Options inside the water box

PART Chapter 14 4 Options inside the water box Authors: George de Gooijer, Walter Rast and Håkan Tropp Contributors: Virginie Aimard, Guy Allaerts, Maggie Black, Rutgerd Boelens, Stefano Burchi, Hein Engel, Joakim Harlin, Molly Hellmuth, Sarah Hendry, Andrew Hudson, Anders Jägerskog, Henrik Larsen, Patrick Moriarty, Eelco van Beek, Peter van der Zaag and James Winpenny Coordinator: Håkan Tropp (UNDP) Facilitator: George de Gooijer Key messages There are many practical examples of solutions within the water domain. Some options show particular promise: Supporting institutional development, to prepare institutions to deal with current and future challenges, through such reforms as decentralization, stakeholder participation and transparency, increased corporatization where feasible and fair, partnerships and coordination (public-private, public-public, public-civil society), and new administrative systems based on shared benefits of water, including when water crosses borders. Considering the influence of water law, both formal and customary, including regulations in other sectors that influence the management of water resources. Consulting with stakeholders and ensuring accountability in planning, implementation and management as well as building trust within the water and related sectors and fighting corruption and mismanagement. Strengthening organization structures and improving the operating efficiency of water supply utilities to improve service quality and increase the coverage and density of connections, while also boosting revenues and creating a more viable financial base to attract further investment. Developing appropriate solutions through innovation and research. Developing institutional and human capacity, both within the water domain and in areas or sectors outside the water domain. Capacity development can occur through traditional forms of education, on-the-job training, e-learning, public awareness raising, knowledge management and professional networks. Creating a favourable investment climate of sound management accountability and good governance within the water sector. This should include new approaches such as payment for environmental services. Programs and activities are under way around the world that directly address the assessment, allocation or conservation of water resources. Improving water WATER IN A CHANGING WORLD WWDR 021609.indd 241 governance includes more efficiently managing available water resources and current and anticipated water uses, and informing water users, stakeholders and decision241 2/16/09 5:50:27 PM PART 4 Identifying and implementing effective governance responses to water-related problems remain an elusive goal Chapter 14 makers about the consequences of actions taken (or not taken) to address such issues. This chapter focuses on what can be done within the domain of water managers to address water problems. Because other publications and reports already deal with the technical and engineering aspects of response options,1 the main emphasis is on strengthening policy and laws, water resources management, technical capacity, finances and education and awareness. Undergirding solutions inside the water domain is good water governance, which influences the choices people make about the use (or misuse) of water resources. This focus includes such approaches as water supply and demand management, as well as processes to ensure the collection, analysis and use of the data necessary for making water allocation decisions within a policy framework that is flexible, comprehensive and realistic. Water governance reform: strengthening policy, planning and institutions In this Report water governance refers to the political, social, economic, legal and administrative systems that develop and manage water resources and water services delivery at different levels of society while recognizing the role played by environmental services.2 It encompasses a range of water-related public policies and institutional frameworks and mobilization of the resources needed to support them. Governance issues overlap the technical, environmental and economic aspects of water resources and the political and administrative elements of solving water-related problems (see chapter 4). Identifying and implementing effective governance responses to waterrelated problems – taking into account the differing contexts in which they may be applied, their integration with other sectors and their impacts on water use equity, efficiency and environmental sustainability – thus remain an elusive goal. Although many governments have met increasing water demands primarily by augmenting water supplies, many also apply management and technological solutions to address water demands, including more efficient use and conservation. As pressures on water resources continue to rise, countries will also need to consider reallocating water resources from one sector to another, further politicizing water issues within countries and between them. Water reallocation and demand 242 WWDR 021609.indd 242 management options include administered solutions (such as allocating less water to agriculture) and economic incentives (providing price signals to decision-makers about the opportunity costs of water). Capital investments in infrastructure, sorely needed in many countries, also require investments in capacity and institutional development to realize and sustain the benefits of increased investments. The stages of water development and management range from situations in which virtually all water development possibilities have been exhausted (as the Fuyang basin in China, and in the Middle East and North Africa region) to situations in which water development potential still exists (such as the East Rapti River basin in Nepal and many sub-Saharan countries).3 Improved planning policies and laws are critical response options. Effective enforcement by government agencies and acceptability and compliance by providers, users and stakeholders are also important to the effectiveness of many water management reforms, as evaluation of the effectiveness of lake basin management interventions in many developing countries has shown.4 Integrated approaches to water planning and reform Both developed and developing countries are reforming their water resources planning policies and laws. European Union members, for example, are implementing the Water Framework Directive. Many middle- and low-income countries in Africa, Asia and Latin America are engaging in reform, focusing on principles of integrated water resources management. A recent United Nations report concluded that implementation of the practices, especially water use efficiency improvements, is lagging (box 14.1).5 Implementing integrated water resources management is proving more difficult than envisioned. The approach was meant to facilitate integrating water priorities and related environmental issues into national economic development activities, a goal often considered only after many development activities have already been undertaken (box 14.2). The Sixteenth Session of the Commission on Sustainable Development endorsed integrated water resources management as a framework and essential tool for effectively managing water resources. It recommended that its review on progress in the water and sanitation sector go beyond mere stocktaking of integrated water resources management efforts.6 WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:27 PM PART Options inside the water box Box 14.1 UN-Water survey on progress towards 2005 targets for integrated water resources management and water efficiency plans The growing stress on water resources presents managers with increasingly difficult decisions for managing water sustainability. Integrated water resources management assists such decision-making by drawing attention to efficient, equitable and environmentally sound approaches. At the World Summit on Sustainable Development in 2002 countries agreed on a global target to develop integrated water resources management and water efficiency plans by 2005, with support to developing countries throughout all levels. In 2007/08 UN-Water conducted a survey of government agencies in 104 countries (77 of them developing countries or economies in transition) to assess progress towards the target. A questionnaire was prepared by a UN-Water task force and sent to all Commission on Sustainable Development focal points by the United Nations Department of Economic and Social Affairs. It included questions in the following categories: • Main national instruments and strategies that promote integrated water resources management (policies, Box 14.2 laws and integrated water resources management plans). • Water resources development, represented by such items as assessments, regulatory guidelines and basin studies. • Water resources management, as reflected in programs for watershed management, flood control and efficient allocation. • Water use, represented by water use surveys and programs for managing agricultural, industrial and domestic water uses. • Monitoring, information management and dissemination, as reflected in monitoring and data collection networks. • Institutional capacity building, represented by such items as institutional reforms, river basin management institutions and technical capacitybuilding programs. • Stakeholder participation, illustrated, for example, by decentralized structures, partnerships and gender mainstreaming. • Financing, represented by such items as investment plans, cost recovery mechanisms and subsidies. Of the 27 developed countries that responded, only 6 have fully implemented national integrated water resources management plans. Another 10 countries have plans in place and partially implemented. Particular areas of improvement are public awareness campaigns and gender mainstreaming. Of the 77 developing countries that responded 38% had completed plans, with the Americas at 43%, Africa at 38% and Asia at 33%. Africa lags behind Asia and the Americas on most issues, although it is more advanced in stakeholder participation, subsidies and microcredit programs. Asia leads in institutional reform. The survey concluded that to adequately assess the needs for advancing implementation of integrated water resources management, countries needed better indicators and monitoring. Source: UN-Water 2008. Responses to impacts of non-integrated approaches to water resources management The transboundary Rio Grande River between the United States and Mexico (called Rio Bravo in Mexico) illustrates the negative impacts of nonintegrated water resources management. In both countries the region is one of the fastest growing, benefiting from the enhanced economic activities associated with the North American Free Trade Agreement (NAFTA). One result of NAFTA has been a proliferation of product assembly plants (maquiladoras) on the Mexican side of the border, making it a magnet for job seekers in Mexico. This growth was accompanied by a proliferation of informal settlements (colonias) on both sides of the border. Further, there is extensive agriculture in the lower Rio Grande Valley, making agriculture an important economic sector for Mexico and Texas. Finally, there are seven major paired urban areas along the international portion of the Rio Grande. Because of the associated water demands, approximately 96% of the average flow of the river is allocated for municipal, agricultural and industrial uses. Although water allocations are governed by several treaties, the river also is subject WATER IN A CHANGING WORLD WWDR 021609.indd 243 4 to the jurisdictional concerns of federal and state agencies in three states in the United States and five states in Mexico. With responsibility for the river’s quantity, quality and allocations residing in several international, national and state organizations with differing mandates in two countries, much of the river is overallocated and degraded. An analysis of 67 EU projects related to integrated water resources management during 1994-2006 provides insight into the practical challenges facing implementation. The analysis finds that integrated water resources management can provide a useful reform and planning framework, even though it has not yet provided unequivocal guidance on implementing national water planning and reforms. To be most effective, the analysis suggests, integrated water resources management must consider policy formulation and implementation as primarily a political process involving government officials, the private sector and civil society. Source: Moore, Rast, and Pulich 2002; Gyawali et al. 2006. 243 2/16/09 5:50:27 PM PART 4 Too often, only part of the sanitation system is implemented under the guise of being a sanitation solution, and it is later discovered that other components are missing Chapter 14 For example, progress towards meeting the Millennium Development Goal for sanitation is lagging behind expectations partly because of the traditional approach to this issue. ‘Sanitation’ usually refers to a single technology or instrument designed to handle excreta and wastewater. Septic tanks, pit latrines and composting toilets, among others, are often referred to as ‘sanitation systems’, when in fact they are technological components. When designed appropriately and linked to a range of other components, they form a robust, sustainable sanitation system. Too often, only part of the sanitation system is implemented under the guise of being a sanitation solution, and it is later discovered that other components are missing. Examples of such components include provisions for treated effluent (which is often diverted into open drains), fæcal sludge (which is often dumped in open fields) and other side streams that may be generated (such as water from sinks and showers). While the technological components themselves may work, the system as a whole will probably be short-lived. A sustainable sanitation system includes all the components (physical parts and actions) required to adequately manage human waste. When ‘sanitation’ is Box 14.3 Several principles underlie the Tunisian water strategy. First is shifting from isolated technical measures to a more integrated water management approach – for example, a participatory approach giving more responsibility to water users. Some 960 water user associations were created, encompassing 60% of the irrigated public areas. Second is the gradual introduction of water reforms and their adaptation to local situations. Third is the use of financial incentives to promote water-efficient equipment and technologies. Fourth is supporting farmer incomes to allow them to plan for and secure agricultural investment and labour. And fifth is a transparent and flexible water pricing system, aligned with national goals of food security, that will gradually lead to the recovery of costs. WWDR 021609.indd 244 A more sustainable, holistic sanitation system can be designed by using components that would, in conjunction with existing or innovative new technologies, improve coverage and service while reducing the environmental burden. Several frameworks for a more systematic way of looking at sanitation systems already exist.7 Allocating and reallocating water and financial resources is unavoidable in water policy and management. Different Water resources management in Tunisia Water resources management in Tunisia began with development of the supply side, addressing the water demands of various sectors. The country has since established a system of interlinked water sources, making it possible to provide water for multiple purposes, including mixed low- and higher-salinity waters, which makes less usable water more productive. The country developed a national water-savings strategy for both urban and agricultural needs at an early stage of water planning, confirming a cultural ‘oasis’ tradition of frugal management of scarce water resources. 244 considered as a multistep process and not as a single point, waste products are accounted for from generation to ultimate destination. This concept describes the lifecycle of wastes generated at the household level, which are then processed (stored, transformed and transported) until reaching a final destination. Ideally, waste would be used beneficially, with the nutrients, biogas, soil-conditioner and irrigation water components recovered from wastes and with wastewater used to benefit society in a cycle (‘closing the loop’). For example, biogas could be used for cooking gas or electricity, soil fertility could be increased with added soil-conditioner from sludge drying beds and crop production in peri-urban agriculture could be improved through nutrient-rich irrigation water from a constructed wetland. Irrigation water demands have been stable for the past six years, despite increasing agricultural development, seasonal peaks in water demands and unfavourable climate conditions (including droughts). The country is now addressing the current water demands of tourism (a source of foreign currency) and of urban areas, to maintain social stability. Wastewater from urban centres is treated and made available for agricultural use. A targeted pricing policy enables full recovery of operating costs of water services, with tourists paying the highest water prices and household users the lowest. Water system monitoring is extensive, including real-time information on all irrigation flows. One result is improved groundwater storage and vegetation recovery in sensitive natural areas. The current plan ends in 2010. Despite successes, however, Tunisia’s water resources are still under considerable stress. The combination of increasing population growth and rising water use in all sectors signals major future threats, providing the impetus for considering scenarios to address future allocation choices. Source: Blue Plan, MAP, and UNEP 2002; Treyer 2004; UNEP 2008. WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:28 PM PART 4 Options inside the water box stakeholders may see themselves as either winners or losers as a result of the changes arising from reform and planning efforts. Thus, planning should clearly identify the trade-offs among various management options (box 14.3). Further, coping with water deficits and challenges often requires improved engagement between water actors based on water management and allocation issues that extend beyond watershed boundaries.8 One clear conclusion is that water governance, management and use cannot be considered independently if the goal is water resources sustainability. Both the causes of water problems and their solutions are partly embedded in processes and forces outside the water domain (see chapter 15). Some countries are developing scenariobased planning tools. The Netherlands has used scenario-based planning to help make decisions on water management options. Its first plan, during the late-1960s, addressed only water quantity, but more recent plans have evolved into a multifaceted water management process, with a main pillar being stakeholder involvement, from other ministries and local Box 14.4 Many Asian countries have essentially exhausted opportunities to further expand irrigated agriculture and other water diversions. The objective in these cases is to increase the productivity of developed water resources and the effectiveness of water-management institutions.9 But despite progress in improving water management, many countries still face major challenges, a consequence of increasing population, growing water use by all sectors and the approaching impacts of climate change. Few countries have internalized water resources management concerns into their socioeconomic development policies and governance systems Institutional developments: current response options in water reform The ability of water management agencies to address water variability and to deal with risk and uncertainties such as climate change varies considerably, mainly because few countries have internalized water resources management concerns into their socioeconomic development policies and governance systems. Nor are countries fully including water stakeholders in the decision-making process, particularly at Integrated water planning in the Netherlands The Netherlands is preparing its fifth integrated water management plan, with the possible consequences of climate change high on the agenda. Its first plan, prepared in 1968, was supply-driven and addressed only quantity issues. Deteriorating water quality, and the very dry summer of 1976, led to fundamental changes in the country’s approach to water management. The second plan had to be completely different, so the Policy Analysis of Water Management for the Netherlands was carried out before drafting the second plan. For the second plan, despite a thousand years of experience in water management, the government enlisted the assistance of the RAND Corporation, a U.S.-based think tank with extensive experience in complex policy processes. The company had been involved in an earlier integrated water project in the Netherlands – the storm surge barrier, a multibillion dollar project to protect the southern part of the country – helping them secure close cooperation of other ministries and governmental levels involved. The plan was expected to achieve three primary ends: develop and apply a methodology for producing alternative water management policies, assess and WATER IN A CHANGING WORLD WWDR 021609.indd 245 authorities to the private sector and the public (box 14.4). compare their consequences and help create domestic capability to conduct similar analyses by the related Dutch entities. Using more than 50 models, the project resulted in a much better operational understanding of the water system. Multiple cost-benefit analyses of options to improve water management led to the identification of implementable local projects and helped avoid large, expensive infrastructure works that proved not to be cost-effective. An important conclusion was that water quality problems cannot be solved at the national level – for example, reallocating water could inflict large losses on some sectors. Tight restrictions on groundwater abstractions were needed to meet desired environmental standards, which would impose large losses on some users. The second plan, published in 1984, reflected this complete change in thinking about how to develop and manage the water system. Subsequent water management plans continued to develop integrated water resources management. The third plan (1989) added in-depth analysis of the role of ecology in water management, and the fourth plan (1998) focused on specific water systems and themes, facilitating implementation of needed actions and clarifying institutional roles. The evolution of these five water plans, each building on its predecessor and responding to changing circumstances, facilitated significant shifts in thinking and engendered new approaches to water management. From its origins in a technical, supply-oriented, model-based decision process, the planning process is now multifaceted, with a main pillar being stakeholder involvement (other ministries, local authorities, public and the like) with a focus on sustainability and climate proofing related to anticipated changes. The lessons learned from developing the five water management plans in an integrated manner are that implementing complete integrated water resources management takes time (more than 30 years in the Netherlands), that external input can facilitate implementation of new concepts and that full involvement of all stakeholders is needed. While cooperation may not always be possible, involvement is essential. By helping stakeholders understand the difficult trade-offs, the participatory practices made it easier to accept the importance of change for the greater good of society. Source: E. van Beek, H. Engel and G. C. de Gooijer. 245 2/16/09 5:50:28 PM PART 4 Chapter 14 Many components of ongoing water reform are part of broader governance reform agendas Box 14.5 the basin level. And still missing are the information, planning tools, management strategies, and human, institutional and system capacities needed to meet local demand for sustainable water development under conditions of climate variability and change. Many institutional systems are unable to adapt to current and future challenges because of such factors as political power monopolies, unilateral steering by government and bureaucracy, hierarchical control, top-down management and institutional fragmentation. These institutional characteristics also prevent political decision-makers from being fully informed by water sector managers. Still, many developing countries and economies in transition are transforming their water management systems through integrated water resources management approaches. They are incorporating such elements as decentralization (subsidiarity), transparency and stakeholder participation, administrative systems based on river basins and catchments, coordination and integration, partnerships (publicprivate, public-public, public-community/ Responsibility for rural water supply was transferred to local municipal governments and communities, coordinated by the decentralized Community Water and Sanitation Agency. Elected district assemblies are responsible for processing and prioritizing community applications for water and sanitation, awarding contracts for wells and latrine facilities and running latrine subsidy programmes. Village-level participation is part of the new structure. Village water committees plan for local water supply and sanitation facilities and raise funds for investment and operation and management costs. An assessment in 2000 found greater satisfaction with water quality and quantity at the village level. Most community residents contributed financially to these efforts, indicating that they received adequate value for their WWDR 021609.indd 246 Decentralization and participation. Many components of ongoing water reform are part of broader governance reform agendas. Uganda, for example, has transferred water responsibilities to district and lower levels, receiving broad and strong political support within the country and illustrating that water reform is an integral part of reform efforts. Most countries have devolved provision of drinking water to the municipal government level. Nevertheless, decentralization and devolution remain problematic. Ethiopia, for example, has transferred important decision-making responsibilities to district and village levels, but has not followed up with capacity development and transfers of funds. Ghana’s experience illustrates the importance of user participation and shows how financing can be resolved, demonstrating that decentralization and participation can yield positive outcomes; Bolivia’s experience illustrates the beneficial use of cooperatives in such efforts (box 14.5). Participatory approaches in decentralized provision of water supply and sanitation services Enhanced decentralization and participation for rural water supply and sanitation in Ghana. Ghana changed its rural water supply structure, expanding coverage through greater participation and more efficient delivery systems over a period of about 10 years. Water supply coverage rose from 55% in 1990 to 75% in 2004, with most of the increase in rural areas. Decentralization has been a part of broader political reform and improved governance structures. 246 civil society), use of economic instruments and increased commercialization and privatization. investments. Members of the village water and sanitation committees have received training and opened bank accounts, and women have played an active role in many communities. population. By 2002 SAGUAPAC was providing water to approximately 95% of the population in its service area and sewerage services to about 50%. Cooperative for Urban Water and Sanitation Services Delivery in Santa Cruz, Bolivia. Utility cooperatives were initially formed to provide utility services – mainly in rural areas where investor-owned utilities would not expand because of profitability concerns – usually providing services at at-cost prices. Based on a classical cooperative model, SAGUAPAC has a 27-member Delegate Assembly (three members from each of the nine districts) that elects members of the Administration and Oversight Boards. (Some Bolivian utility cooperative boards have a general assembly instead, open to universal participation.) The Cooperative for Urban Water and Sanitation Services in Santa Cruz (SAGUAPAC) provides water and sewerage services to Santa Cruz, Bolivia, a city of 1.2 million inhabitants. The national government approved the autonomous water board’s request in 1979 to transform itself into a cooperative, recognizing that a different model was needed to provide services efficiently to a rapidly growing population. Civil opposition to state ownership and recognition that community participation was needed to achieve service improvements contributed to the adoption of a cooperative structure. SAGUAPAC applies the principles of autonomy, accountability, customer orientation and market orientation. It has become one of the largest urban water cooperatives in the world – serving approximately three-quarters of a million people and billing close to $19 million a year. Assessed against international standards, its performance over the years is considered very good, providing continuous service with good quality water through house connections and maintaining satisfactory financial performance. Most connections are metered (97%), and tariff collection efficiency is 90%. SAGUAPAC’s service area covers about 63% of the city area and 66% of its Source: WSP-AF 2002; UNDP 2006; Ruiz-Mier and Van Ginneken 2006. WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:28 PM PART Options inside the water box River basin management. River basin management integrates physical and administrative boundaries, nesting them within each other at different scales. The aim is to improve coordination in water decision-making. River basin management structures have been installed in many countries, including Australia, Brazil, Kazakhstan, Kenya, South Africa and EU member countries. The European Union Water Framework Directive is a stringent programme for establishing sustainable water resources management. It has had a major impact in new member countries, largely by mobilizing funding for improved water resources management. The government of Québec (Canada) has drafted a water law that identifies river basins as the fundamental water management unit. Evidence from countries such as South Africa suggests that organizations and catchment bodies smaller than the river basin scale may be ineffective, may be too complex to implement and may offer benefits that are difficult to clearly identify. Several river basin organizations have Box 14.6 Sectoral approaches to water resources management inevitably lead to fragmented, uncoordinated development and management Coordination and integration. Coordination with related sectors (agriculture, industry, energy and so on) is vital for improving water resources use and allocation (see chapter 15). But sectoral approaches to water resources management inevitably lead to fragmented, uncoordinated development and management. Fragmented institutional frameworks and overly complex coordination mechanisms in the water sector are common in many countries.11 When appropriate links are missing, different ministries and agencies deal separately Integrated management of land-based activities in São Francisco basin, Brazil The United Nations Environment Programme (UNEP), in cooperation with the National Water Agency (ANA) of Brazil and the Organization of American States (OAS), and with funding from the Global Environment Facility, undertook a project during 1999-2002 to develop a watershed management programme for the São Francisco River basin. The basin traverses five states in Northeastern Brazil before discharging into the Atlantic Ocean. The basin is strategically important to the economic development of a vast region of Brazil, which has subjected its natural resources to increasing demands. Mining, agricultural, urban and industrial activities contribute large contaminant loads to the system, including organic chemicals, heavy metals and sediment. Environmentally sensitive estuarine wetlands at the river mouth were threatened by unsustainable hydrologic management and land use practices in the basin. The basin’s economic development has been haphazard, occurring within a weak institutional framework and resulting in less than optimal use and degradation of its water resources. Regulated flows over large stretches also have altered natural flows, causing changes in the freshwater, estuarine and marine flora and fauna. The initial project objective was to conduct planning and feasibility studies for formulating an integrated watershed management plan as the basis for environmentally sustainable economic WATER IN A CHANGING WORLD WWDR 021609.indd 247 found implementation challenging, experiencing considerable uncertainty about their roles and functions in implementing integrated approaches to water resources management. Most organizations have limited financial autonomy and depend on money from the central government and the donor community.10 Despite the spread of river basin organizations at both national and international levels (box 14.6), examples of progress are difficult to find. It is unclear whether this is due to unsatisfactory performance or too short a period to document experiences and results. 4 development of the basin. Components included river basin and coastal zone environmental analyses, public and stakeholder participation, development of an organization structure and formulation of a watershed management programme. Concluded in 2002, the environmental analysis provided a sound scientific and technical basis for remedial actions to protect the coastal zone from land-based activities. Communities were involved in identifying and field testing remedial measures, and a process was established for dialogue among stakeholders and agencies with economic interests in the basin. Basin institutions are being equipped and trained to implement new laws, regulations and procedures for addressing environmental problems. Finally, agencies and individuals both inside and outside government synthesized data and experiences and prepared feasibility assessments and cost analyses for a long-term basin management programme. Some 217 public events were held, including seminars, workshops and plenary sessions. More than 12,000 stakeholders, including more than 400 organizations, universities, non-governmental organizations, unions, associations and federal, state and municipal government organizations, participated in the events. A comprehensive Diagnostic Analysis and Strategic Action Program for the Integrated Management of the São Francisco basin was completed in 2003 and is currently being implemented. Source: ANA 2004. 247 2/16/09 5:50:28 PM PART 4 Integrated water management approaches must have institutional and legislative governing frameworks to ensure oversight and monitoring of water resources and participation of target groups Chapter 14 with water’s many subsectors. Weak water governance encourages economic sectors to compete for larger shares of water resources, to boost economic development or satisfy national production needs. Similarly, where interjurisdictional water governance is weak, riparian countries and jurisdictions sharing a water resource compete to develop their own water infrastructure and use. As this Report shows throughout, it is the leaders in government, business and civil society who make the decisions that determine effective water use policy (see also chapter 15). Some countries have identified a need for coordination not only among ministries but also with subnational levels in implementing water policy and legislation. Integrated water management approaches must have institutional and legislative governing frameworks to ensure oversight and monitoring of water resources and participation of target groups. Thus, intersectoral coordination of water uses and involvement of water users are necessary at different levels of decision-making.12 One approach is to establish water councils, including high-level national water councils, river and basin councils, subnational (regional, governorate, state) councils and water users associations (see box 14.5). Experience with national and subnational water councils is extensive, and their functioning and political influence can vary considerably. Their main purpose is to develop links and structures for managing water resources across sectors and involving water users and stakeholders in planning and strategy development.13 Partnerships. Partnerships have been promoted within the water supply sector to improve services. Most have been publicprivate partnerships, and results have been mixed. Some countries are revising procedures for public-private partnerships (for example, Argentina), while others Box 14.7 WWDR 021609.indd 248 Other types of partnerships involve civil society, municipalities and the private sector. To be successful, these partnerships require adequate capacity in civil society and private sector organizations and commitment from municipal governments and agencies. Proper incentives and mutual trust are also important.14 Argentina, Colombia, Honduras, Paraguay and Peru have experience with partnerships going beyond the private sector. The Cartagena Partnership in Colombia, for example, was initially a partnership of municipal authorities, the community and a private water company. It explicitly involved community organizations in mobile payment collection units to collect fees from residents, establishing a clear accountability mechanism for fee collection. In Porto Alegro, Brazil, the municipality, community organizations and the public water company developed a partnership establishing participatory budgetary processes and charging water fees based on consumption rather than property taxes. The partnership improved the financial base for the public water company. Brazil developed its water resources with eight major coordination mechanisms over a long period and implemented far-reaching institutional and legal changes. The 1988 Constitution specified federal and state government responsibilities and legal authority. The Ministry of Environment and Water Resources was created in 1995, and the National Water Resource Policy Law was passed in 1997. States also passed water laws. The reforms include establishing national, basin and state councils to improve managerial coordination and resolve water conflicts within the federal framework. The public utility (Municipal Department of Water and Sewage) operates The right to water Some countries identify access to water as a human right in their constitution or other high-level legal instrument, thereby opening up constitutional courts and legal mechanisms to individuals and communities seeking to challenge inadequate access. A referendum in Uruguay in 2004, for example, added a human right to water to the Constitution, with more than 64% of the population voting for the amendment. The High Court in South Africa ruled on 30 April 2008 that prepayment meters in Johannesburg 248 see no need for change. Some countries (Bolivia, for example) reject any private sector participation in water supply and sanitation. were unconstitutional on grounds of discrimination and that Johannesburg Water could afford to supply a minimum amount of water (50 litres a day) to each citizen. Courts in other countries (for example, Argentina, Brazil and India) have also sometimes reversed decisions to disconnect water supplies to poor people who cannot afford to pay. The long-term viability of this approach, however, remains unclear. Source: COHRE 2007. WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:29 PM PART Options inside the water box under a no-dividend policy, reinvesting all profits and investing at least a quarter of annual revenue in water infrastructure.15 In Honduras the national water and sanitation operator (SANAA) has long worked with community-based organizations to improve services and procedures. And Malaysia entered into a partnership in an effort to reduce non-revenue losses (box 14.8). the legal framework and a draft Zero Investment Plan (2003), Kenya’s water sector has undergone radical reform in policies and strategies, with the aim of reducing poverty. Associated goals include efficient service delivery, respect for consumer rights, financial sustainability and service coverage to poor people in both urban and rural areas. Examples from some other countries are illustrated in boxes 14.7 and 14.9. Involving the informal private sector (water vendors) also can improve service delivery and help reduce quality-related problems. New contractual approaches have been developed in Paraguay, for example, to target aguateros (mostly smallscale water companies), which have developed piped water supplies in peri-urban areas without public funding. These aguateros can now legally take part in public bidding processes, and their performance can be tracked, improving accountability.16 These examples show that opportunities exist for innovative partnerships and that there is room for new institutional models. Local water user groups and communities sometimes acknowledge customary rights to water use and allocation (box 14.10). In rural areas customary water rights often include operational rights and the right to participate in decision-making about operations, inclusion or exclusion of members, water distribution, irrigation schedules, flow rates and organizational positions and responsibilities.17 African chiefs in charge of villager access to wells and the water court in Valencia, Spain, which regulates irrigation water access, are examples of practices that reflect customary rights. Water institutions and law Law and policy are connected, with implementation of laws often being a trial and error effort requiring feedback and practical cases that interpret certain aspects of water law (see chapter 4). The government of Kenya, for example, enacted a Water Act in 2002 that established a new policy framework for the water sector. Guided by Box 14.8 Local water user groups and communities sometimes acknowledge customary rights to water use and allocation Another example of customary rights is the traditional subak system of irrigation water distribution and use among the traditional rice-growing communities in Bali, Indonesia. The Indonesian Water Act of 2004 recognizes communal rights of local traditional communities as long as they do not contravene legislation and national interests. This is the standard formulation of customary rights protection in water Public-private partnership for reducing non-revenue water losses in Malaysia Many water utilities lose large quantities of water through distribution system leakage or billing weaknesses (so-called ‘non-revenue water’), which can undermine their financial viability. The state of Selangor, in Malaysia, experienced a serious water crisis in 1997 attributed to the El Niño weather phenomenon. The distribution leakage rate for the State Waterworks Department was estimated at 25%, or 500,000 cubic metres (m3) a day, sufficient to serve an estimated 3 million people daily. To address the problem, the State Waterworks Department employed a locally led consortium, in a joint venture with an international operator. The contract called for reducing non-revenue water losses by 18,540 m3 a day for a payment equivalent to $243 per cubic metre per day of non-revenue water saved. The contractor was given the flexibility to design and implement activities to reduce losses, with a payment arrangement in place to cover necessary work and materials for detecting and repairing water leaks, identifying illegal connections, replacing customer meters as needed and establishing zones WATER IN A CHANGING WORLD WWDR 021609.indd 249 4 for reducing non-revenue water (district-metered areas). During an initial 18-month phase I, the validity of the concept was tested on a limited portion of the water delivery network. Phase I exceeded its target, saving 20,898 m3 a day. Twenty-nine district-metered areas were established, with an average savings of 400 m3 a day in each area, and some 15,000 water meters were replaced. The cost to the State Waterworks Department was about $215 per cubic metre a day. Phase II (2000-09) has an overall reduction target of 198,900 m3 a day, for a payment equivalent to $528 per m3 a day. Based on interim results at the beginning of the sixth project year, 222 district-metered areas were established, more than 11,000 leaks were repaired and 119,000 water meters (of a contractual minimum of 150,000) were replaced. Non-revenue water losses were reduced by 117,000 m3 a day (20% above the 2009 contract target of 97,500 m3 a day), and commercial losses were reduced by 50,000 m3 a day. Source: Kingdom, Liemberger, and Marin 2006. 249 2/16/09 5:50:29 PM PART 4 A growing number of countries and cities are incorporating water-related adaptations to climate change into planning and policy efforts Chapter 14 Box 14.9 Examples of legal frameworks for managing water Effectively managing competing water uses requires clear, widely accepted rules on allocating water resources, especially under conditions of scarcity. Water allocation systems should balance equity and economic efficiency. One means of avoiding conflicts of interests in water legislature is to separate policy, regulation and implementation functions, as Kenya does. The Ministry of Water and Irrigation focuses on policy formulation and guidance, while the Water Services Regulatory Board and Water Resources Management Authority address national and regional regulatory functions. Water service providers (such as community groups, non-governmental organizations, autonomous entities established by local authorities and the private sector under contract to regional water services boards) implement water supply and sanitation services. Mexico passed the Law on National Waters in November 1992, and implementation regulations were adopted in January 1994. Box 14.10 legislation in countries where customary law is extensively practiced. Although lacking in detail and clarity, such statements can suffice in areas with strong social cohesion and where competition for water from ‘outsiders’ is limited.18 Climate change and water resources As chapter 5 demonstrates, climate change and variability have many potential impacts, both locally and globally. They may directly affect the quantity and quality of water resources. Climate change and variability also act on the other drivers and thus on water use and demand. The responses to challenges posed by climate change will likely be specific for each country or even parts of each country. WWDR 021609.indd 250 Implementation and enforcement of the new regulatory structure began in 1993 with a survey and registration of abstractions and disposals. It took 10 years, and a series of intermediate regulatory adjustments and massive information campaigns, to complete the process. Source: Velasco 2003. Recognizing customary practices in drafting laws The framers of the Namibia Water Resources Management Act of 2004 were aware of the potential for deeply rooted customary practices – particularly livestock herding by traditional communities – to clash with the development of large-scale irrigated agriculture or tourism supported by administrative rights for the same waters used by herders. The new act prescribes the processing of abstraction licences and the criteria to inform decisions on licence applications. The law recognizes the existence of a ‘traditional community’ and the extent of its reliance on a water source affected by a proposed water abstraction (section 35(1)(h)). Accommodation of the ‘reasonable requirements’ of any traditional community is included among the standard terms and conditions of abstraction licences (section 37(e)). 250 Amendments in 2004 added a package of regulatory, economic and participatory approaches to water resources allocation and pollution control. These include river basin planning, licensing of water abstractions and uses, permitting for wastewater dischargers, charging for water abstractions and wastewater disposal and articulation of federal government administration at the river basin and aquifer levels. The amendments also include provisions for recording legal instruments in a public water rights registry and providing opportunities for community participation through water user organizations and membership in basin councils. Another example of customary rights is the traditional subak system of irrigation water distribution and use among the rice-growing communities in Bali, Indonesia. The Water Act of 2004 recognizes communal rights of local traditional communities as long as they do not contravene legislation and national interests. This is the standard formulation of customary rights protection in water legislation in countries where customary law is extensively practiced. Although lacking in detail and clarity, such statements can suffice in areas with strong social cohesion and where competition for water from ‘outsiders’ is limited. Source: Stefano Burchi, Food and Agriculture Organization of the United Nations. Developments are taking place at policy levels. The National Adaptation Programmes of Action under the United Nations Framework Convention on Climate Change are still in their early phases. Many least developed countries must still coordinate climate- and water-related policies and actions. Bhutan is one example of a country that has coordinated its national water and climate change adaptation policies to meet short- and long-term threats of glacier lake outburst floods resulting from climate change-induced glacier melting.19 A growing number of countries and cities are incorporating water-related adaptations to climate change into planning and policy efforts, along with institutional and WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:29 PM PART Options inside the water box Box 14.11 Water-related responses to climate change London and Venice are redesigning their urban stormwater drainage systems to accommodate predicted changes in precipitation frequency and intensity. Tokyo is designing urban holding ponds under roads and parks to temporarily store storm runoff to avoid flash floods. Jakarta recently initiated a programme to construct a major stormwater drainage canal system (East Canal) to provide adequate drainage to its eastern half. Viet Nam has developed an extensive system of dikes, including 5,000 kilometres of river dikes and 3,000 kilometres of sea dikes, to protect from typhoons and rising sea levels. Countries in the lower Danube River basin in Eastern Europe restored thousands of hectares of aquatic habitat through floodplain restoration. technological measures to mitigate such predicted impacts as sea-level rise, more frequent droughts and increased precipitation (box 14.11). Consulting with stakeholders and avoiding corruption: accountability in planning, implementation and management Stakeholder engagement is important to improving water resources management through several channels, from direct participation in planning to expanding public awareness. One benefit is reducing corruption, a source of devastating social, economic and environmental impacts, particularly for poor people, and which can increase the investment costs of achieving the Millennium Development Goals. Engaging stakeholders: benefits and challenges Stakeholder involvement through public hearings, advisory committees, focus groups, stakeholder forums and the like has often improved water projects, programmes and related human livelihood opportunities. It can also increase public awareness of water issues while informing both the facilitators of change and those involved in it. An example is the study on diffuse water pollution of the North American Great Lakes conducted by the US-Canada International Joint Commission during the 1970s. The commission conducted public hearings throughout the basin, both to educate basin inhabitants about the study goals and to secure their inputs on potential problems and solutions (box 14.12). Some stakeholders who are left out of decision-making, such as small-scale farmers WATER IN A CHANGING WORLD WWDR 021609.indd 251 In Andhra Pradesh, India, removing silt from water tanks allows the capture of more monsoon runoff, resulting in additional benefits of less groundwater pumping, restoration of some dry wells and irrigation of an extra 900 hectares of land. Reconnecting lakes in the Hubei Province in China to the Yangtze River – by opening sluice gates and applying sustainable management techniques – increased wetland areas and wildlife diversity and population and will make the area more resilient to flood flows. There are potential scaling-up possibilities with this approach, as there are hundreds of sluice gates along the Yangtze River that disconnect it from nearby lakes. 4 Stakeholder engagement is important to improving water resources management through several channels, from direct participation in planning to expanding public awareness Source: World Bank 2008. and poor urban households, may respond by organizing their own activities (box 14.13). Irrigation management transfer in India, Mexico and Turkey, for example, led to investments in new techniques, better collection of water user fees and improved water resources management (box 14.14; see also box 4.4 in chapter 4). In 1998 in the Arwari River catchment in Rajasthan, India, the Arwari River Parliament, with 2,055 members in 70 villages in 46 microwatersheds, was formed to improve water management through controlled use of water. The river parliament also explored improving soil, land and forest management; increasing agricultural productivity; seeking participation by women and generating self-employment and alternative livelihood options. Its social, economic and environmental impacts have generally been positive, and increased agricultural production has expanded livelihood opportunities. The Arwari River Parliament has provided a platform to resolve land, water and forest management disputes.20 To provide useful communication tools and systems for exchanging information, data and experiences, the Emilia-Romagna region in Italy developed a national forum on water conservation as a common platform for discussion and comparison of water conservation policies. The forum highlights the most modern, innovative policies for water saving and conservation at the national level. It is organized into thematic working groups (water saving in civil, agricultural and industrial sectors; drinking water losses in distribution systems; and communication). To expedite its work, the forum has a Website,21 organizes an annual conference (held on World Water Day) and thematic workshops, produces newsletters and engages national and European experts. 251 2/16/09 5:50:30 PM PART 4 Chapter 14 Box 14.12 Public participation panels in the North American Great Lakes basin review of water quality The United States and Canada established the International Joint Commission under the Boundary Waters Treaty of 1909. The two countries signed the Great Lakes Water Quality Agreement in 1972, with the goal of restoring and maintaining the chemical, physical and biological integrity of the Great Lakes basin ecosystem. The agreement called on the commission to conduct a study of pollution in the Great Lakes system from diffuse (non-point) sources in its drainage basin. The International Reference Group on Great Lakes Pollution from Land Use Activities (PLUARG) was established to undertake the study, focusing on three major questions: • • Are the Great Lakes being polluted from land drainage from non-point sources in the basin? If so, what is the extent of this pollution, what are its causes and where is the pollution occurring? • What remedial measures can address these sources, and what would they cost? eight in Canada, comprising industrialists, small business owners, farmers, labour representatives, educators, environmentalists, women’s groups, sport and fishing associations, wildlife federations and elected and appointed government officials. Each panel met four times to discuss and make recommendations on the environmental, social and economic aspects of the study, with many expressing their goals for the Great Lakes. The panels reviewed and commented on a draft of the PLUARG report before its finalization and submission to the International Joint Commission. Each panel also submitted a report to PLUARG on its own views and recommendations on panel-identified problems, as well as suggested solutions. PLUARG also held numerous public meetings throughout the Great Lakes basin to gain additional perspectives. The input from the panels and the public meetings were a major contribution to the final report and the PLUARG technical report series. The PLUARG study, which involved scientists, managers and policy-makers from both countries, concluded that non-point sources (particularly agricultural and urban runoff) were responsible for water quality problems from phosphorus, sediments, polychlorinated biphenyls, persistent pesticides, industrial organic chemicals and lead on either a lake-wide or localized basis. Non-point sources also contributed significant amounts of nitrogen, chloride, non-persistent pesticides and heavy metals, although these pollutants did not yet constitute a water quality problem. Considering the many jurisdictions involved (see map), and the diversity of opinions to be considered, PLUARG recognized the need for public input to identify concerns and workable management strategies. PLUARG established nine public panels in the United States and Source: IJC 1978; PLUARG 1978. Great Lakes provincial, state and county jurisdictional boundaries during 1978 PLUARG study MINNESOTA LA KE RIOR SUPE CA NA US DA A ONTARIO N IA RG EO G N GA LAKE MICHI DA CANA USA WISCONSIN Y BA LAKE HURON DA NA A US CA MICHIGAN NEW YORK L ILLINOIS Great Lakes basin United States–Canada border Counties and districts INDIANA LAKE O ONTARI E AK E RI E DA NA CA USA PENNSYLVANIA OHIO Source: Great Lakes Commission. 252 WWDR 021609.indd 252 WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:33 PM PART 4 Options inside the water box Box 14.13 Grass-roots water federations in Ecuador In the highlands of Ecuador, as in other Andean countries, greater competition for declining water resources led to increasing conflicts and applications to register water rights. The provincial water agencies responsible for water allocations were understaffed, and water resources privatization, viewed as ineffective by many, was making national management and water conflict resolution more difficult. The decentralization of power to provincial authorities – rather than to user collectives – exacerbated perceptions of inequality and injustice in the water sector. In July 2005 thousands of water users demonstrated in Riobamba, demanding removal of the state water agency staff for inequitable treatment of indigenous peasant and female water users. Many community organizations Box 14.14 also gathered to establish a provincial water user federation (interjuntas), to build capacity among water user organizations and foster discussion forums on water policy-making and law. This intersystem organization now facilitates participation by some 280 irrigation and drinking water users organizations, all with mostly indigenous and small-farmer household constituencies. The interjuntas also facilitates conflict management among water users and among associated systems, especially between poor groups and landlords and between indigenous rural peoples and the state, through its centre for the defence of rights and mediation of conflicts. the Federation of Cotopaxi Irrigation Users now comprises 370 water user organizations composed of tens of thousands of minifundio (small land holding) water user families. Community water quantity and quality rights are represented at the national level through collaboration with the national water civil society platform, National Water Forum, and direct negotiations with the state. Federations such as interjuntas and the Federation of Cotopaxi Irrigation Users illustrate that equitable water distribution requires democratic decision-making and transparency of public investments and monitoring of government activities in the water sector. Other new water user organizations are starting to emerge. In Cotopaxi Province Source: Dávila and Olazával 2006; Boelens 2008. Participatory irrigation management and the role of water user associations Participatory irrigation management engages irrigation users at all levels and in all aspects of managing irrigation schemes. Based on the belief that water users are best suited to manage their water resources, participatory irrigation management allows considerable flexibility in water management methods. India. Despite large investments, the irrigation schemes in the Indian state of Andhra Pradesh have been in serious trouble because of deteriorating infrastructure and low agricultural productivity. Policy reforms were introduced in 1996/97 to deal with irrigation concerns, including a threefold increase in water user charges, creation of water user associations and capacity building in water user associations across the state. Institutional reforms included the creation of farmer-government partnerships in irrigation operations and maintenance, consolidation of irrigation management transfer, new cost recovery methods, expenditure prioritization and capacity building for state agencies and water user associations. Water user association board members are elected by local water users. Transferring management authority to user groups has created a strong sense of ownership and empowerment. Still, some studies criticize the reforms for being more a top-down government programme than a farmerinitiated effort, and some suggest that establishment of the water user associations resulted in needless proliferation of community organizations, when the village government could have handled the task (a view not shared by water users). Some constraints to the new management system include limited power supply in rural areas, below design water discharge levels and continuing dependence on government funds in many cases. Nevertheless, there have been many positive results. Collection of water tariffs increased from 54% to 65% during the first year of implementation. Management of irrigation canals by water user associations has resulted in more effective water use, with an additional 52,361 hectares being irrigated in 1998 in the Tungabadra High Level Canal. Irrigation canal water-carrying capacity rose about 20%-30%, and agricultural productivity increased. There was also a dramatic reduction in farmer complaints. Mexico. Most farming in Mexico is irrigated, with water services provided by the central government since the end of World War II. By the end of the 1980s the government was subsidizing more than 75% of the operation, maintenance and administration of irrigation districts – a non-sustainable outcome. As a result, farmers received relatively low-quality services for which they were reluctant to pay. Under an extensive programme of agricultural reform, management of irrigation districts was transferred to water user associations, with responsibility for irrigation systems to be shared between the associations and the then newly formed National Water Commission (CNA). After the transfer of irrigation management responsibilities, the rate of tariff collection more than doubled in five years, peaking in 1997 at 72%. Water fees were raised, sometimes more than 100%. The expectation was that the water user associations would become financially self-sufficient, generating enough resources to cover the costs of CNA. That has not yet happened, however, so those costs are still being covered by a ministerial fund. Nevertheless, the irrigation systems have become financially more self-sufficient. In the lower Bajo Rio Bravo Irrigation District, for example, self-sufficiency rose from 36% in 1989 to 100% in 1994. Turkey. Both the State Hydraulic Works and the General Directorate of Rural Services are responsible for managing soil and water resources in Turkey. The State Hydraulic Works is responsible for large-scale irrigation and water infrastructure; the General Directorate of Rural Services, for on-farm development and small irrigation schemes. Water scarcity has been a problem since the 1960s, and operation and maintenance of the country’s irrigation systems was a financial and institutional burden for the government. Revenue collection was difficult, and water use was very high. With support of the World Bank the central government began transferring irrigation schemes, even large ones, to water user associations in 1993, to reduce costs for the central agencies. Following Mexico’s example, Turkey transferred 1,350,000 hectares of irrigated land to the water user associations by 1997, with 87% of irrigation projects transferred by 2007. This rapid transfer of irrigation (continued) WATER IN A CHANGING WORLD WWDR 021609.indd 253 253 2/16/09 5:50:35 PM PART 4 Box 14.14 Chapter 14 Participatory irrigation management and the role of water user associations (continued) management was motivated by the rising costs of irrigation schemes to the central government, the availability of on-the-job training programmes in Mexico and the United States, the commitment of State Hydraulic Works staff and clearly defined goals and pilot projects. The transfer has resulted in more efficient use of water resources, increased investments in new technologies, higher water user tariff collection rates (from 42% in 1993 to 80% in 1997), lower energy costs (approximately 25%) and more equitable allocation of water resources. The legal status of water user associations remains to be defined, and central agency obligations to provide technical and administrative assistance at the beginning of a transfer still need to be clarified. In The participation requirements of article 14 of the EU Water Framework Directive are an attempt to launch a broader discussion about participatory approaches, as illustrated in box 14.15. Addressing corruption and mismanagement in the water sector Corruption can have enormous social, economic and environmental repercussions, particularly for poor people. Water-related construction projects such as aqueducts, sewer systems and basic sanitation and wastewater treatment plants have become magnets for corruption in many developing countries, which have limited oversight capacity for efficient use of public resources. Transparency International’s Global Corruption Report 2008, prepared in collaboration with the Water Integrity Network, estimates that corruption in the water supply sector increases the investment costs of achieving the water supply and sanitation target of the Millennium Development Goals by almost $50 billion.22 In recent years preventing corruption has captured the attention of governments, private firms, civil society organizations and donors. A positive example is the formation of the Water Integrity Network, a global network promoting water integrity by coalition Box 14.15 The project plans for reactivating the Saar River floodplains in Hostenback, Germany, provide an example. The plans were presented to the mayor of Wadgassen and the general public. The project received widespread support, with citizens showing considerable flexibility over details of the required construction. One important WWDR 021609.indd 254 Source: Jairath 2000; Raju 2001; Johnson 1997; Palacios 1999; Garces-Restrepo, Vermillion, and Muñoz 2007; Blue Plan, MAP, and UNEP 1999; Döker et al. 2003. building. Several countries of the Southern Africa Development Community region have taken positive steps. Zambia established water watch groups in some cities to monitor relations between water regulators and service providers. South Africa set up telephone hotlines for consumer redress and complaints. Some districts in Malawi developed water board anticorruption policies aimed at improving water sector efficiency by preventing malpractice and addressing water consumer problems.23 Box 14.16 provides additional examples of such efforts. Capacity development for more effective action Effective interactions between individuals, sector organizations and regulatory and administrative authorities are critical to advances in all areas. Administrative systems and sector policies in many countries are in need of considerable reform. This section offers some suggestions for governments and other water stakeholders to increase their capacity for effective action. Assessing institutional and human capacities A first step in improving services is to assess their ability to deliver more effective services and to prepare for future Public participation in water resources management The RhineNet project highlights the value of public participation. The project covered floodplain restoration, construction of fish ladders, flood protection and recreational enhancement. Public involvement in projects increased public acceptance, even among those who might be considered ‘losers’ in the process. 254 2004 the government abolished General Directorate of Rural Services as part of broader administrative reforms, delegating its responsibilities to the provincial governments. agreement called for use of a much less used alternative path for the estimated 8,000 trucks that would be involved in the project’s earth removal activities. Meetings and discussions were held regularly during the project, providing opportunities for citizens to voice their concerns, and events were reported in local bulletins, newspapers and electronic media. An important finding was that such efforts require considerable time for interviews and discussions with the individuals affected by the project – discussions that could not be replaced by media reports or press conferences. Source: Lange 2008. WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:35 PM PART 4 Options inside the water box Box 14.16 Responding to corruption and mismanagement in the water sector – examples from Colombia, India and Lesotho Development of anticorruption agreement with Colombian water pipe manufacturing companies. The Colombian Association of Environmental and Sanitary Engineers, whose affiliated water pipe manufacturing companies had a 95% share of the national market and a monopoly on bids in public tenders for water supply and sewer systems, undertook an anticorruption initiative as part of a sectoral antibribery agreement. The association, together with Transparency International-Colombia, worked to develop an agreement among pipe manufacturers based on Transparency International’s Business Principles to Counteract Bribery. The agreement, signed in April 2005, resulted in substantial reductions in bid award prices, thereby reducing the scope for bribery. The agreement was developed in reaction to the lack of transparency in the pipe business sector, particularly in public sector procurement, which resulted in overpriced products and substandard quality in public projects and utilities, creating an environment of mistrust. The situation eventually became untenable for the companies and the trade association, as transaction costs became unsupportable. Under the agreement each company prepared a general anticorruption policy and specific guidelines for each area specified in the Business Principles to Counteract Bribery (pricing and purchasing, distribution and sales schemes, implementation mechanisms, internal controls and audits, human resources management, protection of ‘whistle blowers’ and communications, internal reporting and consulting). The agreement also laid out the roles of an Ethics Committee and a Working Group tasked to supervise implementation, as well as extensive legal and economic powers for dealing with companies that fail to comply. A similar agreement was signed in Argentina in December 2005, and agreements also are being considered by Brazil and Mexico. Citizen report cards for improved water services in Bangalore, India. To improve the quality of underperforming public water and sewer utilities in Bangalore, India, the national Public Affairs Centre established a system of benchmarks and citizen ‘report cards’. These report cards triggered a series of reforms enhancing public sector accountability and responsiveness. Although the first report card in 1994 gave low ratings to all major city service providers, only a few service providers acknowledged the problems and took corrective actions. The second report card in 1999 indicated partial improvement in some services, while the third report card in 2003 revealed substantial improvements by almost all service providers, as well as a visible decline in corruption. Satisfaction levels rose dramatically, from 4% in 1994 to 73% in 2003. Both supply and demand drivers of change contributed to this surprising turnaround. The trigger for public action seems to have been the public scrutiny and publicity attending the report cards, leading to important interventions on the supply side. A strategic decision of the state government was to establish a new public-private partnership forum to catalyse action and assist service providers in upgrading their services and responsiveness. The political support and commitment of the state’s chief minister, the innovative practices resulting from the partnership forum, the active role of external catalysts (civil society groups and donors) and the learning experiences from initial responses contributed to the better performance. An open and democratic uncertainties. Such assessments can cover part of a sector (for example, management of river basins or sanitation) or focus on institutional architecture and capacity (for example, the education system, community management and the legal framework). Improving a weak institutional environment is not a linear process.24 It often requires efforts on several fronts, focusing on alleviating acute problems while creating the conditions for more favourable change over time. The United Nations Development Programme, for example, supported rapid water sector assessments in Bolivia, China, Ghana, Mali, Mexico and Peru, providing modest international support to local agencies to assess the WATER IN A CHANGING WORLD WWDR 021609.indd 255 society is a prerequisite for the use of this monitoring and accountability tool. Lesotho highlands project trials. The Lesotho Highlands Water project, the world’s largest international water transfer project, transfers water from the Orange River to the Vaal River, providing extra water to Johannesburg, South Africa. Lesotho receives royalties for the water ($31 million in 2004, about 5% of its GDP). Under phase 1 of the project four dams and 110 kilometres of tunnels were completed at a cost of about $2 billion. The first chief executive of the Lesotho Highlands Development Authority, charged with overseeing the project, was tried on bribery and fraud charges in 2001. His subsequent conviction was an important victory in the fight against corruption and illustrated what a determined government can do in fighting corruption. Recognizing that bribery has both a demand and supply component, the Lesotho government also brought charges against the multinational companies paying the bribes. Three major firms were convicted by the High Court of Lesotho, and all three were assessed fines. The World Bank also barred one company from bidding on future projects. The trials for future bribery prosecutions established several important precedents related to what the prosecution has to prove in regard to bribery, where the crime took place (determined by the location of the impacts of the crime) and what degree of financial transparency is required to prove the crime (a major breakthrough was the prosecution’s access to Swiss banking records of the accused companies). Source: Balcazar 2005; Stålgren 2006; Thampi 2005; Stålgren 2006; Earle and Turton 2005. challenges to their water sector and each country’s capacities to devise new strategies with prioritized interventions.25 In China the Ministry of Water Resources and the Guizhou Provincial Administration worked on an institutional performance assessment, focusing on strengths and weaknesses in the economic and institutional aspects of water management, such as pricing, river basin management and stakeholder involvement in integrated water resources management. In Mexico the water initiative added to the National Water Commission’s broader efforts to improve the water sector’s overall performance. The Peruvian assessment guided a parliamentary debate on sectoral 255 2/16/09 5:50:36 PM PART 4 Governments will need to rely more on an informed and capable civil society whose role in water management complements the work of government agencies Chapter 14 priorities, helping reform agencies and generating new skill mixes.26 In Indonesia the 1998-2004 financial crisis triggered a deep institutional and administrative reform of the water sector, which is crucial to its economy, emphasizing decentralized decision-making, participatory irrigation management, cost recovery and cuts in staffing. Strengthening institutional arrangements and capacity to support an agenda of change Changes in society and in the environment call for regular adjustments of the institutional architecture of the water sector. Regular performance and capacity reviews can identify needed reforms and promote agreement on capacity development for implementing the reform. Uganda’s National Water and Sewerage Corporation (NWSC) transformed itself from an organization plagued by unaccounted-for water, weak billing practices and high operating costs to one with steadily improving performance since 1998. NWSC separated operations and maintenance from performance monitoring and regulation. The capacity of utilities to work with this system was developed incrementally by multidisciplinary teams, beginning with simple performance contracts and upgrading to more complex arrangements. NWSC became a ‘learning organization’, creating an environment where managers must account for performance against goals and staff are expected to embrace innovation and tackle problems (see box 14.23 later in the chapter). Engaging with civil society in developing its capacity With the large numbers of water management stakeholders, governments are increasingly constrained in what they can achieve alone. They will need to rely more on an informed and capable civil society whose role in water management complements the work of government agencies. As civil society becomes more water literate, it will come to a clearer understanding of the importance of water issues and lend solid support to water sector initiatives. That requires broad access to information and the capability to engage with governments on water service delivery issues – often requiring capacity-building efforts to be effective. Many resources are available for community and civil society capacity development in water and sanitation. Examples of Internet-accessible resources include a comprehensive collection of capacity 256 WWDR 021609.indd 256 building materials on ecological sanitation emerging from the 4th World Water Forum in Mexico in 2006;27 material on gender, water and capacity building provided by the Gender and Water Alliance;28 an overview paper and guidelines for improving knowledge management at the personal and organizational level in the water and sanitation sector;29 and a conceptual introduction to water sector alliances, case studies and lessons in scaling up innovations in water, sanitation and hygiene, both prepared by the International Water and Sanitation Centre.30 Stimulating professional knowledge Water sector professionals require a sophisticated understanding of the hydrologic cycle and its variability. They also need a better understanding of the relationship between water use and sustainable economic development and water-related interactions in society, and of the needs of decision-makers. Non-professionals often require a better understanding of their interactions with and influences on water systems. This knowledge can come from research, the traditional domains of local communities and education, training and focused workshops. But the knowledge is often fragmented, held by a growing number of water stakeholders, each with part of the solution. Thus, communication is critical for building the knowledge base and institutional and human capacities needed to forge political consensus. Networks are becoming increasingly important knowledge pools and mechanisms for knowledge dissemination (box 14.17), exchange and management. They must be structured, managed and funded according to their purpose (research, sharing of professional experience, training and so on). Networks are well suited to identifying and articulating large-scale, complex problems and to offering solutions and best practices tested in other places. Learning alliances are groups of representative stakeholders with a focus on developing jointly owned approaches to problems that create a broader sense of ownership and lead to more rapid implementation. The Euro-Med Participatory Water Resources Scenarios (EMPOWERS), a regional pilot project led by Care International–UK from 2003 to 2007, sought to increase sustainable access to water for vulnerable populations in Egypt (where water demands exceed supplies), in Jordan (which has one of the world’s lowest per capita water levels) and the West Bank and Gaza (where access to water is strictly controlled WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:36 PM PART Options inside the water box Box 14.17 Networking to share water resources management experiences Cap-Net is a network of 20 national and regional capacity-building networks and three global networks committed to capacity building in water resources management. Most of the member networks are informal voluntary associations of institutions and individuals committed to building capacity to address local needs and priorities. Cap-Net uses its global network structure to rapidly share international and regional knowledge. It facilitates knowledge development and exchange, supports the delivery of capacity development services to meet local priorities and brings expertise from networks and the international level to neglected areas. Having identified economic and financial instruments for implementing integrated water resources management as a neglected area, Cap-Net used its network experts to develop a training package structured to allow local adaptation. The training manual was tested, revised and translated into four languages within one year and has been by an external authority). The International Centre for Water Hazard and Risk Management (ICHARM), an Asia-Pacific water knowledge hub of the Asian Development Bank, provides hazards mapping and tsunami training courses. The Sustainable Water Management Improves Tomorrow’s Cities Health (SWITCH) project is a major research partnership for innovation in integrated urban water management in implementing action-oriented, water demand-led research programs. The project encourages learning alliances to better define the research agenda and initiate research in aspects of the urban water cycle to help cities improve water sector integration and scaling-up impacts.31 SWITCH has led to the establishment of learning alliances in 10 cities around the world. In the Netherlands government institutions for surface water, groundwater and coastal protection were merged to improve their output. Innovation and research also were boosted in countries in Southern and Eastern Africa through WaterNet, linking some 50 university departments and institutions with common interests and expertise in water-relevant topics. Pooling their knowledge allows them to cover all the major aspects of water resources management (such as hydrology, environmental engineering, economics, law and water and sanitation technologies). In India the Solution Exchange, which links people across the country and the WATER IN A CHANGING WORLD WWDR 021609.indd 257 implemented in Africa, Asia and Latin America through the partner networks. The Regional Centre for Urban Water Management in Tehran is an organization of 13 countries and six international organizations whose mission is to transfer practical scientific knowledge and develop capacities in all dimensions of urban water management, to promote sustainable development and enhance human well-being and to facilitate integrated, transboundary water management. Its governing board comprises 10 water-related ministers (from Bangladesh, Egypt, India, Iran, Kuwait, Oman, Pakistan, Syria, Tajikistan and Yemen) and high-level representatives of three international organizations (the UNESCO Institute for Water Education, the International Water Academy and the International Water Association). 4 Increasingly, water stakeholders are being linked through online knowledge networks and partnerships linking researchers addressing similar issues Source: Cap-Net 2008 and www.cap-net.org. globe, harnesses the power of communities of practice to leverage the knowledge and experience of multiple development practitioners for the common objective of problem-solving. In Madhya Pradesh, India, the UN-HABITAT Programme on Sustainable Cities works in four cities to improve and expand urban water supply, sewerage and sanitation, water drainage and solid waste management. The programme seeks to influence water use practices, policies and measures away from traditional approaches, which increase pressures on water resources and lead to overexploitation of groundwater, and toward innovative demand management to optimize available water in the municipal water supply system. The programme consolidated responses to a survey on experiences, suggestions and best practices from other parts of India, translated them into Hindi and circulated them at the Madha Pradesh State Parliamentarians Forum for Water. Information and communication systems are mostly Internet-based, offering new tools for multistakeholder information sharing and communication. By providing access to scenario and forecasting tools and facilitating communication across administrative levels (from the local to the national and regional), these tools are well suited to facilitate negotiation. Increasingly, water stakeholders are being linked through online knowledge networks and partnerships – communities of practice – linking researchers addressing 257 2/16/09 5:50:36 PM PART 4 Water resources management plans can be difficult to fund and implement without the involvement of water users Chapter 14 similar issues. Simple tools, such as e-mail lists, are the preferred low-technology avenue for this activity. benefits of advancing scientific, educational and community development goals for water systems. Local stakeholders are usually the first to experience and address local problems and to find local solutions. Decisionmakers can learn from this local knowledge and apply its lessons to building the capacity of local institutions and civil society (box 14.18). Informed decisionmaking requires a balanced combination of top-down (often larger-scale) and bottom-up (often smaller scale) approaches and procedures. Public education and awareness raising can also be as simple as informing water stakeholders about changes in work routines or personal habits that can alleviate problems associated with unsustainable use of water resources (see chapter 2). Greater public awareness is facilitated by making details of water system problems and corrective programmes readily available to the public through the public education system, the information media and non-governmental organizations.34 Stimulating public awareness Increasing public awareness about water resources also facilitates sustainable use. Water resources management plans can be difficult to fund and implement without the involvement of water users. One way to promote public knowledge is through science and education centres that compile, analyse and disseminate information on water resources. Such centres often focus on identifying and disseminating information on water system problems and sustainable use. They often consider the economic, ecosystem and cultural importance of specific water systems and their resources; direct and indirect uses and values and promising tools and strategies for management and lessons from case studies. They also provide valuable region-specific information, such as the public and media awareness campaign by the Yemen National Water Resources Authority, including the Yemen Water Awareness video.32 Information centres such as the Lake Biwa Museum (Japan), Balaton Limnological Research Institute (Hungary) and Leahy Center of Lake Champlain (United States) focus their attention on lake basins.33 The centres, sponsored by private foundations, corporations, government agencies, nongovernmental organizations and academic institutions, demonstrate and promote the Box 14.18 WWDR 021609.indd 258 Developing appropriate solutions through innovation and research Technological innovation covers a broad field, from technical issues to financial considerations, water service models and water governance issues (policy, sustainable financing, cultural values, political realities, law and so on). It can enable rapid and significant changes within the water sector. And it can improve existing systems (better hand pumps, for example) and develop new ways to address water issues. Incorporating local knowledge in networks – the Integrated Watershed Management Network of Eastern Africa The Integrated Watershed Management Network (IWMNET), is a three-year (2007-10) capacitybuilding initiative for integrated watershed management in Eastern Africa involving German and Eastern African universities. Activities include specialized training on integrated water resources management and related issues and support for ongoing water sector reforms in Ethiopia, Kenya, Tanzania and Uganda. Water user associations, for 258 The Emilia-Romagna Region in Italy launched a regional communication campaign on water conservation in 2004 called “Acqua, risparmio vitale” (Water, vital saving). The campaign was relaunched in 2008 with a new slogan, “Mezzo pieno o mezzo vuoto? Comunque la pensi, l’acqua va risparmiata!” (Half full or half empty? Whatever you think, save water!). This education strategy uses a combination of brochures for the general public, television and radio spots and advertisements on city buses.35 Water managers can also use such communication activities to inform the key decisionmakers working outside the water managers’ domain (see chapter 15). example, are assisted in drafting and executing subcatchment management plans and in sharing their experience in drafting participatory catchment management plans. An online e-learning component makes all information accessible to students and professionals, even in rural areas. Source: iwmnet-eu.uni-siegen.de and www.iwmnet.eu/ index.html. WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:36 PM PART 4 Options inside the water box Developing a capability for innovation Experience suggests that at least three key factors have contributed to the innovation driving the rapid economic transformation of many emerging market economies. One is investing heavily in basic infrastructure (roads, schools, water supplies, sanitation facilities, irrigation systems, health centres, telecommunications, energy resources and the like) as the foundation for technological learning. A second is developing and nurturing small and medium-size enterprises, which can supply local operational, repair and maintenance expertise and technicians. A third is developing and nurturing institutions of higher education (engineering and technological academies, professional engineering and technological associations, industrial and trade associations and the like).36 Most of these efforts are outside the scope of water managers’ responsibilities (some are discussed in chapter 15). Business enterprises and non-governmental organizations can be a focus for learning.37 An example is the innovative adaptation for use in Cambodia of ceramic filters, long used elsewhere to remove contaminants from water. Because most Cambodians lack access to microbiologically safe water at point of use, household-based water treatment is critical for protecting them from waterborne diseases. Most Cambodians must still collect water, store Box 14.19 it for household use and treat it themselves to ensure safe drinking water. Potters for Peace, a non-governmental organization, developed an innovative use of ceramic filters, inventing a low-cost, on-the-spot production method using clay and sawdust treated with colloidal silver to increase bactericidal properties. Potters for Peace now trains others to operate filter-making facilities in Cambodia, Cuba, El Salvador, Ghana, Guatemala, Honduras, Indonesia, Kenya, Mexico, Sudan and Yemen.38 Water management techniques also can be used in innovative ways to address a range of issues (box 14.19). Because irrigation is the single largest water user on a global scale, improved irrigation technology is a good example of using technology to reduce water demands by improving water use efficiency (box 14.20). Linking research and development in the developing world Expanding demand-driven research capacity in developing countries is essential for reaching a critical mass of people engaged in research and development who can advance economic development.39 The Paris Declaration on Aid Effectiveness of 2005, an international agreement affirmed by more than 100 ministers, heads of agencies and other senior officials, stressed that developing countries must become more capable of solving their own problems, Using water management to preserve biodiversity and economic livelihoods – Kafue Flats, Zambia Large dams can disrupt the natural water cycle and the ecosystems that rely on it. Kafue Flats in Zambia illustrates the use of technological innovation and cooperation to alleviate such disruptions. Kafue Flats is a rich wildlife habitat occupying 6,500 square kilometres along the Kafue River, a major tributary of the Zambezi River. It sustains the livelihoods of local people engaged in hunting, fishing and cropping when floods recede on the flats at the end of the wet season. In 1978 the Itezhi-tezhi Dam was built upstream of the Kafue Gorge hydroelectric dam, Zambia’s primary source of power, to store wet season peak flows to maximize hydropower production at the hydroelectric dam. The Itezhi-tezhi Dam ended the beneficial wet season flooding of Kafue Flats, adversely affecting the 300,000 people who rely on it for their livelihoods. (ZESCO), in cooperation with WWF, local people and commercial farmers, initiated a project to restore a more natural flow to water releases from the Itezhi-tezhi Dam. An integrated water resources management study was undertaken in 2002, including development of a Kafue River basin hydrology model. The model was linked to real-time data from rainfall and river gauging stations in the catchment to predict water flows and reservoir levels. Based on this modelling exercise, agreement was reached among all the partners in 2004 to implement new dam operating rules. A major water flow mimicking the natural wet season flooding pattern was released for the first time in early 2007, and modules have been launched for wetlands rehabilitation, focusing on infrastructure development, tourism enhancement and community-based natural resources management. In 1999 the Zambian government and Zambia Electric Supply Corporation The long-term results are expected to include improved ecological health for WATER IN A CHANGING WORLD WWDR 021609.indd 259 Most of the key factors that have contributed to the innovation driving the rapid economic transformation of many emerging market economies are outside the scope of water managers’ responsibilities Kafue Flats and improved livelihoods for local people (particularly increased fish and pasture productivity), development of a wildlife-based tourism industry and sustained irrigation capacity. The hydroelectric production potential of the Kafue Gorge Dam is expected to be maintained or to increase. Discussions are under way on scaling up the environmental flows model to the other dams in the watershed (Kafue Gorge, Cahorra Bassa and Kariba) to extend benefits to the entire course of the rivers in Zambia and Mozambique. Preparations also are under way on a joint operations and management strategy for the three dams, involving the Zambezi River Authority, the Joint Operational Technical Committee for Cahorra Bassa and Kariba Dams, and the Southern Africa Development Community agreement for an integrated water resources management strategy for the Zambezi River under the auspices of its shared water protocol. Source: WWF 2008. 259 2/16/09 5:50:37 PM PART 4 Reliable and accurate water resources information and data, by reducing uncertainty about water resources, help decisionmakers make more reliable and politically persuasive assessments of water risks Chapter 14 Box 14.20 Using irrigation technology to increase water use efficiency Irrigation water can be delivered to crops through surface, sprinkler and drip irrigation systems. Although introducing new irrigation technology typically increases costs, it also increases water use efficiency, resulting in water savings. A California study, for example, found that water use efficiency ranged from 60%-85% for surface irrigation to 70%-90% for sprinkler irrigation and 88%-90% for drip irrigation. Potential savings would be even higher if the technology switch were combined with more precise irrigation scheduling and a partial shift from lower-value, water-intensive crops to higher-value, more water-efficient crops. China introduced water-saving measures and irrigation system modernization in agriculture in the 1990s. China has some 400 large including through stronger research capacities that will enable them to absorb and use knowledge from other sources and countries as well as to advance knowledge (box 14.21). Water resources data and information Data and information needs Reliable and accurate water resources information and data, by reducing uncertainty about water resources, help decisionmakers make more reliable and politically persuasive assessments of water risks. More detailed and accurate information also guides better choices on needed infrastructure and makes public institutions more accountable for the impacts of their actions. The World Bank conducted an assessment of the water supply and sanitation sectors in Ethiopia, including progress towards the Millennium Development Goals.40 The amount and quality of data available for the assessment from different regions varied considerably, and some data were contradictory. The data thus could not be used for a sound public review of expenditures Research links in developing countries The Water Law and Indigenous Rights programme (2001-07) began as an international action-research alliance to inform the debate on peasant, indigenous and customary rights in the Andean region and to facilitate action on local, national and international platforms. A major objective was to better understand local water rights and water management. The strategy was to focus on research and action, together with local, regional and international networks (both indigenous and non-indigenous), while training policy-makers, water professionals and grass-roots leaders. The programme deepened water policy debates on recognition of water rights, enabling better legislation and more democratic water governance and management policies. Network participants have extended their activities into new policy research and action networks on the plurality of water rights, multiscale water user organizations and ways to strengthen and recognize such processes through training and user-oriented intervention strategies. WWDR 021609.indd 260 Source: Cooley, Christian-Smith, and Gleick 2008; ICID 2008. Water resources data include information on the quantity and quality of water resources and also on governance. Such data are crucial to a wide range of water resources stakeholders. Box 14.21 260 irrigation systems (each with an irrigated area of more than 20,000 hectares), which account for about a quarter of the total irrigated area of 56 million hectares. Modernization included the application of new materials and technologies to upgrade irrigation system structures and the application of modern irrigation concepts and institutions to improve irrigation management. Water conveyance and irrigation intervals have been shortened, and water losses have been reduced. Agricultural output in the programme area increased 46%, even though irrigation withdrawals have fallen from about 80% of total water withdrawals in 1980 to 60% today, a dramatic reduction. Concertación (2006-11) is an interdisciplinary research and capacity-building network concentrating on peasant empowerment and indigenous water management, with a focus on the Andean region. The Water Research Fund for Southern Africa, established in 1999, is available to researchers and institutions in any Southern Africa Development Community country. A peer review system ensures that high quality research proposals are selected for funding. A board consisting of researchers with different professional backgrounds and from different countries formulates the fund’s research policy and defines priority areas. Although external donors are the main source of funding, rather than the research end users, the fund is exploring ways to better link societal demands to the research community and of reviewing its role in promoting this connection so that the supported research is responsive to the region’s needs. Source: Rap 2008; www.eclac.cl/drni/proyectos/walir/ homee.asp; www.iwsd.co.zw/index.cfm. WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:37 PM PART Options inside the water box in these sectors. The study revealed that most town water utilities do not have proper accounts, data on sanitation are absent or fragmentary and work by nongovernmental organizations in the water supply and sanitation sectors is uncoordinated and undertaken without collaboration with responsible national authorities. The assessment also found that funding of these sectors, on both a sectoral and per capita basis, was low, resulting in poor water service throughout the country. Water resources monitoring Data on technical and scientific aspects of water resources management often come from monitoring activities, including measurements of chemical, biological and other parameters of the quantity or quality of water systems. Such data can illustrate the limits of the water resources, expose hard-to-see connections and contribute to innovative solutions to water resources problems, as illustrated in box 14.22. Monitoring networks are inadequate and weakening (see chapter 13). Although modelling is not a substitute for accurate field measurements, modelling experience has advanced to the extent that some data can now be generated with models. The Lake Naivasha Riparian Association in Kenya used modelling to investigate the potential impacts of water abstractions to supply intensive horticultural activities that began in the early 1980s. Association members were concerned that the Box 14.22 The need for sustainable financing is one of the most persistent concerns in water resources decision-making Traditional knowledge and experiences of the people directly affected by a water system, whether as members of its shoreline community or as economic actors dependent on it for their livelihoods, are also important. Traditional knowledge can come from the legends and oral histories of indigenous people. In some areas such memories may be the only source of information on the history of a water system. The Ugandan government, for example, used local knowledge to identify and protect important fish breeding areas on the eastern shore of Lake Albert on the Uganda-Democratic Republic of Congo border.42 Financing The need for sustainable financing is one of the most persistent concerns in water Using monitoring information in water resources management Information from monitoring activities can be used to expose the limits of water resources, reveal hidden connections and develop innovative solutions to water resources problems. Data on fishing intensity and gear were used in declaring temporary fishing moratoriums for Lakes Baringo and Naivasha in Africa and in setting restrictions on allowable fishing technologies for Lake Victoria. These measures contributed to the recovery or significant improvements of these fisheries. Biophysical processes in water systems are complex and often expressed in small incremental changes that are not readily observable. Detailed measures and investigations at Lake Biwa, Japan, showed that declining snowfall over several decades, combined with a weakening water profile in the lake, had led to a decline in the dissolved oxygen levels in the lake’s bottom waters, increasing lake eutrophication and pointing to the potential effects of global warming on the lake. WATER IN A CHANGING WORLD WWDR 021609.indd 261 horticultural activities were responsible for falling lake water levels. Horticultural interests denied the claim, pointing out that the lake was higher than it had been in the 1950s, prior to development of their industry. The modelling work considered the contributions of surface and groundwater to the lake levels, clearly illustrating that the declining lake levels coincided with commencement of horticultural activities in 1982. The results were ultimately accepted by all stakeholders, including the horticulturalists, resulting in their working more closely together to promote a stronger conservation ethic for the lake.41 4 Field monitoring in the Lake Chad basin in Africa demonstrated that wet season conditions could be simulated by water releases from the Tiga and Challawa Dams and that artificial flooding of wetlands could be undertaken with the existing infrastructure. Several years of monitoring data from Lake Ohrid in the Former Yugoslav Republic of Macedonia suggested that the phytoplankton and zooplankton communities in the lake were changing, consistent with its increasing eutrophication and making an unequivocal case for nutrient control. Monitoring data collected from Lake Dianchi in China demonstrated the success of policies to reduce the external nutrient load from local enterprises. Such post-project monitoring can help marshal support for the often considerable outlays required for water resources management programmes and activities. Source: ILEC 2005; World Bank 2005. 261 2/16/09 5:50:37 PM PART 4 Small-scale water providers typically include entrepreneurs filling a void left by the market failure of the formal water sector and small companies providing services to municipalities under contract Chapter 14 resources decision-making. Ultimately, all financing in the sector comes from tariffs, the national budget and external aid. Decision-makers in the water sector do not control all of the factors influencing these financing sources, but they can help create a favourable investment climate and ensure good management of the financial resources at their disposal. Several key initiatives over the past five years have shaped the agenda of water financing, including the World Panel on Financing Water Infrastructure (chaired by Michel Camdessus), the Task Force on Financing Water for All (chaired by Angel Gurria) and the UN Secretary General’s Advisory Board on Water and Sanitation (UNSGAB). This section offers examples of how some countries are tackling the problems and implementing the recommendations identified in these reports. Water supply service providers manage financial resources well, creating favourable investment climates Reforms have responded to the failure of public sector water providers to provide adequate levels of service and quality, often because of poor governance and inadequate investments. Reforms have also focused on transparency and accountability, low revenue collection, infrastructure deterioration and service breakdown. Privatization of water services is still an exception, and there is not enough experience to establish its long-term efficacy. Although the number of people served by the private water sector has grown from roughly 50 million in 1990 to about 300 million in 2002, most people in developing countries are not served by either private or partially private companies (see chapters 4 and 7 for additional discussion).43 The National Water and Sewerage Corporation (NWSC) in Uganda is a public sector utility that has assumed a more formal business structure. Within a short period this once poorly performing utility had improved service quality (expanding coverage from 12 towns in 1998 to 22 towns today) and strengthened financial viability through more efficient service provision and increased revenue collection. Its experience also illustrates the importance of good leadership, showing that substantial changes can occur rapidly under the right conditions.44 To improve efficiency and finances, NWSC introduced performance-based contracts for local utilities and separated operations 262 WWDR 021609.indd 262 and maintenance from performance monitoring and regulation. Results included a substantially larger service base, increased staff efficiency and a more viable financial base (box 14.23). The Tunisian water authority SONEDE is another example of a water supply agency operating with good management practices. As indicated in box 14.3, a targeted pricing policy enables full cost recovery of operating the service, with tourist establishments paying the highest rates and households the lowest. Unaccounted for water in Tunis has been reduced below 10%. Providing official development assistance for water resources in more user-friendly forms In Kenya, output-based aid underpins the loans being made by a commercial microfinance agency. The international aid repays part of the investment cost once the work is completed. This approach differs from a normal guarantee of the lender in that it creates a strong incentive for the bank to ensure timely and effective completion of the project. Small-scale local water providers Small-scale water providers serve an estimated 25% of the urban population in Latin America and East Asia and about 50% in Africa and South-East Asia.45 Small-scale water providers typically include entrepreneurs filling a void left by the market failure of the formal water sector and small companies providing services to municipalities or public authorities under contract. The main obstacle to the expansion of small-scale water providers is lack of financing. Financing is generally from personal assets, profits from other businesses, community contributions and short-term credit from local banks or microcredit agencies. Options to increase access to financing for small-scale providers include microfinance schemes, access to local development and infrastructure banks, projects funded by non-governmental organizations or donors and investment subsidies (for example, in Cambodia grants from the International Development Association cover 50%-60% of investment costs). The Philippines has successfully used loan financing at market rates, while Colombia has used a middle path that preserves incentives and enhances financial sustainability by plotting increased tariffs over time and placing revenues in an investment fund.46 WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:37 PM PART 4 Options inside the water box Box 14.23 Addressing water supply and sanitation challenges in Uganda Uganda faced numerous challenges in addressing water supply and sanitation services related to urbanization and population growth pressures, including lack of harmony in water policies, inadequate governance, divergent stakeholder preferences, managerial inefficiencies and limited investment capital. To address these deficiencies, the government initiated a series of complementary activities: • Instituting timely, rational expansion of water production and network facilities. • Using an optimal mix of technologybased approaches (such as yard taps, prepaid meters and public standposts). • Introducing and subsidizing public access to water connections. Performance indicator 1998 2007 Service coverage (percent) 47 71 New water connections (number per year) Total number of water connections Number of employees Staff per 1,000 water connections Non-revenue water (percent of total) 7 70.4 Profit after depreciation (billions of Uganda shillings) -2.0 6.5 • Equitably providing water and sanitation infrastructure, with an emphasis on sanitation. Using community-based approaches and mainstreaming consumer preferences. Several activities were especially helpful in improving Uganda’s urban water supply and sanitation services: Establishing stakeholder coordination forums, such as water councils, at different levels. • Lack of legal recognition of small-scale providers is another obstacle to expansion. To strengthen legitimacy, local water authorities in Mauritania and Uganda enter into management contracts with private operators, which then provide water supplies to small towns. Payment for environmental goods and services Payment for environmental services is based on the recognition that the environment, such as wetlands and watersheds, provides a range of life-supporting goods and services, including potable water supply, irrigation water, food and fibre, wastewater treatment, flood control and aesthetic benefits (figure 14.1). Environmental goods and services, traditionally thought of as provided for ‘free’ by nature, lack a functioning market for pricing them. Further, for many environmental goods and services there is no direct link between the service provider and the consumer – for example, between an upstream provider (a land owner or resource manager) and a downstream user (public water supply, agriculture and industry). WWDR 021609.indd 263 37 32.5 • WATER IN A CHANGING WORLD 1,388 51 Using output-based investment approaches to strengthen service targeting. • 1,784 21.9 • Implementing innovative capital financing mechanisms (such as tariff indexation and conservation, ‘soft’ loan financing and bond issuance). 24,418 180,697 Income (billions of Uganda shillings) As a result of these activities, water delivery and service efficiency and profitability rose dramatically during 1998-2007 (see table). Coverage increased more than 50%, with total water connections more than 3.5 times higher in 2007 than in 1998. Employee efficiency also increased, and income rose more than 300%. • 3,317 50,826 Using performance-contract arrangements that promote a private sectorlike perspective, including market orientation, customer focus, incentive plans and accountability. • Applying managerial subsidarity, keeping decision-making close to beneficiaries. • Separating water supply and sanitation operations from monitoring and regulation to improve accountability. • Incorporating sanitation improvement initiatives into water supply and sector plans based on appropriate technologies for affordability and social acceptability. • Coordinating investment activities, operations management and user communities to ensure maximum impact. Source: Mugisha and Sanford 2008. With the market for these services often poorly developed or non-existent, ecosystem managers have little economic incentive to improve their management efforts. The payment for environmental services concept attempts to address this problem by creating markets for environmental services, collecting money from water users and paying those providing the resource, thereby encouraging efficient and sustainable delivery of watershed services. Experience with payment for environmental services is growing in several countries. In the United States New York City obtains its drinking water from watersheds in the Catskill Mountains north of the city. Water quality was traditionally very good, requiring little or no treatment. By the end of the 1980s, however, agricultural and other development in the Catskills threatened the water quality. New York City planners chose to work with upstream land owners in the Catskill watersheds to address potential water quality problems. The resultant plan included payments for both on-farm capital costs and pollution-reducing agricultural 263 2/16/09 5:50:38 PM PART 4 Figure 14.1 Chapter 14 Ecosystems and some of the services they provide Mountain and polar Food Fibre Freshwater Erosion control Climate regulation Recreation and ecotourism Aesthetic values Spiritual values Inland water Rivers and other wetlands Freshwater Food Pollution control Flood regulation Sediment retention and transport Disease regulation Nutrient cycling Recreation and ecotourism Aesthetic values Forest and woodlands Food Timber Freshwater Fuelwood Flood regulation Disease regulation Carbon sequestration Local climate regulation Medicines Recreation Aesthetic values Spiritual values Cultivated Food Fibre Freshwater Dyes Timber Pest regulation Biofuels Medicines Nutrient cycling Aesthetic values Cultural heritage Drylands Food Fibre Fuelwood Local climate regulation Cultural heritage Recreation and ecotourism Spiritual values Coastal Food Fibre Timber Fuel Climate regulation Waste processing Nutrient cycling Storm and wave protection Recreation and ecotourism Aesthetic values Urban Parks and gardens Air quality regulation Water regulation Local climate regulation Cultural heritage Recreation Education Marine Food Climate regulation Nutrient cycling Recreation Island Food Freshwater Recreation and ecotourism Note: Different combinations of services are provided to human populations from the various types of ecosystems represented here. Their ability to deliver the services depends on complex biological, chemical and physical interactions, which are in turn affected by human activities. Source: Based on MEA 2005. measures, which helped reduce the costs of conventional water treatment. This approach also protected the watersheds and the other environmental goods and services they provided (such as recreation and biodiversity conservation). The payments to water providers come directly from the revenues collected from water users in New York City.47 A similar approach was used in Heredia, Costa Rica, which taxed its approximately 50,000 connected water users to pay farmers in the watershed for improved conservation measures. 264 WWDR 021609.indd 264 Another example of payment for environmental services focuses on rewarding rural people for programmes that reduce the loss of topsoil from cropland in Kenya (box 14.24). Some examples48 suggest that, for payment for environmental services systems to create an enabling environment, infrastructure development may be necessary. This would be expected to increase the costs of implementing such systems.49 WORLD WATER DEVELOPMENT REPORT 3 2/16/09 5:50:40 PM PART 4 Options inside the water box Box 14.24 Paying for environmental services – green water credits in Kenya Over the last 25 years much of the cropland in Kenya has lost its topsoil. Meanwhile, the population has roughly doubled, increasing demand for food and power. The International Fund for Agricultural Development (IFAD)-supported green water credits initiative is an innovative mechanism for rewarding rural people for sustainable water management practices. The long-term goal is to empower upstream rural communities in the Tana River basin to better manage their land and water resources to improve food and water security and livelihoods both upstream and downstream in the watershed. It is also expected to decrease flood potential, improve blue water resources delivery downstream and provide diversified rural income sources. Begun in the Tana River basin in 2006, this programme was also intended to demonstrate the feasibility of green water credits as an environmental service tool. The project builds on the difference between green water and blue water. Green water, which is soil moisture generated by rainfall that infiltrates the soil, is a fully consumptive water use, while some blue water (such as rivers and lakes) is used non-consumptively and can be reused. The green water credits scheme includes quantifying current water fluxes in the watershed and estimating fluxes under the scheme, identifying potential participants (demand assessment) and developing a payment and reward mechanism for upstream land managers and downstream clients based on appropriate incentives. The main activities include upstream soil and water conservation techniques applied by farmers, leading to more water being available downstream. Results to date include lessened land degradation and improved quantity and quality of blue water supply. With the support of the Kenyan government, the green water credits concept is being scaled up to help improve food and water supplies nationwide. Increased power security has been another byproduct. Concurrent with implementation of this large scale, market-based scheme to improve land and water management, Kenya is reforming its entire water sector. To this end, the Tana River basin programme was strategically aligned with recent Kenyan water sector reforms, including the 2002 Water Act and the Kenyan National Water Resources Management Plan, which assign an economic value to water resources. These efforts reflect past success and future intentions by addressing water allocation issues along with financial considerations, to reward Kenya’s land stewards, generating benefits for the rural poor and the country as a whole. Source: Falkenmark 2003; ISRIC 2007; www.isric.org/UK/About+ISRIC/Projects/ Current+Projects/Green+Water+Credits.htm Notes 25. UNDP 1997. 48. Muñoz Piña et al. 2008. 1. 26. UNDP 1997. 49. 27. www2.gtz.de/dokumente/bib/061322.pdf. Pagiola and Platais 2007; World Bank 2007. 28. www.genderandwater.org/ page/4208. 29. Visscher et al. 2006; www.irc.nl/ page/29472. 30. Smits, Moriarity, and Sijbesma 2007; www.irc.nl/page/35887. 31. Butterworth et al. 2008. 32. www.youtube.com/ watch?v=btWcXNSvOHw. 33. ILEC 2003. 34. ILEC 2005. 35. www.forumrisparmioacqua.it. 36. Conceição and Heitor 2003. 37. UN Millennium Project 2005; Juma and Agwara 2006. 38. WSP-UNICEF 2007; see also http:// s189535770.onlinehome.us/ pottersforpeace/?page_id=9. Examples include WCD 2000 and US EPA 2005. 2. Rogers and Hall 2002. 3. Bandaragoda 2006. 4. ILEC 2005; World Bank 2005. 5. UN-Water 2008. 6. UN-Water 2008. 7. See, for example, Eawag-WSSCCSuSanA (2008); and IWA (2008). 8. Gyawali et al. 2006. 9. Bandaragoda 2006. 10. Cap-Net 2008. 11. Rast 1999. 12. ILEC 2005. 13. Bayoumi and Abumoghli 2007. 14. Phumpiu and Gustafsson 2009. 15. See WWAP 2006; Phumpiu and Gustafsson 2009; Caplan 2003; UNDP 2006. 16. Phumpiu and Gustafsson 2009. 17. Beccar, Boelens, and Hoogendam 2002. 39. UNDP 2006. 18. Burchi 2005. 40. Watson et al. 2005. 19. UNDP WGF-SIWI 2008. 41. ILEC 2005; World Bank 2005. 20. Moench et al. 2003. 42. ILEC 2003. 21. www.forumrisparmioacqua.it. 43. UNDP 2006. 22. Transparency International 2008; UNDP and WGF-SIWI 2008. 44. World Bank Institute 2005. 45. Dardenne 2006; McIntosh 2003. 46. Triche, Requena, and Kariuki 2006. 47. Pagiola and Platais 2002, 2007. 23. Cap-Net 2008. 24. World Bank 2007. 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