, and indeed changing with historically unprecedented rapidity, and in the first place through changes occurring in large parts of what was until recently ‘The Third World’ but which are now transforming into something very different again from the existing ‘First World’. This new ‘World’ that is now developing is in fact not becoming just another part of ‘The First World’ at all, but is developing/mutating—and indeed, as we shall see, transmuting—into another kind of world again, and indeed one that has not previously existed. We shall here speak about ‘The Zeroth World’ because what is developing is already clearly something that will be as far removed from the existing ‘First World’ as this ‘First World’ is removed from the existing ‘Third World’. As will be taken up shortly here, the ‘First World’ is changing also, and with unprecedented speed, but this change is of an entirely other nature again. Of course it is not for us to say that this ‘Zeroth World’ will be something ‘preferable’ to our current or our future ‘First World’; we cannot possible make value judgements here on such issues, but only state the most likely consequences of currently ongoing developments. (see also Yunus 2008a, 2008b; and Abbott et al. 2006). This sea-change in ‘Worlds’ has a long historical background, and, if we are to understand what is happening, it is essential to refer back to the history of such ‘Worlds’; we must ask correspondingly when and how these present-day ‘Worlds’ arose in the first place. 290

The first instance in modern history occurs with the distribution of industrial activity and its dynamics on a global scale. Its best known precursor is the set of estimates of world manufacturing output made by Bairoch in 1982, which was extended and commented upon in a popular book by Paul Kennedy in 1989. Bairoch showed that while Europe’s share of world manufacturing output increased from 23 percent to 62 percent between 1750 and 1900, the share of what we now call ‘The Third World’ decreased from 73 percent to 11 percent, with China falling from 32.8 percent to 6.2 percent and India/Pakistan from 24.5 percent to 1.7 percent. Although these falls were clearly equated with a synergic combination of European industrialisation and colonisation, leading to the era of European imperialism with its associated subversion and destruction of the industries of ‘The Third World’, Japan’s share also fell from 3.8 percent to 2.4 percent even though Japan was not occupied or otherwise so totally dominated by military and naval force. Similarly, in terms of per-capita levels of industrialisation (with the UK’s level providing a reference value of 100 in 1900), the UK passed from 10 in 1750 to this reference 100 in 1900 and Europe as a whole rose from 8 to 35 and the USA from 4 to 69. Correspondingly, however, China fell from 8 to 3, India from 7 to 1 and the Third World as a whole from 7 to 2. Thus, as Kennedy (1989: 147–148) commented: Hence Bairoch’s remarkable—and horrifying—suggestion that whereas the per-capita levels of industrialisation in Europe and the Third World may have been not too far apart from each other in 1750, the latter’s was only oneeighteenth of the former’s (2 percent to 35 percent) by 1900, and only one fiftieth of the United Kingdom’s (2 percent to 100 percent). We shall here use the metaphor of a pendulum to describe this swing in fortunes and we shall at first employ it to characterise the massive change that occurred in these fortunes over 250 years, after some millennia in which a relative stability had been maintained, and thence the even more dramatic and much more rapid change that is occurring in the opposite direction today. Inseparable from this change, however, are the two world wars that convulsed much of Asia and Europe during the first half of the twentieth century, whereby in 1945 the USA alone had some 75 percent of all the world’s manufacturing capacity with no material damage at all and minimal losses in manpower, while most of Europe and a large part of Asia were reduced to ruins with severe losses of manpower. Although Europe, including Russia, and then Japan, had largely recovered within some 30 years, the status of the Third World changed very little until 1975, and indeed the pendulum seemed to be moving ever more inexorably again against that World. It is only now, in retrospect, that we can trace the moment when the pendulum started to move back, beginning in places like Brazil and Korea. Indeed, there is a very important reason why this swing was not observed much earlier and is still almost completely misunderstood in the West today, so that it has long remained and still largely remains an invisible pendulum. The reason for this dyslexia, myopia and profound misunderstanding is a state of denial in the world of Western politics such as is strongly supported by the Western media. Therefore, if we are to understand anything at all of the dynamics of this pendulum, as it now swings back to and ultimately proceeds beyond its 1750 state 291

of Asian industrial dominance, we should take into account this occulting influence of the Western political and media forces. We must however abjure any concern with political and media activities in this place; we are obliged to avoid such issues of motivation here. Therefore, these occulting forces will simply be taken as given by the lifeworlds of those who promote them; we admit them here merely as facts, and take them into account on their own terms without a value judgement. Our purpose here is only to estimate the dynamics of this pendulum as it is now moving down upon Europe and the USA in particular. For this purpose we only need to understand why the pendulum must remain for the most part invisible to the greater part of ‘Western’ populations for political reasons, even as we who feel and indeed have a personal responsibility for the future are obliged to see it as clearly as possible. Of course, almost everyone is aware of something called ‘Asian competition’, but our local politicians and their supporting media do everything possible to misrepresent and obfuscate the nature of this competition. They explain it away by references to ‘cheap labour’, an ‘undervalued currency’ and other such chimeræ, explanations that are risible for anyone who is at all acquainted with the nature of competitive advantage in a post-modern condition of society and is acquainted with more recent and ongoing Asian industrial practices and attitudes. It is instead necessary to understand the new kind of competitive advantage enjoyed by these Asian societies in terms of its sociotechnical foundations, and so basing itself upon the new relations arising between people and equipment in post-modern societies. This understanding traces the transformation of present-day societies promoting ever larger numbers of ‘knowers’ (to foster so-called ‘knowledge societies’) into those promoting ever larger numbers of ‘consumers of knowledge’ who are experts in the acquisition, employment and disposal of wide ranges of knowledges (to generate ‘understanding societies’). This latter development is inseparable from new ways of organising working arrangements, which enable the development of self-structuring and therefore selfmanaging groups that are far more flexible and adaptable than the existing tightlycoupled and over-managed structures (Velickov 2007, in the present publication). We emphasise here the urgency of properly evaluating the dynamics of the hidden pendulum, and in particular, its acceleration. In fact we can identify and characterise a specific combination and interaction of processes that are creating this acceleration, but these processes need also to be understood both in themselves and in their interactions. It is nothing like enough simply to compound growth rates; instead it is necessary to understand the various, essentially qualitative, factors that have come into synergy as they drive this transformation in the so-called ‘balance of economic power’. It is essential to identify the deep-cultural identities and their transformations within the presently ongoing socio-economic transformations. An apparently exceptional but in fact vitally important example is the historically unprecedented rise in the popularity of European classical music, first to a relatively limited extent in Japan and Korea, but now to an overwhelming extent in China. In the words of Gramophone: “The Chinese musical explosion: performers in their millions and listeners in their billions”. This phenomenon needs to be related to the deep-going mutations in the Asian, and especially Chinese, ‘collective unconscious’ that are inseparable from those that are driving its economic development. 292

However, even though this transformation is essentially qualitative, current practice insists that we provide it with some kind of quantitative representations. These measures may then serve to provide us with some knowledge even though they cannot provide us with much in the way of understanding. One observation is that China is now consuming almost half of the entire world’s plate glass and almost half of the entire world’s cement, more than a thirty seven percent of the world’s steel and almost thirty percent of its aluminium—and so we can go on with any number of other such measures, such as China alone now building 46 percent of all the world’s new ships by tonnage. Or we can observe that instead of installing between 75 and 80 gigawatts of new electricity generating capacity in 2006, as projected by the central government, it actually installed 102 gigawatts, and so in one year alone more than the total existing capacity of the UK, while in 2007 alone it installed twice the existing capacity of California. China should become the world’s largest economy in 2009–2010, while in heavy-industrial terms it is already substantially larger than the EU and the USA put together (and this in despite of the World Bank having recently devalued its own estimates for obvious internal political reasons—devaluations about which even the editor of the Financial Times (FT) expressed his reservations!). While visiting China again a few weeks ago, a good friend observed to me that “China is one great building site”, directed to raising the standards of its housing, in particular, to unprecedented levels. Visiting new homes one is struck by the shear excellence of the current construction and household equipment, already now at, and even in some cases higher than, the best European standards. But of course with this must come much higher levels of working efficiency and flexibility. When I recently observed to the Chairman of the Europe-China Hotel Management Expert Council that what was essentially happening in China was that now, right now, quantity is transforming into quality, he agreed most forcefully. This is then to say, that we are no longer dealing with a transformation, but with a transmutation. In pre-modern scientific terms, we are moving from the chemical to the alchemical (Jung 1944, 1952). Adopting another idiom again, we could here speak of a metamorphosis. Now not only this China, but the new ‘Zeroth World’ more generally, is currently mostly associated with the so-called BRIC economies: Brazil, Russia, India and China. The major events in 2006 that may be said to have announced this new arrival were the purchasing of most of the Belgian, British, Dutch, French and Luxemburg steel industries by Indian companies, the further major extensions of Russian specialist steel interests, in particular in the USA and Germany, the Chinese construction of massive new container ports in Zeebrugge and Piraeus and the contracting by Chinese companies of advanced research studies in Europe, as well as Brazilian interventions in bio-fuel industries, aircraft production and several other areas again. These advances were then necessarily provided in 2006 with ‘air cover’ in the EU by the introduction of new and major upgradings of existing television channels and especially by Chinese, Russian and other countries, transmitting in the English, French, German and Spanish languages, demonstrating an understanding on the part of these nations of the significance of ‘the technologies of persuasion’ in supporting their ongoing industrial acquisition activities. 293

It should be mentioned, if only in passing, that our current ‘First World’ is one that is also mutating, but then in entirely other ways again, almost all of which are associated with the introduction and exploitation of new financial instruments. This is the ‘brave new world’ of hedge funds and private equity, of credit derivatives, collateralised debt obligations, conduits and monolines—and so very, very much more. Some measures of this change have been provided by the ratio of global financial assets to annual world output, which had already increased from 109 percent in 1980 to 316 percent by 2005. In the same vein, the ratio of financial assets to gross domestic product in the eurozone jumped from 180 percent in 1995 to 303 percent in 2005 with much larger numbers again for the UK and the USA (FT, 19.06.07, p. 9). Even more dramatically, the value of interest rate swaps, currency swaps and interest rate options alone increased from $3,450 billion in 1990 to $286,000 billion at the end of 2006, which was some six times the gross product of the whole world. Once yet again, it cannot be our place here to comment on this, but only to state its magnitude and its own acceleration and presently rapidly ongoing deceleration, now increasingly associated with what is widely called ‘risk’. The consequences of this flight of fancy into the non-existent have begun to come home since the summer of 2007, but once again any discussion of this is outside of our present remit—even though it does have serious consequences for ‘The West’ in its relations with the rest of the world. Corresponding to its orientation towards financial services rather than the production of tangible goods, this ‘First World’, and especially its ‘Anglo-Saxon’ or USA-UK component, has also become a major importer of academically qualified people, thus depriving the ‘Third World’ in particular of even more of its valuable assets. For example The Guardian (20.07.07, p. 33) gave the percentage of Africantrained medical doctors living in the USA and Canada alone rather than their country of origin as varying from 10 percent from Zambia to 43 percent from Liberia. In total, 64.7 percent of all graduates from Gambia, 69.1 percent from Cape Verde and probably an even larger percentage again from devastated countries like Iraq have emigrated from their own countries. These percentages are higher again, of course, in the case of such non-university graduates as nurses. Any visit to a UK hospital will indicate how few of the indigenous UK population still work in this sector. The relevance of this situation to the activities of UNESCO-IHE should be abundantly clear to those who know the institute. Inseparable from this development within the ‘Anglo-Saxon’ economies, are the military expenditures of the western powers, with the USA and the UK alone accounting for around half of all the world’s expenditures on this account, or some seventeen times the world average. Certainly no comment on this and its purposes should be needed here!

3 THE INFLUENCE OF ‘THE ZEROTH WORLD’ ON ‘THE THIRD WORLD’ AND ITS CONSEQUENCES There are two competing ‘stories’ here. The first story is associated with the geographical reorientation of world trade, from being predominantly North-South to 294

being predominantly East-West. This is exemplified on the one hand by the massive extensions of the existing Panama Canal and the construction of at least one further such canal to the north of Panama, and on the other hand by the introduction of container ships of unprecedented size and associated economic speed, serving the new container ports such as those already existing in Europe. The construction of another monster port facility of this kind on the Canadian Pacific coast, intended to service the US market, further symbolises the globalisation of this trend. The second ‘story’ is the transformation of Africa, primarily through Chinese mineral extraction, energy resources exploitation and related interventions. These activities, although still at a relatively early stage, must change in time the economic fortunes of that continent, just as earlier developments from the side of ‘The West’ transformed the fortunes of Australia and some Latin American states. The negative aspects of the transformation of Africa have of course taken the headlines in ‘The West’, and no-one will deny the downsides of many of the presently-ongoing developments, but in the longer term the upsides will surely be the more significant in transforming the fortunes of this deeply troubled continent (Michel and Beuret 2008). These developments promise to achieve, albeit in ways that are not exactly congenial to ‘The West’, what ‘The West’ has signally failed to accomplish through its own efforts: a major amelioration of conditions in ‘The Third World’, transforming this in turn also into another world again. Maybe it will come to occupy the space left by a departed ‘Second World’, albeit again in a very different way. The very title of a special supplement of the FT (24.01.08) devoted to Africa-China economic relations—Drawing the Contours of a New World Order—said it all. In any event, these changes must have the most serious consequences for a ‘First World’ that has so far been at the centre of international organisations such as UNESCO, and thus also of UNESCO-IHE. The omnipresent and constantly denied Eurocentricity of such bodies is now being brought into question in ways that were not previously considered seriously. Already, of course, the talk is all about cooperation with organisations in what is now rapidly becoming ‘The Zeroth World’, but the consequences, and indeed the realities of this ‘cooperation’, do not seem to have been thought through. The basic reality, that the existing ‘First World’ is already quite overshadowed in heavy-industrial terms by societies that are moving with ever greater speed into a ‘Zeroth World’, and that the ‘First World’ will be outclassed in almost all respects by this new ‘Zeroth World’ within some 10–15 years, has to be taken into account in all forward planning. Several branches of industry are already engaged in planning for this change: organisations such as UNESCOIHE will need to do likewise. Of course, whenever one says anything of this kind within any organisation, the response from within the organisation itself is entirely predictable: “But we are already doing this! We have set up this committee and that study group etc. etc. to prepare for just such eventualities … assuming of course that they ever really materialise”. But there are several encouraging signs, at least from the side of industry, that account really is being taken of the new era of Asian industrial predominance in which Europe and North America can now play only a secondary, even though hopefully a supporting, role. 295

REFERENCES Abbott, M.B. 1991. Hydroinformatics: Information Technology and the Aquatic Environment. Aldershot, UK & Brookfield, USA: Avebury Abbott, M.B. 2007. Stakeholder participation in creating infrastructure. New Civil Engineer 160 (1) 26–32. Abbott, M.B., Chambers, J. & Hing, Cheung Chun 2005. The Idea and the Chimera. In From a Knowledge Society to an Understanding Society. Brussels: European Institute for Industrial Leadership. Also available at http://www.knowledge-engineering.org Abbott, M.B. & Thein, K.N.N. 2003. Who is to decide in the water sector? Proc. XXX Congress IAHR, Thessaloniki. Abbott, M.B. & Vojinovic, Z. 2007a. Applications of numerical modelling in hydroinformatics, Proceedings of the International Workshop on Advances in Hydroinformatics, 4–7 June, Niagara Falls, McMaster University, Ontario, Canada. Abbott, M.B. and Vojinovic, Z. 2007b. Realising social justice in the water sector, Opening Address, Proceedings of the combined CCWI and SUWM Conferences, De Montfort University, Leicester, UK. Foucault, M. 1972–1977/1980. Power/Knowledge: Selected Interviews and Other Writings. C. Gordon (ed.). New York: Pantheon. Foucault, M. 1975–1976/1997/2003. Society Must Be Defended: Lectures at the College de France 1975–1976. M. Bertrani & A. Fontana (eds), D. Macey (trans.). New York: Picador. Gilson, E. 1955. History of Christian Philosophy in the Middle Ages. London: Sheed & Ward. Heidegger, M. 1927. Sein und Zeit. Tübingen: Niemeyer. Heidegger, M. 1962. Being and Time. J. Macquarrie & E. Robinson (trans.). London: Blackwell. Heidegger, M. 1963. Die Technik und Die Kehre. Tübingen: Niemyer. (Tenth printing: Cotta, 2002) Heidegger, M. 1977. The Question Concerning Technology and Other Essays. Trans. W. Lovitt (trans.). New York: Harper. Jung, C.G. 1944. Psychologie und Alchemie. Zurich: Rascher. Jung, C.G. 1952. Psychology and Alchemy, London: Routledge. Kennedy, P. 1987/89. The Rise and Fall of the Great Powers. New York: Random House. Locke, J. 1690/1706. An Essay Concerning Human Understanding. Abridged edition, 1947 & 1990. London: Dent. Michel, S. & Beuret, P., La Chinafrique. Paris: Grasset. Roy, A. 1999. The Cost of Living. London: Flamingo/Harper Collins. Stiglitz, J. 2002. Globalisation and its Discontents. London: Allen Lane/Penguin. Velickov, S. 2007. Knowledge modelling for the water sector: Transparent management of our aquatic environment. Included in these proceedings. Yunus, M. 2008 (a). Creating a World Without Poverty: How Social Business can Transform Our Lives; Social Business and the Failure of Capitalism, Cambridge, MA: Perseus. Yunus, M. 2008 (b). Vers un nouveau capitalisme, Paris: Lattès.

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African experiences: Learning and success Hon. Maria Mutagamba Minister of Water and Environment of Uganda and Former Chair of the African Ministers’ Council on Water

ABSTRACT: Africa requires increased strategic aid, and strategic self-management of this aid, in order to reach the water and sanitation targets of the Millenium Development Goals and the World Summit on Sustainable Development. UNESCOIHE, which has contributed so many trained water professionals, 87% of whom are still active in the water sector ten years after graduation, now can help Africa achieve the educational capacity to train water professionals, whose numbers need to increase by 300%. Progressively, Africa also needs to be able to replace larger numbers of the over 100,000 foreign technical assistants on the continent with its own trained experts. The African Ministers’ Council on Water has both established a Special Water Fund managed by the African Development Bank, and is forming a Processing Centre for Strategic Partnerships as an intelligent indigenous catalyst and policy coordinator for these urgent efforts.

1 WATER CRISIS IN AFRICA The symposium on “Water for a Changing World: Developing Local Knowledge and Capacity” has taken place at a time when it was becoming evident that a number of African countries might not achieve the Millennium Development Goal (MDG) target for water and sanitation by the year 2015 (target 7). The outcome of this conference presents a singular opportunity to reflect on how knowledge and capacity building have impacted the progress of African countries in their quest to attain the MDG and World Summit on Sustainable Development (WSSD) targets. There is a water crisis in Africa, attested to by the statistics of the thousands of lives perishing everyday due to lack of improved water and sanitation services. African Governments have not sat idly by to watch this crisis unfold; rather, together with development cooperation partners, they have been making strenuous efforts to mobilise resources and to put in place the necessary water infrastructure to address the water crisis.

2 ACTIONS BY AFRICAN GOVERNMENTS The African Ministers’ Council on Water (AMCOW) established a Special Water Fund known as the African Water Facility (AWF), which is managed by the African 297

Development Bank (AfDB). The AWF is an instrument conceived to facilitate the availability of financial resources for building Africa’s water infrastructure institutions and management capacity to meet the targets and goals of the African Water Vision and the Millennium Development Goals. The AWF needs to raise €500 million for its 2005–2009 programme; however, to date only €60 million has been committed by donors. In the last two years, the EU has made €500 million available to African, Caribbean and Pacific (ACP) countries through the ACP–EU water facility, to address the financing gap related to the sustainable delivery of water and sanitation infrastructure, and to improve water governance and Integrated Water Resources Management (IWRM) practices. The African Development Bank, with the support of the development cooperation community, created in 2006 the Rural Water Supply and Sanitation Initiative (RWSSI) Trust Fund, dedicated to water supply and sanitation in rural Africa. This program aims to accelerate access to water supply and sanitation services in rural Africa, with a goal of attaining 66% access by 2010 and 80% access by 2015. If successful, it is estimated that about 277 million additional people will have access to drinking water and 295 million will benefit from sanitation services by 2015. The total investment required for achieving 80 percent coverage by 2015 is estimated to be about US$14.2 billion. While all of these investments are very encouraging developments, their expected outcomes are certain to be unsatisfactory if we do not give sufficient attention to the knowledge and capacity dimensions of these interventions. The new infrastructure funded by these financing instruments is doomed to deteriorate and collapse if it is not properly maintained by adequate human resources and institutional capacity within an enabling environment.

3 THE KNOWLEDGE AND CAPACITY TO SUSTAIN DEVELOPMENT Does Africa have the capacity to absorb $30 billion a year for the next 8 years (until 2015), which is the investment required to put in place the basic water and sanitation infrastructure necessary to attain the MDG target 7? Are the skilled men and women in place to plan and implement projects that will bring access to some form of improved water supply by 2015 to an estimated additional 300 million people—an average of over 30 million every year; 577,000 every week; 82,000 every day? It has been estimated that in order to attain MDG target 7, the number of water professionals in Africa must be increased by 300%. Clearly Africa, alongside its water crisis, is facing a crisis in water education and capacity building. There has already been the inability to take full advantage of several initiatives in capacity building, which have been offered by development cooperation partners, because of the lack of sufficient skilled staff to partner with the technology providers. An example is the TIGER initiative, where the European Space Agency and the Canadian Space agency make earth observation services more accessible to developing countries, with particular focus on Africa, in order to contribute to improved water resources 298

management. The initiative has had to invest considerable effort in establishing an optimal density of local and regional professionals who can take advantage of the free earth observation data.

4 THE CRITICAL ROLE OF UNESCO-IHE, AND A CHALLENGE IHE-Delft, now UNESCO-IHE, has contributed immensely to the training of proficient experts in the water sector. More than 13,000 graduates from the developing world have been skillfully trained at Delft; and perhaps more interestingly, all returned home after graduation and 87% of these graduates are still active in the water sector 10 years after graduation. This is a very significant contribution to the professional development of Africa. On the other hand, there is room for further enhancing the delivery methods of this contribution. It is said, “Give a man a fish and he won’t be hungry; teach a man to fish and he will never be hungry”. Africa does not want to be hungry for the needed skilled professionals in the water sector; it is to be hoped that UNESCO-IHE will also help Africa learn how to achieve this educational independence.

5 A PROCESSING CENTRE FOR STRATEGIC PARTNERSHIPS Paradoxically, in addition to the lack of skilled professionals in the water sector in Africa, there is a strange phenomenon in some countries in Sub-Saharan Africa. These countries contain large numbers of graduates in engineering and other allied water sciences and arts, who have either emigrated or are simply unemployed, while these same countries host a large army of foreign technical assistants. Indeed, Africa receives more advice per capita than any other continent. In 1988, there were more than 80,000 technical assistants, and today the figure is well over 100,000. To maintain these experts it is believed to cost donors a total of $4bn annually, a figure that represents nearly 35% of Africa’s total official development aid. This situation reveals a serious flaw in the operation of international development cooperation. Would it not be more efficient and cost effective to employ qualified African expatriates, who also have both linguistic and cultural links with the continent, in the place of many of these foreign technical experts? In the last three years, the Ministers of Water in Africa, through AMCOW, have institutionalised policy dialogue regarding the roadmap to the WSSD and MDG targets on the continent. Strategic partnerships have been initiated with both regional partners (e.g. the African Union, NEPAD, the African Development Bank, Africa Civil Society, etc.) and international partners (such as GWP, UNEP, WorldBank– WSP, GTZ, etc.). At the recent meeting of the 6th Ordinary Council Session, the African Ministers responsible for water noted the need for this extensive partnership interaction and exchange to be informed by rigorous review and detailed analysis of the various proposed policy interventions. Thus, the African Water Ministers wish to put in place a processing centre which can analyse in detail various regional and 299

subregional water policy options and their impacts on the roadmap towards the MDG, WSSD and the Africa Water Vision. The capacity to be built in creating this strategic processing centre is much smaller than the broader technical capacity requirements for construction, operation and maintenance of the water and sanitation schemes in the whole of Africa. However, it is of such a strategic importance that once this centre is put in place, it could act as a catalyst to assist the AMCOW council in tackling the broader challenges. A core group is currently consulting on how to set up this regional centre and very soon a consortium of interested parties will be invited to a working meeting to consider the next steps in establishing the regional strategic centre for water policy analysis. UNESCO-IHE is strategically placed to be able to make valuable contributions to this exemplary effort to help Africa address its water crisis.

6 CONCLUSION Even though the challenges are daunting, the African Ministers of water will continue to give broad regional political oversight and policy coordination, to ensure that Africa stays on course towards the achievement of the MDGs. Furthermore, the commitment is firmly in place for the promotion of reforms that encourage appropriate knowledge and capacity building systems suitable for the continent.

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Closing speech for “Water for a changing world: Enhancing local knowledge and capacity” His Royal Highness The Prince of Orange Chairman of the UN Secretary-General’s Advisory Board on Water and Sanitation

This speech was delivered by HRH the Prince of Orange at the symposium “Water for a Changing World: Developing Local Knowledge and Capacity”, 13–15 June 2007. He states “As chairman of UNSGAB—the UN Secretary-General’s Advisory Board on Water and Sanitation—my key message is that it would be smart to sort out the blue side first. Because however you look at it, access to safe water and basic sanitation is an essential condition for human health, dignity and development.”

1 SPEECH “It is a very special privilege to address you here today. There are more than 13,000 UNESCO-IHE alumni and I was a member of the class of 1998. You have now come to the end of three intensive days and I promise to keep my speech short. Yet I want to seize this opportunity to express my great personal appreciation for IHE. This is where the foundation was laid for my international water management activities. But that is not all. My most cherished memories are of the contacts I made with my fellow students, both during the course and later. So I know from personal experience that IHE is not only a training institute, but also an important network organisation. Perhaps the greatest compliment I can give UNESCO-IHE is that I come across the institute all over the world. Ever since I began getting involved in water management I have had many highly inspiring meetings with other IHE alumni—sometimes in the most unexpected places. I have met alumni who are now ministers, directorsgeneral and university professors. Many now work for the World Bank, for regional development banks, river basin authorities and the various UN agencies. And of course I have met them on the ground, in the water organisations and projects I have visited in all those years. In other words, IHE alumni are everywhere. But in fact, that is logical—because there are so many of us. It will come as no surprise to you that this makes me feel proud, not only as a former IHE student, but also as a representative of my country. The Netherlands has a long record of international cooperation in the field of water. It goes back as far as the early twelfth century, long before the Netherlands became a nation state. At that time, a priest by the name of Heinricus who lived in what is now the Netherlands was responsible for a large scale land reclamation project in the valley of the River Weser in present-day Germany. His statue still stands in the German town of 301

Steinkirchen. Another famous example is the hydraulic engineer Johannes de Rijke, He was responsible for several renowned large-scale water management projects in Japan in the late nineteenth century. His grave in Amsterdam and his birthplace, Colijnsplaat in the province of Zeeland, still attract a steady flow of Japanese admirers. So the Netherlands has long had quite a reputation for its expertise in the field of water. It was therefore logical that the IHE should open its doors in Delft in 1957. It is interesting to note that the then Ambassador of Pakistan, Begum Ra’ana Liaquat Ali Khan, played a key role. She was a remarkable woman who is remembered in Pakistan as a campaigner for women’s rights. In the Netherlands too she conquered the male strongholds of politics and hydraulic engineering. She did so by asking the Netherlands to share with other countries the knowledge it was gaining with the Delta project. It is because of her request—and the response to it—that we are here today. The symbolism of this story is obvious. From the start, IHE was a Dutch institute set up to work for the entire world. That was true then, it is true now, and it must continue to be true in the future too. In this respect, gaining UNESCO status in 2003 was an important milestone. Ladies and gentlemen, for the past three days you have celebrated fifty years of water education, but with the future in mind. I believe that this is only fitting because the world may need IHE even more urgently in the next fifty years. Water education doesn’t only disseminate knowledge about technology. It also ensures widespread adoption of the principles of integrated water resources management—IWRM. It is about capacity building and—perhaps most importantly—about training responsible water managers. Because above all, the water crisis is a crisis of governance and political commitment. So what we need are well-educated professionals to change the world’s water future. It cannot be denied that this need has grown in the past fifty years, and will continue to grow. After all, the field is becoming increasingly complex, because the various interests at stake—water, food production, energy and ecosystems—impact much more directly on each other. I am convinced that this is a major barrier to achieving the Millennium Development Goals. I like to make the comparison with Rubik’s famous Cube: everything depends on everything else. One twist in the right direction—for food production, for instance—may have an immediate, negative impact on the other side of the Cube, on the environment or drinking water supply. That makes matters so difficult. As chairman of UNSGAB—the UN Secretary-General’s Advisory Board on Water and Sanitation—my key message is that it would be smart to sort out the blue side first. Because however you look at it, access to safe water and basic sanitation is an essential condition for human health, dignity and development. Once you have met this condition, the prospect of achieving the MDGs on health, education and women’s participation comes into view. What is more, in developing IWRM in the past ten to fifteen years, the water sector has adopted an approach that seeks to create sustainable links between the various interests. So water is the key, but you don’t need convincing of that. The big question is: can we do it? With all our expertise in the field of water, do we have the answers to the major challenges confronting us now, and in the future, in the 302

wake of climate change, population growth and economic trends? Take, for instance, the current discussion on biofuels. Rising oil prices have made them a booming business. Given the prospect of climate change, that sounds like good news. And in some ways it is. But it puts enormous extra pressure on ecosystems, on available farmland and on water. In Brazil, for instance, the production of sugar cane for ethanol entails using 23,000 cubic metres of water for every hectare harvested. Those are huge quantities—especially if you also consider that worldwide demand for food—and thus for water for irrigation—is increasing. The bottom line is that humanity has survived for tens of thousands of years without fossil and other fuels. But we can survive no more than a few weeks without food, and only three or four days without water. Yet with current farming methods, it takes as much water to produce enough biofuel to fill the tank of a Sports Utility Vehicle as it does to produce the grain that would feed a person for an entire year. So we require nothing less than a new green revolution to make more water available. The need to produce more crop per drop is more vital than ever before! So, ladies and gentlemen, can we do it? Can we strike a balance between all those interests, with the water sector in the lead? The answer is that we must. ‘No’ is not an option. But it will not be easy. First, and above all, we will have to convince the other sectors, the water users, that integrated water planning is vital. That applies in particular to the agriculture sector, since the production of food and other agricultural products accounts for seventy per cent of freshwater withdrawals from rivers and groundwater. But given the example of biofuels, which I have already cited, and the fact that ninety-five per cent of Africa’s hydropower potential still remains unused, we should not lose sight of the energy sector either. IHE and its alumni have a key role to play all over the world. And they do play it, because, unlike other fields, IHE circles are not affected by brain drain. After their graduation, most students return to their countries of origin, and they are ready to make a difference. They have the latest scientific knowledge at their fingertips. They are trained in integrated thinking and working. And above all, they have learned to take a broad view, and to be open to new ideas. So they have got everything it takes to involve other sectors in sustainable water management. That, I am convinced, will be the greatest challenge facing us in the years to come. Benjamin Franklin once said that ‘an investment in knowledge always pays the best interest.’ UNESCO-IHE has been proving him right for the past fifty years. And I hope you will continue to do so, because the challenges we face will only become bigger and more complex. So developing new knowledge on water issues, sharing it, and putting it into practice in a responsible, sustainable way will become even more important than in the past. I wish UNESCO-IHE every success in doing so. And of course I wish you many happy returns! Thank you.”

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Author index

Abbott, M.B. 287 Alaerts, G.J. 5 Alam, M.M. 259 Baser, H. 121 Brito, L. 179 de Ruyter van Steveninck, E. 57 Douven, W. 57

Khatri, K. 81 Lens, P. 57 Lincklaen Arriëns, W.T. 215 Luijendijk, J. 215 Mutagamba, M. 297 Meganck, R.A. 187 O’Keeffe, J. 57

Gupta, J. 101 Porto, M. 81 Hirsch, D. 259 Jochems, W. 281

Ramsundersingh, A.S. 243

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Schultz, B. 41 Swatuk, L.A. 249 Uhlenbrook, S. 41, 187 Vairavamoorthy, K. 81 van Dam, A. 57 van der Steen, P. 57 van der Zaag, P. 163, 187 van Hofwegen, P. 201 Velickov, S. 269 Vörösmarty, C.J. 71 von Ritter, K. 243