Nils Ferrand (IRSTEA) - 6th WGI Meeting (2-3 November 2015, Paris)

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http://watagame.info

© [email protected] , 2015

OECD

WGI

2015

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OECD WGI workshop

on advanced participation

for water governance

Nils Ferrand & Patrice Garin, Emeline Hassenforder,

Benjamin Noury, Sylvie Morardet, Sophie Richard,

Delphine L’Aot, Bruno Bonté

UMR/JRU G-EAU Managing Water, Stakeholders & Uses

IRSTEA : French National Institute for Research and Technology

on Environment and Agriculture - Montpellier, FRANCE

mailto:[email protected]

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Context of this session

• Session held on demand by the WGI board, in response to

members’ request during the last internal survey

– Organized by the Joint Research Unit « UMR G-EAU » (Gestion

Eau Acteurs Usages / Management of Water, Stakeholders & Uses)

a French public laboratory, expert in Water Governance and

Management, member of the WGI (with N. Ferrand, S. Richard, L.

Guerin-Schneider) intervention on IRSTEA budget

– Facilitators for this session :

• Dr. Nils Ferrand, decision sciences, coordinator

• Delphine L’Aot, international development

• Dr. Emeline Hassenforder, participatory water governance

• Benjamin Noury, participatory water governance

• Dr. Sophie Richard, political scientist

• Dr. Patrice Garin, senior water scientist

• Dr. Sylvie Morardet, water economist

• Dr. Bruno Bonté, modeller


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Aims of the session

• Consider new perspectives on participatory water

governance, including multi-level stakeholders

(together) & the general public

• Introduce some original and useful participation

methods, relevant for the water governance cycle.

Discover some of them in practical sessions

– Participatory modeling, simulation & planning

– Pre-participation « participating about

governance processes »

• Discuss needs and perspectives

(NOT an overview, a course or an expert group)


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OECD principles from a participatory perspective

Participatory !?

Participatory !?

Participatory !?


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Workshop Schedule & Organization

• 14:30-14:50 Welcome and workshop introduction

• 14:50-15:45 Practical approach of participatory methods

• 15:45-16:40 Self-design of a participatory governance

process

• 16:40-16:50 Individual feedback questionaire

• 16:50-17:30 General discussion

Working in small groups (6) with guidelines & material on your

table and with our assistance.


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Decision & Action Cycle

Identification of

a social-environmental issue Situation assessment & modelling, stakeholder

analysis, preferences elicitation, data collection…

Solution development Operational planning, decision making

process, strategy, solution testing,

monitoring & evaluation design

Solution implementation Engineering implementation, monitoring

Expansion Final evaluation, scaling up,

dissemination, sustainability of the

implemented activities

DECISION &

ACTION CYCLE

Source: http://www.oecd.org/gov/regional-policy/OECD-

Principles-on-Water-Governance-brochure.pdf


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an

Many rationales for

participation

Create ownership

Build trust

Empower communities

Educate and raise awareness Collect local data and knowledge

Develop appropriate activities

Gather various options and ideas

Establish new cooperation

Strengthen the effectiveness of the intervention

OECD report on Stakeholder Engagement for

Inclusive Water Governance: “there are many

economic, environmental and social benefits to

be gained from effectively engaging

stakeholders in water policies and projects”.

…

Resolve conflicts

Support engagement and institutional emergence


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IDENTIFICATION Engage the relevant stakeholders?

Reveal and share representations?

Collect local data and information?

Frame and structure objectives?

How can we strengthen participation throughout the cycle?

DEVELOPMENT Prepare a decision making protocol ?

Elaborate participatory planning?

Explore and test various scenarios?

Develop a shared Monitoring and

Evaluation (M&E) strategy?

IMPLEMENTATION Engage stakeholders in autonomous

transformation and its M&E?

EXPANSION Transfer the responsibilities ?

Autonomise the duplication

of the intervention?

Support policy makers to

lead the scaling out?

Resolve the use of Internet?

HOW CAN

WE?


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ay UN - Non-Governmental Liaison

Service (sept. 2013) recommendations

“f). Recognize civil society as a key

partner in identifying issues, informing

policies and achieving goals; and in

monitoring and evaluating

implementation, by mainstreaming

participatory processes at various

levels of policy-making, including the provision of access to

information; <…>

h) Adopt mechanisms and allocate resources to ensure that

civil society, including associations of vulnerable and

marginalized people, have the capacity to engage meaningfully

in decision-making processes”


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ay P.W.G. : a wide range of actions, investigations & results

Several methods / tools

• Generic / procedural Focus groups, citizen jury, deliberative polling,

open forum, world café, forum theater, e-fora,

PPGIS, town meeting, e-voting, …

• Targeted at Participatory… Political framing, Establishing principles or aims

Setting of Decision Agenda, Rules and Arbitration

Sensing / Mapping / Surveillance / Data collection

Modeling / Diagnosis / Assessment

Foresight / Future visioning

Simulation: role playing games,

Planning: proposing, integrating, selecting

Monitoring & Evaluation

Budgeting

Funding

Guarantee / Certification / Auditing

Building / Construction / « Making » / Maintenance

Policing / Control / Vigilance

Constitution / Institutionalization

R&D Projects (e.g.)

• European Research:

HarmoniCOP, CatchMod,

Aquastress, Newater, SLIM,

GOVERN, WeSenseIt,

Gover-Nat, G-FORS, I-

FIVE, CADWAGO…

• International: CGIAR

CPWF, WLE, …

Various Aims / contexts Integrated Water Management,

Restoration, Planning, Public

Utility Management (WASH),

Climate Change Adaptation,

Irrigation, Conflict resolution…


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An innovative participation strategy and toolbox from Irstea : CoOPLAaGE E.g., in a catchment, a group of water users would like to act to improve their situation and the

socio-environmental viability. Guided by a process manager, they cycle with various tools.

1 Preparing a governance protocol

Decide the principles and rules of the

emerging participation process.

2 Exploring Justice

Discuss the social justice

principles for sharing land

and water.

3 Creating a playable model

Prepare a local model for

participatory simulations of local

situation and new options.

4 Elaborating an integrated action plan

Propose and structure actions, and

then assess their coherency, feasibility

and efficiency

5 Testing and discussing plans

Experiment the plan with the

role playing game and validate a

joint adaptation strategy.

6 Monitoring and evaluation

Learn about the changes in

knowledge, preferences,

actions and relations


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Example of Ugandan process in the AfroMaison project (2011-2014)

1 2

3

4 6

7

Procedural agreement Focal issue

Implementation plan

Modeling & plan testing

through game

Planning

Actions identification

5 Resource allocation

Monitoring & Evaluation


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M&E: a vital principle for P.W.G. ?

OUTPUTS / OUTCOMES / IMPACTS

Normative (e.g. rules)

Cognitive (e.g. Views, perceptions)

Operational (e.g. practices)

Relational (e.g. trust)

...

CONTEXT

“INTERVENTION”

• Participatory Planning Process

• Implementation of Water

Governance Principles

• …

KNOW WHAT WE DO KNOW WHAT WE GET

Expectations

Questionnaires

Participatory observation

Interviews Debriefing


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Participatory modeling: the backbone for P.W.G. ?

Participatory modeling : when ALL actors design together the

relevant models (i.e. actionable representations) of their situation,

options, responses, plans, which they can use to explore, formalize

and engage in adaptation

– Yes, « they » can…

• Model their own complex hydro-social system

• Model their own decision values, procedure & rules

• Model their integrated multi-*** action plan & its impact

• Use the modeling (& simulation) process to support co-

engagement toward a shared future

&… No, we don’t need computers

Simple transferable modeling

kit (e.g. INIWAG)


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An innovative participation strategy and toolbox from Irstea : CoOPLAaGE E.g., in a catchment, a group of water users would like to act to improve their situation and the

socio-environmental viability. Guided by a process manager, they cycle with various tools.

1 Preparing a governance protocol

Decide the principles and rules of the

emerging participation process.

2 Exploring Justice

Discuss the social justice

principles for sharing land

and water.

3 Creating a playable model


participatory simulations of local

situation and new options.

4 Elaborating an integrated action plan

Propose and structure actions, and

then assess their coherency, feasibility

and efficiency


Experiment / simulate the plan

with the role playing game and

validate a joint adaptation

strategy.

6 Monitoring and evaluation

Learn about the changes in

knowledge, preferences,

actions and relations

This workshop focus :


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What we’ll do next :

Act « as if » you were real actors of a Water Catchment, to explore some participatory methods

1. Discover this common (abstract) case study

2. Model it with a simple (but integrative) tool

3. Simulate 2 scenarios

4. Design an action plan

5. Consider participatory actions & integrate them in the design of a decision procedure –hopefully participatory- for water management

On the way, please comment, question on your individual feedback form.


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Let’s consider a generic (abstract) case study

« We live in a coastal region, in the Erhno catchment. Features :

• A large city (500.000 px), high demographic growth (immigration),

• Mixed agriculture with family farming, commercial orchards & wine (developing irrigation), vegetables and corn,

• Intense & seasonal touristic activity near the coast,

• Petrochemical (seaside) and food industry,

• Brackish laguna with RAMSAR bird area downstream

• Mountains & forests upstream in the natural park,

• Large multi-purpose dam, hydroelectricity, tourism .

• Shallow aquifer downstream between the city and the coast

Issues:

Summer scarcity, mid-season floods, pollution peaks


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Map

SEA

Erhno

Dam

Laguna PetroChem

Wine

Wine

Orchards

Irriga

tion

Corn

Aquifer Food

Processing

unit


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This catchment challenges

• For the last 15 years, recharge of the dam and the river

flow have clearly diminished, with impact on aquifer and

wetlands

• Family farming made difficult by low surface water access

• Water utilities in city should be expanded to match growth

• Irrigation demand grows (commercial) but limited network

• The two factories play a key economic role, but the

PetroChem plant is challenged after a pollution spillover

in the river and the protected laguna.

• Overarching regulations ask for ecosystems protection

A new strategy for water and land management has

to be decided and implemented


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Participate to explore participatory modeling

Please pick a role among:

1. Director of the Catchment & Water Agency

2. Mayor of the Heliopol city

3. Representative of the Environmental NGO

4. Delegate of the SmallHolders Farmers Association

5. Chair of the Commerce & Industry Chamber

6. « The People of Erhno » delegate (citizens’ group)

In the next steps, please try to react as you think this actor

would do in « real operations ».


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Creating a playable model


participatory simulations of

local situation and new

options.

This Step :


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Action 1 Participatory Modeling (15’)

Step 1.1 Map

Hydrosyst

Select and organize elements from the *catchment mapping kit* to represent on your table your common vision (map, model) of the water system. Fill the dam bucket –if any- with 10 drops, mixed colors.

Step 1.2 Create

Create & add 1 or 2 new mapping elements if they are missing (Use Post-It to draw or name them)

Step 1.3 Model

Land-use

Discuss, choose and install ~12~ *action cards* for your model. Only one *action card* goes on one land plot card.

Step 1.4 Audit

On the set situation, audit current operation cost for each actor, as well as population, jobs and satisfaction.

Get participants to build and share a common dynamic model of the situation, including biophysical, social, economic & policy issues

NOTA !!! This simplified version does not include management / governance actions please feel free to invent them


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Reading / using an action card

Name

Pollution sensitivity

indicator

Operation cost

Water needs

Dry

Normal

Population Jobs

Returned water

Dry year

Normal year

Income

« Smiley »

« Angry »


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This Step :


Experiment / simulate the plan with the

role playing game and validate a joint

adaptation strategy.


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Action 2 Participatory Simulation (20’)

Step 2.1 Fill

river

Fill the *river bucket* with 15 water drops (blue). Put it upstream your river system.

Step 2.2 Flow, use, return…

Flow the *river bucket* step by step. Each user collects water from it (no filter = no sorting !), « consumes » it (for action), and returns directly *used water* (red drops) to the bucket.

Step 2.3 Issues…

Not enough water ? Or water too polluted for your activity ( max 50%, 0% !) ? Failed activity !!

Step 2.4 Impacts

Monitor final economic situation (if successful) and monitor the river and dam status (quantity, quality), as well as other indicators. Anything else to observe ?

Step 2.5 Climate change

Repeat a second similar round with only 10 drops. Assess and discuss changing activities.

Get participants to explore together the dynamics of the socio-hydro system, to react and organize management & governance.

Normal

Climate

Drought


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Monitoring results

Round 1 Round 2 Round 3 Round 4

Climate Normal Dry

Operation costs Urban

Agriculture

Nature

Industry

Population

Labor

Input water

Outlet water Clean

Used

Income Urban

Agriculture

Nature

Industry

# Activ. Failed

Smileys #

Angrys #

Immeubles #

Maisons #

Friche urbaine #

Forêts #

Lande #

Fruits et Legumes #

Elevage industriel #

Blé #

Maïs #

Plantation bois #

Prés #

Vignes #

Centre ville #

Cœur de village #

Zone d'activités #

Zone industrielle #

Zone touristique #

Zone humide #


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((( More Options if you wish and have time )))

Option 1 Add

Resources

Socio-hydrosystems do not run *only* on land, water, labor and money you can specify other resources: e.g. food, energy, biodiversity, social willingness... Actions « use » or « produce » them. And they evolve in the natural or social environment. How ? Propose processes & rules if required.

Option 2 Add

Actions

Many other actions can be proposed and used. Edit *blank action cards* to specify you own. Agree on values and specific rules.

Option 3 Add

Events

Scenarii ? External Drivers ? Add events which can happen in time, as steps in the process or as random events.

Many extensions are possible in the modeling process, considering needs, participants, etc.


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Action 3 Integrative Planning CooPLAN (15’)

Step 3.1 Aim

Formulate aim(s) for your future catchment management plan. Write on your *COOPLAN* banner.

Step 3.2 Propose

Every participant can propose up to 2 new options (proposed interventions) using the *option model* card

Step 3.3 Integrate

Discuss to select some, and organize the sequence of options in your *COOPLAN*.

Step 3.4 Assess

Discuss coherency, feasibility and efficiency, looking at the *Requirements* (left) and *Impact* (right) sides

Option Test

How would you test this strategy with the simulation?

Get participants to build and discuss suitable actions, and integrate them in coherent actions plans.


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Filling a CooPLAN Option Strip

CooPLAN Option Card ©Irstea, 2015 Resources Requirements (Qualitative) Individual Local Regional > Nat

CO

OP

LA

N

Investm

ent

Opera

tion

cost

LandU

se

Wate

r

Quantity

Wate

r

Quality

Legal

Lic

enses

Socia

l

support

Natu

re

Bio

div

ers

ity

Political

willing

Oth

er

Low + + + + + + + + + + +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1

Med ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2

High +++ +++ +++ +++ +++ +++ +++ +++ +++ +++ +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3

Anticipated impact / outcomes

De

tail

Ecosyste

m

s Wate

r

Quantity

Wate

r

quality

Flo

od

Pro

tection

Citiz

ens

Well-B

ein

g

Com

munity

Life

Regio

nal

Econom

y

Govern

ance

Institu

tions

Equity

Justice

NA

ME RainWater

Infiltration

Open area for infiltrating water to the aquifer

1. Naming the option proposal

& specify details 2. Specifying implementation level

3. Specifying the estimated levels /

intensity of resources (material or

immaterial) required for this option.

4 levels : 0 / + / ++ / ++++

Darken boxes with a marker

4. Describing the anticipated /

expected impacts for each criteria

can be positive or negative


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CooPLAN Integration matrix

SCALE Individual Local Regional > Nat Time ShortMediu

mLong Term


Equity

Justice


Ecosyste

m

s Wate

r

Quantity

Wate

r

qualit

y

Flo

od

Pro

tection

CooPLAN matrix

Aim :

De

tail

Citiz

ens

Well-

Bein

g

Com

munity

Life

Regio

nal

Econom

y

Govern

ance

Institu

tions

CO

OP

LA

N

Investm

ent

Opera

tion

cost

LandU

se

Wate

r

Quantity

Wate

r

Qualit

y

Legal

Lic

enses

Socia

l

support

Natu

re

Bio

div

ers

ity

Polit

ical

will

ing

Oth

er

Equity

Justice

NA

ME

Ecosyste

m

s Wate

r

Quantity

Wate

r

qualit

y

Flo

od

Pro

tection

De

tail

Citiz

ens

Well-

Bein

g

Com

munity

Life

Regio

nal

Econom

y

Govern

ance

Institu

tions

Low + + + + + + + + + + +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1

Med ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2

High +++ +++ +++ +++ +++ +++ +++ +++ +++ +++ +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3


CO

OP

LA

N

Investm

ent

Opera

tion

cost

LandU

se

Wate

r

Quantity

Wate

r

Qualit

y

Legal

Lic

enses

Socia

l

support

Natu

re

Bio

div

ers

ity

Polit

ical

will

ing

Oth

er

Low + + + + + + + + + + +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1

Med ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2

High +++ +++ +++ +++ +++ +++ +++ +++ +++ +++ +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3


CO

OP

LA

N

Investm

ent

Opera

tion

cost

LandU

se

Wate

r

Quantity

Wate

r

Qualit

y

Legal

Lic

enses

Socia

l

support

Natu

re

Bio

div

ers

ity

Polit

ical

will

ing

Oth

er

Low + + + + + + + + + + +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1

Med ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2

High +++ +++ +++ +++ +++ +++ +++ +++ +++ +++ +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3


CO

OP

LA

N

Investm

ent

Opera

tion

cost

LandU

se

Wate

r

Quantity

Wate

r

Qualit

y

Legal

Lic

enses

Socia

l

support

Natu

re

Bio

div

ers

ity

Polit

ical

will

ing

Oth

er

Low + + + + + + + + + + +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1 +1 -1

Med ++ ++ ++ ++ ++ ++ ++ ++ ++ ++ +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2 +2 -2

High +++ +++ +++ +++ +++ +++ +++ +++ +++ +++ +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3 +3 -3

Com

munity

Life

Regio

nal

Econom

y

Govern

ance

Institu

tions

Equity

Justice

NA

ME

De

tail

Ecosyste

m

s Wate

r

Quantity

Wate

r

qualit

y

Flo

od

Pro

tection

Citiz

ens

Well-

Bein

g

Com

munity

Life

Regio

nal

Econom

y

Govern

ance

Institu

tions

Equity

Justice

NA

ME


De

tail

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Quantity

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Com

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Govern

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Institu

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Equity

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ME

Anticipated impact / outcomesN

AM

E


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Quantity

Wate

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qualit

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Flo

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Pro

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Citiz

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Well-

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Action 4: Get Ready for PrePar (10’)

Step 4.1 Consider the *Participatory Actions* and the *Participatory Roles* cards. Discuss them.

Option 4.2

Propose

Use the *Participatory Action* template to add other method(s) you want to propose. Explain them.

Option 4.3

Evaluate

Organize all of them on the feasibility / efficiency matrix. Discuss.

Get participants to understand possible participatory methods / tools

In the next phase (PrePar), you’ll have to decide how the participatory process should be organized, with / by / for whom, with which method, in order to get your water management plan designed, agreed and implemented.


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Action 5 Prepare Participation: PrePar (40’)

Step 5.1 Look at the multi-level *PRE-PAR chart*. Understand: lines = scales, actors // columns = phases.

Step 5.2 For each phase, you can specify up to 2 sub-steps (or not). Write captions on the headline with post-its.

Step 5.3

For each step, WRITE *participatory actions* and/or *participatory role* (ref. cards) at their main implementation scales. If multi-level, specify WHO is engaged by *drawing* vertical lines or dots. Write Outcomes on the bottom line.

Option 5.4

Add *Alert Stars* where you consider there is a risk / contingency in the plan. Discuss solutions. What happens in case of conflict during the process ?

Get participants to build and agree on a plan and rules for decision and participation, at different levels


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Action 6 Individual feedback (10’)

Please fill the individual feedback form on paper or online at : http://pwg.watagame.info


http://pwg.watagame.info/

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Action 7 Global Discussion (40’) In your address, please specify topic: 1. Pros & Cons of Fostering Wider

Participation for Water Governance

2. Value of new methods (please ref. to

*Participatory Action* cards)

3. Participation to design participation

PrePar vs. usual engineering

4. Emerging needs and expectations


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THANK YOU !!!

All results will be shared through the OECD WGI coordination.


Nils Ferrand (IRSTEA) - 6th WGI Meeting (2-3 November 2015, Paris)

Environment

Transcript of Nils Ferrand (IRSTEA) - 6th WGI Meeting (2-3 November 2015, Paris)