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

Innovative Research Issues Addressing Policies, Institutions and Governance Challenges of Irrigation

in Twenty-First Century

Ganesh P Shivakoti, PhDProfessor of Agricultural and Natural Resources

Asian Institute of TechnologyThailand

Presentation outline

• Introduction

• Emergence of methodological approaches for policy feedback

• Linking policy with local context

• An Agenda for Policy Research and Initiative in Responding Challenges

Introduction

• Major changes in irrigation policies over the periods

– Participatory planning and decision making about irrigation investments

– Management transfer programs

– New approaches toward assistance to farmer-managed irrigation systems, and

– Joint financing of irrigation systems

Introduction…..

• Over last few decades—focus on improving institutional framework– However, not sufficient for developing effective institutions—

needs understanding of dynamic of institutional development

• Increased water scarcity and quality concerns have generated new approaches to water management and reform – responding to competition for water between agriculture and

other sectors – degradation of water quality and water reclamation – climate change and global warming

Introduction….. • Trans-basin and trans-boundary water transfers

– Lack of appropriate institutions (River basin committees)– Property rights and water rights– Resistance against dam construction

• Rapid economic development and changes in political and social setting has posed a new setting to irrigation management

• Economic development has changed farmers’ cost-benefit calculus of irrigation management

Introduction….. • At the beginning of the twenty first century, additional

water related issues are emerging:

– Coping mechanisms with the state’s retreat policy, alternative modes of governance and management at irrigation system levels

• Multifunctional WUAs• Alternative O&M Mechanisms• Farmers-to-farmers training approach

– Policy feed-back through innovative methodological approaches

Emergence of methodological approaches for policy feedback

• Earlier papers mostly focused on use and efficiency of water resource

• In recent decades, irrigation management reform and impact of interventions have been matter of concern

• Some emerging methodological approaches:

Dynamics study with cross-sectional data

Integration of hydrological boundary with political boundary

Analyzing effect of intervention overtime

Livelihood asset pentagon: Analytical framework for irrigation system performance assessment

Rules and collective actions for improving irrigation governance

Methodological approaches…..

Dynamics study with cross sectional data

• Study about the dynamic aspects of evolution of irrigation policy and institutions using cross-sectional data

• Scholars from The University of Hong Kong and Asian Institute of Technology have devised an approach trying to capture dynamism of irrigation management with changes in macro level political, economic and social settings in country

• “Asian Irrigation Institutions and Systems (AIIS) Dynamics study and Database Management” project

• Compares cases of three countries; Nepal, Thailand and Taiwan

Methodological approaches…..

Dynamics study with cross sectional data…….

Stages of economic developmentStages of economic development

Framework to capture dynamism with cross-sectional dataFramework to capture dynamism with cross-sectional data

Tim

e V

aria

ble

(pro

xy)

Tim

e V

aria

ble

(pro

xy)

Nepal

Thailand

Taiwan

Differences in management considering

stages of growth as proxy for time

Methodological approaches…..

Integration of hydrological boundary with political boundary

• Conventional studies on irrigation management have focused either on hydrological boundary or on political boundaries as study units

• As water resources follow natural boundaries (river basins, watersheds), the concentration on administrative boundary will not capture the characteristics of resource well

• Similarly, the irrigation systems and water use in different ecological regions vary significantly

• The integration of the hydrological boundary with political boundary allows us to capture both the characteristics of water resources and human/management factors

Methodological approaches…..

Integration of hydrological boundary with political boundary….

• In our ongoing study we have tried to integrate hydrological boundary (river basins) with administrative/political boundary (regions) and ecological boundary

• The approach divides country into comparable regions considering major river basins and ecological regions which is covered from all the administrative regions

Sampling strategy of the study

• At broader level, covered major river basins; representing different ecological regions (hills and plains) as well.

• At system level, representing both farmer managed irrigation systems (FMIS) and agency managed irrigation systems (AMIS) from both ecological regions, wherever applicable.

• Three criteria have been adopted for selecting irrigation systems:– Ecological region – Economic characteristics– Management structure

Major river basins of Nepal

Sampled regions with number of systems in Nepal

Major basin Region River basins ER DR District Number

Koshi 1 Mechi, Kankai Plain Terai Eastern Jhapa 2

Mechi, Mai Mid-hill Eastern Ilam 3

2 Koshi Plain Terai Eastern Morang 3

Tamor Mid-hill Eastern Dhankuta 2

3 Sunkoshi Hill Central S’palchowk 3

4 Kamala Plain Terai Eastern Siraha 2

Gandaki 4 Bagmati Plain Terai Central Sarlahi 2

5 E Rapti Mid-hill Central Makwanpur 3

E Rapti Plain Terai Central Chitwan 4

6 Marshyangdi Mid-hill Western Lamjung 2

Madi Mid-hill Western Tanahu 4

7 Kaligandaki Plain Terai Western Nawalparasi 2

Kaligandaki Mid-hill Western Palpa 2

Tinau Plain Terai Western Rupendehi 2

Karnali 8 W. Rapti Mid-hill/valley Mid-western Dang 3

W. Rapti Plain Terai Mid-western Banke 3

9 Bheri Mid-hill Mid-western Surkhet 3

Thuli Plain Terai Far-western Kailali 2

Mahakali 10 Mahakali Plain Terai Far-western Kanchanpur 3

Total 50

Major river basins of Thailand

1 Salawin 14 Mae Klong

2 Mekong 15 Prachin Buri

3 Kok 16 Bang Pakong

4 Chi 17 Tonle Sap

5 Mun 18 East Coast Gulf

6 Ping 19 Phetchaburi

7 Wang 20 Prachupkiri-Khan Coast 

8 Yom 21 East coast basin

9 Nan 22 Ta Pi

10 Chao Phraya 23 Thale-Sap Songkhla

11 Sakae Krang 24 Pattani

12 Pa Sak 25 West Coast

13 Tha Chin

Sampled regions with number of systems in Thailand

Major Basin Region River basins

ER DR Province No of systems

Kok 1 Fang Hill North Chiang Mai 4

Ping 2-5 Khan, Klang, Ngat and Kuang

Hill North Chiang Mai 14

Chi 6 Upper basin

Undulating plain

North-East Khon Kaen 6

Mae Klong 7 Klong Hill/plain Western Kanchanaburi 6

Chao Phraya

8 Upper basin

Plain Central Chainat 8

Eastern Coast Gulf Basin

9 East coast Plain Eastern Rayong 6

Ta Pi 10 Ta Pi Plain Southern Surat Thani 6

Total 50

Institutional change and dynamics: Theoretical framework of the analysis

• Earlier analytical frameworks tried on institutional decomposition and analyzing institution-performance interaction, however, did not measure the exogenous influencing factor explicitly

• We try to develop a theory of institutional change that could describe and explain why and how institutions evolve in different settings and how they affect performance of irrigation system

• We have developed two separate analytical framework for assessing institutional change and performance of irrigation systems

Analytical Framework for Assessing Institutional Change

Institutional Change

Exogenous change Exogenous change agents: agents: Political stability, Political stability, state of economic state of economic development, State development, State policies, accessibility and policies, accessibility and commercializationcommercialization

Institutional and social Institutional and social attributes: design of attributes: design of institutions and institutions and occupationoccupation

Physical attributes: type Physical attributes: type of system & degree of of system & degree of water scarcitywater scarcity

Governance regime: Governance regime: Legal recognition of Legal recognition of WUA, degree of WUA, degree of autonomyautonomy

Adoption of set of new rules

Change in common understanding

Resistance to change

Causes Unobserved Construct Indicators

Analytical Framework for Assessing Performance

PerformancePerformance

Physical condition

Water delivery

Agricultural productivity

Political stability, Political stability, State policiesState policies

Physical attributes: Physical attributes: type of system & type of system & degree of water degree of water scarcity scarcity

Economic Pressure: Economic Pressure: State of economic State of economic development, development, accessibility and accessibility and commercializationcommercialization

Social context: Social context: Occupational status Occupational status of the communityof the community

Institutional context: design of institutions and autonomy

Local irrigation

institutions

Empirical analytical approaches and proposed models

Assessing institutional change • Institutional change is the outcome of series of choices of

rules made by a group of individuals

• Multiple Indicator Multiple Cause (MIMIC) model

• We include three observable indicators of institutional change; and four groups of causal factors in our analysis using MIMIC model

Definition of indicators and causal factors of institutional change Variables Definition Value

Unobserved construct

INSCHNG Institutional change in irrigation management 0..2

Indicators of institutional change

NRULE Adoption of a set of new rules (weighted scores) 0…5

COMUND Common understanding of the community (scores) 0…5

RESIST Resistance to change (weighted scores) 0…5

Causes: Exogenous change agents

STABIL Political stability (Unstable/relatively stable) 0/1

ECONDEV State of economic development (Least developed/developing) 0/1

STATPOL Changes in state policies (no change, moderate, Extreme) 1…3

ACCESS Accessibility to the market (rural/Periurban/urban) 1..3

FARMING Commercialization of farming (commercial/traditional) 1/0

Physical attributes

SYSTEM Irrigation system (run-off-river, storage, with groundwater) 1…3

SCARCITY Degree of water scarcity (not scarce, moderate, extreme) 1…3

Institutional and social attributes

DESIGN Design of status quo institutions (effective/ineffective) 1/0

OCSTAT Occupational status (agriculture dependent/alternate source) 1/0

Broader governance regime

RECOGN Legal recognition of WUA (registered/not-registered) 1/0

AUTONOMY Degree of autonomy (no/low/high degree) 1…3

Definition of explanatory variables for different dimensions of performance

Variables Definition Value

Dimensions of performance (separate 3 models for each dimensions)Physical conditionWater deliveryAgricultural productivity

>0>0>0

MODE Mode of governance (Agency/farmer managed/joint) 1..3

HEAD Headwork of the system (Permanent/temporary) 1/0

LINING Lining of the canals (partially or completely lined/unlined) 1/0

TERRAIN Terrain (located in the plains/hills) 1/0

LENGTH Length of the canal (metres) >0

SAREA Total area of the system (hectares) >0

NOAPP Number of appropriators >0

ACCESS Accessibility to the market (rural/periurban/urban) 1…3

FARMING Commercialization of farming (commercial/traditional) 1/0

Analytical approaches… Assessing the performance of irrigation systems

• Confirmatory factor analysis

• Multiple regression model

• Dimensions of Performance = α + β1 (MODE) + β2 (HEAD)

+ β3 (LINING) +β4 (TERRAIN) + β5 (LENGTH) + β6 (SAREA) + β7 (NOAPP) + β8 (FARMING) + β9 (ACCESS) + ε

• Separate models for three dimensions of performance ; – physical condition, – water delivery, and – agricultural productivity

Methodological approaches…..

Analyzing effect of intervention overtime

• Studies on water resource management focused on assessing direct effect of interventions which were aimed at improving resource characteristics and also facilitating the provision mechanisms

• Comparing direct effect of any intervention immediately before and after intervention with some basic indicators like change in participation, resource mobilization, crop productivity and cropping intensity at head and tail end of the system is easy

• only few studies have adopted such approaches that can examine interactive effect in the long-run

Methodological approaches…..

Analyzing effect of intervention overtime…..

• Analysis of the interactive effect of intervention on agricultural productivity and irrigation management in long-term

– Long-term effect of WECS/IIMI intervention on 19 irrigation systems of Indrawati watershed in Nepal; using three time slice data for analysis: before intervention, and two periods after intervention

• Analysis of the dynamism in resource use pattern by examining the changes in the institutional arrangements within a Socio-Ecological Systems

– Dynamism and robustness of two irrigation systems in northern Thailand in the context of changing governance mechanisms and evolution of technological and market forces using data of three time periods: before intervention; initial operation; and long-term.

Methodological approaches…..

Livelihood asset pentagon: Analytical framework for performance assessment

• Conventional studies assessed irrigation system performance considering factors endogenous to irrigation system, and overlooked several livelihood aspects to which irrigation is closely tied

• A framework of analysis was developed with identification of grossly overlooked but crucial livelihood factors that influence the performance of irrigation systems (Nepal study)

– Five fundamental livelihood assets; human capital, natural capital, physical capital, financial capital and social capital were considered in the study.

• Subsequent the analysis identified most significant livelihood variables which can be used to assess the overall performance of irrigation systems reliably and comprehensibly

Rules and collective actions for improving irrigation governance

Analyzing the case of irrigation systems in Nepal we make an attempt to addresses following issues:

1. How do rule configuration vary across irrigation systems that are

subject to various governance modes,2. Are rule configurations influenced by diversity in biophysical

characteristics of the irrigation system and community attributes, and

3. How do rule enforcement mechanisms affect performance and collective action regarding irrigation performance?

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Analytical FrameworkAnalytical Framework

Action Arena

Action situationInformationResourcesIncentives

ParticipantsInformationMotivationResources

Biophysical conditions

Rules-in-usesFormal + Informal

Attributes of the community

Considering institutional change

Outcome - performance

Evaluation

Used grammar of institutions, ADICO Syntax, to analyze rule Used grammar of institutions, ADICO Syntax, to analyze rule configuration (Crawford and Ostrom 1995; Ostrom 2005): configuration (Crawford and Ostrom 1995; Ostrom 2005):

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Using ADICO SyntaxUsing ADICO Syntax

A ‘Attributes’ Defines values of participant-level variables distinguishing to whom the institutional statement applies.

D ‘Deontic’ Refers to the three modal verbs: ‘may’ (permitted); ‘must’ (obliged); and ‘must not’ (forbidden).

I ‘Aim’ Describes particular actions or outcomes in the action situation.

C ‘Conditions’ Defines when and where an action or outcome is permissible, obligatory, or forbidden.

O ‘Or else’ Sets out the consequence for not following rule.

Rules include all five components (ADICO)Rules include all five components (ADICO)

norms with four components (ADIC), and norms with four components (ADIC), and

shared strategies have only three components (AIC) shared strategies have only three components (AIC)

ADICO syntax provides a basis for coding institutional ADICO syntax provides a basis for coding institutional statements and analyze the evolution of institutional statements and analyze the evolution of institutional

statements statements

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Using ADICO Syntax……Using ADICO Syntax……

Study area and sample irrigation systems in Nepal

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FMIS 41

AMIS 9

FMIS: Farmer-managed irrigation system

AMIS: Agency-managed irrigation system

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• Majority of the sampled irrigation systems in Nepal: run-off-the-river type

• Many systems rely on temporary intake and conveyance structure

Main features of samples Main features of samples systemssystems

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And exist in difficult terrain and diverse topography

Main features…..Main features…..

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• Most of the systems were very old (average 50 yrs to more than 200 yrs old) in case of Nepal.

• In Nepal, FMIS smaller (~200-500 ha) than AMIS (800 – 10000 ha); overall average around 500 ha

• Conflicts in water use among the farmers

Main features…..Main features…..

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Salient feature of irrigation Salient feature of irrigation policiespoliciesIrrigation Act-1961 Laid foundation for legal framework

specifically for irrigation

Canal, Electricity & Water Resources Act 1967

Introduced the concept of water tax and licensing

Water Resource Act 1992

Provisions for Water Users’ Organizations (WUO) and recognized them as autonomous bodies with perpetual succession

Water Resource Regulation 1993

Provisions for formation and registration of WUO; information to be furnished in WUO constitution

Irrigation Regulation 1999

Provides procedures for registration, election and dissolve of WUO executive committee

Irrigation Policy 2003

Strengthening capabilities of WUOs and effective participation of users in planning, construction, and management of irrigation systems

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Type of rulesType of rulesPercentage responding presence Percentage responding presence

of the rules (n = 50)of the rules (n = 50)

Position 98.0

Boundary 98.0

Choice (allocation) 92.0

Aggregation 72.0

Information 70.0

Payoff 94.0

Scope 12.0

Existence of different Existence of different rulesrules

Process of rule configuration In the beginning no rule situationIn the beginning no rule situation

Start with ‘Informal shared strategy’ – ‘AIC’ part of syntax

Then add some component that permit/oblige/forbid certain Then add some component that permit/oblige/forbid certain actions making it ‘Norms’ – ‘ADIC’ part of syntaxactions making it ‘Norms’ – ‘ADIC’ part of syntax

Finally farmer also add consequences for not following agreed norms making it formal ‘Rules’ – having all part of ADICO syntax

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Rule configuration: ADICO Rule configuration: ADICO SyntaxSyntax

Degree of autonomy of WUA is important in devising the rules Degree of autonomy of WUA is important in devising the rules

High degree of autonomy in case of FMISHigh degree of autonomy in case of FMIS

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Rule configuration: role of autonomyRule configuration: role of autonomy

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Monitoring and sanctioning arrangements in FMIS and AMIS

(In Percentage)

Monitoring and sanctioning index

FMIS (n = 41)

AMIS(n = 9)

Total (n = 50)

With score less than 4 29.3 66.7 36.0

With score at least 4 70.7 33.3 64.00

P-value <0.05

Rule enforcement and collective Rule enforcement and collective actionaction

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Level of rule following among users in FMIS and AMIS(In Percentage)

Level of rule following among users

FMIS (n = 41)

AMIS(n = 9)

Total (n = 50)

Rules followed by some members but not by all

7.3 55.6 16.0

Almost all members follow the rule

92.7 44.4 84.0

P-value <0.001

High level of collective action in FMIS as rules are mostly devised by users themselves considering condition of irrigation systems and ideas

of the community

Rule enforcement and collective Rule enforcement and collective action…action…

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Performance Performance Rule enforcementRule enforcement

Monitoring and sanctioning index

With score less than 4(n = 18)

With score at least 4(n = 32)

P-value

Physical condition 2.50 2.91 .018

Economic efficiency 2.72 3.06 .012

Level of rule following among users

Low(n = 8)

High(n = 42)

P-value

Physical condition 2.50 2.81 .177

Economic efficiency 2.50 3.02 .003

Rule enforcement and performance of irrigation systems

FMIS>> Highly autonomous>>> MSI and Rule Following high>>> Better performance

High degree of autonomy in FMIS resulted into effective High degree of autonomy in FMIS resulted into effective rule enforcement mechanisms and rule following thus high rule enforcement mechanisms and rule following thus high

level of collective action: better performancelevel of collective action: better performance

ADICO Syntax very useful, however, it can be refined to ADICO Syntax very useful, however, it can be refined to capture the enforcement mechanismscapture the enforcement mechanisms

Rules devised, based on the particular bio-physical Rules devised, based on the particular bio-physical condition of the area considering the ideas and condition of the area considering the ideas and

understandings of the local community, can result in understandings of the local community, can result in improved collective action and performanceimproved collective action and performance

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Linking policy with local context

• Governance change and coping mechanisms: Local multifunctional cooperatives

• Farmers-to-farmer peer training approach

• O&M mechanisms: Changed participation, targeted credit, and benefit sharing

• Crops/drops of water---Agricultural research and irrigation

Linking policy with local context….

Governance change and coping mechanisms: Local multifunctional cooperatives

• Important to examine what kinds of organizational changes may be needed to support IMT and to ensure sustainable productivity of irrigation systems

• The issue of multi-functionality of WUAs is getting attention

• Multifunctional WUA would be most appropriate organizations for small farmers to coexist with free market forces

• In many countries WUAs are working as multifunctional cooperatives

Linking policy with local context….

Farmers-to-farmer peer training approach

• Intervention project to assist 19 farmer-managed irrigation systems of Indrawati watershed in Nepal during 1985 by WECS/IIMI

• Later realizing the need of training to the farmers of some systems intervened; an innovative training approach, farmers-to-farmers training approach was designed by WECS/IIMI

• This approach aimed at stimulating transfer of experience from farmers in well-managed systems to those in poorly managed systems through site visits, informal exchanges, and guided discussions

Linking policy with local context….

O&M mechanisms: Changed participation, targeted credit, and benefit sharing

• Participation as well as resource contribution from its users is most crucial for operation and maintenance of irrigation systems

• In changing context both users’ participation and resource mobilization criteria are changing

• Efforts to increase user participation have been spurred by poor performance but greater participation by farmers through water users associations has helped overcome those

Linking policy with local context….

O&M mechanisms: Changed participation, targeted credit, and benefit sharing……..

• Financing through targeted credit are reported from different countries

• Benefit sharing is another important aspect of sustainable O&M, which ensures increased participation of users

• Benefit sharing mechanism plays most significant role in case of transboundary river basin management

Linking policy with local context….

Crops/drops of water---Agricultural research and irrigation

• To meet the scarcity and competing use of water in different sectors; it is necessary to focus on productivity of irrigation water

• ‘More crop per drop’, mission statement of International Water Management Institute, captures this principle

• Researches on agricultural aspect and use of water for irrigation have developed different technologies for increasing water use efficiency

Linking policy with local context….

Crops/drops of water---Agricultural research and irrigation…

• International Program for Technology and Research in Irrigation and Drainage (IPTRID), FAO has been working for advancement of irrigation and drainage technologies in developing countries

• Israel has been the pioneer in developing policies to meet the growing demand for water

An Agenda for Effective Irrigation Policy Interventions

1. Responding to competition for resources (water scarcity) • Transfer of water for multi-functions and irrigated land from

agriculture to other uses (municipal) and its impact on agriculture

• Watershed depletion, water-quality degradation and water reclamation

• Property rights: water, land, infrastructure (including the planning, information and administrative requirements of these)

• Linking downstream and catchment stakeholders in watersheds and effective management of water resources (including information and communication requirements)

An Agenda for Effective Irrigation Policy Interventions

2. Accountability and new partnerships • Transfer of authority for irrigation system management • Changing government roles to regulation, provision of support

services and capacity-building based on the principle of co-management and ‘polycentric’ governance integrating farmers’ institutions of irrigation management

• New accountability mechanisms: service agreements, management audits, asset management plans (including information requirements) in light of multiuse of water

• Redesigning government subsidies in light of the public-private partnership with enhanced ownership stakes made by local users and matching investments, transparent and agreed allocation criteria, incremental infrastructure improvement

An Agenda for Effective Irrigation Policy Interventions

3. Reform, synergy and economic productivity • Scheme-level Water User Association (WUA) federations and

new opportunities for WUAs hiring their own agricultural/agribusiness development agents

• New information/communication systems for market identification and networking

• Using new demand-oriented irrigation services to promote crop diversification and commercialization

• Expanding the economic niche of farmers beyond cultivation to agribusiness (input production and supply, crop processing, production of manufactured agricultural/horticultural products)

An Agenda for Effective Irrigation Policy Interventions

• Joint monitoring for irrigation operation and multiple uses of water: diverse methods of data collection, storage and processing into information, public access and sharing of information

• Transition of irrigation operation policy beyond water provision to cope with changing economic context and World Trade Organization requirements

• Exploring alternate mechanisms for governance and management of irrigation into the larger context of economic integration, competition for water and the need for water conservation and land resources

• Institutional reform of irrigation development agencies should imbibe the new values of socioeconomic changes of inclusiveness, gender concern, self-governing local water institutions and poverty alleviation.