UNIVERSITY OF ANTWERP INSTITUTE OF DEVELOPMENT POLICY AND MANAGEMENT

Dissertation:

WATER GOVERNANCE IN PERU: A MACRO ANALYSIS OF GOVERNANCE IN THE IRRIGATION SECTOR

Mara Kattia Escudero Rodrguez

Master of Development Evaluation and Management Supervisor: Prof. Dr. Griet Steel Academic Year 2012-2013

PREFACE The water crisis is no longer a suspect but a fact. Several authors have analyzed the impact of some factors such as climate change, population growthand the inefficiency in the use of water on water scarcity in near future. Results show a dramatic forecast. Moreover, there is some agreement among scholars that irrigation sector is key because of the amount of water used in agricultural activities.

As a consequence, states have started an analysis of more efficient mechanism to improve the situation of the resource. In this search, many solutions have focused on governance as a tool to analyze the power relations between different groups in society. Thus, the present dissertation contains a macro analysis of water governance in the Peruvian irrigation sector. This research was realized within the framework of the World Bank and complemented with findings of other important authors.

The methodology employed incorporates a theoretical research and interviews with specialists in irrigation from the public and private sector. Thus, I would like to express my appreciation to the public officials whose expertise made it possible to complete the dissertation effectively in a short period of time. I would also thank private specialist whose views were very valuable to have an analysisconsidering more than one angle.

Also, special thanks are due to my supervisor, Dr.Griet Steel, who has contributed so much for improving this research. Her comments with a social vision helped me to extend the analysis beyond just numbers. Additionally, IOB teachers deserve an acknowledgment because their dedication and hard work all these year.

Finally, Thanks and love to my mother Ana Mara and my father Julio Miguel, for their support and advices all these year.Without their moral and financial support this new step in my career could not be possible. Also, thanks to my lovely sisters and brother Natalia, Fiorella and Junior.
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Table of contents

I.

PROBLEM STATEMENT AND METHODOLOGY ................................................... 9 1.1 1.2 1.3 Problem statement and objectives of the study .......................................................... 9 Methodology ............................................................................................................ 10 Limitations ............................................................................................................... 11

1.4 Organization of dissertation ..................................................................................... 11 II. LITERATURE REVIEW .............................................................................................. 12 2.1 Defining development.............................................................................................. 12

2.2 Contribution of agriculture to human development .................................................. 15 2.3 Social capital as a key element for development ...................................................... 18 2.4 Organizations and institutions to promote collective action ..................................... 21 2.4 Defining Governance ............................................................................................... 23

III. ANALYSIS OF WATER GOVERNANCE: THE CASE OF IRRIGATION ............. 36 3.1 Country agricultural description ................................................................................. 36 3.2 Irrigation evolution ..................................................................................................... 42 3.3 Water governance analysis ........................................................................................ 59 3.3.1 3.3.2 3.3.3 3.3.4 3.3.5 3.3.6 IV. V. VI. Voice and accountability ................................................................................ 59 Government effectiveness .............................................................................. 68 Rule of law ..................................................................................................... 71 Regulatory burden .......................................................................................... 72 Corruption ...................................................................................................... 74 Political Instability and Violence ................................................................... 75

CONCLUSIONS AND RECOMMENDATIONS .................................................... 77 REFERENCES .......................................................................................................... 80 APPENDIX ............................................................................................................... 88

The list of tables

Table N 1: Summary of the role of actors........................................................................... 35 Table N 2: Agricultural land in Peru................................................................................... 37 Table N 3: Economically active population by sectors 2005-2010 .................................... 38 Table N4: Average agricultural income per month 2005-2010 .......................................... 41 Table N 5: Consumption of water Peru (MMC/year) ......................................................... 42 Table N 6: Irrigation programs of the MINAGRI .............................................................. 55 Table N 7: Reference information of water users ............................................................... 58 Table N 8: Irrigation public budget 2012 ........................................................................... 68 Table N 9: PSI Results planned for 2012............................................................................ 69 Table N 10: ANA Results planned for 2012 ....................................................................... 70 Table N 11: Water conflicts in the region of Ancash ......................................................... 76

List of graphs
Graph N 1: Sustainable development ................................................................................. 13 Graph N 2: Agriculture and rural development intervention logic ..................................... 17 Graph N 3: Governance principles ..................................................................................... 28 Graph N 4: Farmers by department .................................................................................... 39 Graph N 5: Mother tongue of farmers in Peru, 2012 .......................................................... 40 Graph N 6: Terrazas and andenes in Cusco ........................................................................ 44 Graph N 7: Government Structure ...................................................................................... 51 Graph N 8: Administrative Water Authorities .................................................................... 54 Graph N 9: Water user organization ................................................................................... 57 Graph N 10: Participation stages ........................................................................................ 61 Graph N 11: Workshops of water management, Piura and Lambayeque ........................... 62

List of acronyms

AAA ALA ANA MIDIS MINAGRI UN

Administrative Water Authority Local Water Authority National Water Authority Ministry of Social Development Ministry of Agriculture and Irrigation United Nation

Executive Summary
Nowadays there is an increased interest in analyzing the nature of poverty and strategies to reduce it. Agriculture emerges as an alternative to increase income and social conditions, especially in developing countries where most of poor population is located in rural areas. However, agriculture is the activity which uses more quantity of water. In Peru, according to the Ministry of Agriculture and Irrigation, agriculture uses 80% of the total water and the efficiency in the use of water reaches only 35%. Thus, it is important to make a macro analysis of the factors involved in water inefficiency.

Particularly, in the case of agricultural activities, farmers have to manage many pressures such as human, economic, natural and social elements at the same moment.Thus, in the last decades many changes have taken place. External and internal consumption of agricultural products have increased dramatically. High, medium and low income countries have increased their demandson quantity and quality. These facts had implications on environment. Most producers are looking for methods to increase production and productivity,consequently land degradation, deforestation, and inefficiency in the use of water are big concerns for governments.

When natural resources are involved there is a concern about how individuals and groups can manage them in order to achieve their personal and/or collective interests. Thus, there is an agreement among scholars that not only physical and human capitals are important for development. Social capital has become a crucial element to achieve collective action and collective goals.

Aware of this reality, international agencies have started debates about water sustainability, especially because water is a fundamental resource for life. Since 1997, there is a World Water Forum that has the objective of improving the use and management of water in order to avoid a water crisis. Additionally, in 2000, United Nations promoted an agreement

among states in order to pursue eight Millennium Development Goals, which include environmental sustainability, particularly include a reduction in the proportion of total water used.

Now, time is almost out and several nations are facing problems to establish a structure that can support the achievement of these goals, especially in the case of water. Hence, in the present document there will be an especial attention to water management because of the importance of water for helping to eradicate poverty and hunger, reduce child mortality, improve maternal health, combat diseases and ensure environmental sustainability. The eight development goals are extremely related to the use of water, so water management by governments requires an interdisciplinary and multisectoral analysis.

Thus, in the last years many scholars have focused their analysis in water governance. The UNDP stresses the stretch relation between sustainable development and governance. They put emphasis on the creation of governance system that promotes, supports and sustains human development.According to the Global Water Partnership (2002) water governance is definedas the range of political, economic and administrative systems that are in place to develop and manage water resources and the delivery of water services at different levels of society. They stressed the idea that water governance cannot be achieved without participation and integration of stakeholders.

In this context,the present document will analyze water governance in Peru focused on irrigation sector. The analysis will use the six principles of governance gave by the World Bank: voice and accountability, government effectiveness, corruption, violence, rule of law and regulation. The document will take a look on Peruvians actors inside irrigation sector and explain their role and formation. Also, in order to make a description of each principle, the document will present information from surveys and studies made in Peru and information of interviews made to public and private actors.

This analysis leads to the conclusion that Peru is facing a process of reforms in water management with some difficulties.Historically, public interventions have been focused on coastal areas and on irrigation infrastructure neglecting highland and forest areas which cover more farmers and area. This public absence has led to many conflicts among users where many human lives have been taken. Moreover, public intervention has obviated rural customs and traditions in the use of water, so they are difficult to implement in highland and forest where the context is different.

Regarding this problems on governance some policies recommendations are given to improve the actual situation. For instance, as a first point, generation, process and diffusion of water information is required. Also, the National Water Authority requires more independence and autonomy is decision making as well as human and financial resources. Finally, local authorities should incorporate in water policies and methodologies a broad understanding of local customs and traditions around the use of water.

I.

PROBLEM STATEMENT AND METHODOLOGY

1.1 Problem statement and objectives of the study

In Peru the use of water is divided in many sectors; however, agriculture is the main activity which uses 80% of the total water. A study made by the Ministry of Agriculture and Irrigation the efficiency in the use of water was estimated in 35%. This result can be an expression of the degree of water technology used by farmers. In Peru only 36% of agricultural land has irrigation systems, most of them located in the coast where 57% have irrigation systems while in highland and forest 38% and 5%, respectively (Agrarian Census, 2012).

Besides, there is a conflict between demand and supply of water. Thus, Pacific slope, which provide water to the coastal Peruvian territory, only present 2% of the total water; however, the coast gathers 60% of the totalPeruvian population. Moreover, Peruvian territory is reach in mineral resources, so mining companies, legal and illegal, are located along highland, coast and forest. These companies constitute the second main water users. Hence, Peruvian territory holds two main groups of actors with opposite interests. This diversity of interests and uses has brought many conflicts and deaths. Since the last eight years, socioenvironmental conflicts have increased and cost many lives.

Regarding this context, this dissertation focuses on analyze water governance in the irrigation sector. The dissertationwill present a description of the actual situation in the irrigation sector considering the six World Bank principles of governance.

Thus, in seeking to complete this objective, this dissertation will address the following subobjectives:

Establish a framework of water governance for the case of irrigation.

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Analyze the role of different actors in water governance. Understand the formation of water user organizations. Analyze woman inclusion in the irrigation sector. Describe the participation system in the irrigation sector. Analyze the type of water conflicts. Take a look at government efficiency in the irrigation sector.

1.2 Methodology

The present dissertation will use information at two levels. The first level is based on secondary data from surveys, conferences, studies and analysis made by national and international specialists and organizations. This information was obtained from internet, revision in the library and sent directly by irrigation experts.

The second level of information is based on interviews made to specialist in irrigation from the public and private sector. They were asked about public irrigation interventions, public effectiveness, decentralization process and the role of public, private and international cooperation. Also, they were asked about the role of woman in irrigation, informational systems of irrigation, corruption in irrigation and the irrigation perspectives in medium term1.

Interviews were made during the month of August, regarding the limitations of time, and covered ten specialists. Specialists were invited to participate in a private meeting individually. The invitation was sent by email. It is important to mention that professionals from the World Bank and Food and Agriculture Organization were asked for an appointment; however, they were out of the country.

See the questionnaire in the appendix.

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The professional interviewees were engineers from public institutions related to irrigation. Also, professional from the private sector participate. Three engineers that work as irrigation consultants participated where one of them is a Dutch specialist with experience in the Dutch international cooperation agency. All interviews were recorded.

Also, my participation at the First Forum of Water Rightswas used. This forum, conducted in the university PontificiaCatlicadelPer, conducted on August 15 and 16, facilitated a deep understanding of some water concepts and policies. The conference covers topics such as climate change, water crisis, water rights, public policies, institutions, water management, water organizations, indigenous rights, water conflicts and human right to water2.

Thus, the methodology will intend to get a look from "some angles", that means not only have the opinion of specialists in the public sector but also have the opinion of a variety of professionals. This allows for a wide variety of views and perspectives about the problematic in governance in the irrigation sector.

1.3Limitations

The present analysis presents some limitations such us the absence of interviews to international cooperation agencies and water users, absence of interviews to representatives of regional and local governments, and absence of some information and statistics.

1.4 Organization of dissertation

The structure of the document will be divided into three parts. The first section will present a literature review of human development stressing the importance of economic, social and
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Information of the conference can be appreciated in the following link

http://jornada.pucp.edu.pe/derecho-de-aguas/primeras-jornadas/#.Uh_-M9JFWSo
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environmental outcomes to achieve sustainable development. Also, this section will explain the importance of agricultural activities for human development and the role of social capital to promote trust and collective action. The document will point out the importance of social capital to achieve governance, particularly in the case of water governance focus on the irrigation sector.

Second, there will be an agricultural description focused on irrigation and the evolutions of water organizations. An analysis of the formation of organizations is important because many actors were involved and was a process of conflicts and bargain. Also, an analysis of water for irrigation governance is presented using the World Bank principles. For this analysis secondary information and interviews were used in order to contrast or reinforce point of views and ideas. Finally, some conclusions and recommendations are presented.

II.

LITERATURE REVIEW

2.1

Defining development

When we talk about development we are entering into a complex world. There is not a single definition and dimension to define development. Also, there is nosingle methodology to calculate the degree of development. However, some authors have made useful approximations on this definition. Most of them focus their analysis taking into account as an initial point to departurethe income.Nielsen (2011) pointed out that, after many years of debate, classical economists measuredhuman development using per capita real income as a proxy variable.

However; in 1987 GroBrundtland introduced the concept of sustainable development as development which meets the needs ofthe present without compromising the ability of future generations to meet their own needs (UN, 1987:11). This definition introduced social and environmental issues in the process of human growth. This meansthat
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development must be sustainable in order to not undermine the availability of natural resources. Thus, nations should be aware of the kind of production system that issatisfying human needsbecause there are involved a process of environmental degradation and climate change.

The introduction of this broad concept considers human development from three aspects: social, economic and environmental.

Graph N 1:Sustainable development

Source: New South Wales, Australia. 2008

Nevertheless, in recent years there is an increase concern to look at development integrating more humanistic conditions. For instance, a more complete definition of human development is provided by the United Nation Development Program (UNDP) in its last report Human Development Report 2011. Sustainability and Equity, a Better Future for All: Human development is the expansion of peoples freedoms and capabilities to lead lives that they value and have reason to value. It is about expanding choices. Freedoms and capabilities are a more expansive notion than basic needs. Many ends are necessary

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for a good life, ends that can be intrinsically as well as instrumentally valuable we may value biodiversity, for example, or natural beauty, independently of its contribution to our living standards (UNDP, 2011:1).

This definition is closely related to AmartyaSen Theory of Human Development which introduces a more comprehensive vision of individual wellbeing compare with the previous. This means that development not only refers to income, social and environmental outcomes, but also means freedom and capabilities to choose the kind of live that peoplevalue.

However; according to Sen, if poor people want to achieved freedom they required collective action. For him some of the greatest intrinsic satisfactions in life come from social interaction with others who share the same interests and values (families, communities, etc.). These interactions are central to develop identities, values, and goals. Hence, promoting the expansion of collective action is central to the expansion of freedom.Furthermore, inside Sens concept, institutions matters.Sen (2000) stressed that people live and operate in a world where institutions exist and they establish opportunities and contribute to freedom and inclusion. Thus, democratic institutions open spaces for institutional arrangements among individuals.

Hence, the concept of human development goes beyond income and social outcomes. Sens concept of human development refers to freedom and capabilities that can be achieved with an institutional frame that promote collective action and institutional arrangements among individuals and groups. Thus, the importance of institutions and participation is crucial and will be analyzed in the next paragraphs; however, first it is relevant to understand the contribution of agriculture for human development.

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2.2 Contribution of agriculture to human development

Looking at the concept of human development, there is an activity that supports many rural families in an integrated manner (economic, social, environmental and freedom). Agriculture as a primary activity is a powerful source of monetary resources for many poor families. The World Development Report 2008, Agriculture for Development, recognizes the importance of this activity to provide resources to poor people. It mentioned that agriculture offers new opportunities to move of poverty many rural poor families.

Anrquez and Stamoulis (2007) explain that extreme poverty continues to be a rural phenomenon. Regarding the 1.2 billion of people living in extreme poverty in the world, 75% live in rural areas and the most part of them depend on agriculture, forestry, fisheries and related activities for survival.

Anrquez and Stamoulis (2007) showed that agriculture is more pro-poor than other sectors especially in poor countries like India and Ivory Coastas well as in middle income countries like South Africa. For them, agriculture has strong links with other sectors, so agricultural productivity can pull other sectors by increasing employment. Moreover, Christiaensen and Demery (2007) show that agricultural income growth is more effective in reducing poverty than other sectors because the incidence of poverty tends to be higher in agricultural and rural populations.

Also, the World Bank(2008)demonstrates that agricultural growth is especially effective in reducing poverty. Through an econometric analysis, they found that Gross Domestic Product growth originated by agriculture is twice effective to reduce poverty than the effect of other sectors such as industry and services. They put the example of China where the rapid growth in agriculture helps to reduce poverty from 53% in 1981 to 8% in 2001.

Moreover, Cervantes-Godoy andDewbre (2010) made and analysis of poverty reduction of 25 countries. They found that reduction on poverty was
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achieved through

agriculturalactivities because agriculture has an impact of 52% on reduction of poverty while non-agriculture activities had an impact of 13% and remittance 35% on poverty reduction.

Therefore, it is important to look through what mechanisms agriculture is promoting development. In this line DFID (2004) analyses the links between agriculture and poverty reduction through four transmission mechanisms: i) impact of improved agricultural performance on rural incomes;ii) impact of cheaper food for both urban and rural poor; iii) contribution to growth and the generation of economic opportunity in the non-farm sector; and iv) fundamental role in stimulating and sustaining economic transition(from primarily agricultural towards manufacturing and services).

The World Development Report 2008 shows three ways in which agriculture help to increase country development: i) as an economic activity, agricultureis a source of growth for the national economy, a provider of investment opportunities for the private sector, and a prime driver of agriculture and the rural nonfarm economy; ii) as a livelihood, agriculture is a source of livelihoods for an estimated 86% of rural people. It provides jobs for smallholders and landless workers; iii) as a provider of environmental services, agriculture can create good and bad environmental outcomes (use of water, agrochemical pollution, soil exhaustion, etc.).

Furthermore, the European Commission (2009) made an analysis of outputs, outcomes and impacts of agriculture production. They established some elements that are necessary to achieve social and economic impacts. These elements are divided in two groups. First, provision of public goods such as infrastructure and water are required. Second, economic and regulatory environment is needed. These outputs will achieve a better natural resource management, and a better access to markets, capital and information. Thus, natural resource management is crucial, especially water because of the volume needed and the high probability to generate conflicts.

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Graph 2: Agriculture and rural development intervention logic

Source: European Commission, 2009.

On the other hand,the World Bank has stressed the importance of collective action for poverty alleviation, especially in agricultural activities. Meinzen- Dick and Di Gregorio (2004) defined collective action as voluntary action taken by a group to achieve common interests where members can act directly on their own or through an organization. Without agreements among individuals, poverty reduction cannot be reach. In agriculture, collective action is importantbecause it counteracts a number of conditions that retard development: market failures, deterioration of customary institutions, and lack of empowerment of vulnerable groups (World Bank). Moreover, The World Bank gives special relevance to the case of natural resource management because communication among users is important. In

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this sense, collective action can reduce costs of information, knowledge flows and conflicts; and improve governance.

Thus, regarding the importance of agriculture for human development, it would be interesting to know how social capital is formed among individuals that use the same resources.

2.3 Social capital as a key element for development

Ellis (2000) pointed out that, in rural areas, individuals have to work with several assets in order to survive. Thus, households have access to a stock of assets or capital that permit production, give employment and allow reciprocal exchange between households. The stock of capital can be categorized in natural capital, human capital, physical capital, financial capital and social capital. The paper will take a look at two forms of capital, natural and social.

Ellis (2000) defined natural capital as land, water and biological resources utilized by people to generate means of survive. This capital includes renewable and non-renewable natural resources; however he stressed that in most cases interest has been focused on renewable resources such as fishery or trees and the resources that ensure their renewal such as social and water. Nonetheless, non-renewable resources are also important such as metals, oil, etc.

In the case of social capital, Ellis (2000) use the definition of Moser (1998) who explain social capital as reciprocity within communities and households based on trust. This concept includes personal and family networks that can be vertical (authorities) or horizontal such as voluntary organizations where trust and expectations are present.Thus, Ellis (2000) considered that social capital is the most difficult resource to describe; consequently it is necessary to understand its concept and forms.
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Along thehistory many authors haveanalyzed social relations and have tried to provide definitions of social capital. For instance, Putman (1995) invited us to think that social capital has multiple dimensions because some forms of social capital are formal but many others are informal. Putman (1995) defined social capital as the characteristics of social organizations such as networks, norms and social trust that facilitate cooperation and coordination for mutual benefit.

Moreover, Putman (1995) remarked the importance of networks to solve collective action problems because they promote norms of reciprocity, social trust, reputation and to facilitate coordination and communication. Especially, in the case of economic and political negotiations networks play a significant role in reducing opportunistic and selfish behavior. He mentioned that low levels of social capital have been linked to inefficient local government, as well as to the regions pervasive corruption.

Furthermore, Fukuyama (2001) stressed the importance of social capital for modern economies and for democracy. He pointed out that many scholars have made a mistake by confusing the definition with the result because,for him, social capital is an instantiated informal norm that promotes cooperation between two or more individuals. This means that trust, networks and civil society are results of social capital.

In the case of natural resources, Ostrom et.al (2003) pointed out that social capital is an attribute of individuals and of their relationships that allow individuals to solve collective action problems. Thus, they remarked that differences in political and economic performance across nations and communities are attributed to the social capital forms. For them there are three forms of social capital: trustworthiness, networks and formal and informal rules or institutions.

Ostrom et.al (2003) pointed out that in the case of natural resources management usually there are high probabilities of collective action problems because, due to some particular

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interest, individuals face different alternatives. The problem emerges when some act in a selfish manner.

Considering that trust is not easy to reach, the logic between the three forms of social capital consist on increase trust through networks that transmit information andthe rules that create incentives to behave trustworthily. These rules can influence behavior by establishing mechanism of reward and punishment or indirectly by providing information or alternative conflict resolution mechanism. Consequently, there is a significant role of rules for facilitating collective action.

In this sense, there is little agreement about social capital definition; however, there is a consensus about the importance of trust, rules and norms. Also, there is some consensus about the benefits of social capital. For instance, Portes (1998) distinguished three basic functions of social capital, applicable in a variety of contexts: a source of social control enforcing rules; a source of family support because leads to higher educational achievement;and a source of benefits through extrafamilial networks (access to employment, entrepreneurial success, etc.).

Additionally, Narayan and Pritchett (1997) describe five mechanisms how social capital affects outcomes. First, social capital improve societys ability to monitor the performance of government; second, social capital increase possibilities for cooperative action in solving problems with a localcommon property element; third, social capital facilitate the diffusion of innovations by increasing inter-linkages amongindividuals; fourth, social capital reduce information imperfections and expand the range of enforcement mechanisms; and fifth, increase informal insurancebetween households,thereby allowing households to pursue higher returns, but more risky, activitiesand production techniques.

Thus, social capital is important for any society because they promote cooperation and collective action; however, individuals and groups of individuals live in an environment where institutions exist and public sector establish rules and norms.Therefore, it is relevant
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to review the role of institutions and organizations in collective action and natural resource management.

2.4 Organizations and institutions to promote collective action

Natural resource management requires collective action in order that everyone can obtain a benefit from their use. Meinzen-Dick and Di Gregorio (2004) explained that individuals can be inserted into natural resource management directly by their own or through organizations which can empower some agents.Thus, organizations give power to individuals in order to reinforce their participation and voice.

However, according to North (1991) it is important to not confuse institutions with organizations. For him institutions are the rules of the game, and organizations are the players. Leftwich (2009) explain that it isuseful to see organizations as a sub-set of institutions where: i. ii. iii. They have their own internal rules which apply only to their members, They have relative autonomy from each other (its own internal rules), Each has its own internal structure of power and authority.

Leftwich (2009) pointed out thatorganizations can be formal or informal where formal organizations could be conceptualized as having some form of official status and recognition. In the case of informal organizations they do not have official status or recognition. Examples can be village or ethnic associations and family business which are legitimated at a local level.

Institutions for Leftwich (2009) are pervasive in any societies, shaping social, economic and political behavior. Thus, formal institutions refers to laws, acts, regulations, contracts, constitutions, etc. that are characterized by being enforceable by third parties; meanwhile informal institutions are customs, conventions, norms, codes of behavior, socially shared

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rules and understandings, often embedded in culture, and which are enforced outside official channels.

North (1991) remarked some characteristicsof institutions: They are societally determined and govern social, political, cultural and economic exchanges and interactions. They define the range of choices, regulate risk and uncertainty and determine transaction and production costs and hence the feasibility and profitability of engaging in economic activity. They evolve incrementally, linking the past with the present and future. They provide the incentive structure of an economy and set the tone of societal development.

Considering this description, it is clear that institutions are an important element to shape human behavior and promote and environment of respect. Thus, institutions can determine the growth path of societies, as well as distribution of benefits, access to resources and power. However, institutions are shaped by individuals, so there is space for institutional change. Ostrom (2010) explained that humans are capable of designing institutions that can change the structure of the world.

Therefore, as Leftwich (2009) pointed out, it is relevant to analyze how organizations interact in presence of institutions and institutional arrangements and how institutions can change as a product of interaction with organizations. For this purpose a definition of institutional arrangement is needed. Costa et.al (2011) defined institutional arrangements as the dynamics within and between institutions, including agreements established between interest groups, social movements, organizations, and agencies. They stressed that institutional arrangements can influence the rules and norms followed by specific actors.

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Consequently, institutions can change. Cleaver (2007) introduced the concept of Institutional Bricolage in order to explain how institutional change takes place. The concept of bricolage explains institutional formation and functioning. Cleaver (2007) wants to explain interactions between individual and structure (rules, norms, etc.), and how institutions are shaped. The author focuses its analyses on the implication of human action for the evolution of institutions considering that human action responds to change in the environment. The ability to exercise agency is shaped by peoples social relationships and circumstances, where several of interrelated factors exists such us sex, ethnicity, religion, caste, location, etc.

In that sense, institutional change can be possible and shaped by the interaction of individuals in response to changing situations. Therefore, institutions can be explain as an hybrid of the combination of modern, traditional, formal and informal elements. However, regarding their social position, individuals are able to exercise different levels of influence for the formation of institutions. Authority, reputation, status and assets matter to make institutional rules. Besides, new arrangements should be validated and accepted by others in order to be institutionalized. Thus, negotiation and contestation is inevitable part of institutionalbricolage (Cleaver, 2007).

Changes in institutions also considered an important element that is power. This power, more or less, that each individual or group has given them the opportunity to be heard and seen in their claims by institutions. In the other hand, institutions influence human agency. Thus, institutional arrangements exist under a double frame in which power and institutions areinterconnected. Hence, it is relevant to understand how power is executed in a territory.

2.4 Defining Governance

A review of literature indicates that there is little agreement on what governance means. For instance, the World Bank (1993) defines governance as the manner in which power is exercised in the management of a countrys economic and social resources. The World
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Bank has focused governance analysis on six indicators: voice and accountability, political stability and absence of violence, government effectiveness, regulatory quality, rule of law and control of corruption. Fukuyama (2013) defined governance as a governments ability to make and enforce rules and to deliver services, regardless of whether that government is democratic or not. This definition gives more importance to the state as a promoter of governance.

In addition, the UNDP defines governance as the exercise of economic, political and administrative authority to manage a countrys affairs at all levels. It comprises mechanisms, processes and institutions through which citizens and groups articulate their interests, exercise their legal rights, meet their obligations and mediate their differences.

On the other hand, Gereffi (2005) defined governance as the institutions, governmental and non-governmental, that encourage and constrain the behavior of markets and markets actors. He recognized two types of governance, public and private. Public governance refers to familiar stuff of governmental policy such as laws, regulations, and enforcement capacities. On the other hand, private governance includes social mores that determine market behavior, codes of conduct, collective bargaining agreements that define the obligations of firms towards workers, and other non-governmental institutions.

Franks and Cleaver (2007) pointed out the importance of governance focus on natural resources. For them governance provides a way of conceptualizing the emerging network of relationship among sectors and interests in society.

Kaufman, Kraay and Mastruzzi (2003) pointed out six aggregate clusters of indicators to analyze governance:

i.

Voice and accountability: is related to political process, civil liberties and political rights. This principle analyzes the extent to which citizens of a country are able to
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participate in the selection of governments. Also, they include the independence of the media (monitoring).

ii.

Political Instability and Violence: related to measure perceptions of the likelihood that the government in power will be destabilized or overthrown by possibly unconstitutional and/or violent means.

iii.

Government effectiveness: perception of the quality of public service provision, the quality of the bureaucracy, the competence of civil servants, the independence of the civil service from political pressures and the credibility of the governments commitment topolicies into a single grouping.The focus is on the ability of the government to produce and implement good policies.

iv.

Regulatory burden: it includes measures of the incidence of market-unfriendly policies such as price controls or inadequate bank supervision, as well as perceptions of the burdens imposed by excessive regulation in areas such as foreign trade and business development.

v.

Rule of law: measure the extent to which agents have confidence in and abide by the rules of society.These include perceptions of the incidence of both violent and non-violent crime, the effectiveness and predictability of the judiciary, and the enforceability of contracts.

vi.

Corruption: the exercise of public power for private gain. This measure differs ranging from the frequency of additional payments to get thing done to the effects of corruption on the business environment.The presence of corruption is a manifestation of a lack of respect of both the corrupter and the corrupted for the rules which govern their interactions, and hence represents a failure of governance.

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Thus, the definition of governance, for some authors, is related to government, as a main actor, and in other cases is related to actors out of the state. However, most of them agreed that governance is about power execution though interventions that enjoy of legitimacy and approval by actors. In the case of water it is useful to understand how water problematic is defined by experts and how water governance is defined in these days.

2.5 Defining water governance

In 1992, United Nations organized the Conference on Environment and Development because the great concern about the sustainability of water for the future. Specialists from all around the world gathered with the objective to analyze the implications of water scarcity and misuse on human health and welfare, food security, industrial development and the ecosystems. The experts saw the emerging global water resources picture as critical and require an effective action.

In the case of agriculture, there was recognition of the great use of water in the sector. Additionally, specialists identified bad practices which cause 60% water lost. Thus, more efficient irrigation practices will lead to substantial freshwater savings. They stress the idea that water actions have to be focus on the provision of appropriate policies and programmes at all levels. Actions should be design considering political commitment and involvement from the highest levels of government to the smallest communities. Actions should focus on investments, public campaigns, legislative and institutional changes, technology and capacity building. Also, United Nations (1992) stressed some principles that have to be present in the present trends in use of water. First, water is a vulnerable resource essential to sustain life, development and environment.

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Second, water development and management must be based on a participatory approach which involve users, planners and policy makers at all levels. Third, the role of women is central for the provision, management and safeguard of water. Finally, water should be recognized as an economic good because its competing uses, however considering the importance for life prices should be affordable.

In 2000, the debate continued and though the World Water Forumexperts stressed the importance of addressing the crisis in water management. They identified the water crisis as a crisis of governance. In this sense, they made a call for ensure water governance which includes the involvement of all actors through water management strategies at the national, regional and local levels promoting equitable access and adequate supply.

In this sense, the Global Water Partnership defines water governance as the range of political, social, economic and administrative systems that are in place to develop and manage water resources, and the delivery of water services, at different levels of society. Thus, water governance is a subset of the general issue of the creation of physical and institutional infrastructure and the more general issue of social cooperation at a country level.

Roger and Hall (2003) mentioned that water governance includes the capacity to design public policies and institutional frameworks that are socially accepted and can mobilize social resources for support them. Thus, to have an effective implementation of water strategies all key actors must be involved. These public policies have the objective of a sustainable development of water and they should include civil society, especially because they need to be respected in decisions over common water and the use of scarce financial and human resources.

In this sense, Roger and Hall (2003) stress the notion that more open social structures that promote participation of civil society, enterprises and the media can help to achieve
27

effective water governance. For them there is no single model of effective water governance because each country has their own social, economic and cultural particularities. However, to improve water governance it is necessary to create an environment that facilitates efficient private and public initiatives.

Thus, Roger and Hall (2003) explain some principles that can help to reach effective governance such us transparency, inclusion and communication, coherence and integration, equity and ethics, accountability, efficiency and sustainability.

Graph N 3: Governance principles

Source: Roger and Hall, 2003

These principles are designed within a framework for coordination and cooperation between actors that promote better governance. Rogers and Hall (2003) remarked some requirements to improve effective governance such us efficient private and public

28

initiatives, a coherent legal framework with a strong and autonomous regulatory regime, gender inclusion, decentralization, shared responsibilities and a climate of trust.Also, they recognized that effective water governance required change but this change is hard to make because of the resistance of some actors and requires political debates.

Nevertheless, there is a crucial role of infrastructure and technology to improve water governance. Roger and Hall (2003) concluded that development in poorer countries is dependent on infrastructure and innovative technological development.

In this manner, Roger and Hall (2003) proposed a range of variables to analyze the type of failures that can be present in water governance:

Failure to correct market distortions Inappropriate price regulation Perverse subsidies to users Over-regulation or under-regulation Conflicting regulatory regimes No independence and impartiality of organisms of regulation. Natural monopolies. Voter ignorance and imperfect information. Special interest effects, including political weaknesses and vested interest. The non-payment of services linked to water. Bureaucratic obstacles or inertia. Lack of an overall responsible authority. Lack of sufficient knowledge of the resource Well defined property rights and unclear ownership. Absence or inappropriate legislation. Ignorance and uncertainty about water markets, droughts, floods, etc. leading to inability to set prices correctly.

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Hence, regarding the complexity of water governance, it is required that voices are heard and respected in decisions over common waters and use of scarce financial and human resources. Consequently, equal treatment among actors is key. Thus, many authors have addressed the importance of gender inclusion in water governance.

Batchelor (2005) explained that gender integration is the process of assessing the implications for women and men of any planned action, including legislation, policies and programmes in all areas and at all levels. Thus, he mentioned the benefits of gender integration in decision making such as the increase project effectiveness, support environmental sustainability and reduce imbalance between women and men.

Therefore, many studies have stressed the importance of include woman in decision-taking giving them more voice, which mean have influence at public forum. For instance, German et.al (2003) mentioned that to enhance gender inclusion and equity in watershed management, it is important to emphasize community participation during problem definition.

Thus, water governance encompasses different elements of participation, cooperation and legitimacy. Improve water governance involve the participation of actor at all levels where all of them must fulfill a clear role in decision making. Consequently, result interesting to make a review of what literature suggests or recommend about the role of actors in governance.

2.5.1 Role of actors in governance

De Lo (2009) pointed out the importance of defined roles on environmental governance. He mentioned that ambiguity of roles creates weak governance systems, with important functions poorly implemented as an outcome of poorly delineated responsibilities. Thus, to achieve water governance many actors should perform a role that contributes to better
30

governance. So, in order to formulate policies, it is clear that all actors have to take into account many factor such as formal and informal rules, institutions, organizations, etc. Considering that in the majority of countries natural resources are in control of governments, this actor plays an important role in promoting transparency, accountability, coordination, inclusion, etc.

i. Government

The World Bank (1997) recognizes the important role of the state to promote development. For them the state does not have to act as a provider of good and services but as a partner and facilitator through the promotion of rule of law, competition and regulation. The state has to intervene in a necessary way that reduce incentive to corruption and increase investments.

The clearest means to achieve these objectives is through institutions. The World Bank (2002) stressed the role of sound institutions that not only propone good policies but also policies that can be applied. Thus, they can identify three benefits of institutions: channeling information about goods, participants and markets, define and enforce the rules, property rights and contracts; and increase or decrease competition in markets.

Regardless of the state regime, Chabal (2007) explain the role of the state achieve sustainable growth:

Guarantee a minimal degree of order and peace and uphold the rule of law, which requires a functioning legal framework and a working independent judiciary. Maintain a basic administrative organization capable of underpinning the regulatory tools. Ensure sufficient infrastructure. Provide basic services such as health, social and education andthe expansion of appropriate higher, and particularly technical, training.
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Ensure financial and banking infrastructure, able to make and implement business decisions other than for political reasons.

However, this perspective does not take into account the role of the state as promoter of interaction between different groups of actors. For Roger and Hall (2003) institutions should work in an open manner where all policy decisions can be followed by agents inside or outside the government. According to them the effectiveness of policies depends on extensive participation, since the formulation, of several actors.

Moreover, Plummer and Slaymaker (2007) explain that the role of the state is to increase change at all levels through the involvement of non-state actors in state decisions. Nevertheless, they indicated that the role of the state is an issue that involves long debate and discussion.

In addition, Brinkerhoff and Johnson (2008) remarkedsome governance functions: security, effective and efficient delivery of basic public goods and services, and political legitimacy3. Also, they made and emphasis on the role of local governments for governance, especially in countries that are living a process of reconstruction and stabilization.

Thus, in the case of center and localgovernment relations there are some gaps that influence governance. Usually, there has been a focus on the importance of national government for enforce rules and establish the regulatory structure. However, Brinkerhoff and Johnson (2008) pointed out the importance of decentralization and local authorities. They explained that local governments can increase speed of service delivery to citizens because building from the local is a good starting point to understand citizens needs and priorities.

On the other hand, local governments can canalize ethnic or regional inequities especially in states that contain regional enclaves rich in mineral resources. Also, local governments

The authors define good governance as the sum of the three functions.
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can build democratic and conflict management capacities through promotion of dialogue and participation of the community in decisions. Moreover, by the creation of spaces for citizens local governments can encourage the creation local leaderships. Finally, local governments can mitigate conflicts because groups that would be unlikely to win in national arenas can score local wins.

ii. Private sector

Respect to the role of private sector, in the last year have been long debate about the kind of participation that private sector should have in governance. However, there is partially agreement that private sector is necessary to promote development. Roger and Hall (2003) pointed out that modern governance systems include private and public coordination and cooperation in decision making.

Besides, Drake et.al (2001) remarked the importance of private sector and explained some requirements that countries must have in order to attract private investments: macroeconomic stability, avoid price distortions and liberalization of trade and investments. They, taking World Bank position, stressed the importance of countrys openness and credibility for the creation of competition.

Also, Drake et.al (2001) remarked the importance of private sector to provide financial resources which is a fundamental component in any economy. Additionally, private sector has a role of develop institutional capacity in several issues as well as technological transfer and quality.

Roger and Hall (2003) mentioned that private sector has worked on extending service coverage and quality. Thus, they stressed that governments should realize that they cannot solve water problems alone, so private help is needed. iii. Civil society

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In the case of the role of civil society, there is more agreement among scholars about the importance of them to improve governance.Gemmill and Bamidele-Izu (2003) identified five major roles that civil society play in governance: collecting, disseminating, and analyzing information; providing input to agenda-setting and policy development processes; performing operational functions; assessing environmental conditions and monitoring compliance withenvironmental agreements; and advocating environmental justice.

Furthermore, Ghaus-Pasha (2004) recognized five roles of civil society to promote good governance: analysis of policies, regulating and monitoring od state performance, building social capital and enabling to identify and articulate their values, beliefs, civic norms and democratic practices, mobilizing marginalized section of masses and developing work to improve the wellbeing of communities. Civil society has been widely recognized as an essential third sector. Its strength can have a positive influence on the state and the market. Civil society is therefore seen as an increasingly important agent for promoting good governance like transparency, effectiveness, openness, responsiveness and accountability. However, Roger and Hall (2003) stressed the issue that civil society encompasses special-purpose interest groups; especially in the case of water governance.

Thus, there are similarities in both points of view about the role of civil society. In the following table there is a summary of the principal role of each group of actors:

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Table N 1:Summary of the role of actors Actor Government (national, regional/provincial and local level) Roles

Define rights and responsibilities. Invest in organizational capacity inside and outside government. Provide Information. Promote monitoring and accountability systems. Promote inclusive participation. Manage conflicts. Promote education and values. Promote projects consultation. Promote partnerships.

Improve interaction, debate and accountability among actors.

Civil society(individuals, organizations)

Facilitate organization and mobilization of groups. Identify needs, problems and solutions. Build social capital. NGOs: provide training, participation, identify needs, formulate monitoring. priorities, and promote coordination and

Private sector(companies)

Participate in public-private partnerships (coordination and cooperation). Provide human and financial resources. Promote investments in infrastructure, information systems, etc.

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Thus, previous chapter have established some linkages between human development, social capital and water governance. This theoretical review shows that not only financial, human, social, natural resources are needed but also social capital plays a crucial role to promote development. However, social capital is a human construction which is not easy to achieve. Hence, institutions and organizations, through negotiation and institutional arrangements, can promote an environment of trust and credibility among actors. In this task institutions are essentialto establish rules and promote participation spaces for actors that will give legitimacy to the power of institutions.

III. ANALYSIS OF WATER GOVERNANCE: THE CASE OF IRRIGATION

The present chapter will present an analysis of water governance in the case of irrigation sector. The following analysis of water governance will be divided into four parts. First, there is a brief description of Peruvian agriculture which includes economic performance, farmers description andirrigation description. Second, there is a historic revision of the evolution of Peruvian society, particularly the evolution of water user organizations and a description of the role that each actor has played. Finally, the paper will center its attention in the analysis of governance focused on six principles from World Bank.Besides, the chapter will present the results of the interviews made to specialist and experts from the government, private sector and civil society in Peru. These results are reinforced by evidence from surveys and analysis conducted by national and international experts and organizations.

3.1 Countryagricultural description

In Peru, almost a third of the population lives in rural areas, where 50% of their income comesfrom agriculture (PESEM 2012-2016). At national level, 25% of the working population works in the agricultural sector contributing about 7% to the national GDP and 8.9% of total exports of the country.

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The last Agrarian census 2012 estimates that 30% of the territory is intended to agricultural activities which mean an increase of 9.5% respect to 1994 (38 million of hectares).Thus, only 7.1 million of hectares (5.5% of the country) are using in agricultural crops (clean and permanent crops), 18 million of hectares in pasture and 10.9 million of hectares in forestry. Also, regarding agricultural land (7.1 million of hectares) the highland owns 46.3% of the total agricultural area, the Forest region holds 30.1% and the Costa owns 23.4 % of agricultural land.

Table N 2: Agricultural land in Peru Use of land Totalsurface Land for agriculture Land for grazing Land for forestry Other
Source: Agricultural census 2012.

Surface (millionsha) 128.5 7.1 18.0 10.9 89.8

(%) 100% 5.5% 14.0% 8.4% 72.1%

It is important for this analysis that according to farmers the main reason why agricultural lands are not exploited is the lack of water (coast 55%, highland 32% and forest 13%). Thus, 49% of farmers are affected by the lack of water, 24% are affected by the lack of funding and 23% for others reasons such as insecurity, natural disasters and lack of labor.

Agricultural production is an important source of labor in Peru. The agricultural sector has the highest proportion of economically active population (25%), followed by the trade sector with 17.6% and 10.9% manufacturing. The economically active population in the agricultural sector has suffered a slowdown in 2008 (26.8%) to 2010 (25.1%).

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Table N 3: Economically active population by sectors 2005-2010 (%) Type of activity Total Agriculture Fishing Mining Manufacture Construction Comerce Transport and Telecom Publicadministration Otherservices 2008 100 26.8 0.6 1.2 11.3 4.5 17.4 7.7 3.9 26.7 2009 100 26.2 0.6 1.1 10.9 5 17.2 7.5 4.3 27.3 2010 100 25.1 0.5 1.2 10.9 5.6 17.6 7.5 4.3 27.4

Source: National Household Survey 2005-2010

Actually, 2.2 million of Peruvian population is dedicated to agricultural activities that are located in the region of the sierra (63.9%), forest (20.3%) and costa (15.8%). at the departmental level, Cajamarca, Puno , Cusco and Ancash gather 42% of the total farmers.

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Graph N 4: Farmers by department

Source: Agrarian census 2012.

Regarding this population, it is important to mentione that26% of the total has as a native language Quechua and 3.2% Aymara.

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Graph N 5: Mother tongue of farmers in Peru, 2012

Source: Agricultural Census 2012.

In 2010, the average monthly income for the Agriculture sector was 129 euros, registering an increase of 4% compared to 2009 and 73% over 2005. However, income of the agricultural sector is about a half of the average monthly income at the national level.

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In the case of rural areas, monthly income reaches 80 Euros. Farmers living in the rural forest reached the highest average monthly income (105 Euros) followed by the coast (103 Euros) and highland (65 Euros).

Table N4: Average agricultural income per month 2005-2010 (Euros) Sector Agriculture National 2005 2006 2007 2008 2009 75 181 81 191 90 208 109 233 124 250 2010 P/ 129 255 Var.% 2010/2009 4% 2%

Source: National Household Survey 2005-2010.

Regarding water description,Peru presents three slopes, Pacific, Atlantic and Titicaca which gather 159 watersheds. Along Peruvian territory there are many sources of water. For instance Peru has 3,044 glaciers, 12,201 lakes and 1007 rivers.

Respect of the use of water, most of them goes to agricultural activities (80%), while population (12%), industry (6%) and mining (2%). Domestic consumption of water is formed by the consumptive use, being the most important consumptive exploitation nationally the following: 80% agriculture consumption, 12% population consumption, 6% industrial consumption and 2% mining consumption. In addition, it is important to mention that Pacific slope only has 2% of the total water; however, in its territory (coastal area) are living 60% of Peruvians that consumes 87% of the total water in Peru.

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Table N 5: Consumption of water Peru (MMC/year) Vertiente Pacific Atlantic Titicaca Total Part. % Uses Population Agriculture Mining 2,086 345 27 2,458 12% 14,051 1,946 61 16,058 80% 302 97 2 401 2% Industrial Total 1,103 49 3 1,155 6% 17,542 2,437 93 20,072 100%

Source: PESEM 2012-2016.

According to the last census, 30% of agricultural territory presents irrigation systems4 and 70% continue using traditional manners to irrigate land known as secano. This technique, secano, which consists on use directly water from rain,is usually applied in highland and forest. In coastal areas irrigation systems are more used compare with other two regions . Besides, the National Survey made in 2008 shows that only 2% of farmers use modern irrigation systems5. 3.2 Irrigation evolution

Farmers represent key stakeholders to increase the efficient use of the resource. With them, there are other important actors such as the public and privatesector, and civil society.Each with different objectives, perspectives and interests.

Historically, water use has been an important element of agriculture development. Zegarra (2002) explained that the development of agriculture in Peru has an obvious correlation with the progress in water management in general.However, historically, governments attention has been oriented to coastal areas. Zegarra (2002) pointed out that since the
4

However, IPROGRA (1997) mentioned that, in coastal areas, despite of irrigation systems the efficiency on

water use reaches only 20%.

5

National Household Survey 2008 http://www.inei.gob.pe/

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beginning of the twenty century the government played a role in the construction of irrigation infrastructure in coastal areas. He remarked that this tendency continues until these days. This fact is related to colonization period. The Spaniards settled in the coast because of the altitude, climate and because of the port to commerce.

Before the Spanish colonization, the Incas ruled the Peruvian, Ecuadorian, Bolivian, and part of Argentinean and Chilean territories. The Incas had a well-developed system of organization where the Inca, son of the Sun, was the highest authority. Around him were established local authorities. Locally, the organization of citizens was made by ayllu which consisted of a community where all were descendants of a common ancestor. In the ayllu, farming predominated and was mandatory. There was no private property. Citizens were only educated in agricultural techniques.

The land working system was called mita where leisure was not allowed. Everybodyhad to work for themselves (land), for others and for the state (roads, temples, etc.).Incas culture also involved a strong devotion for natural resources. There was the cult toPachamama, or land goddess, and the cult for storms, who was invoked to ask for rain when water was needed for the fields. Thus, it is not strange that legends of the incas origins are related to water. The leyend of MancoCpac and Mama Ocllo mentioned that the son of the sun Manco was sent to earth by the Titicaca Lake.

The Incas also were well-known for their engineering work, because of the development of agricultural irrigation systems such as terracing, aqueducts and waru-warus. These irrigation systems were able to transfer water across huge distances through canals and underground aqueducts perfectly constructed with huge slabs(Brown, 2001; Gutierrez, 2005). In the highlands they built artificial lakes fed by channels from which water was redistributed to areas of drought. In the following graph there is an example of these techniques.

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Graph N 6: Terrazas and andenes in Cusco

Nazca aqueducts

Waru-Warus in Puno

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During the Spanish colonization,the authoritarian system was modified. The arrival of the Spanish in Peru meant a cultural shift which includes new rules, customs, religion and language. According to Chuecas (2005) the Spanish population imposed its beliefs, customs, traditions and values andindigenous and Quechua speakers were relegated, discriminated and used in productive activities such as agriculture and mining. They were properties of Spaniards without voice and power.As a result, the Peruvian coastal area became a large estate governed by landowners (latifumdium) with indigenous as slaves.

After many years of mixing races, conflicts and many indigenous deaths, Peru was declared a Republic in 1821.In 1823, Peru approved its first National Constitution where there was recognition of Peruvians as any man or woman born in the territory.

For the purpose of this analysis is important to examine the evolution and recognition of indigenous by the state and also the evolution of woman indigenous rights. The evolution of indigenous rights is strongly related to the evolution in water management. Thus, an analysis made by Chuecas (2005) explained the dynamics of indigenous recognition by Constitutions.

a. 1920: state recognized indigenous communities; however, they did not permit their participation in voting because of their illiterate condition.

b. 1933: state expanded its responsibilities to ensure the respect of the special rights of the communities. This constitution represents significant changes in various fields such as land, government, autonomy, recognition of their identity and culture and government support to secure enforcement of their rights. Also, this constitution gave indigenous representation in municipal councils. However, illiterate indigenous could not vote. One important fact was that this constitution authorized the participation of women in municipality elections through vote.

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c. 1979: state established that rural and native communities have legal existence and legal status; they are autonomous in their organization, communal work and land use, as well as economic and administrative. Also, community lands were inalienable, indefeasible and imprescriptible. However, they can be expropriated for public purpose. Finally, state recognized that indigenous can vote. On the other hand, the Penal Code recognized the ethno-cultural plurality of indigenous communities. This means that there is not criminal nature where culture or customs where present. This constitution also included the universal vote for women, which meant their inclusion in political and economic arenas.

d. 1993: the Constitution introduced two novel precepts one referring to the recognition of ethnicity as a fundamental right of every person, and the recognition of indigenous jurisdiction and customary law within the communal territory. Moreover, communal lands lost their Constitution protectionist when it withdrew them inalienability.

In this way the legitimacy and rights of peasant communities has evolved dramatically in the last century and decades. The evolution of legislation gives them more rights and, thus, more legitimacy. Of course, this process was not peaceful, but a process of struggle and conflict between Spaniards, which where owner of land, and indigenous and black slaves6. Conflicts led an Agrarian Reform in 1969 decreed by the president Velasco.This reform meant a change in social productive structures, where expropriation and association were the most important elements. The Agrarian reform had the objectives of eliminate large landowners andall antisocial forms of land tenure, establish production companies and associations base on peasant, restructure traditional rural communities, creation of new

The first law of water in 1902 recognized the private property of water. These rights were given to

landowners if water ran or born in its properties. According to Apaclla et.al (2008) this law gave benefits only to landowners, affecting small farmers and indigenous.

46

markets through a fair distribution of income to increase the purchasing power of the marginalized and develop primary processing industries in the field (Ministry of Agriculture and Irrigation).

Similarly, that year the General Law of Water was enacted by the president. This law made emphasis in association and the government property of water. The main points of the law were:

All waters belong to the State. Authority allows use by individuals. Authority makes studies, controls, preventions, monitoring, and sanctions. There is a single authority. Obligation to organize. Users of each irrigation district should be organized.

After this government laws, landowners lost their predominant political role. The consequences of the agrarian reform werelarge coastal plantations, production cooperatives, and, in the case of highland, in Agricultural Societies of Social Interest. Landowners changed to medium land owners, sotheir power to control irrigation partially disappeared.

Thus, water power was recovered by thestate which controlled land and water. Their officials, both engineers and technicians, were the agents of a new model of agricultural development. Hence, relations between farmers and state were managed by engineers and technicians.

In 1979 was enacted a decree which ordered a new organization for irrigation users: board of users and irrigation commissions. The commissiongathers beneficiaries of the same irrigation sectors, and the boardof users comprises beneficiaries of an entire irrigation district, both organizations work with autonomously but related. According to Ore (1990) with these lawwere ignored every other organization that was not contemplated here. The

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Commission was composed of irrigators quite heterogeneous: cooperatives, medium landowners and smallholders farmers and villagers.

By law all users in commissionsshould participate in periodic meetings to make decisions about irrigation. Also, they were required to pay a fee to have the right to water.However, Ore (1990) stated that, in practice, the participation of irrigators was limited and was restricted to the payment of fees;consequently, power was maintained by governments technicians.

Thus, the role of public technicians in the administration and distribution of water was essential. Engineers and technicians were the agents of a new model of agricultural development. This model includes modern irrigation systems and agricultural production oriented to exportations. Ore (1990) stressed that this changes reduced the power of peasants and indigenous because their organizations were deactivated and their authorities unrecognized. Thus, these facts broke with the community and organizational practices that farmers have over the use and management of water. This broke the identity and community owned.

Ore (1990) identified some types of conflicts that the drastic changes brought. First, the conflicts produced by the new rules of management and distribution of irrigation. Second, the confrontation between engineers and farmers were present because of differences in irrigation techniquesand communal practices.

The break between engineers and farmers are expressed in the following example. Ore (1990) explained the case of farmers that employed flood irrigation techniques. Technicians felt that farmers wasted water. According to her technicians did not understand rural culture in which water is a symbol of fertility.

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These conflicts caused that medium landowners took advantage and began to assume greater power in irrigation committees7. This allowed them greater privileges regarding access to irrigation, while the peasant, with less power, remained marginalized. Managers of the new administration systems were overwhelmed to fix them. Hence, new bodies of organizations (board and commissions) became merely formal organizations with little potential for efficient irrigation management.

Hence, irrigation was addressed by the government only in its technical dimension, ignoring social, cultural and political dimensions. The new tensions and conflicts among irrigators could not be resolved by state irrigation agencies. Thus, in the following years the State prioritized major irrigation projects, most of them in the coast, while highland and forest remained marginalized.

After many years of continuity,Fujimori dictatorship and liberalization policies in 2004, the government of Peru proposed a new strategy for water management. This strategy was product of multisectoral work where institutional arrangement took place such as political support for all parties and participation spaces. This strategy had five main points: institutional renewal, integrated water management, better quality of water, mitigation of disasters and water culture.This strategy was made with the vision of watershed management which means transfer of power to watershed authorities and participation of local users (Guerrero, 2010).

After many years of debate, in 2009, Peruvian government created the National Water Authority (ANA) which is a specialized water organism of the Ministry of Agriculture. Together, a new Water Law was enacted.

Irrigation committees are the lower level of irrigation organization. This concept will be explained

in followings paragraphs. 49

Since ANA creation, many laws have been approved such as Water resource Act, the National Water Strategy, the National System of water management, among other instruments. This new laws were promoted with the objective of regulate the use of water and promote more efficiency and inclusion within the sector. Also, the new Water Law recognized the existence and rights of water committees which are an important organization in the country, especially in highland.

According to Laureano (2011) a new Law of Water was necessary because of the critical situation of water management in the country. The situation in the country was unsustainable due to increased water demand due to population growth, more agricultural land, increase of mining activities, etc. This context caused that water conflicts were a constant in Peru.

a. Analysis of Actors

Water management in the agricultural sector involves many actors. The public sector in its role of promotion of development and water for irrigation management are represented for several public institutions. Not only the Ministry of Agriculture and Irrigation has decentralized programs and projects, also the ministry of Environment, the Ministry of Social Development, and others present actions around water for irrigation management.

In the following graph there is a representation of the public structure, where there are identified public institutions involved directly or indirectly in water for irrigation management. Thus, water management is recognized as a multisectoral and multidisciplinary.

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Graph N 7: Government Structure

In the case of the national level, the National Water Authority (ANA), which is legally incorporate to the MINAGRI, is the authority that ruled water management. ANA is in charge of regulatingwater management. It is responsible for the design and implementation of national policies for sustainable water use in all sectors. Also, ANA is in charge of promoting cooperation and integration of users and provide the necessary information.

In order to fulfill its functions, ANA has made an official division of watersheds. At a local level, ANA provide decentralized bodies: the Water Administrative Authority (AAA) and the Local Water Authority (ALA). They are responsible for water management; ensure water rights,thedistribution of water licenses and management of associated water assets. To fulfill his function in a decentralized manner, ANA has divided its action in 14 Administrative Water Authorities (AAA) (graph N 8) and 72 Local Water Authorities (ALA).

In addition, the new Water Law recognized that water management is multisectoral and multidisciplinary, consequently not only one person should be in charge of rule water management system. Thus, the system is integrated by several actors promoting participation of all sectors. The National System of Water Management is integrated by: The Ministries such as Environment, Agriculture, Housing, Construction and Sanitation, Health, Production, and Energy and Mines. Regional Governments and Local Governments through their bodies. User organizations agricultural and non-agricultural. The operating entities hydraulic sectors, sectoral and multisectoral. Rural communities and native communities. Public entities related to the management of water resources.

Similarly, ANA director council is integrated by: A representative of the Ministry of Agriculture, who assumed the presidency of the council.

A representative of the Ministry of Environment. A representative of the Ministry of Housing, Construction and Sanitation. A representative of the Ministry of Energy and Mines. A representative of productive public sector. A representative of public health and sanitation sector. A representative of the regional governments. A representative of the local governments. A representative of the user organizations agricultural and non-agricultural. A representative of the farming communities. A representative of the native communities. A representative of the National MaritimeAuthority.

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Graph N 8: Administrative Water Authorities

Source: National Water Authority

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On the other hand, the Ministry of Agriculture contributesto ruled the use of water in irrigation policies. Especially, the Ministry of Agriculture through two public projects provide water services. These projects arethe Subsectoral Irrigation Project (PSI) and Rural Development Project (AGRORURAL). The objectives of each one are describe in the following table.

Table N 6: Irrigation programs of the MINAGRI

PSI
Training water users for an efficient use of water. Training for elaboration of business plans. Training about water tariffs. Co- finance irrigation systems. Co-finance construction of canals and intakes. Source: Ministry of Agriculture and Irrigation.

AGRORURAL
Co-finance the construction of canals and reservoirs. Maintenance of platforms and terraces. Training for the efficient use of water.

Also, the Ministry of Environmentparticipates as a leader of the national environmental management system. The MINEM develops, directs, supervises and runs the National Environmental Policy. Thissystem is used to design the policy, strategy and plan of water resources.

Addiotionally, the Ministry of Social Development (MIDIS) through his program Cooperation Fund for Social Development (FONCODES) invests in agricultural projetcs in poverty areas. This project includes financial resources for irrigation system, irrigation canals, reservoirs and mini dams.

At the regional and local level, the regional government and local authorities are responsible of coordinate water policies avoiding superposition of competences. Also, they

55

are in charge of exercise control actions and monitoring of water use. Finally, theyfinance irrigation projects and project related to the conservation of water and soil resources.

The second group of actors is civil society. Theyare represented by farmers,civil organizations and academia. In the case of farmers they are organized in four levels: committees, commissions, boards and native communities. It is important to mention that these forms were recognized in law8 by the ANA.

Committees: minimum level of organization. It has a democratically elected leadership. This committee must have a charter which details the functions of each of the board members and users, their obligations and rights. Their duties are the operation of the irrigation system, the monitoring, maintenance, cleaning, repairs and improvements. They have to ensure the proper use of water, for the protection of hydric source, intervene in any dispute which may arise between users of the system and represent irrigators to third parties.

Commissions: second level of organization. Theyhave the function to participate in the formulation, implementation and monitoring of plans and maintenance of irrigation infrastructure, and other coastal defenses.

Board: is organized on the basis of a common hydraulic system. They have the following functions: operation and maintenance of water infrastructure, water distribution and collection and management of water rates.

Besides, there are native communities which rights are recognized. They can establish their own organization regarding their water sources and their traditions.

The state guarantees the autonomy of water user organizations and the democratic election

of its directors.
56

Graph N 9: Water user organization

Juntas
Commissions

Committees

Farmers

Source: Water Law,2009.

According to Hendricks and Silva (2012) the number of water user recognized by ANA is 819,551 which are grouped in 116 Board, 1,761 commissions and 6,038 committees. It is important to mention that 57% of the total boards are located in the coast. Besides, the number of committees in the highlands exceeds the number of committees in the forest and the coast (table N 7).

They stressed the notion that the highland has a rugged terrain where water sources and agricultural lands are more dispersed than the coast. This feature is very pronounced in the higher parts of the highland, with countless small independent irrigation systems.

The topography of the highlands determines a great amount of water user organizations even more heterogeneous than the coast. The most predominate are irrigation committees. Typically, they managed irrigation systems in the order of 5 to 100 hectares.These figures are a reflection of the prevailing smallholder irrigation systems in the highland. In average less than one hectare per unit irrigated agriculture (individual / family).

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Table N 7: Reference information of water users

Agricultural area with irrigation infrastructure (ha) Coast 66 661 832 312.545 917.170 Highland 39 988 4.815 464.914 407.695 Forest 11 112 391 42,092 117.861 TOTAL 116 1.761 6.038 819.551 1.442.726 Source: Hendricks and Silva, Local Management of Irrigation Systems and Water Users Organizations in Peru. Region N board users N de N de Commissions Committees N users

In the case of NGOs many of them play a significant role in training and financing projects. For instance, CARE PERU, PRISMA, CARITAS, ANDES, PRODER, ANTAMINA, etc. are examples of recognized organizations. They receive funds from enterprises, public sectorand international cooperation to execute interventions and studies, most of the cases, in areas affected by mining, gas and hydroelectric activities.

In the case of the academia, institutions at the national level such as CEPES and GRADE exercise a big influence in the agricultural agenda.Also, universities such as National Agrarian University La Molina, PontifciaCatlicadelPer and others are in charge to elaborate investigations and promote dialogue among actors. Also, organizations such as the Agro National Convention (CONVEAGRO) and farmers organizations have great power to establish the government agenda.

The last group of actors is conform by companies dedicates to mining, consulting and construction; and communication medias.The media execute the roles of monitoring governmental, social and private actions. The case of mining companies is special because of the great number of mining companies in the country. For instance, companies such as ANTAMINA, BARRICK, HUALLANCA, YANACHOCHA, PIERINA, among others have presented many conflicts for the use of water. Thus, the role of these

58

companies,related to water, is to obey laws in order to reduce the contamination of water and soil, and promote water infrastructure in their areas of operation.

Finally, international cooperation agencies play an important role in two ways. First, they are an important source of financial resources. For instance, The World Bank and the International Cooperation Agency of Japan are investing in water infrastructure and water conservation studies. Second, international agencies are promoting training and capacitation of water specialists and farmers.

3.3 water governance analysis

This section will be focused on analyze the actual situation of water for irrigation governance in Peru. This analysis will be conducted at a macro level, which is divided into six principles in order to examine the situation of water governance in the irrigation sector. These principles arevoice and accountability, corruption, regulatory burden, rule of law, government effectiveness and political instability and violence.

3.3.1 Voice and accountability

Regarding the scarce analysis of water governance using variables, the present analysis of voice and accountability will be focus in three elements. First, the dissertation will examine the evolution of participation in Peru, as well as the spaces where actors can dialogue about water management. Second, the analysis will be focus on information systems that can provide information to citizens because participation can be effective with an informed citizen. This allows them to execute a real tracking and monitoring of public interventions. Finally, the document will analyze gender participation resulting in woman participation and inclusion.

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a. Participatory spaces The last decades the Peruvian government has given special attention to citizens participation in general. The National Election Jury (2008) has elaborated an analysis dividing the historical process of citizen participation in three stages. The study starts analyzing the eighties where there were identified some initiatives from local authorities. However, this process was from bottom to top as a result of the emergence of terrorist groups9 who kill people and attack public infrastructure.Also, the eighties was a difficult period for Peruvian economy because of the hyperinflation.

In this context, after hitting rock bottom in 1992, the elected president Fujimori imposed new reforms such as congress closing, economy shock and creation of a new constitution. These reforms also included the reintegration between Peru and International agencies. Many of the international cooperation agencies had their agenda of citizens involvement and participation in public decisions10.

In 2000, after the union of all political sources, Fujimoris dictatorship was defeated. This context was considered a transition to a real democracy with more participation of civil society. Thus, new rules were enacted and more spaces opened by the government.

Hence, the new rules of the game gave mechanism to promote an active civil participation. These procedures and mechanisms were related to vote, access to information, citizens consultation, control public institutions, present new initiatives, reforms and legislation,

Sendero Luminoso and Movimiento Revolucionario Tpac Amaru. However, Valderrama (2002) remarked that corruption experienced in the nineties also

10

took international cooperation linked to irrigation projects. He put the example of two national programs FONCODES and PRONAMACHS with international funds that were taken by the government with political purposes. 60

among others. Besides, the participatory spaces were materializaded in round-table discussion, forums, workshops, conferences, etc.

Graph N 10: Participation stages

Source: National Election Jury, 2008.

However, despite of great efforts to improve civil participation, Panfichi (2006) pointed out that civil participation in Peru present disappointment results. He stressed the idea that consensus among actors in favor of participation have concluded. Participation have not stopped the emerging of conflicts and the poor reputation of public sector.

Moreover, Panfichi (2006) remarked some obstacles of the participation policy. He stressed the idea that policy makers have not considered important elements such as the increment of poverty and inequality, the fragmentation of society due to civil war, the debilitation and disorganization of public institutions and the assistentialism inherited from the Fujimori dictatorship.

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In addition, Tanaka y Zrate (2002) manifested that the fact that there is not much public participation in community activities or organizations is understandable because of the lack of significant changes in the very low levels of interpersonal trust in recent years. Thus, they explained that those societies with higher levels of interpersonal trust are more involved in community activities and in social organizations. They stressed that according the World Values Survey 1995 interpersonal trust in Peru is one of the lowest in the world.

In the case of irrigation, there are more spaces opened to promote dialogue by private and public sector and civil society. Thus, each year there are forums, conferences, worktables, among others about water management. These events engaged the participation of several stakeholders from all sectors. These actors express their perspectives about water management and how to make it more efficiency. In the following graphs there is an example of worktable organized by the National Water Authority in the region of Piura and Lambayeque.

Graph N 11: Workshops of water management, Piura and Lambayeque

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Source: National Water Authority

For some authors, irrigation organizations become one of the best examples of selforganizations.These organizations have independence to have elections and choose their representatives.Huamanchumo et.al (2010) stressed the idea that in highland there are thousands of irrigation committees; however, they do not enjoy of public intervention and public legitimacy. In addition, Hendricks and Silva (2012) stressed that committees in many cases show a differentiate relation with boards. Thus, many committees work alone without be inserted in a board.

Since 1989, Peruvian government has transferred responsibilities to irrigation organizations such as operation and maintenance of infrastructure. According to Huamanchumo et.al (2010) this transference of responsibilities was not accompanied by training, so organizations were free to manage systems according to their traditions and customs but with many difficulties (administrative and accounting processes).
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In the case of commissions, Hendricks and Silva (2012) mentioned that a big proportion of them can be inserted in a board. Furthermore, Alfaro (2003) pointed out that 60%of boardcomes from coastal areas, and only 30% of them are from highland despite that 60% of agricultural territory is located in highland. Hence, at a national level, irrigation organizations may not be fully represented. Consequently, a problem of board representation in public forums is pretty clear.

One of a practical way to analyze the participation of the actors in public decisions is considering the formulation of public budget. In that line, at the regional and local level has been the initiative to establish a participatory formulation of the budget prioritizing citizens demands. The decentralized process that Peru initiated in 2000 brought more possibilities to include people who were excluded before. Thus, regional and local governments received more financial resources to develop their territories. In the case of irrigation budget, in 2012, the regional level manages 55% of the public budget, while the local 35% and the national 10%11.Hence, the role of regional and local governments results critical to promote more civil participation in irrigation decisions making.

In this context, a participatory formulation of budget could be seen as a way to give voice and vote to citizens. However, after thirteen years there are still problems. Rodriguez and Zolezzi (2008) made an analysis of budget participation in four local governments. They concluded that authorities do not promote a real participation in budget formulation and citizens do not have real power. They stressed the idea that citizens participate but authorities decided. In addition, Castro (2005) pointed out some restricting factors in participatory budget process such as breach of agreements by authorities, inadequate methodology, limited representation of citizens, absence of training for citizens and pressure from some actors to maintain status quo.

11

Ministry of Economy and Finance,2012. 64

On the other hand, the results of interviews made to specialist in irrigation shows two opposite views of citizens participation on budget formulation. Interviewees from public institutions, all of them, recognized that public sector count with the budget formulation as a mechanism of participation; however, they remarked that in most cases is mere formalism. Besides, specialists from public sector stress the idea of disparities of power between irrigation organizations such us boards. One of them stressed the idea that, in budget formulation, there are some irrigation boards that have more power that the others. This is the case of some coastal boards that manage much more financial resources than others located in highland.Thus, they can participate in budget formulation demanding irrigation projects in their territories. In the case of consultants interviewed from private sector, there is an agreement about that the exclusion of government in the formulation of budget. They remarked that public authorities do not have power to convene citizens. Also, two of them, mentioned that there are not incentives for irrigation organizations to participate in public budget because they are not going to be listened. Nonetheless, they recognized that the public sector have some programs such as AGRORURAL and PSI which make irrigation projects and are more in touch with irrigation organizations. However, they stressed that this programs work based on demand of organizations, so this public programs does not have an irrigation development planning of territories.

a. Information systems

In the Peruvian irrigation sector we can identified several information system. There isinformation about quantity and quality of water, information about public water administration (monitoring and evaluation), water public resources, climate change, etc.Thus, in the last decades Peru has experienced a big progress in information generation, process and diffusion. However, for some analysts this process is going very slow.

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Emanuel and Escurra (2000) made an analysis about water contamination. They remarked the scarce information about water pollution in the country, especially about ground water. Also, they pointed out that there is little information about the consequences of water pollution in the environment.

Similarly, Muoz (2011) observed that there is not information of ground water located in highland and forest. In addition, he stressed the idea that some group of actors has access to more information than others. For instance, the group of agro-exporters has more access to information such as technology, funds, markets, etc. than small famers.

This evidence is confirmed by interviews to experts. Interviewees within the private sector agreed that the availability of information is limited. One of them, pointed out that water information is suffering a dramatic situation because there are many deficiencies. Also, two of them mentioned that public institutions are not giving enough attention to the generation and diffusion of information. They stress that public institutions, sometimes, have the information but they do not share the information and it is hard to obtain it. Finally, one of them said that the country is missing information because of the disorganization inside public institutions.

In the case of public officials we find oppose opinions. On the one hand, all recognized the importance of information for water management. One of them pointed out that water planning only can be effective with water information.However, one of the public officialsremarked that water information is disorganized and scattered in the public sector, and information is more available, in an informal way, if you have friendships in public institutions.

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b. Woman inclusion in water management

Respect to woman participation, Chinarro et.al (2011) pointed out that most of irrigation member in the irrigation organizations are man, especially in highland. There is little participation of woman as leaders and sometimes their participation is limited only with the name. Thus, he calculated that 7 out of 8 members are man and the participation of them reaches 20% per meeting. Moreover, he identified that 80% of woman that have responsibilities in organization do not fulfill their function. However, he stressed the idea that woman participation is increasing. Nowadays, according to the first Gender Bulletin of PSI12more women are taking roles in water management. remarked the case of MirthaBaldeon who has become the first women as a president of the user junta in Tarma (Junn). Similarly, Margarita Tafur is the president of the user commission of Llushcapampa and significant part of her staff is woman (vicepresident, secretary, treasurer, etc.).

Professionals interviewed agree on the key role of women in water management. Thus, specialists from private sector recognize the special abilities of woman to manage irrigation projects. One of them remarked the capacities of ladies to organized people and manages financial resources. Additionally, two of them recognize that it is women, through their children,who can have more influence on teach about the rational use of the water.

Similarly, professionals from the public sector agreed that there is more participation of women in public institutions that promote irrigation. One of them highlighted the leadership capacity that women have as heads of projects, Administrative Water Authorities and Local Water Authorities. However, all of them accepted the presence of machismo in rural areas where woman cannot participate in meetings or take decisions.

12

July, 2013. 67

3.3.2Government effectiveness

The following analysis will focus on the public capacity to invest in irrigation projects, and the capacity of public institutions to achieve annual goals. Thus, according to the Ministry of Economy and Finance, in 2012 public budget oriented to irrigation interventions represented 2% of the national budget, where 55% belonging to regional governments, 35% to provincial level and 10% to national level.

However, not all the financial resources are spent each year. Thus, in the last five years the public budget spent in irrigation does not exceed 90%. In 2012, the total budget spent reaches 381 million of Euros which represent 70% of the total.In the case of national budget, only 73% of the total was executed. At regional level, only 80% of the regional budget was spent and at the provincial level only 55%. Thus, there is a problem in the capacity to execute public resources. Table N 8: Irrigation public budget 201213
Budget bylevel NationalLevel Regional Level Provincial Level Total Budget 53,439,409 298,126,667 192,148,988 Budget Spent 39,047,579 237,022,307 105,077,926 Budget Spent (%) 73% 80% 55% 70%

Total 543,715,064 381,147,812 Source: Ministry of Economy and Finance.

This incapacity to spend the public financial resources it is not a problem only in the irrigation sector. According to Mostajo (2002) Peruvian public budget faced many problems such as absence of budget planning, absence of accountability systems, absence of efficiency systems per institutions, etc. These problems are caused by lack of integration between parliament and ministers, inconsistency between plan and budget, discretion of

13

Exchange rate used 3.77 Euros per Nuevo Sol.

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changes in the budget made by vice ministry of finance and the absence of well-prepared professionals.

On the other hand, despite the amounts of public investments in irrigation institutions can complete these annual objectives. Thus, the operative institutional plans 201214 (POI) shows that there are some problems in the execution of irrigation interventions planned at the beginning of the year.For instance, two cases are important to analyze, the cases of PSI and ANA.

In the case of PSI, in the year 2012 there was a budget execution of 73% of the total. Besides, the irrigation intervention outcomes of the PSI are little. The following table presents the results of PSI outcomes considering a number of indicators and annual targets. For example, the PSI established an annual target of 32,770 hectares with irrigation infrastructure in coast; however, the institution only achieved 45% of the target.

Table N 9: PSI Results planned for 2012

Indicator Area with irrigation infrastructure rehabilitated in the coast. Area with control and measurement projects in the coast. Area with modern irrigation in the coast Events and workshops to raise awareness on the saw. Source: Ministry of Agriculture. Unit of measure Has. Has. Has. Eventos Target 32,770 371,539 533 4,116 Execution 22,231 166,519 305 4,232 Execution % 68% 45% 57% >100%

Similarly, ANA, as a water authority, presents little progress in budget and annual targets execution. In the case of budget, ANA execution in 2012 only reached 76% of the total.

14

POI is an instrument made by each office from a public institution that establishes indicators to measure efficiency and efficacy.
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Respect to annual targets, ANA presentsome problems to fulfill its plan. For instance, some progress in annual targets does not exceed 67%.

Table N 10: ANA Results planned for 2012

Indicator Citizenswithwaterinformation. Citizens sensitive to water culture. Waterqualitystudiesevaluated. Watersheds with studies of evaluation of water resource. Sources of waterprotected. Studiesabout wter consolidation. Source: Ministry of Agriculture. Unit of measure Citizens Citizens Estudies Cuenca Glacier/ Lake Estudio Target 250,000 178,000 507 12 22 30 Execution 253,365 196,364 675 8 16 29 Execution % >100% >100% >100% 67% 73% 97%

Hence, results of the public sector are usually questioned by civil society because of their little progress. In the case of interviewees, there was an agreement that public interventions in irrigation management were oriented to coastal areas, putting aside highland and forest. Also, specialist outside the government does not perceive that government, at all levels, is engaged with efficiency water management. They believe that despite the public discourse, public interventions does not have the purpose of increase irrigation efficiency, directly. They believe that public interventions on irrigation are oriented to increase productivity in agriculture production with the principal objective of increase financial resources.

Besides, public specialist pointed out the main problems in water for irrigation management: implementation of irrigation infrastructure, information systems, construction of trust among actors, creation of capacities in actors and improve regulation systems. Also, they were asked about the capacity of government to solve the previous problems in the next 10 years. Results show that there is a moderate scenario, in general, and a pessimist scenario in one case.In general, there was recognition that human and financial resourcesare needed to improve water management in the next years. One of them mentioned that progress will be low in following years because of the incapacity of governors.
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3.3.3Rule of law

In the Water Law there are established sanctions for user that do not respect obligations. Thus, the National Water Authority through its Local Water Authorities are in the capacity of execute local monitoring and inspections. The ALA`s are able to enter to private spaces in order to verified the correct use of water by farmers and other users. If users are using water in an incorrect manner they get a sanction. The infractions of law can be classified in contamination of water, use water without permission, use more quantity of water, bad use of public water infrastructure, among others. The infractions are translated on community work or financial sanction.

Herz (2013) mentioned that the Ministry of Agriculture and Irrigation would have suspended 480 sanctions to agricultural entrepreneurs in the region of Ica. Those enterprises were sanctioned because of the construction of wells without permission. Thus, he stressed that there exist opposite decisions between ALA and the central administration of the Ministry of Agriculture and Irrigation, which means, for him, institutional fragility without real autonomy of the National Water Authority.

Similarly, IPROGA (2010) remarked that the ANA does not count with enough autonomy because it is inside in the Ministry of Agriculture and Irrigation. This situation makes it weak and vulnerable to political and economic pressures.

Additionally, Francisco Dumler, general secretary from the ANA, in an interview with La Primera diary, pointed out some important points: first, ANA does not execute their role because they do not have capacity to sanction, for example sanctions in the construction of informal wells. The New Water Law enacted in 2009 has implemented a new water retribution fees which implies a history change.

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3.3.4Regulatory burden

The Water Law 2009 establishes that water is property of the nation, and it is used by citizens in the following priority order: primary use, domestic use and productive use, which include agriculture. In order to have access to water for irrigation purposes, farmers must obtain a right for the use of water which is given by the National Water Authority through Administrative Water Authorities. The types of water rights are licenses, permits and authorizations. These instruments give rights and obligations to farmers, individually or organizations. In the case of rights, farmers can use water and the public infrastructure associated to the source of water, also they can construct hydraulic infrastructure for the use of water right. In the case of obligations, farmers should use water in an efficiency manner, protect water from contamination, pay water fees, preserve irrigation infrastructure, install control and measure systems, etc. Thus, if irrigators do not fulfill their obligations, they can get a sanction. However, despite of the sanctions, obligations, in many cases, are not respected. This is the case of water fees. According to Cabrejos (2006) there are high rates of default on water payments. He explains causes of default on payments such as weak collection of payments by irrigation organizations, weak public capacity to apply sanctions and weak farmer environmental conscious.

Moreover, Cabrejos (2006) remarked that farmers because of their culture and customs are not able to understand water fees. For many years, water was free and now farmers are not willing to pay water or water infrastructure.IPROGA (1997) explained that in forest areas irrigation organizations are not well prepared to collect water fees so the rate of payments reach 50%.

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On the other hand, M. Kuroiwa (2012) explained the contamination of water sources made by informal mining. He stressed that informal mining operate in a context of government absence. Thus, informal miners work with short term logic where money predominates. Furthermore, Rendom (2003) explain the case of well construction which constitute an inefficiency water practice15. He mentioned that in the region of Ica farmers use wells in an indiscriminate manner. Farmers want profitability of their production and wells result an easy way to have water. Thus, he stressed that despite of wells regulation, farmers will continue using wells by using illegal procedures and political pressure.

Respect to interviews, specialist from public sector agrees that public institutions do not execute an adequate monitoring and follow-up of irrigation interventions. One of them remarked that lack of water information make difficult a good monitoring system. Also, he stressed a case in the region of Tacna where a public official is almost killed because of the closure of a well. He mentioned that there is power vacuum where strikes are common.Besides, two public specialist stressed that when international cooperation are involved in public interventions, there is a strict monitoring, supervision and evaluation made by state.

Similarly, specialist from private sector pointed out that there is not a good monitoring system because of the lack of information generated by public institutions. One of them, also, explained that when an international agency is involved there is a better monitoring system. On the other hand, one specialist explained that public institutions do not have resources to monitor and measure. Thus, he putted the example of the construction of irrigation canals by public projects where public officials do not know if water is being used with more efficiency.

15

According to Mendoza et.al (2010) mentioned that there are 27,000 wells in the coast of

Peru where water fees are not established. In the case of the region of Ica more than 70% of wells do not have water licenses.
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3.3.5Corruption

The analysis of corruption inside irrigation sector will be conducted considering a general view of corruption in the country, and particularly, in the case of irrigation information from studies and the results of interviews will be taken.

The National Survey of Corruption 2012 shows that corruption is perceived as the second most important problem for achieve development16. Also, the survey explain that 56% of the citizens believe thatjudicial power is corrupt, 47% the Parliament, 20% regional governments and 24% local governments. Besides, four out of five believe that private companies are corrupted, especially mining companies.

This result demonstrate high rate of distrust in public sector and, also, in private companies. According to Arias (2010) the last two decades in Peru there was a vision that public officials were guilty of corruption; however, now there exist recognition that private actors play a role to promote corruption.

One representative case of corruption in public-private relationship is the case of Conga, where farmers and the mining started a conflict for the use of water. The mining company Yanachoca, located in Cajamarca, wanted to expand their exploration in an area with many water sources (lakes). This situation caused problems between communities, company and the state. According to Palacios (2009) Yanachoca has bought judicial courts and public officers in order to execute their mining activities in Peru. This are demonstrate with the video between VladimiroMontesinos, intelligent chief of Peruvian government, and Newmont, shareholder of the company where Newmont asked help to the public official in order to win a judicial process.

16

Citizens believe that the principal problems for achieve development is corruption (51%)

and inefficiency of authorities (27%)

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Respect to corruption inside irrigation sector there are few information. Hence, through interviews specialist were asked about perceptions of corruption within the sector. Thus, results show that there is an agreement among all professionals that corruption is institutionalized in the public sector included institutions involved in water management. Specialists from private sector identified acts of corruption in the cases of infrastructure construction and water use licenses. In the case of irrigation infrastructure, one of them stressed the idea of "tithe" as policy within regional and local governments. This means that to win a project companies must pay 10% of the project amount. Also, private specialists mentioned that licensing of water use does not have effective control and could be space for corruption.

On the other hand, public specialist interviewed mentioned some mechanism and efforts of control corruption inside the public institutions, such as the implementation of control offices in all public institution and implementation of bidding and tendering for public projects. Also, one of them there was recognition that corruption is limiting the efficiency of the public intervention and it will be a hard work to eliminate it because there are criminal groups involved.

Additionally, respondents in the public sector not only identified corruption within the state but within irrigation organizations, especially in the distribution of water. Many farmers extend the hours and amount of water given through payments to "tomeros", who are the managers of water in each area.

3.3.6 Political Instability and Violence

The analysis of conflicts in water management represents a consequence of public and private effectiveness. In the case of Peru the number of conflicts is increasing rapidly and

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most of them are related to environment issues. De Echave (2012) identified that in the last eight years the number of conflicts in Peru has increased on 59%.

In 2013, the Peruvian Ombudsman Office reports 225 conflicts where most of them are related to socio-environmental issues17. Thus, environmental conflicts present 148 cases which represent 68% of the total cases. From this amount, 72% involve mining companies and water users.

For example, in the table below there is a brief description of some conflicts made in the Region of Ancash region that present several mining companies and historically have been a place where many conflicts happened.

Table N 11: Water conflicts in the region of Ancash Actors in conflict Description of conflict

Pollution of river: conflict between Pampa district and Dynacor enterprise. Communities perceived contamination of crops and animals with lead and arsenic.

Miningand communities

Pollution of river: conflict between Santa community and Centauro Company which is working close to ConocochaLake. This affects agricultural activities.

Pollution of river: conflict between Ayash community and ANTAMINA. Land own dispute: conflict between Chipta village and ANTAMINA. There is environmental lead contamination. Informal mining: Residents of the community of Quillo said the

17

NationalConflictReport, July 2013.

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representative of the mining concession Exploandina makes informal mining and mineral exploitation. Energy company and communities

Contamination of lake: Opposition of Paron Irrigation Commission to discharges by the company Duke Energy.

Infrastructure andcommunities

Irrigation infrastructure required by the Rural Community of Cajacay. They need that the Regional Government implement of a dam to irrigate their lands, regarding one agreement signed in 2000.

Source: Peruvian Ombudsman, 2013.

IV. CONCLUSIONS AND RECOMMENDATIONS This dissertation has made a literature review about watergovernancetaking a look at the concepts of human development, social capital and institutions. Thus, it was emphasized the linkages between institutions, organizations and social capital. Institutions establish the rules of the game which support the formation and maintain of social capital which is necessary for governance.

In particular, irrigation governance has been analyzed because of its great potential to generate conflicts among users. The analysis of water governance in the irrigation sector is complex because it involves many actors with different perspectives and interests. In the case of Peru, water is a national property which administration is in charge of the state, but is given to farmers by authorizations. Thus, the state through the National Water Authority has established the rules for the use and management of water in all sectors. At a regional and local level, AAA and ALA are in charge of implemented and supervise the norms.

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In the case of irrigator farmers are in charge of use the resource applying norms. They are organized in committees, commissions and boards of users which have rights and obligations.Recently, laws have been changed and shaped in order to promote inclusion and recognitions of forms of farmers associations. However, this was a process of more than 100 years.

New laws have delimited the rules and sanctions of bad behaviors in water management. Also, rules have promoted more transparency and accountability of water management through the creation of information systems, public consultations, forum, etc.Besides, public programs have created incentives for farmer cooperation such us the co-finance of projects.

However, despite of the great progress, bad results are present. Many conflicts are taking place in Peruvian territory and many lives are taken because of disputes in the use of water. In some parts of Peru mining and agriculture activities seem to be exclusive activities.

On the other hand, corruption is steel a general problem in public and private administration. In the case of irrigation, interviewees not only identified corruption in projects but also inside irrigator organizations which allow an inefficiency use of water by farmers. Additionally, public performance faces many obstacles. Despite the amounts of budget oriented to irrigation projects the capacity of the Ministry to spend is low. Thus, each year the average budget spent is less than 90% and focus on the construction of irrigation infrastructure in coastal areas where most of the exporters are localized. Highland and forest does not count with enough irrigation infrastructure as well as organization training. Thus, government investment has been focused on infrastructure invisibilizing the role of public institutions for organizational development.

Hence, regarding all these problems identified there are some policies to improve the actual situation. However, should be stressed that there is not a unique prescription that policy

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makers can follow. One important part of the solution is to promote more spaces where collective decisions and debates can take place among authorities (government), enterprises (market), civil society and international cooperation. Other important elements to improve the governance situation are related to authorities, information and prioritization of highland and forest areas. First, at the national level, there is an agreement among specialist interviewed that the National Water Authority required more autonomy and independence. This would be effective through a change in its position in the state structure, avoiding sectorial position.

Second, water information is presented in the dissertation as a limiting factor to make decisions, consequently increase public resources and public-private partnerships to development information systems is required. This policy required a special attention in areas where no information is available.

Finally,more attention to forest and highland areas is needed focus not only on information but also in training irrigation organization in the use of water and in management topics.This training must go hand in hand with a process of continue learning of local customs and traditions.At regional and local level, public authorities and interventions should evaluate local traditions and customs of farmers in the use of water. Peruvian territory is reach in diversity of cultures and customs, soirrigation organizations in coast, highland and forest areas are different, so differentiate policies should be applied. Hence, construct water governance locally required more public and private resources and attention.

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V.

REFERENCES

Anrquez G. and Stamoulis K. (2007) Rural Development and Poverty Reduction: Is Agriculture Still the Key?ESA Working Paper No. 07-02, Italy, FAO, 139.http://www.fao.org/economic/esa/publications/details/en/c/120512/ (Last consulted: March 12, 2013) Apaclla R. and Gomez J. (2008) El valor de la tarifa como instrumento de gestin del agua, Red Iberoamericana de riego. http://ceer.isa.utl.pt/cyted/peru2008/Ricardo%20Apaclla.pdf (Last consulted: August 27, 2013) Batchelor C. (2007) Water governance literature assessment, International Institute for environmental and development. http://pubs.iied.org/pdfs/G02523.pdf (Last consulted: May 27, 2013) Cabrejos C. (2006) Propuesta de lineamientos de poltica para la implementacin de un mecanismo de pago por servicios ambientales en la cuenca del ro chira, IPROGA. http://www.iproga.org.pe/documentos/investigaciones/pago-servicios-ambientales.pdf (Last consulted: August 27, 2013) Castro H. (2005) Experiencias significativas del presupuesto participativo quecontribuyen a un mejoramiento del manejo de los recursospblicos, Universidad Nacional Mayor de San Marcos. http://sisbib.unmsm.edu.pe/bibvirtualdata/monografias/empresa/castro_ph/castro_ph.pdf (Last consulted: August 27, 2013)
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VI.

APPENDIX APPENDIX N 1: LIST OF INTERVIEWEES

Professionals Ing. Fernando Castro Verstegui

Institutions Ministry of Agriculture of Peru

Position Director of agricultural policy

Ing. CirilaVivanco

Coordinator of the Budget Ministry of Agriculture Program efficient use of of Peru water resources for agricultural use Subsectoral Program Subsectoral Program Subsectoral Program Irrigation Irrigation Irrigation Specialist in irrigation Director Specialist in irrigation Director of the Information Office of Water Resources Specialist in irrigation Director Specialist in irrigation

Ing. Juan Francisco Miranda Ing. Jorge Miranda Cabrera Ing. Plinio Gutierrez M.Sc. Melchor Daz Echenique

National Water Authority Cooperation Fund Social Development ATA IPROGA for

Ing. Miguel Escalante Ing. Jos Hernndez Ing. Jan Hendricks

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APPENDIX N 2: QUESTIONNAIRE
Tema de investigacin: Water for irrigation Governance in Peru Nombre: Institucin: Cargo: Profesin:

1. Cul es la poltica que tiene su institucin frente a la gestin del agua con fines agrarios? Difiere de la poltica de Estado?

2. A grandes rasgos percibe usted que el pas haya implementado una reforma administrativa, social o econmica para promover el uso eficiente del agua con fines agrarios?

3. Qu cambios se han realizado en los ltimos aos para promover una mejor cooperacin y coordinacin entre el estado, el sector privado, los usuarios de agua para riego y el sector acadmico?

4. Cul es el rol de las organizaciones de usuarios de agua para el manejo eficiente del recurso? Este rol se viene implementando adecuadamente? existen cuellos de botella?

5. Cul es el rol del sector privado para el manejo eficiente del recurso? De qu manera el sector privado (empresas) y el sector pblico interactan para el manejo eficiente del agua?

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6. Cul es rol de las instituciones de cooperacin internacional para promover un eficiente uso del agua en el sector? Se viene implementando ese rol?

7. A travs de qu mecanismo e instancias se viene promoviendo la participacin de las organizaciones de usuarios de agua o empresas en las decisiones que toma el sector pblico?

8. En el caso del presupuesto gubernamental, Cmo participan los distintos actores en su distribucin a nivel nacional, regional y local? Considera que existen incentivos del Estado, en sus tres niveles (nacional, regional y local), para que las organizaciones de usuarios de agua participen?

9. Existen incentivos o mecanismos econmicos, sociales o ambientales para promover la conservacin del agua en el sector agrario?

10. De qu manera el Estado viene promoviendo la descentralizacin del poder para un eficiente uso del agua para riego?

11. Cul considera que son los nuevos roles que asumen los actores regionales y locales en el manejo eficiente del agua? estos roles vienen siendo asumidos plenamente?

12. Qu deberes y derechos se han trasladado a las organizaciones (productores agrarios) como producto de la descentralizacin? Existen elementos histricos y
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culturales que se han considerado?

13. Qu importancia tiene para su institucin los sistemas de informacin? Cmo ayudan estos a mejorar la eficiencia en el uso del recurso? Qu sistemas de informacin identifica usted que se han implementado en los ltimos aos para mejorar la eficiencia en el uso del agua?

14. Siente usted que existen espacios para el surgimiento de actos corruptos? Qu medidas podran neutralizar la corrupcin? qu medidas de fiscalizacin y rendicin de cuentas existen actualmente?

15. Cmo ha evolucionado el rol de la mujer en el manejo del agua? existen normas e incentivos del Estado para impulsar su inclusin?

16. Cmo se viene ejecutando el monitoreo y evaluacin de las polticas, programas, proyectos y actividades que ejecuta su institucin para el eficiente manejo del agua? Qu rol tienen las organizaciones de usuarios de agua?

17. Cules son los retos que debe enfrentar el sector en los prximos aos para incrementar la eficiencia en el uso del agua con fines agrarios?

18. Frente a estos retos y desafos mencionados anteriormente, cules de ellos cree usted que podrn ser superados en los prximos 10 aos?

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