BDP Training Manual Final 2011

TRAINING MANUAL
Mekong River Commission
Manual for Training

Trainers in Integrated Water
Resources Management
in the Mekong Basin
January 2012
Table of Contents
Acronyms iv
Chapter 3
Acknowledgments v The Enabling Environment 27
3.1 National policies and strategies 27
Introduction to the
Training Manual 1 3.2 Legislation, regulations and
strengthening implementation 29
1. Background and aims of the
Training of Trainers programme 1 3.3 Financing and economic tools 33
2. Purpose of this Training Manual 1 3.4 Subsidies and incentives 38
3. How the Training Manual was 3.5 Session Plan 3.1: national policy and
developed 1 strategy 41
4. Overview of the content of the Manual 2 3.6 Session Plan 3.2: legislation and
regulatory frameworks 43
5. Approach used to train Master Trainers 2
3.7 Session Plan 3.3: economic tools 45
6. How to adapt this Manual 2
3.8 Session Plan 3.4: incentives 46
Chapter 1 Chapter 4
Starting a Training Programme 5 Institutional Roles 48
1.1 Setting the training scene and context 5 4.1 Transboundary organisations 48
1.2 Session Plan 1.1: setting the training 4.2 National organisations (sector agencies) 51
context 6
4.3 Division of responsibility and
1.3 Session Plan 1.2: getting to know each accountability between levels and
other participant and trainer sectors of Government 53
introductions 8
4.4 Data and information exchange between
1.4 Session Plan 1.3: participant levels and sectors of Government 54
expectations 10
4.5 River basin organisations at the
1.5 Session Plan 1.4: setting training norms 11 sub-basin level 54
1.6 Session Plan 1.5: establishing working 4.6 Session Plan 4.1: the roles and functions
groups 12 of basin and sub-basin organisations 57
4.7 Session Plan 4.2: identifying best
Chapter 2 practice IWRM at the river basin level 58
Introduction to Integrated Water
Resources Management 13 Chapter 5
2.1 What is IWRM and why do we need it? 13 Management Tools: Participation,
Stakeholder Engagement and
2.2 The IWRM framework: enabling Conflict Management 60
environment, institutional roles,
management instruments 16 5.1 Introduction to participation 60
2.3 Tools for IWRM implementation 17 5.2 Stakeholder and organisational
mapping 61
2.4 Drivers of change in the Mekong River
Basin the need for IWRM 19 5.3 Consultation and participation in
decision-making 65
2.5 Session Plan 2.1: what is IWRM? 21
5.4 Conflict resolution in water resources
2.6 Session Plan 2.2: the IWRM framework 23 management 72
2.7 Session Plan 2.3: drivers of change 24 5.5 Session Plan 5.1: introduction to
Participation 74
TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin i

Mekong River Commission Mekong River Commission
5.6 Session Plan 5.2: stakeholder Chapter 8 Annex 3 Tunisia - Reform of irrigation Policy and
Identification and Analysis 76 Management tools: Monitoring and Evaluation water conservation 40
5.7 Session Plan 5.3: institutional and Impact Assessments 134 of Your Training and Actions Plans 190
The Mekong River Commission 50
organisational mapping and analysis 79 8.1 Introduction to impact assessment 134 1. Simple, quick and useful participatory
M&E tools 190 National Organisations in Vietnam 52
5.8 Session Plan 5.4: main conflict 8.2 Environmental flows assessment 138
ingredients 81 2. Formal evaluation of a training IWRM Governance in Cambodia 53
8.3 Risk assessment and management 143
5.9 Session Plan 5.5: conflict management programme 194
The Sre Pok River Basin Council 55
warm up 83 8.4 Procedures for notification
3. Developing action plans 195
and prior consultation and agreement 144 The Mekong River Commissions rationale
5.10 Session Plan 5.6: developing
negotiation skills 85 for Stakeholder engagement 60
8.5 What factors need to be considered? 145 Annex 4
8.6 Key questions 149 Energisers 197 Exploring Water Futures Together 68
Chapter 6 8.7 Session Plan 8.1: impact assessment 150 1. Getting to know each other better 197 The World Commission on Dams 69
Management Tools: IWRM
Planning 89 8.8 Session Plan 8.2: environmental flows 152 2. Relaxers and reflectors 198 Emergence of the Mekong River Commission
(MRC) Basin Development Strategy 89
6.1 The difference between a strategy 8.9 Session Plan 8.3: risk assessment 153 3. Openers or warm-up 199
and a plan 89 8.10 Session Plan 8.4: role play bringing 4. Games focusing on team dynamics 200 Niger Basin Authority: a Shared Vision 93
6.2 General procedures for planning 91 it together 155 Mekong River Commission: models and
decision-support tools 96
6.3 Basin management strategies 92 Annex 5
6.4 Basin management plans 99 Chapter 9 Further Resources 203 Organisation for the Development
Basic Training of the Senegal River: benefit sharing 98
6.5 Sub-basin plans 104 1. The GWP IWRM toolbox, undated 203
Skills and Knowledge 159 Ro Jubones, Ecuador: a co-ordination agency
6.6 Session Plan 6.1: the IWRM planning 2. Cap-net/UNDP, 2008: integrated water
9.1 Introducing training and learning 159 in the Jubones basin 101
cycle 110 resources management for River Basin
9.2 Participatory training 161 Organisations. Training Manual 203 Basin Development Plan for the
6.7 Session Plan 6.2: the differences
3. IWRM guidelines at River Basin level Lower Mekong Basin 103
between plans and sub-basin plans 113 9.3 Training design and session planning 163
(UNESCO IHP/WWAP/NARBO), 2009 203
6.8 Session Plan 6.3: facilitated dialogue 9.4 The training agenda 165 Case Study on Watershed Plan of Action -
and conversation mapping on five 4. A handbook for IWRM in Basins Siem Reap Watershed, Cambodia 106
9.5 Setting learning objectives 167 (GWP/INBO), 2009 203
key questions 115 Nam Ngum River Basin IWRM Plan 107
9.6 Developing session plans 168 5. Integrated River Basin Governance:
learning from international experience Emerging Indicator Framework of the Mekong
9.7 Training methods 168
Chapter 7 (Hooper, B, IWA Publications) 2005 203 River Commission 118
Management Tools: 9.8 Facilitation skills 170
6. Integrated River Basin Management: State-of-Basin Reporting (Mekong River Basin) 119
Monitoring and Water Information 117 9.9 Session Plan 9.1: preparing for from concepts to good practice
7.1 Monitoring using key performance participant case studies 177 (World Bank), 2005 204 Master Project Database (Lower Mekong Basin) 121
indicators and basin reporting 117 9.10 Session Plan 9.2: preparing for 7. Mekong River Commission resources, Information System (IS) of the Mekong River
7.2 Water resources knowledge base 120 a field trip and field exercise 179 undated 204 Commission 122
7.3 Water resources assessment 123 9.11 Session Plan 9.3: training review, Water Resources Assessment and Key Water
evaluation and certificate ceremony 181
7.4 Session Plan 7.1: indicators and basin Glossary of IWRM Terms 205 Resources Development Issues of the Lower
Mekong 124
reporting 129
7.5 Session Plan 7.2: water resources
Trainers Note Pages 220 Environmental flows in the Songkhram
assessment 133 Annex 1 River Basin, Thailand 142
Different Training Scenarios 186 Case Studies
The Mekong River Commission (MRC) PNPCA 144
IWRM training programmes Implementing Priorities in the Mekong
(3 days, 5 days, 2 weeks) 186 River Basin - The Use of IWRM 15 Main IWRM Issues at the Project Level
(Mekong River Basin) 146
Progress in Implementing
Procedures for Project Notification in the Lower
Annex 2 IWRM in the Mekong River Basin 18
Mekong Basin 147
Training Logistical Arrangements 188 National Water Resource
1. Logistical arrangements 188 Management Organisation (Lao PDR) 28 Lion Refuelling Co. Ltd. 151
2. Training supplies and equipment 189
ii TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin iii
Acronyms Acknowledgments
ADB Asian Development Bank MONRE Ministry of Natural Resources The authors of the Training Manual acknowledge the support of the following organisations for
BAT Best Available Technology
and Environment (Viet Nam) use of their materials:
MOWRAM Ministry of Water Resources
BATNEEC Best Available Technology Not n The Global Water Partnership (GWP) for the use of resources from their IWRM Toolbox
and Meteorology (Cambodia)
Involving Excessive Costs www.gwptoolbox.org
MRC Mekong River Commission
BDP Basin Development Programme
(MRC) MRCS Mekong River Commission n The Global Water Partnership and the International Network of Basin Organisations
Secretariat (INBO) for use of: A Handbook for Integrated Water Resources Management in Basins.
BPT Best Practicable Technology
MSP Multi-Stakeholder Platform
CA Comprehensive Assessment of n Global Water Partnership for use of: Integrated Water Resources Management:
Water Management in Agriculture NGO Non-Governmental Organisation IWRM at a Glance.
CIA Cumulative Impact Assessment NMC National Mekong Committee
n Mekong River Commission for use of:
CNMC Cambodia National Mekong NWRC National Water Resources Council Towards an IWRM-based Basin Development Strategy for the Lower Mekong Basin
Committee (Working Paper (version 2) 24 April, 2009; and
PSP Private Sector Participation
DSS Decision Support System Approach to BDP2 Sub-area Activities. Version 2: February 23, 2009
RBC River Basin Management (in preparation)
EA Environmental Assessment Committee
EIA Environmental Impact Assessment SA Social Assessment n UNESCO IHP/WWAP/NARBO for use of: IWRM Guidelines at River Basin Level.
EMP Environmental Management Plan SEA Strategic Environmental
Assessment All other sources are referred to herein and are acknowledged.
FP Fisheries Programme (MRC)
SIA Social Impact Assessment
GIS Geographic Information Systems
TAB Technical Advisory Board
GWP Global Water Partnership
VNMC Viet Nam National Mekong
IWMI International Water Management
Committee
Institute
WFC World Fish Centre
IWRM Integrated Water Resources
Management WRA Water Resources Assessment
LMB Lower Mekong Basin WREA Water Resources and
Environment Administration
LNMC Lao National Mekong Committee
(Lao PDR)
M&E Monitoring and Evaluation
WWF World Wide Fund for
MCM Million cubic metres Nature
MNRE Ministry of Natural Resources
and Environment (Thailand)
iv TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin v
Introduction to the Training Manual
1. Background and Aims of the 2. Purpose of this Training Manual

Training of Trainers programme
This Training Manual seeks to provide
This Training Manual supported a 10 day training knowledge of and training in integrated water
activity in integrated river basin planning for resources management (IWRM). This is done
the Mekong River Commission, in October at both the basin level and in support of BDP
2009. The Manual can be adjusted for different sub-area activities, in line with the Guidelines
lengths of Training Sessions (see Annex 1). The for BDP sub-area activities. The Training Manual
activity originated as a component of both the is designed to be adapted to riparian languages
Integrated Capacity Building Programme and and will be used for national training courses,
the Basin Development Plan Programme Phase organized by National BDP units with support
2 of the MRC. from national research institutions in the future.
The development of a Training Manual and

the Training of Trainers programme on IWRM 3. How the Training Manual
is critical to achieving the objectives of both was developed
cross-cutting programmes and in building
IWRM capacity amongst MRCS, NMCs and This Manual was developed using resources
line agencies at national and sub-basin levels. from several existing IWRM training manuals
It is also important that these new skills are which are listed in Appendix 6 of this Manual.
internalised within the MRC for effective Some sections of this Manual draw directly from
basin development planning and that master the GWP IWRM toolbox (www.gwptoolbox.org)
trainers from each MRC Member country have and the support of the Global Water Partnership
the knowledge and skills to work closely with to use this material is acknowledged. The
national BDP units to adapt the Training Manual material in this Manual was tested in a trial
and training programme at the national and training programme in Lao PDR (24-28 August,
sub-area activity levels. 2009) and comments received were uses to
adapt the training material and approach based
The Training of Trainers programme aims to: on participants experience.
n To produce a Training Manual (this

document and supporting materials)
that combines the introduction of latest Throughout the book youll find these
concepts and good practices for integrated icons to help guide you.
water resources management and the
knowledge and skills to apply BDP specific
planning guides in carrying out Sub-area
activities; and
n To develop a group of about 5 master

trainers for each Member country
comprising of technical experts, key
members of Sub-area working groups and
professional trainers from national training
institutions. The master trainers will work
closely with National BDP units to adapt
the Training Manual, translate into riparian
languages and deliver training courses for
various local officials and stakeholders in
the Sub-areas.
vi INTRODUCTION Training Manual Integrated Water Resource Management in the Mekong Basin INTRODUCTION Training Manual Integrated Water Resource Management in the Mekong Basin 1
4. Overview of the content Scaling out and down by mainstreaming Specific cultural related concepts 3. Retain the original English term, but provide
IWRM approaches and tools, to adapt and a description in your own language
of the Manual mainstream IWRM approaches and tools The training programme outlined in this manual
This Manual contains nine chapters and several at the national and sub-national levels for is based upon adult learning principles, learning Adapt the training material
greater internalization and application at
annexes. In each chapter, there are session plans through openness, participation and construc- to your participants
these levels.
referred to in the chapter and provided at the tive feedback, challenging participants through
end of each chapter. The nine chapters are: Continuous improvement through questions and periods of critical reflection, Before any training commences it is important
learning by doing: using an iterative engaging various styles of learning including to understand the needs of the institutions
Chapter 1 Starting a Training Programme approach to testing, reflecting and adapting the use of energisers and games. The training supporting the training and individuals
Chapter 2 Introduction to Integrated Water where participatory M&E processes will be approach advocated in this manual deliberately attending the training. The training needs
Resources Management used to guide and inform our response. This
is particularly important in developing and moves away from a reliance on experts and analysis (TNA) completed by the MRC for
Chapter 3 The Enabling Environment recommending implementation guidelines formal lectures (but we do acknowledge their Cambodia, Lao and Viet Nam1 provides an
and a robust M&E framework to the MRC for importance in certain circumstances), but we excellent starting point when adapting
Chapter 4 Institutional Roles
the assessment of progress and outcomes also appreciate that this may be met with resist- your training. You should also access other
Chapter 5 Management Tools: Participation, of IWRM at the national and sub-national ance at the national level and even criticised as organisational learning or capacity building
Stakeholder Engagement and levels. being a Western model of learning and therefore strategies (if available) and other training
Conflict Management not applicable here in Asia. documents, evaluation reports as well as
Building and maintaining strong links
Chapter 6 Management Tools: IWRM Planning with other MRC projects, programmes and interviewing possible participants and
partners. In designing national level training programmes those responsible for managing the training
Chapter 7 Management Tools: Monitoring and
Water Information a balance needs to be found between programme to gain a much deeper insight in the
traditional and expected styles of training and participants learning needs.
Chapter 8 Management tools: Impact 6. How to use this Manual learning centred and participatory approaches
Assessments based on adult learning principles. In finding Consider:
Chapter 9 Basic Training Skills and Knowledge Each chapter can be used as a standalone this balance, please remember that many n Changing material to relate to the specific
training document but users should ensure ancient Asian philosophies (such as Buddhism regional context or supporting organisation
The annexes contain information on training Chapters 1 and 2 are completed first. and Confucianism) follow the same adult and of the target group
techniques and other resources. experiential learning principles advocated in this
This Training Manual seeks to provide manual. n Changing the level of language used to suit
the target group
knowledge of and support the training in
5. Approach used to train integrated river basin planning, based on Specific country contexts n Removing information or adding
Master Trainers integrated water resources management information to ensure it is current and
(IWRM). It was specifically designed to support The material presented in this manual will need accurate
The approach used in this programme to an intensive Training of Trainers programme for to be reviewed and adapted to the national and n Modifying information to suit policy and
achieve capable, trained trainers in IWRM approximately 20 Master Trainers who now have sub-area context of the training programme regulatory frameworks
includes: the responsibility to further adapt the material to ensure that the material is immediately
n Modifying information to use specific
Building on and enhancing past learning. presented in this manual to the specific national applicable to the participants where ever organisational policies and procedures as
context of their country and deliver IWRM possible bring in national and sub-area guidelines
Building and maintaining ownership training programmes for various local officials examples, case studies, data and stories to
within the MRC, NMCs and Line Agencies. and stakeholders in the Lower Mekong Basin ensure the training is well grounded in the local n Adding information, activities and
(including the MRC BDP sub-areas). reality. assessment methods specific to the learning
Enhancing technical expertise in IWRM, programme
particularly at the national BDP unit level
and sub-area activity levels. Specific English terminology n Providing sources of further information-
reading, websites, industry groups
Enhancing capacity in adult education
principles and practices including building The terminology in this manual has been n Changing the sequence of material
capacity to design, deliver and evaluate carefully considered, but there will be terms
that are difficult to translate into the regional n Changing the context of generic material to
participatory, learner centred training
relate to the learners specific situation.
programmes based adult education languages. When translating foreign terms:
principles and processes. Simply taking the material from this manual will
Matching new knowledge and skills with In adapting and preparing for delivery of 1. Use words closest to the original meaning; certainly be simple it will be unlikely to fit the
problem solving mechanisms and effective IWRM programmes at the national level, 2. Make up new words and explain; or specific needs of a new group of participants.
communication what needs to be considered in adapting
this manual? 1. Visalsok, Touch (September 2008), Training Needs Assessment for the National Key Stakeholders of the Basin Development Programme in
Cambodia, Cambodia National Mekong Committee.
AROUNLANGSY, Manilath (September 2008), Capacity Building and Training Needs Assessment for BDP for Lao PDR, Lao National Mekong
Committee.
Cao Dat Khoa (June 2008), Capacity Building and Training Needs Assessment for BDP for Viet Nam, Viet Nam National Mekong Committee
2 TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin 3

TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin
Pre-training preparation by participants the nominated or suggested topic are not

covered, the presentations are (nearly always) Chapter 1
Starting a Training Programme
It is always a tempting idea to ask participants too long, or some participants dont prepare
to develop a presentation or case study on anything.
their work before the training commences and
then have the participants present during the Inviting resource people
training. However, this can only work if clear
instructions are provided, participants are Inviting resource people to present a number
given sufficient time to prepare, the task is not of key sessions is again a very tempting 1.1 Setting the training Raising and exploring objectives and
too difficult and the participant presentations idea, particularly if you are not confident in scene and context expectations:
are integrated into the training programme, a particular subject area. But some of the Match goals and objectives and agree on
participant presentations can be an excellent problems of participant presentations also One of the more important parts of your training material to be covered in the workshop or
way to encourage participation, establish a apply to external resource people. The solution programme will be the first morning when the training
sense of participant ownership in the training is similar plan and prepare clear and concise scene is set, expectations are explored, tasks Individuals will assess whether their
and introduce relevant and current case studies instructions. It is also extremely helpful for the allocated and the atmosphere and training expectations are met during and after the
into the training programme. invited resource person to have an outline of the environment established. The success to which workshop
training and session learning objectives, a set of participants are made to feel comfortable,
If the above is not carried out, unfortunately guiding questions and if possible participants respected, included and relaxed will have Norms:
outcomes of this exercise seldom meet expectations of the session the resource person ramifications for the remainder of your training. Help to set a productive and orderly
expectations generally quality between is invited to present at. environment
participant presentations varies considerably, As a very general guide, some of the key
scenes setting activities are: Establishment of working groups (host
team, time keepers, daily feedback teams,
Welcome remarks: entertainment etc):
Make participants and facilitators Brings shared leadership
feel at ease Helps to keep focus
Make participants and facilitators feel Guides participants
accepted and welcomed
Give overview of the workshop Logistical issues:
Clear some doubts and fears
Introductions:
Ask participants and facilitators to
introduce themselves, so everyone >>> See session plan 1.1: setting the training context
knows everyone else. to the training manual
Make interactions easy, so participants feel
they are no longer strangers >>> See session plan 1.2: getting to know each other
Help participants/facilitators become participant and trainer introductions
familiar with their environment.
>>> See session plan 1.3: participant expectations
Sharing Expectations:
Help facilitators target (identify) issues that
need immediate attention
Discuss unexpected issues that arise, so that
facilitators and participants understand one
another and are on the same page
Mould the workshop; allow facilitators and
participants to redesign the workshop to
address their expectations.
Goals & objectives:

Direct the training
Help participants and facilitators to evaluate
the training themselves
Solidify a routine for conducting sessions
4 TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin CHAPTER 1 Training Manual Integrated Water Resource Management in the Mekong Basin 5
STEPS
1. Introduce the session by explaining

that the training objectives and training
1.2 Session Plan 1.1: schedule will be reviewed. Encourage
Setting the training context participants to ask questions during the
presentation so that any misunderstandings Training objectives:
on the training objectives, approach and Training objectives need to be clearly
OBJECTIVES schedule are dealt with early on in the written on a flip-chart and displayed
training. throughout the training programme
At the end of this session the participants will be
able to: 2. Read through each of the training
n Explain the training objectives and objectives and briefly indicate why
understand the importance of these the objectives have been set and the
objectives. importance of each.
n Explain the flow and approach to the
training programme. 3. Present the training schedule, clearly
outlining start and end times as well as
key breaks during the day. Get participants
MATERIALS to read the schedule and seek questions
n Flip chart 1: Training objectives. or comments on the training schedule.
Outline the participatory training approach
n Flip chart 2: Training schedule or training by noting the various learning methods
flow diagram. used during the training (these may be
n Handout: Training objectives and training expert presentations, small group work,
schedule (may include details of field trip case studies, simulations, field exercises and
and exercise). tours, etc).
Ask participants how much adults

TIME remember from hearing (20%), seeing
n 30 minutes and hearing (40%) and from experiencing
(80%).
PREPARATION Emphasize that the training will use a

n Write learning objectives for the training range of training approaches, but will
programme that are SMART (specific, focus on interactive learning processes.
measurable, achievable, realistic and time
bound). 4. Outline any logistical issues that
n Develop an appropriate training schedule participants should be made aware of.
(see three examples below) This may include food, accommodation,
transportation, financial issues, etc.
n Develop a PowerPoint presentation that 5. If there is to be a field study tour or
clearly outlines the training objectives, participant presentations, provide a very
the training schedule and any important
brief introduction to the objectives and
logistical issues.
logistical issues associated with these
events.
6. Invite questions or comments from

participants to ensure that the training
objectives, schedule and approach are
clearly understood and that there are no
outstanding issues.
6 CHAPTER 1 Training Manual Integrated Water Resource Management in the Mekong Basin CHAPTER 1 Training Manual Integrated Water Resource Management in the Mekong Basin 7
STEPS COMMENTS
1. Explain that before we start the The trainer should prepare an example
workshop, it would be nice to know map prior to the training commencing;
about those participating in this training otherwise many participants may get
and how they are involved in IWRM confused as to the required output. This
1.3 Session Plan 1.2: processes and practices. Explain to is especially so if participants are new
Getting to Know Each Other participants that we will do this in an to interactive and participatory ways of
interactive and fun way by drawing training.
Participant and Trainer a water resource map for a location
Introductions that participants think illustrated good Once participants have completed their
principles of IWRM. introductions, their IWRM maps should be
OBJECTIVES hung on the training room walls for days
2. Hand out to each participant a flip chart 1 and 2 of the training so that reference can
At the end of this session the participants will:
and coloured marker pens. Ask each be made back to the examples provided by
n Know more about other participants, the participant to find a partner that she or the participants.
trainers and how they are involved in IWRM he does not know.
projects and programmes. If time is short for this session, the drawing
n Identified a number of examples where 3. Once pairs have been identified as ask of a water resource map could be
IWRM principles are being applied in the each participant to draw or map an dropped and participants just asked what
Lower Mekong Basin. example that they thinks show the they think the three key challenges to IWRM
n List challenges to achieving IWRM in the principles of IWRM. are. Other variations on this session are
Lower Mekong Basin. possible and the session should be adjusted
4. Once the drawing or map has been to match the trainers and participants
completed each participant needs to experience and time available.
MATERIALS write down their:
Name?
n Flip charts
Organisation?
n Marker pens 3 key challenges to achieving IWRM?
5. Once the above tasks are completed,

TIME allow 10 minutes for each participant
n 60 minutes (depending on number of to interview their partner about their
participants). example and note down their name,
organisation and the 3 key challenges.
PREPARATION 6. Once each participant has finished
n Draw, on a flip chart, a site where good interviewing their pair, ask them to
IWRM principles and practices are found. introduce their partner one by one
The trainer also needs to write down their till all participants and trainers are
name, organisation and 3 key challenges introduced.
to IWRM. This will be used as an example
to show the participants the type of output
required.
COMMENTS
3. After five minutes, form groups of 3 to 6
and get the group to cluster and summarize If there is time, the development of
their responses to the two questions. Each training Norms should be done in a
groups response is to be clearly outlined on participatory way so that ownership of the
1.4 Session Plan 1.3: a flip chart. 1.5 Session Plan 1.4: norms is developed by the entire group.
participant expectations setting training norms Again break participants into groups of
Allow approximately 15 minutes for this 4 to 6 and allow each of the groups to
group summary process. develop their own training norms. Once
OBJECTIVES OBJECTIVES this has been completed each group should
At the end of this session the participants will: 4. Once the groups have finished this process present and the trainer should summarize
get each group to post their flip chart on At the end of this session the participants: all group outcomes to develop a final list
n Have clearly identified what they expect the training room walls. n Will have agreed on guidelines for group for participants to consider and abide by
from the training and what they do not functioning during the training. during the training.
want (or do not expect) from the training. 5. Each group is then to report their
n Will have formed small groups and been
outcomes back to the plenary. allocated days upon which they must lead
MATERIALS
the daily evaluation at the end of the day
n Flip Chart 6. The trainer should briefly respond to and daily review at the beginning of the
n Three to five index cards or post-it notes each of the expectations to ensure that next day.
per person the training will meet the participants
expectations. Where the training will not
n Marker pens MATERIALS
meet the participants expectations, the
trainer should outline why and how this n Flip Chart
TIME
expectation could be achieved through Suggested group norms
n 45 minutes (depending on number of other channels. TIME Everyone has the right to know
participants) (meaning they can ask the trainers at
n 15 minutes any time why something is being done
PREPARATION or said, and how it relates to the overall
COMMENTS
n Flip chart with 2 key questions: PREPARATION workshop aims).
1. What do you WANT (expect) from the During the group feedback, it is important Any question is a good question.
n Flip chart 1: Suggested Training Norms
training; and for the trainer to clearly link participant ex- Practice what we are learning.
2. What do you NOT WANT (expect) pectations to specific sessions. It is therefore Allow everyone to participate.
from the training useful to have the training schedule clearly STEPS Share responsibility for learning.
outlined during this feedback process so Start and finish on time BUT accept
STEPS that these connections are made visually. 1. Explain that as most participants (and the flexibility in the schedule.
trainers) dont know each other very well, it No smoking in the training room.
1. Introduce the session by explaining that This will illustrate to participants when and is useful to agree on how we want to work Switch off mobile phones (or turn
the training objectives have been outlined where their expectations will be met and together and that this agreement is quite mobile phones to silent mode).
and these are the expectations of the will remind the trainer to refer to certain important for the establishment of a good
trainers and the supporting organisations. expectations during different sessions learning environment.
But the participants might have very throughout the training course.
different expectations and it would be 2. Provide some examples of training norms
useful to explore these to ensure that the The outcomes from this session should also or guidelines: Any question is a good one;
training matches their expectations. be collected and stored so that they can be No smoking in the room; turn off mobile
reviewed during the training evaluation to phones.
2. Post the flip chart in clear view of all see if participant expectations had been
participants and get each participant to met. 3. Now show the prepared training norms/
freely write down their responses to the guidelines and ask participants to review
following questions: and comment. Ask participants if any
What do you WANT (expect) from the further training norms are required, but
training? and make sure there is consensus before a new
What do you NOT WANT (expect) from training norm is added to the list.
the training?
Chapter 2
Reporting and Monitoring group (responsible
for conducting a simple Monitoring and Introduction to Integrated Water
Evaluation (M&E) process at the end of
the day and in the first session of the next Resources Management
morning, providing feedback an overview of
1.6 Session Plan 1.5: the topics covered. Annex two provides some

Establishing Working Groups simple M&E tools.) 2.1 What is IWRM and why do
we need it?
2. Make sure that each working group has a
OBJECTIVES different task assigned to them each day.
At the end of this session the participants: The Global Water Partnership defines Why is IWRM needed? Water is a
3. Seek clarification that the participants integrated water resources management as limited resource that is essential for
n Will have formed small groups and understand which group they are in and the a process that promotes the co-ordinated economic growth and environmental
been allocated tasks that need to be responsibilities and activities that they must development and management of water, land and social well-being. Because it
completed on a daily basis. undertake when assigned a particular working and related resources, in order to maximise affects everyone, managing this
group. the resultant economic and social welfare in precious resource requires balancing
MATERIALS
an equitable manner without compromising the interests of the many different
n Flip Chart the sustainability of vital ecosystems.2 What user groups and individuals. Without
is integrated river basin planning? This is a that balance many conflicts can occur.
TIME subset of IWRM it is IWRM at the basin scale. Promoting coordinated water resources
n 20 minutes COMMENTS It involves procedures to plan the use and management in a basin that is open to
management of land and water resources in a all stakeholders will not only resolve
PREPARATION The allocation of a Reporting and Monitoring coordinated manner across a river basin, and at such conflicts but will also bring

n Flip chart 1: Matrix of participants Group (as a minimum) is a very useful exercise the sub-basin level. enormous benefits to society, the basin,
and Working Groups as it involves participants in the training process and to individual stakeholders.
allowing the participants to take ownership of the IWRM is needed to overcome the problem of
training. single sector management: managing/using Gene Stakhiv and Shinsuke Ota,
STEPS water for just one sector, say food production, Co-Chairs of the Steering Committee,
The drawing up of the Working Group matrix or for just power production. IWRM coordinates IWRM Guidelines at River Basin Level,
1. After introducing the training norms, and the allocation of working groups should be water management across, between and within UNESCO (see resource list at the end of
divide participants into working prepared before the training commences as this sectors. This is illustrated in the diagram below this manual).
groups to help with the some of the can be a time consuming and confusing process if - the IWRM comb a handle to coordinate
functions of the training. Below are done during the session. actions.
some suggested working groups, but
the training can be creative and think of The working groups can work very well, however
other possible working groups: the trainer needs to work with each of the groups Figure 2.1 IWRM Towards
to ensure they know what their responsibilities a new paradigm
(a way of doing
Law enforcement group (set rules are. Prepare a handout on simple M&E tools and
business)
and regulations based on norms energisers to encourage participants in these
and small penalties when norms/ working groups. Also suggest a small fine if any
rules are broken). group norms are broken, i.e. the buying of a bag
of sweets.
Entertainment group (responsible
for conducting an energizer after
lunch or at an appropriate time
during the training day. Annex One
provides several simple and fun
energisers.)
2. GWP TAC 2000 Integrated Water resources Management. [See the summary booklet of this document
provided at the Training Workshop]
IWRM is designed to coordinate these In response, this Training Manual provides views into a coherent and well structured
management tasks to avoid overlap of effort information which it is hoped will clarify the stakeholder participation policy and set of
and ensure that three pillars of sustainable basic ideas and provide practical tools to assist processes.
development are addressed (see figure 2.2): practitioners. Training other trainers requires
- Ecological sustainability a clear understanding of these tools, but must For the countries. The policies, strategy,
- Economic efficiency, and be grounded in an appreciation of the basic institutional and regulatory advancements in all
- Social equity concepts, complex as they are. countries have provided an excellent platform
to maximize cooperation at the basin level
These ideas seem good in practice and have IWRM at the national level does not conflict Implementing Priorities in the Mekong River through MRC activities. Of major importance
been widely endorsed and supported by with IWRM at the basin level and, in fact, they Basin - The Use of IWRM will be the continual need to improve agency
practitioners at many levels and in different are complementary. A comprehensive national and staff capacities in IWRM, and to develop a
parts of the water sector. Yet the implementation framework for IWRM helps both national and At the basin scale, IWRM is becoming a reality suite of modern management tools, particularly
of IWRM, including at the river basin level and transboundary basin management enormously. with the development of the IWRM-based hydrologic and socio-economic modelling
sub-basin level, has not continued satisfactorily. Basin Development Strategy. At the national packages at the sub-basin and basin levels -
This has resulted despite the idea of IWRM Within the limits of a basin, it is not an easy task level, there are still fragmented water related that countries can use to assess new policies and
approach existing for many decades, and has to integrate land uses and water management. responsibilities between national agencies, and development proposals and ensure sustainable
been promoted internationally over the last This is because land management, which covers development still tends to be sector driven. use of the basins resources. A sound and
twenty years. planning, forestry, industry, agriculture and the modern modelling package is the engine room
environment is usually governed by policies not For the Mekong River Commission (MRC). of IWRM; without these tools and the skills to
Many basin managers and practitioners in connected to water policy and is managed by Working with non-government organisations to use the models and interpret results, it becomes
national water resources agencies struggle to many different parts of an administration. improve processes for transparent basin wide very difficult to assess new developments in a
know where and how to begin. They struggle dialogue, and encouraging the development balanced way.
with the idea that it can be a stepped process Nevertheless, we can draw practical lessons from of national approaches to consultation that
with feedback, especially when they see the experiences of basin managers around the relate well to the basin perspective, are key It would be also important to strengthen links
diagrams like those in this chapter of this world who are integrating water management in priority for the MRC for the next few years. of the relatively new national water resource
manual, which seem to them to oversimplify the different contexts. The Volta Basin is an example Its Strategic Plan refers to the success of the management arrangements, so that issues of
complexities they are dealing with. Secondly, of where such efforts are underway (Example MRC as being dependent on its real and common interest can be explored, best practice
they frequently struggle to see the advantages 2.1). This Training Manual draws together these perceived transparency, and on its continuous principles, concepts, guidelines and actions can
of applying IWRM with respect to their actual practical lessons, illustrated where possible engagement with its many stakeholders. be discussed and developed, and transboundary
situation. with concrete examples, to share what has been However, all MRC processes must be governed issues debated within a framework of a common
learned so far, including from participants of this by the views and processes of its owners the understanding of the important IWRM issues in
workshop. four LMB countries and each country has its the basin. Similarly, a Mekong network of river
own systems, approaches and cultures relating basin organisations will be an effective form
to community or mass participation. It is never of IWRM capacity building as it will become
straight-forward, nor easy, to blend all of these learning-by-doing and sharing of experiences.
Figure 2.2 The IWRM framework
>>> SEE SESSION PLAN 2.1: WHAT IS IWRM?
B: INSTITUTIONAL ROLES
2.2 The IWRM framework: enabling (B) INSTITUTIONAL ROLES a specific reality, considering the existing social B1. Creating an organisational framework -
environment, institutional roles, and political consensus, available resources, and forms and functions
IWRM is about governance this is the range geographical, social and economic contexts; and
management instruments of political, social, economic and administrative applying them properly.
B1.1 Reforming institutions for better governance
B1.2 Transboundary organisations for water
systems that are in place (or need to be in place)
resource management
Figure 2.2 above is a way of explaining the to develop and manage water resources and the As a decision-maker, you need to know which
interrelationships in IWRM it is a diagram delivery of water services, at different levels of management instruments are in use, and B1.3 National apex bodies
that shows coordination as a basic tool, and society [GWP Toolbox]. the experiences and lessons that have been B1.4 River basin organisations
comprises three sections: acquired after applying these instruments B1.5 Regulatory bodies and enforcement agencies
While governance may be seen in narrow on different realities, so that it is possible to B1.6 Service providers and IWRM
(A) ENABLING ENVIRONMENT political and administrative terms as decision select best options while adapting to local B1.7 Strengthening public sector water utilities
making by the government, good governance conditions. Look how there are eight classes of
B1.8 Role of the private sector
This refers to what constitutes the rules of actually requires transparency of the management instruments.
B1.9 Civil society institutions and community based
the game and makes it easy for stakeholders institutions that handle policies, regulations,
organisations
(people who have a say) to play their respective implementation and oversight, as well as
roles in the development and management participation by citizen groups in all these B1.10 Local authorities
of water resources. It also includes the forums functions. Poor governance leads to increased >>> Examine Table 2.1 for a list of tools in this Section B1.11 Building partnerships
and mechanisms, information and capacity- political and social risks, institutional failure B2. Building institutional capacity -
building, created to establish these rules of the and lowered capacities to deliver. Therefore, developing human resources
game and to facilitate and exercise stakeholder good water governance requires clear legal B2.1 Participatory capacity and empowerment in
participation. frameworks, comprehensive water policies, civil society
enforceable regulations, institutions that B2.2 Training to build capacity in water professionals
The enabling environment is determined by work, smooth execution and citizen-based 2.3 Tools for IWRM implementation B2.3 Regulatory capacity
national, provincial and local policies, legislation mechanisms of accountability, as well as their
and financing and incentives. interconnections. As you can see, there are three groups of tools.
Lets now review a comprehensive list. Table 2.1 C: MANAGEMENT INSTRUMENTS
The bottom line is how the institutions provides a list developed by the Global Water C1. Water resources assessment -
(government departments, laws, administrative Partnership, grouped into the IWRM framework. understanding resources and needs
systems) which deal with policy, regulations, These can be found on the GWP Toolbox (for C1.1 Water resources knowledge base
implementation, execution and oversight IWRM) website: www.gwptoolbox.org. A, B C C1.2 Water resources assessment
understand and deliver as per their roles, and etc refer to the category of each tool. C1.3 Modelling in IWRM
the institutional capacities they need to be C1.4 Developing water management indicators
Policies set goals for water use, effective. As you can see in Table 2.1, there are over 50
C1.5 Ecosystem assessment
protection and conservation. tools, with a strong emphasis on practical
Legislative framework the rules to management tools (Group C). C2. Plans for IWRM - combining development
options, resource use and human
follow to achieve policies and goals. interaction
>>> Examine Table 2.1 for a list of tools in this Section
Table 2.1 The IWRM framework and IWRM tools C2.1 National integrated water resources plans
Financing and incentive structures
allocate financial resources to meet C2.2 Basin management plans
water needs. A: THE ENABLING ENVIRONMENT C2.3 Groundwater management plans
(C) MANAGEMENT INSTRUMENTS A1. Policies - Setting goals for water use, C2.4 Coastal zone management plans
protection and conservation C2.5 Risk assessment and management
Both a top-down and bottom-up approach for Management instruments are the elements A1.1 Preparation of a National Water Resources Policy C2.6 Environmental assessment
the participation of all stakeholders need to and methods that enable and help decision- A1.2 Policies with relation to water resources. C2.7 Social assessment
be promoted - from the national-level down makers to make rational and informed choices A2. Legislative framework - water policy
to the catchment or watershed level. Decision- C2.8 Economic assessment
between alternative actions. These include translated into law
making in this context needs to be governed by a wide range of methods, both quantitative C3. Efficiency in water use - managing
A2.1 Water rights. demand and supply
the principle of subsidiarily, which drives down and qualitative, based on disciplines such as
A2.2 Legislation for water quality.
action to the lowest appropriate level. hydrology, hydraulics, environmental sciences, C3.1 Improved efficiency of use
system engineering, legal sciences, sociology A2.3 Reform of existing legislation. C3.2 Recycling and reuse
and economics. A3. Financing and incentive structures - C3.3 Improved efficiency of water supply
Financial resources to meet water needs
>>> Examine Table 2.1 for a list of tools in this Section
To make progress in IWRM it is necessary to A3.1 Investment policies
select the group of instruments that better suit A3.2 Financing options I: Grants and internal sources
A3.3 Financing options II: Loans and equity
considerably re-regulate flows, to the extent

C4 Social change instruments - Water resources management in the LMB is a >>>water
SEEresources
SESSION PLAN 2.2: THE IWRM FRAMEWORK
management. that higher and more reliable flows will occur
encouraging a water-oriented society mix of a cooperative and coordinating model downstream in the dry season. This makes
C4.1 Education curricula on water management at the basin scale (facilitated through the MRC) run-of-the-river hydropower schemes in the
C4.2 Communication with stakeholders
and four national models where individual LMB financially more attractive and opens up
sovereignty, customs and administrative systems more irrigation potential. But at the same time
C4.3 Information and transparency for raising
dominate. this brings into question the degree of impacts
awareness
2.4 Drivers of change in the Mekong that could be tolerated from barriers to fish
C5. Conflict resolution - managing disputes At the basin scale, the four countries in 2005, migration and changes in sediment transport.
and ensuring sharing of water River Basin
endorsed an IWRM Strategic Directions
C5.1 Conflict management document for the basin. It was a high level
the need for IWRM All governments of the LMB wish to develop
C5.2 Shared vision planning guidance document and by its adoption, water resources for irrigation, hydropower and
C5.3 Consensus building the countries agreed to follow its general Global developments other uses, and to produce benefits for the many
C6. Regulatory instruments - allocation IWRM principles and guidelines in future millions of the basins poor population that live
and water use limits water resources development and protection. Global developments once would have had only in rural areas. Many are subsistence farmers who
C6.1 Regulations for water quality However, it was limited in how it linked to a small impact on developing countries. In the supplement what they grow with the fish they
C6.2 Regulations for water quantity the national planning processes. Since 2005, last decade this has changed dramatically and catch, and the food and other materials they
there has been increasing demand from both now the effect of market changes and global gather from forests and wetlands. So the need
C6.3 Regulations for water services
riparian countries and project developers for economic downturns and peaks are registered to develop water resources and achieve benefits
C6.4 Land use planning controls and nature the provision of an integrated basin perspective, in all countries. Fluctuating oil and natural gas for rural people must be balanced by proper
protection
against which national plans and proposed prices can make hydropower development consideration of the existing needs of these
C7. Economic instruments - using value projects can be assessed to ensure acceptable financially more attractive to private investors. subsistence farmers. Thus, the basins managers
and prices for efficiency and equity balance between economic, environmental and Global food shortages and rising prices can must achieve more sustainable and productive
C7.1 Pricing of water and water services social outcomes, and mutual benefits to the make irrigation more profitable in the LMB. fisheries, more efficient and productive
C7.2 Pollution and environmental charges countries. This will all be brought together in Emerging industrial nations such as China and water use in irrigated agriculture, sustainable
C7.3 Water markets and tradeable permits an IWRM-based Basin Development Strategy, India now seek more diversified food types, watershed management, appropriate
C7.4 Subsidies and incentives which will be adopted by the LMB countries in and together with potential large investments exploitation of the hydropower potential, free
C8. Information exchange - sharing 2010. from Middle Eastern countries in the LMB, this and increased navigation, improved protection
knowledge for better water also opens up new market opportunities and against floods, healthy river systems in terms of
management At the national level, each country is new public-private business relationships for vital functions and water quality.
C8.1 Information management systems
implementing IWRM in a way that suits its irrigation development, all of which can impact
particular circumstances. There have been large on how the basins resources are used and The predicted population growth requiring
C8.2 Sharing data for IWRM
changes in all countries, particularly relating to consumed. In addition, global climate change accelerating electricity demand and increasing
developing clear statements of national water might change future water availability. food requirements, continue to increase
Source: GWP Toolbox www.gwpforum.org related policy and strategy, and developing pressures on the basins water resources within
an institutional and regulatory framework to the dry season. Also, increasing living standards
In this Training Manual we are selective from support these policies, that removes uncertainty All of these emerging provide additional means changes in attitudes to flooding and food
this list of tools and will discuss those thought as to which agency has the role of the water incentives for the development of significant shortages, which require different approaches
to be most appropriate to support BDP resources manager, and gives it strong legal water infrastructure, including storage projects. and policies to both flood protection and
activities in the Lower Mekong Basin. backing through modern water resources The challenge is to develop these projects irrigation expansion on the delta flood plains in
legislation. These are foundation issues for within an IWRM context, and with an emphasis Cambodia and Viet Nam.
good national IWRM governance. In Thailand, on developing multi-purpose projects within a
River Basin Committees are becoming the main basin perspective.
bodies for participatory water management All these increasing pressures on the basins
at the river basin and local level. Stakeholder resources call for those aspects of IWRM
information and participation processes are Basin level developments and national level that aim at increasing synergies, or greater
improving at the national and basin levels. developments common features, between the policies and
practices of the four governments, as well as
The challenge in most countries is to strengthen While global developments offer both greater integration/coordination between the
agency and staff capacity in IWRM to use the opportunities and threats, there are many national line agency policies and processes. All
policy, legal and institutional advances to priority issues within the Mekong Basin itself, this places great strain and responsibility of
Progress in Implementing IWRM in improve water resources assessment, inter- and within each country, that influence how the national resource management agencies
the Mekong River Basin sector coordination and information exchange, and when land and water resources could be to both facilitate these new developments
planning techniques within hydrological units, developed. The cascade of hydropower stations but in a way that is sensitive to the basins
water use licensing and compliance assurance, in China on the Upper Mekong Basin will diversified ecological values and attributes.
enforcement of regulations, and the financing of
New investments and development 2. Highlight the four definitions placed on

assistance the training room walls, indicating that
these definitions have been taken from a
As the four LMB countries reform and develop dictionary.
government investment policies and clarify
the rules for resource utilization, there will be 2.5 Session Plan 2.1: 3. Break the participants into groups of 4 to
increasing opportunities for the private sector The Mekong River Commission what is IWRM? 6 and ask each group to come up with their
(and foreign state-owned companies) in the has a well-developed understanding own definition of Integrated Water Resource
development of water and related resources, of IWRM, supported by: Management. Allow 20 minutes for this
such as hydropower, navigation, large-scale - IWRM-based planning capacity OBJECTIVES group work.
irrigation, and industry. In most of these - Knowledge base and assessment tools At the end of this session the participants
areas, investment from the private sector - Public participation, and will be able to: 4. Once all groups have finished their exercise,
now outweighs public sector investments. In - Development partners get each group to stick up their definition
comparison with conventional public sector n Agree on a common definition of Integrated on a training room wall and invited all
driven developments, the emerging private Water Resource Management that will form participants to review the outcomes from
the basis for discussions throughout the
sector developments in the LMB are more the small group work.
training programme
opportunity-driven with relatively short
planning cycles and assessment processes that >>> SEE SESSION PLAN 2.3: DRIVERS FOR CHANGE 5. Once all outcomes have been reviewed,
meet minimum requirements. As well, private MATERIALS provide the Global Water Partnership
project developers are not obliged to develop (GWP) definition (see session support
projects through processes open to public n Flip Charts material) and allow participants to compare
scrutiny, and are less sensitive to arguments and n Markers Pens and contrast their outcomes with how the
advocacy promoted by civil society and NGOs. GWP defines Integrated Water Resource
Management and ask for any comments
TIME on similarities and differences between
When private sector projects begin to dominate, n 45 minutes the participants definitions and the GWP
the government requires strong government definition.
regulatory systems and enforcement capacity.
This means greater skills and capacities for the PREPARATION 6. Where there are differences, ask
central regulating and resource management n Flip chart 1-4: Definitions of Integrated, participants to explain these and ask if
agencies and stronger supporting laws and Water, Resource and Management: On the GWP definition needs to be changed
regulations. four flip charts write up a definition to reflect the participants own discussions
of Integrated, Water, Resource and and experiences. Alter the GWP definition if
Management and place the flip charts necessary so that a common definition on
around the training room. Integrated Water Resource Management
Relevant material in other resources n Flip chart 5: Definition of Integrated Water can be agreed upon by all participants.
Resource Management (IWRM): Write up a
flip chart with the definition of IWRM (see 7. Conclude the session by stating that:
session support material) IWRM is a systematic process for the
sustainable development, allocation
and monitoring of water resource use
in the context of social, economic and
STEPS environmental objectives.
1. Introduce the session by explaining that IWRM contrasts with sector approach
Integrated Water Resource Management where responsibility for drinking
(IWRM) is not a recent term and many of the water rests with one agency, for
principles that underpin IWRM have been irrigation water with another and for
used in water resource management for the environment with yet another. This
10-20 years. But there still does seem to be lack of cross-sectoral linkages leads has
some confusion about what IWRM means. lead to uncoordinated water resource
development and management,
resulting in conflict, waste and
unsustainable systems.
Different user groups (farmers,

communities, environmentalists) need
to be involved in decision making
over water resource use and the basic
IWRM concept has been extended to 2.6 Session Plan 2.2:
incorporate participatory decision- the IWRM framework
making.
A process of coherent policy making OBJECTIVE STEPS

is therefore essential to balance the
competing demands for water At the end of this session the participants will:
resource use n have an introduction to IWRM and how it 1. Create several groups of 2-4 people
can be used as a water resources planning,
2. In each group, discuss their perceived needs
development and management process
of the groups regarding water resources
n understand the three components of IWRM: management this could be done for a
enabling environment, institutional roles specific case study or issue
and management instruments
3. Now prepare a prioritised list of perceived
needs for your group: be prepared to explain
MATERIALS to the whole group why and how you came to
the sequence of priorities
n Butchers paper
Flip Chart 1 Integrated: To make or be 4. Choose a top priority issue by voting. For the
part of a whole. top priority issue, and using Table 2.1, identify
TIME - One (1) relevant enabling environment tool
Flip Chart 2 Water: A clear, colourless, n 60 minutes
odourless liquid made up of hydrogen and - One (1) relevant institutional role
oxygen molecules. It is essential for plant - One (1) relevant management instrument to
and animal life PREPARATION address this issue
n Ensure there is a stand for attaching 5. Discuss how you should START to develop an
Flip Chart 3 Resource: A source of butchers paper responses IWRM approach. Bring your answer to group
economic wealth for a country or a business. discussion and provide a first step.
A natural resource is any property of the
physical environment (such as minerals or
natural vegetation) which humans can use
to satisfy their needs.
Flip Chart 4 Management: The skilful or

capable use of resources, materials and time.
The technique or practice of managing or
controlling.
Flip Chart 5 - What is IWRM: The Global

Water Partnership defines integrated water
resources management as a process that
promotes the co-ordinated development
and management of water, land and related
resources, in order to maximise the resultant
economic and social welfare in an equitable
manner without compromising the
sustainability of vital ecosystems3.
3. GWP TAC 2000 Integrated Water resources Management. [See the summary booklet of this document provided at the Training Workshop]
If time permits, a second part of this 10. While groups are presenting, the facilitator
session can be conducted. 6. List the restraining forces on the right. needs to identify common issues and
Part II will explore key actions where Again, be specific. Indicate what effect each challenges between the groups these
capacity needs to be built to overcome force is likely to have on stopping the goal should be clearly written down on a white
negative actions and where capacity from being achieved. board.
2.7 Session Plan 2.3: can be enhanced to further promote
positive actions. 7. Analyse the forces. Identify which forces 11. Begin a discussion with the following
drivers of change questions:
are most important (make sure they are real,
Part I: Break participants into small groups not assumed). These are the ones that will Are there similarities among
OBJECTIVES of 4 to 6. have a significant effect on whether or not the groups in how they think
At the end of the session the participants will you can achieve your objective/vision. strengthening the positive forces will
be able to: 3. Ask participants to write at the top of help achieve IWRM in the region/
Circle all the important forces on your country?
the flip chart a brief, but specific and clear list and if necessary rate each force
n List key regional and national drivers (or description of a future goal for IWRM in
forces) of change that are either promoting/ according to a priority, for example on Are there similarities among the
the region or their country. It will help if a scale of 1-10, where 1 indicates very groups in ways over come the
contributing to IWRM or constraining or
participants are quite specific in writing this weak influence and 10 a very strong obstacles identified?
stopping IWRM.
goal statement. influence.
What can be learned from the process
Make sure only one problem or Obtain any additional information you
MATERIALS When should it be done?
objective is stated very broad or may feel is lacking about any important
n Flip charts multiple problems make this exercise force. Who should do it?
difficult.
Marker pens Part II: What are the next steps?
n Coming up with a problem statement
and then changing this into a goal
statement also helps to focus on
analysis. 8. Introduce the second part of the exercise
TIME by explaining that each small group is now COMMENTS
Example: IWRM becomes the basic
n 90 minutes (3:20pm to 4:40pm) planning instrument for IWRM in the to examine capacity issues and activities The session is based upon exploring the
(45 minutes for Part I and 45 minutes Lower Mekong Basin Countries that will help strengthen the key driving topic by using a Force Field Analysis tool
for Part II) forces and weaken the key restraining forces which is a tool used to analyse forces that
(reducing a restraining force is generally help or obstruct change or for a specific
4. On a flipchart ask participants to draw up more effective than increasing a driving situation. It can be useful, as part of drawing
PREPARATION two columns. In the left column driving force). up a strategic change plan, for examining
(positive) forces are to be listed and in the Work on each important force in turn. how feasible a strategic objective is and
n Flip Chart 1: An example of a Force Field
right column, restraining (negative) forces Identify ways in which enhancing, what areas need to be focused on in any
Analysis (presented to illustrate the use of
are to be listed. Provide example illustrated building or strengthening capacity can associated action plan.
the tool and expected outcome).
in Flip Chart 1. increase, strengthen, or maximise each
driving force
Alternatively, participants can be asked
STEPS to draw up a fish-bone diagram where Identify ways in which enhancing,
the goal statement is the head of the building or strengthening capacity can
1. Introduce the session by explaining that fish, driving forces are the bones on the reduce, minimise or eliminate each of
IWRM is a dynamic process. There will right side of the fish a negative forces the inhibiting forces working against
be negative (constraining/restraining/ are the bones on the left side of IWRM.
inhibiting) actions/forces currently the fish.
occurring that are or will stopt the Plenary discussion:
implementation of IWRM as well as positive 5. List the all driving (positive) forces
(contributing/driving) actions/forces that participants can think. Again get 9. Once small groups have completed
can be harnessed or put in place to further participants to be very specific i.e. what, their tasks, get each group to present
promote IWRM. who, where, when, how much, how many their findings but each group should
etc. Indicate how the force will contribute to present their driving (positive) forces,
2. Further explain that the small group work meeting the written goal. then all groups to present their restraining
will be in two parts. (negative) forces. If part II of the session is
Part I will identify positive and negative completed, all groups should then present
drivers for change. their main capacity building activities or
challenges.
Chapter 3
The Enabling Environment
Flip Chart 1: Example of Positive and Negative
Forces Influencing Development of National
Forest Policy in Malawi Parts of this chapter are drawn from the GWP the extent to which water management is
IWRM Toolbox. decentralised or consolidated, the use of
economic incentives, capacity building to meet
Basically, the enabling environment is institutional challenges, and the monitoring
Positive Forces Negative Forces determined by national, provincial and local and control to reduce ecosystem degradation.
Inflation down, growth up Chronic land shortage and food insecurity policies and legislation that constitute the Policies entail measures which require
rules of the game that makes it easy for all investments and their costs and benefits should
Primary school enrolment up Credit use and repayment declining stakeholders (people who have a say) to play be considered before their adoption.
Market liberalisation Roads, law and order, deteriorating their respective roles in the development and
management of water resources. It also includes The IWRM approach moves away from single
Privatisation and deregulation HIV/AIDS spiralling
the forums and mechanisms, information and sector water planning to multi-objective
Land policy reform Chronic shortage of fuel wood capacity-building, created to establish these planning and integrated planning of land and
Civil service reform and shrinking budgets rules of the game and to facilitate and exercise water resources, recognising the wider social
stakeholder participation. economic and development goals and entailing
Example 1: Developing a National Weakly-planned decentralisation cross-sectoral coordination. It is a dynamic
Forestry Policy in Malawi approach. The IWRM approach is often set
3.1 National policies and strategies within a catchment (watershed) framework.
Driving and restraining forces affecting Therefore, the process of policy making for
forestry policy in Malawi, from the wider Characteristics IWRM requires extensive consultation as well
environment. There are also likely to as raising the awareness of the importance of
be driving and restraining forces in the A National Water Resources Policy sets goals integration among policy makers, stakeholders,
immediate environment, of course. and objectives for the management of water and the general public. The sustainability of
resources at the national scale and includes resources and policies should be a central goal.
policies for regions, catchments, shared or
transboundary water resources, and inter-basin Policy reform may be incremental in recognition
transfers, all within an IWRM framework. It of changing political and resource priorities,
addresses both the quantity and quality aspects or may be able to respond to major shifts
of both surface and groundwater resources and in external circumstances, which enable
also deals with delivery of water services. comprehensive redevelopment of water
resources policies.
A national policy may include matters of
jurisdiction and delegation and items like:
Lessons learned 3.2 Legislation, regulations and

government for macro-management on water strengthening implementation
resources, environment, meteorology and Policies are more useful if they are designed
hydrology activities throughout the country. proactively, not just as a short-term response
The Lao National Mekong Committee now lays to a crisis (although a crisis may provide an This section of the Training Manual is drawn
within WREA so both national and international opportunity for policy change). By failing to from the GWP IWRM toolbox.
IWRM issues can be better coordinated. anticipate change, and taking a narrow sectoral
view, water resources policy development has Regulations for water quality
National Water Resource Lao PDR is now in the process of developing frequently ignored both macroeconomic and
Management Organisation a national water resources policy and strategy development needs. Regulatory instruments for controlling water
which will allow, for the first time, a clear quality can be aimed at controlling discharges
(Lao PDR) perspective to be available for all sector Some key points for effective integrated policy at source, or at managing the receiving
agencies to follow in water resource planning. making are: environment. They also include regulations for
Description Its implementation will occur over the next 5 Ensure policies clarify the roles of waste minimisation.
years and will be monitored by the new water government and other stakeholders in
Lao PDR has a low population density and low management agency within WREA. achieving overall goals and especially define Uniform emission or discharge standards apply
development status. These two facts explain the role of government as regulator, as to all emissions in a specific area (emission
why Lao PDR has as yet not faced significant The national water resources policy and strategy organiser of the participatory process and as approach). Specific emission standards can be
water resource problems, even though it has will amongst other things, more clearly define a last resort adjudicator in cases of conflict. set in individual permits. These can be based on
only recently started to develop a capacity for agency roles and responsibilities and remove the pertinent ambient water quality standards
integrated water resources management. the overlap between agency functions that has Identify and set priorities for key water (water quality approach) or on the best available
constrained sound multi-sector development resources issues to ensure a focused policy. technology (BAT), best practicable technology
The 1996 Water and Water Resources Law is over the last decade. Work is soon to start (BPT) or the best available technology not
the primary law affecting water resources on modernising the Water Resources Law to Recognise that considering water as a social involving excessive costs (BATNEEC).
management. It is a framework law and provide WREA with clear legal backing and and economic good means designing
contains principles and policy-like statements. authority to manage national water resources. policies to allocate resources to where they A combined approach implies that minimum
It may require review and amendment or, at Provincial agencies are being given greater offer the greatest value to society, starting uniform emission standards are set and that
least, the development of many decrees and responsibilities for water resource planning and with the fulfilment of basic needs. stricter standards are applied if the quality of
implementing rules and procedures to make management, and devolution of management the receiving water so requires, or if the way
implementation effective. It does not indicate of irrigation schemes has occurred to farmer Make explicit in the policy the links between the water is used requires higher standards
any one ministry or agency that is responsible level. Water planning is now to occur at a river land use and other economic activities. (e.g. for maintaining a delicate ecosystem).
for the Law, or that a ministry will be nominated basin level and river basin organisations are now Specific regulatory instruments can also be
by the Prime Minister to be responsible for it, so being trialed to assess the appropriateness of Engage stakeholders in policy dialogue, used to protect aquatic ecosystems and riparian
accountability for IWRM remains confused. this approach for Lao circumstances. recognising potential conflicts and the need habitats, and for the rehabilitation of water
for tools for conflict resolution. resources.
The main institutional problem in the water Lessons learned
sector mainly relates to lack of co-ordination Recognise the importance of subsidiarily, so Where discharge standards are difficult to apply,
between agencies within the sector and 1. For the first time, Lao PDR now has a policy that water resource allocation decisions are as in the case of non point source pollution,
with those of other sectors, and loose line of and institutional framework that encourages taken at the lowest appropriate level. regulations may focus on the techniques or
communication and co-ordination between good IWRM and provides clear links between practices; in agriculture for example the best
the national agencies and their provincial national planning processes and the work at Take into account trade-offs between short environmental practice approach, which will
counterparts. The recent establishment of the basin scale. The recent establishment of a term costs and long term gains. provide guidelines for application of fertilisers
the Water and Environmental Management national water resource management agency and pesticides for example, is often used.
Administration (WREA) as a national agency with the responsibility for IWRM holds the Make functional arrangements and cost Regulatory instruments can be developed for
responsible for water resources management is promise to improve the current low levels allocation explicit. the protection of groundwater, taking into
mainly aimed at improving the co-ordination of of inter-sectoral coordination and data and account the difficulties of monitoring and
multi-sectoral activities involving various water information exchange. rehabilitating ground water. Other types of
uses and also defining and managing water regulatory instruments include:
allocations. 2. But as with Cambodia, these initiatives are >>> SEE SESSION PLAN 3.1: NATIONAL POLICY
quite new and successful implementation will AND STRATEGY Product standards which can be set for
In 2007, the Prime Minster issued decree 149/ also depend on a wide ranging capacity building some pollutants, such as pesticides, and the
PM establishing the national Water Resources program at all levels and new processes and widespread banning of DDT.
and Environment Administration. The WREA capabilities in all water resources assessment,
has a mandate to act as advisory body to the modeling, and planning techniques.
Land use controls which may influence the Tools need to be balanced: e.g. restricting As in the case of regulations for quality, output delivery data and monitoring capacity
setting of ambient or discharge standards. infiltration may increase urban run-off. there should be a consistency with are essential. The regulatory burden for
institutional capacity for implementation, concessions and divestiture is considerable.
Safety regulations and procedures for In low income countries, definitions of what compliance monitoring and enforcement. Contracts or operating licences will need to
accidental pollution may also be useful. is "safe" need to be balanced with what is establish mechanisms for tariff adjustments,
affordable and appropriate. When regulating water abstractions, non- service standard specification, investment
The application of regulatory instruments consumptive uses of water including those requirements, complaint resolution, dispute
for water quality control should be based on Regulations for water quantity of aquatic ecosystems, recreation and arbitration and the imposition of sanctions
environmental goals that are set in the policy navigation need to be taken into account. for delivery failures. Price regulation (and
and planning stage. Furthermore administration Regulatory instruments for ground and surface preventing hidden price rises through reduced
and setting of water quality standards must water quantity control include permits for In rivers shared between two or more standards of service) is a critical regulatory task,
be closely linked with regulations for water ground and surface water abstractions. The countries water abstractions need to be as is ensuring that companies make efficient
quantity, as these are inter-dependent. quantities permitted may reflect seasonal needs. agreed between the riparians based on investment decisions.
negotiated criteria for sharing of water and
Lessons learned Usually, general rules determine when a permit benefits. In designing a regulatory system for public
is needed and when not, for example, for which and private service providers, governments
An ambient water quality approach is volume of abstractions. General rules may forbid Water quantity should be regulated in need to: - clearly specify the regulatory duties,
usually based on set priorities and is or limit abstractions for specific waters or under conjunction with water quality since the decide how decentralised regulation should be;
more complex to apply than an emission such specific conditions as times of drought. two are intimately related. For instance, consider the level of discretion given to and the
approach. some domestic or industrial water use can independence of regulators; ensure regulatory
Control of water quantity and quality are closely result in polluted return flows that reduce accountability and transparency and ensure that
An ambient water quality approach requires linked. In surface water systems, abstraction the suitability for downstream uses. the regulators have the capacity to monitor and
the availability of rather detailed water reduces flows and hence the ability of a river or obtain unbiased performance data.
quality data from the recipients. stream to absorb and degrade wastes and thus Regulations for water services
the ability to maintain desirable ecosystems. Lessons learned
For regulations to be effective they need Water service providers should be subject to
to be implemented by institutions with the Illegal or uncontrolled abstraction of the general quality and quantity regulations. The monopolistic character of most service
capacity for implementation, compliance groundwater for agriculture, industry and In addition, governments will be concerned providers means that self-regulation is
monitoring and enforcement. household use is widespread in many areas (e.g. to ensure that providers deliver services in typically inappropriate. Regulation should
peri-urban settlements) and can have serious an efficient and cost-effective manner and at be separated from provision.
A water quality approach can lead to implications for groundwater quality. Permanent appropriate service standards. Service providers
different regulatory conditions for similar abstractions above the recharge often result typically enjoy significant monopoly power; The regulatory burden can be reduced
polluters (and pollutants) in different basins in serious saline intrusion in the productive their output levels, service standards and by allowing comparative (yardstick)
because the condition of the receiving aquifers making the water unsuited for domestic investments all tend to be lower than under competition and benchmarking.
environment, which is used to determine or irrigation purposes. competitive conditions, while their prices
the discharge or abstraction standards, tend to be higher. Performance regulation has Regulation of decentralised service
is likely to differ in different locations. Effective regulation of water abstractions often been seen as only necessary when the providers should normally occur at a higher
This may be politically harder than the requires information on the available water private sector is involved but public monopoly tier of government to avoid capture and
application of uniform standards. resources and the present abstractions. providers also need to be put under regulatory facilitate benchmarking.
Moreover, sufficient institutional capacity must pressure to improve their performance.
An emission approach or pollution control be available to apply the different tools and Effectively monitored performance targets, Good independent information on asset
based on Best Available Technology is for compliance monitoring and enforcement possibly employing benchmarking and the conditions, performance standards,
essential for pollutants that accumulate in appropriately. The need for institutional capacity publishing of performance league tables, can operating costs and investment efficiency
the environment. should get attention in the water resources play a critical role in public sector institutional is an essential prerequisite for effective
assessment and policy and planning stages. reform. regulation.
Product standards are appropriate for
diffuse pollution because emissions are Lessons learned The regulation of private sector providers will To be effective regulators must operate
difficult to monitor. depend upon the Private Sector Participation independently from both short term
Surface water abstractions and groundwater (PSP) option chosen and the amount of political pressures and the regulated
Standards should be achievable in the abstractions should be regulated in competition which is allowed in the sector. companies.
short-term, but they should also stimulate conjunction to prevent undesired shifts Regulation is typically least onerous for service
further improvements on the long-term between the two. and management contracts, but realistic
through progressive tightening. specification of performance targets, good
Regulation is likely to be most effective if it Construction permits are sometimes 3.3 Financing and economic tools Grants, internal sources, donors
employs incentives as well as sanctions. required before houses or infrastructure and NGO sources
can be constructed in protection zones Financing Water Resources Management
Regulation should be transparent, with or around urban areas to protect water This section of the IWRM Training Manual is
maximum use of published performance quantity and quality. Land use planning can Characteristics drawn largely from the GWP IWRM Toolbox. The
targets and achievement levels. be used as an alternative to structural flood on-line examples of each section are useful
protection. Perhaps the greatest obstacles for the they illustrate good practices. If you are online,
Land use planning controls and nature implementation of IWRM in many countries are click here and select from Related Cases.
protection Building regulations are likewise a institutional deficiencies (fragmentation and
means that can be employed to reduce insufficient capacity) and the financing of the Allowing for the diversity of the water sector in
An important topic for IWRM is the interface vulnerability to floods. basic water resources management needs on a different countries, and variations in financial
between water use and land use. Consequently, sustainable basis: water resources monitoring sources available, a rational financing strategy
regulating land use is part of IWRM. The steady Specific soil protection and erosion control (quantity and quality), water use permitting is as follows (this tool deals with grants and
growth of urban agglomerations means that measures, such as ploughing parallel to and compliance assurance, enforcement sources which are internal to the water sector):
the water impacts of land use becomes of the contour lines and planting trees can be of regulations, and the maintenance of a Minimise financial costs by the choice of
paramount importance. Urban growth leads to prescribed. Special limitations may apply in national water information system. These appropriate standards (e.g. deferring the
massively increased local discharges of waste designated nature or wildlife areas. fundamental and basic aspects of water introduction of central sewerage in every
effluent with serious impacts on surface and resources management are necessary under any case) and technology (avoiding gold
ground water. In the same way forestry and Waste disposal regulations, e.g. on locations circumstances as they provide the information plated options);
agricultural activities have significant impacts of waste disposal sites, are important for the for water resources planning and management.
on both quality and quantity of surface runoff as protection of groundwater. Encouraging water users to take on some of
well as groundwater formation and quality. Land There is, therefore, a need for Government the costs of local schemes (sweat equity
use planning should be a significant component Before controlling land use, a wide overview to find the right mechanism(s) to fund these in urban upgrading or rural communal
of the implementation of national plans for is needed on present land use, along with fundamental requirements, regardless schemes) supported by small loan schemes
IWRM. a vision on future land use. Additionally, of any other institutional changes being for materials and installations.
adequate institutional capacity must be contemplated, or regardless of Governments
Land use planning can draw together the available for planning and permitting perspectives on other priorities. Cost estimated Getting commercial enterprises to
various impacts of population pressure and for compliance monitoring and have to be made and options need to be undertake their own investment in water
or industrial land use on water to ensure enforcement. This tool has also links to explored for financing these basic functions, conservation and pre-treatment of effluent
sustainable water impacts. Land use planning water resources assessment. independently of considerations of the by a mixture of legal penalties and tariff
is vital for safeguarding environmentally financing of infrastructure needs in the water incentives. In irrigated agriculture there
vulnerable areas, wetlands and also for riverine Lessons learned sector. Financing options include: the national is already a high degree of self-financing,
ecosystems. But pressure for land development budget, taxation at the Provincial level, tariffs especially on smaller schemes.
is often intense, and there is frequently conflict Structural flood protection has some paid for water use (municipal and irrigation),
between the land requirements for housing, serious drawbacks, such as the costs and fees on water withdrawals and wastewater Use revenues from the sale of water and
industry, roads etc. and the need for nature the increased damage if the structures fail. discharges associated with the water use related services to cover recurrent operating
protection. Consequently, non-structural measures such permits (municipal, industrial, irrigation, and and maintenance costs plus a contribution
as zoning, deserve serious consideration. hydropower), and combinations of the above to the cost of investment in expanding and
Examples of tools for controlling land use options. modernising the system. It is important
include: Integrating land use controls into IWRM to cover O&M costs from normal revenue,
Zoning identifies areas where specific forms requires effective co-operation and mutual Lessons learned otherwise operations will proceed on a
of land use are prohibited or where special understanding between land use planners hand to mouth basis and maintenance
rules apply. Examples relevant to IWRM are and water managers. Co-ordination can Lack of government expenditure on water will be neglected. In the long term, capital
drinking water protection zones and zones be achieved, for example, through an apex resources management is usually the result of investment in water services should
where construction is not allowed because body. the mistaken idea that financing water resources also be funded from internal revenues
of flooding risks. Protection zones around management is a cost to Government. However, plus borrowing (which is repaid from
wells and in recharge areas are useful for it is now well understood in many countries revenues) but this ideal state may need
protecting ground water and potable water that financing water resources management to be approached gradually, especially in
drawn from wells. Protection zones along >>> SEE SESSION PLAN 3.2: LEGISLATION AND is not a cost, it is an investment for which irrigation.
watercourses gives some protection against REGULATORY FRAMEWORKS there is a return, in cost savings due to correct
direct pollution for instance from nutrients infrastructure investments, reduced water Tap all potential sources of grants,
from fertilisers. treatment and a reduced need to respond though taking steps to reduce long term
to crises. dependence on them (because they are
unlikely to be permanent).
Subsidies from central and local from the cash flow from water sales, so they Local institutions, e.g. commercial & environmental benefits from leaving water
governments, particularly for investment should not be regarded as additional sources. development banks, pension funds. in its natural state.
(most governments are reducing recurrent
subsidies for water). Funding public goods Some of the larger and middle-income International and bilateral investment Cost recovery: generation of revenues
(e.g. watershed conservation, hydrological developing countries have large and well- agencies, e.g., IFC, CDC, EBRD. for the efficient operation (and debt
research) is also an appropriate function of developed local capital markets that can provide service) of the present system and its
governments. the required amounts of loan capital for water. Lessons learned future maintenance, modernisation and
In other cases, foreign borrowing is subject expansion, the operation of the sector.
Grants from international aid agencies to macroeconomic constraints on the size of Since water revenues arise in local
(bilateral donors, UN agencies, EU ISPA, public debt, reinforced by IMF pressure, which currencies, it is prudent to raise money As well as ensuring recovery of costs, an
etc). Appropriate for technical assistance, severely limit the amount of foreign borrowing locally where possible, to avoid a foreign effective tariff should be:
capacity-building, setting up regulatory by poor and highly-indebted countries. The offer exchange risk. Affordable: recognising the vital role
systems, etc. of public guarantees, e.g. for foreign exchange of water, the special needs of socially
risk, represents a contingent liability which There has been little international deserving cases, and the importance of
Grants from local and international NGOs effectively raises public debt (though these commercial bank finance for the water safe water and sanitation for public health.
raised from voluntary donations, sometimes liabilities are not always reflected in budgets). sector; project finance for water has been Mechanisms to protect the poorest from
matched by official aid agencies, which can meagre, partly due to high fixed costs high charges while avoiding subsidies to
leverage lending from local banks. Loans should be tailored to the cash flow profile relative to the size of the deal. the better off are necessary. The urban poor
of the investment, and match the offshore/local often pay more (per unit) for water via the
Grants (including soft loans) from content of the project. The main sources are: Many of the recent high-profile private informal private sector than the better off
the proceeds of pollution and other international water projects have been pay to the official water utility.
environmental taxes, which are recycled Long-term loans from multilateral agencies problematic, due in particular to foreign Acceptable to the public: tariffs should be
within the sector for such purposes as water (World Bank, regional development banks, exchange risks. These risks are underlined clear, comprehensible and fair.
conservation, pre-treatment of effluent, etc. European Investment Bank, etc). by recent international financial troubles
Equity investment is a high-cost source of Administratively feasible: levying and
Lessons learned Guarantee facilities from the above agencies finance. It is flexible in the short term and a collection of charges should be within the
and governments which improve the terms buffer for loans, but shareholders demand capacity of the water undertaking (links
An active tariff policy, generating an and conditions on which local loans can be market rates of return. with institutional capacity).
adequate and inflation-proof cash flow, is raised. Volumetric tariffs, which charge according to
the best foundation for the sectors long- The development of local capital markets is the amount used, are more versatile than fixed
term financial health, and will be needed as Export credit, usually officially guaranteed crucial to water finance in the long term. charges and can provide incentive for careful
the basis for attracting loans and equity. by the exporting country, subject to the use. Tariffs typically combine a fixed and variable
OECD Consensus rules. Political and regulatory risks are problems element to cover overhead and operating costs
Cost recovery through taxation is difficult in in addition to exchange risk. Counter- respectively. Cost recovery charges for sanitation
poor countries with weak governments and Loans on commercial terms from local guarantees between multilateral agencies, services are often levied on households and/or
a parlous fiscal position. (normally no more than five years) and central governments and municipalities can industry, typically as a surcharge on the water
international banks (sometimes longer term help to address this. tariff, but are less easy to set and administer
In recent years international aid for water if enhanced by guarantees of various kinds. than water consumption charges. Charges are
has been declining, partly in response Pricing of water and water services sometimes levied for the cost of connections to
to bad experiences, a thin flow of good Bonds raised locally or overseas, by central public systems, or for the provision of facilities,
projects and the poor governance of this and (rarely) municipal, governments, The purpose of water pricing is: such as low cost latrines.
sector. In the current climate, with growing requiring public guarantees. Cost reflectivity: charges signal to users
international interest and commitments, the the true scarcity value of water (e.g. Pricing or cost recovery for irrigation systems are
prospect for aid is brighter, but much will Equity capital can also be raised by private through abstraction charges) and the cost beginning to be used, although irrigation water
depend on reforms and capacity building companies, joint ventures, or utilities with a of providing the service; they providing is often heavily subsidised. Volumetric pricing is
efforts. corporate structure. Equity sources include: incentives for more efficient water use still the exception, and proxies are used, such as
and give investors information on the real acreage, type of crop, size of harvest; however,
Private international companies, e.g. in demand for any needed service extension. with modernisation of irrigation systems,
Loans and equity concessions, asset transfers, joint operating Pricing also helps to identify the most cost improved charging is feasible.
ventures, etc. effective means of meeting both demands
Grants and internal sources (as above) can be and revenue needs. Direct cost recovery for environmental services
supplemented by borrowing and the injection Purchase of shares by specialised water and or resource management is also rare but
of equity capital. In the long run, both these environmental investment funds, usually Environmental protection: encouraging has been applied. Charges may be linked to
types of finance have to be repaid or reimbursed requiring a rate of return. conservation and efficient use; recognising environmental management (e.g. charges for
abstraction licenses, or discharge permits).
Lessons learned Private companies find it easier to levy and Generate useful amounts of revenue for Planned progressive increases in charges
raise charges than their public counterparts. clean-up actions; are useful in allowing dischargers to adjust
Water pricing is applicable under almost their processes over a given time period.
all circumstances, but there are several Pollution and environmental charges Credit polluters for the release of clean
preconditions for a successful cost recovery effluent for dilution and mixing. Water markets and tradeable permits
policy: Charges can be levied both to reflect the cost
of the use of water as a natural resource (for Levying charges on diffuse (non-point) Water markets & transferable water rights:
Public acceptance of the need for cost example through demand management charges pollution, e.g. from farms, is difficult to carry out these tools allow sales of water allocations from
recovery; people may need a public such as abstraction levies, or environmental directly, and tends to be done by proxy (acreage, one group to another. The markets can apply to
information campaign to persuade them, if charges) and to cover costs of service number of cattle, etc) or product (e.g. tax on either surface - or groundwater, and the transfer
they are used to regarding water as a gift of provision. This tool focuses on pollution and fertiliser). of rights may be seasonal or permanent. Such
nature. environmental charges. Environmental charges markets can:
are designed to reflect cost of damage to the Although pollution charges offer a useful Enable water to be transferred from lower-
Higher charges are easier to implement environment resulting from use of resources, incentive to polluters to reduce their polluting to higher-value uses.
when there is an associated service whether surface water or groundwater. Pollution discharges, most of the established schemes Overcome the resistance of the entrenched
improvement. charges, a particular type of environmental have as their main aim the collection of revenue property rights of existing holders.
charge, are designed to reflect the financial and to finance pollution abatement programmes.
Strong political backing and the avoidance economic costs of discharging wastes into the This can effectively raise public support for Be a cheaper way for communities or
of extravagant and unaffordable promises environment. By levying a charge, polluters are the charges. The charge in itself offers an farmers to obtain their water than the
before elections. encouraged to reduce their polluting discharges, incentive to reduce discharge. Revenues alternatives, which may include creating a
and in effect are paying for the reduction of from environmental charges are sometimes new source of supply.
Thorough demand surveys and consultation the ambient water quality (in the same way as accumulated to special funds earmarked for
with consumers are essential. In poorer charges are levied for consumption of water by environment/conservation activities. As with Be used by environmental champions, to
communities with underdeveloped services, users). regulations, pollution and environmental buy out existing users and preserve the
willingness-to-pay surveys can be a useful A charging system has the advantage over pure charges need effective regulatory and water for habitat or natural amenity.
pointer to setting appropriate tariffs, regulation in that it permits some flexibility management capacity. It is important to ensure
provided that the people who actually pay in the way firms or other polluters respond. A the acceptability of charges if they are to be Water auctions: Public authorities make
(often women) are actually consulted. system combining charges and standards may effective. Pollution charges can be effective water available to the highest bidders at
be best of all since standards provide a greater where there is transparency and a clear public auctions. The water lots could be on a
Careful provision for poor or disadvantaged certainty of outcome than prices alone. Other regulatory framework. daily, weekly, seasonal or even annual basis.
consumers. Direct support may be more types of environmental charge include levies on Auctions are a useful source of revenue to public
effective, since subsidies often benefit the abstractions, or charges reflecting the value of Lessons learned authorities, but they can create conflicts of
rich more. the environmental resources used, and provide interest if the revenue raising function becomes
an incentive for users to change their behaviour, Few pollution charges are set at levels high more important than the issue of efficient water
Financial transparency including in response to a price change. enough to encourage to firms to spend allocation.
independent auditing and regular and sufficient on pollution abatement to meet
automatic price adjustments (based e.g. on Pollution charges can be levied on specified pollution standards, but the existence of a Tradable Pollution Permits: Individual polluters
inflation). pollutant discharges on the basis of load and/ charge, even at a low level, provides some can be allowed the right to buy and sell quotas
or concentration, and can reflect environmental incentive and may be helpful in raising of emissions subject to an overall upper
Firm and clear public regulation of tariffs damage imposed by pollutants. (Note that awareness of the costs of pollution. quota on total emissions. Nutrient trading is a
set by the private sector see C6.3. [Because pollution charges are distinct from sewerage or potentially useful instrument to improve water
of lack of competition and the high social wastewater treatment charges, which are tariffs Pollution charges need to be administered quality.
sensitivity of water, governments usually or cost recovery charges. as part of an overall system of regulation.
regulate prices whether charged by Certain preconditions are necessary for water
public utilities, municipalities or private A desirable pollution charge should: A precondition for successful pollution markets and auctions to be successful:
concessionaires]. Reflect the environmental costs of charges is the presence of a well-developed A clear and permissive legal framework,
wastewater pollution; monitoring and measuring system. within which individual holders of water
Consumers tend to respond to price rights can transfer their rights, either
increases by greater care in water use. Bear some relation to marginal abatement Pollution charges have a stronger incentive temporarily or permanently, to other
costs faced by the polluter (e.g. industrial effect on the polluting party if it has to bear parties.
The structure of tariffs is just as important as enterprise or municipality) and be high the cost of the charge itself and cannot pass
the level of charges in achieving equity and enough to induce some investment in the costs on to consumers. A procedure for considering the impact
cost recovery aims. pollution reduction; of these trades on third parties (e.g.
downstream users) and, where appropriate,
arranging compensation.
Recognition of the potential environmental 3.4 Subsidies and incentives water users (whether individual households,
impact of trades, and the need to invoke institutions, firms or farmers) should be
relevant safeguards. Characteristics consistent and persuasive.
The physical means of transferring water Subsidies can be used to protect vulnerable Lessons learned
between potential users. and poor groups in society but great care is
necessary to ensure that they do not simply The introduction of new subsidies should
Strong provision by Government of the benefit the better off. be very carefully considered, since they tend
legal, social and economic environment for to be difficult to remove and can become a
effective market operation. However, subsidies often encourage excessive fiscal burden. However, they can be useful
consumption of water, either when its use is to encourage the uptake of unfamiliar
Regulation to avoid monopoly build up is directly subsidised or where the prices of goods technology (e.g. recycling and water-
essential. and services that consume water are subsidised, efficient irrigation methods) or stimulate
or affect its use. Examples include: pilot schemes that might lead to wider
Lessons learned acceptance of desirable practices.
Industrial plants that are heavy water users,
As with charging systems, it is important operating in a protected, subsidised regime, Subsidies (such as low-interest loans) might
to ensure that vulnerable groups are lack any incentive to conserve water or use also be a way of tackling stubborn market
protected. it efficiently; failures (e.g. the habit of needing excessively
Low prices in the power/energy sector short pay-back periods for recycling or
There is a need for a mechanism for initial encourage excessive use of water; water-efficient appliances).
allocation of rights (whether for water or
pollution discharges) which should be seen Subsidised prices for "thirsty" farm crops, Subsidies can also be used in combination
to be fair, and be equitable and effective. causing heavy use of irrigation water. with a tax/charge regime to make the
Experience suggests that water auctions can regime more acceptable, since people
be efficient and effective in some situations. Setting the right price signals ('getting prices to and firms paying the tax can see that the
tell the truth') means that existing distortions in revenues are being applied for the same
Trading schemes can be intensive in terms the workings of the market should be removed. purpose, and can even benefit from them.
of information and enforcement, hence For instance, farm prices should become more
costly to administer; the high transaction market-based or industrial firms should operate Policy reforms aiming at the removal of
costs of certain markets may outweigh their in a less protected environment or the prices of economic distortions can have the double
benefits. energy should be liberalised. benefit ("win-win" policies) of economic and
environmental gains.
Markets can help identify the highest value Taxes and/or subsidies need to be applied
use and assist in conflict resolution. in a selective way to reflect environmental But there is also a risk that general
considerations ("green" taxes and subsidies) economic reforms that do not address
Water auctions may be useful to adjudicate or other specific policy aims. For example, distortions specific to the water sector
water allocation under competitive polluting farm chemicals should be taxed while may aggravate the latter's problems. For
conditions, but must be regulated to water-efficient appliances could be subsidised. instance, trade liberalisation may increase
prevent monopoly build up. Subsidies can be used to encourage changes pressure on a natural resource like water,
in behaviour (as for instance, to encourage the unless accompanied by a concurrent water
Markets work best where there are a large introduction of drip irrigation. reform programme.
number of traders and transactions, so that
the risk of build up of monopolistic "market Pricing of water alone will not have its desired Subsidies may help those who already water
power" is minimised. effect if it is frustrated by policies elsewhere that services, but not benefit those without
pull in the opposite direction. This lesson has access to water.
been clearly learned from attempts to reduce
water use in agriculture and reduce the waste
>>> SEE SESSION PLAN 3.3: ECONOMIC TOOLS of water and pollution in highly protected
industries.
All major policy areas affecting water use should

be "joined-up" (with financing structures and
water policies). The market signals faced by
Strengthening capacity in all water specific aspects of the listed policy/

management sectors, including the legislation that supports IWRM and those
management water users' association that do not. Get each group to clearly
supervision, training of trainers, and identify and write down how these aspects
improving farmers' awareness of the need of identified policy/legislation impact on
to improve the irrigation practice 3.5 Session Plan 3.1: IWRM.
national policy and strategy 5. At the end of 40 minutes, ask each of the
Tunisia - Reform of Irrigation Policy An increase in water tariffs to reinforce users groups to present its results briefly and
and Water Conservation participation in cost management and to initiate a plenary discussion around the
provide incentives for the adoption of water OBJECTIVES following:
Source: GWPs IWRM Toolbox (Case Study (#19) saving techniques. At the end of this session the participants will What are the similarities and differences
be able to: among the different country or local
Description Lessons learned policies on a broad level, and on
n Identify and examine the role and impacts
a specific level? Why might these
An arid country with limited water resources, 1. Integrated reforms that take into account of national policy and strategies on IWRM.
similarities or differences have
Tunisia depends heavily on irrigated the technical, economical and institutional n Understand the relevance of analysing developed? (This may be related to a
agriculture. The sector contributes 30-40% of aspects of water demand can make a sectoral policies for effective planning and number of historical, social or political
the value of agricultural production, and is significant impact on water management implementation of IWRM. factors.)
highly important in some regions. However, and conservation In general, are most water policies
abstraction for irrigation accounts for 83% 2. To gain the support of farmers, reforms MATERIALS supportive or unsupportive of
of the available water resources, competing must seek to improve farmers incomes n Flip charts IWRM approaches (Point out that,
with other uses. To conserve water resources 3. Financial incentives accelerate the adoption while overall policies may appear
and encourage demand management in the and use of efficient irrigation techniques. n Marker pens unsupportive, there can be specific
irrigation sector, a national water saving strategy aspects within the broader framework
was implemented. As part of the strategy, a Importance of case for IWRM TIME that might be more supportive.)
number of reforms were introduced in the past n 45 minutes What are the general trends in the
few years, including the promotion of water The irrigated sector in Tunisia is similar to that of evolution of IWRM policy in the
users associations, an increase in the price of other countries of North Africa and the Middle different countries, and why? (It is
irrigation water, and the use of incentives to East. In all, the sector is characterized by high PREPARATION important here to try and examine links
adopt technologies that water at field level. The consumption and production of waste water, between changes in policy and the
n Write on a flip chart a definition of Policy reasons for those changes.)
strategy also introduced a number of supporting socio-economical constraints, and competition (Session Support Material)
actions such as strengthening of applied between users. In addition, the importance of How might unsupportive policies be
research, improved agricultural marketing and agriculture to the social and economic life of the changed to become more supportive?
capacity building in the irrigation sector. The country makes the introduction of any irrigation STEPS How do supportive or unsupportive
integrated strategy has resulted in a marked and management reform risky. The Tunisian forest resource policies affect the
sudden increase in national awareness of water experience can enrich the debate on the costs 1. Introduce the purpose of the session and occurrence of conflict?
scarcity, and the value of water in the countrys and benefits of establishing water demand explain the importance of national IWRM
economic development. management in agriculture. related policies and legislation in helping
or hindering IWRM reform in a country.
Specific measures introduced by the new COMMENTS
2. Explain that during the session participants
strategy included:
will examine and discuss IWRM policies from n If the participants are all from the same
their own country (or their own Province if country, the groups can be divided on the
Creation of a legislative framework to policy exists at this level) and the impacts
promote water users associations and basis of state or regional differences in
>>> SEE SESSION PLAN 3.4: INCENTIVES of these policies on IWRM. policy within the country in order to look at
financial incentives for water saving local level policies.
3. Divide the participants into small groups
of 4 to 6 and get each group to discuss
key pieces of existing (or proposed) water
Relevant material in other resources management legislation or policy from their
country or region. Encourage participants
to start with the most recent legislation or
policy and get each group to clearly write
these important pieces of legislation or
policy on a flip chart.
4. Each group should then examine the
2. Explain that we are now going to be

divided into small groups based on either
local government or country groups
depending on where participants are from.
3. Outline the IWRM Planning and
Regulatory Hierarchy (using a flip chart)
3.6 Session Plan 3.2: and provide all participants with the
Flip Chart 1: what is policy? legislation and regulatory handout of the Hierarchy. Explain that the
A preset framework based on guiding frameworks diagram illustrates the different levels of
principles within which an individual, management in the water sectors. Ensure
government or that hierarchical terms (e.g. for province,
district etc.) are adapted for each country by
Organisation operates in order to OBJECTIVES inviting participants contributions.
realise specified goals/objectives
At the end of this session the participants will be Break participants in geographical (sub-
Guidelines for governance of the able to: national or national) groups and ask
state and allocation of resources each group to MAP the planning and
n Map their own formal legislative and regulatory hierarchy in their country or
Framework for pursuing national regulatory planning and management
or state aspirations and sometimes geographical region for each of these
hierarchy for IWRM. regulatory instruments: water quality,
solving citizens problems
n List some of the difficulties of linking local water quantity, water services, land use
government management responsibilities planning controls
and accountabilities to higher and lower At each level and for one of each
planning and management levels. regulatory instruments (i.e. ONE of
n Assess the relevance of appropriate, water quality, water quantity, water
context-specific IWRM systems for the services, land use planning controls)
success and positive impact of IWRM describe:
policies o Which institutions are involved in
water management and regulation at
MATERIALS each level
n Flip charts o What is the process of management
and regulation at each level?
n Marker pens o What are the outcomes/outputs at
n Handout: The IWRM Planning Hierarchy each level?
o How do national (strategic) legislative
processes link with other levels
TIME of management and regulation
n 90 minutes (provincial, district, and community)?
o What are the problems of linking
district management and regulation
PREPARATION to other levels?
n Draw on a flip chart the IWRM Planning o What would your group do to
Hierarchy improve these links by considering
what kind of decision and tasks can
n Cleary write down the tasks involved for the be taken best at which level?
group work.
4. Ask participants to present and explain
their hierarchies and seek any clarifying
STEPS questions from participants.
5. Initiate a discussion around the following
1. Explain that during this session we will questions:
be looking at examples of the formal
planning and regulatory reality for IWRM. What institutions are involved in
Indicate that the informal is probably just water regulation and how are these
as important as well, but lot more difficult to institutions linked from the local level
assess. to the national level (such as financial
This session plan continues on the next page.
linkages, information linkages, resource HANDOUT STEPS

linkages, biophysical linkages)? As
there linkages effective and leading Draw the IWRM management and regulatory
to an integrated approach to water 1. Distribute the following list of lessons
hierarchy diagram for your country or learned as a handout (this comes from the
management?
geographical region (using local names). above section Financing and economic
Is national and provincial level policy tools of this chapter of the Manual):
important for the management and 3.7 Session Plan 3.3:
regulation of water resources? Our IWRM management - An active tariff policy (1), generating
and regulatory reality economic tools an adequate and inflation-proof cash
What areas do you think need to be flow (2), is the best foundation (3) for
improved? International
the sectors long-term financial health
OBJECTIVES (4), and will be needed as the basis for

n The purpose of this session is to ensure attracting loans (5) and equity (6).
COMMENTS National participants understand different types - Cost recovery (7) through taxation is
of economic and financing tools and difficult in poor countries with weak
Adapt the Hierarchy and the terms used, the effectiveness for water resources governments and a parlous fiscal
to the specific national and/or sub-national management. position (8).
context. Provincial/State
- In recent years international aid for
Take time to explain terms such as MATERIALS water has been declining, partly
institutions, organisations and regulation in response to bad experiences,
that might not be known to participants. District
n This chapter of the Manual a thin flow of good projects and
Pens, paper the poor governance (9) of this
o Institutions: Institutions are sets n
sector. In the current climate, with
of rules governing the actions of growing international interest and
individuals and organisations - and the Local commitments, the prospect for aid
negotiation of differences between TIME
is brighter, but much will depend on
them.
n 50 minutes reforms and capacity building
o Organisations: A social group with a efforts (10).
structure designed to achieve common 2. Working in pairs, define each of the 10
goals. Organisations are how we PREPARATION
items highlighted in bold.
structure ourselves to play, according
n Request all workshop participants read
to the rules of the game. Organisations this chapter before the session 3. Explain the importance of the 10 items
are thus groups of actors who come highlighted in bold as an economic and
together for a common purpose. They In your group answer the following questions. financing tool.
adapt their tactics and organisational Illustrate the answers on your planning hierarchy
diagram: 4. Get the group to choose a session leader
behaviour and culture according to by voting, and ask him/her to advise on
the rules of the game. Organisations Which institutions are involved in what a/he thinks is the top most effective
encompass political parties, management and regulation of water at economic/financing tools in the Lower
parliaments, firms and businesses, each level? Mekong Basin.
churches and schools.
What is the process of management and 5. Allow the group to debate the
o Regulation: A principle, rule, or law regulation at each level? effectiveness of his/her suggestions.
designed to control or govern water
use. What are the outcomes/outputs at each
level?
How do national (strategic) legislative
processes link with other levels of
management and regulation (provincial,
district, and community)?
What are the problems of linking district
management and regulation to other
levels?
What would your group do to improve
these links by considering what kind of
decision and tasks can be taken best at
which level?
STEPS
1. Working in country groups of 2-3 people,

list the main economic reforms of the
Tunisian case
3.8 Session Plan 3.4: 2. Using the approach from the Tunisian
case study, prepare an application of the
incentives case to the country where the participants
come from, using the matrix below.
OBJECTIVES
n The purpose of this session is to understand
the use of incentives on water resources COMMENTS
management and their role within an n Allow time for the group to debate the
integrated process of water reform. effectiveness of this approach.
MATERIALS
n This chapter of the Manual, especially the
case study: Tunisia ~ Reform of irrigation
policy and water conservation, which is
included above. NB: it is recommended the
whole case be downloaded and pre-read
prior to the session. Use the GWP website
reference (case #19, at www.gwptoolbox.
org )
n Pens, paper
TIME
n 50 minutes
PREPARATION
n Request all workshop participants read the
following case study before the session.
Chapter 4 - Planning and management, and three areas. Depending on the purpose for
Institutional Roles - Developing and regulating.

which the basin organisation has been created,
and the arrangements for management, it
The Comprehensive Assessment of Water may cover some or all of these functions.
Management in Agriculture (CA), together The critical issues from the integrated water
with the Global Water Partnership and the resources management perspective are that, in
Parts of this chapter are drawn from the GWP and leadership. These bodies vary depending on International Network of Basin Organisations has carrying out these tasks, the basin organisation
IWRM Toolbox. their reason for formation. drawn up a list of the main tasks in integrated should be flexible; work at all levels and works
water resources management in basins in these collaboratively.
IWRM governance is defined as the range of Transboundary organisations provide a
political, social, economic and administrative framework for managing water resources
systems that are in place (or need to be in place) across international boundaries, where there
to develop and manage water resources and the are issues about the management of common
delivery of water services, at different levels of (cross-jurisdiction) property resources. Such
society. organisations vary in type and function Planning and financing
according to the political context, the water
While governance may be seen in narrow resources challenges and the cultural features Allocating water Defining mechanisms
political and administrative terms as decision of the area. They are often based on voluntary and criteria by which water is apportioned
making by the government, good governance agreements between sovereign states, but may among user sectors, including the
actually requires transparency of the include international and intra-national water environment.
institutions that handle policies, regulations, authorities and commissions. Traditionally,
implementation and oversight, as well as international organisations have been set A Main functions of basin Planning Formulating medium- to long-
participation by citizen groups in all these up to address a given problem navigation, organisations term plans for developing and managing
functions. Poor governance leads to increased flooding; but their remit can be and often has water resources in the basin.
political and social risks, institutional failure been expanded to tackle wider water problems
and lowered capacities to deliver. Therefore, in the basin. While ministers in each country Monitoring, investigating, co-ordinating Mobilising resources Ensuring financing, for
good water governance requires clear legal often wish to retain ultimate responsibility for and regulating example, by collecting water user fees or
frameworks, comprehensive water policies, decisions, it can be helpful to establish some water taxes.
enforceable regulations, institutions that kind of consultative body to broaden the range Collecting data Collecting, managing and
work, smooth execution and citizen-based of stakeholder involvement. communicating data regarding water Developing and managing
mechanisms of accountability, as well as their availability, water demand (including
interconnections. The type of agreement underlying these environmental requirements), and water Constructing facilities Designing and
organisations varies greatly around the world, quality to support different basin functions. constructing water infrastructure.
The bottom line is how the institutions from ad hoc arrangements, memoranda of
(government departments, laws, administrative understanding, to formal international treaties Prevention, monitoring and enforcing Maintaining facilities Maintaining water
systems) which deal with policy, regulations, and agreements. It is clear that the effective Monitoring and control of water pollution, infrastructure.
implementation, execution and oversight, functioning of transboundary organisations salinity levels and ground water extraction
understand and deliver their roles, as well as the requires a secure funding base, the political will ensuring that they remain within accepted Operation and management Ensuring that
institutional capacities they need to be effective. of governments, and the commitment of the limits; and enforcing relevant laws and dams, navigation and water distribution
partners who create them. An IWRM approach regulations to prevent degradation/ infrastructure, and wastewater treatment
These institutions need administrative, legal requires that human resources and institutional overexploitation and to restore ecosystems. plants are properly operated; that allocated
and organizational tools such as governance capacity in transboundary structures are able to water reaches its point of use; and that
reforms, legislation, apex bodies, local address social issues, as well as environmental Co-ordinating Harmonising policies and surface and ground water are conjunctively
authorities, river basin organizations, water and economic development imperatives. actions undertaken in the basin by state and managed.
utilities, and a range of other institutional non-state actors relevant to land and water
arrangements down to communities that can To develop the essential confidence to enable management. Preparing against water disasters Protecting
deliver sustainable water management. transboundary water resource management and from floods and developing emergency
collaboration, parties need to build and accept Resolving conflicts Providing mechanisms works, flood/drought preparedness plans,
common data sets and knowledge about the for negotiation and litigation. and coping mechanisms.
water resource issues, and share visions about
4.1 Transboundary organisations the future of the resource. Protecting and conserving ecosystems
Defining priorities and implementing
IWRM at the basin level requires a Although basin organisations carry out many actions to protect ecosystems, including
transboundary organisation to act as the tasks, they tend to focus on three main areas: awareness campaigns.
advocate for the basin and provide direction - Monitoring, investigating and
co-ordinating and regulating, Source: Comprehensive Assessment of Water Management in Agriculture 2008
Lessons learned 4.2 National organisations Structural change within government

(sector agencies) agencies to facilitate better co-ordination
Once established, transboundary
organisations and water agreements are Creation of new departments or
remarkably robust contrary to popular At the national level in riparian states, an apex commissions and authorities for natural
belief, they often act as a moderating factor body in the water sector can drive integrated resources management, aligned to river
within a conflict situation. river basin planning. basins and/or ecological zones
Establishing the conditions for agreement The Mekong River Commission Apex bodies consist of a range of entities such The role of an apex body depends on the
can be time consuming and costly in terms as high level steering groups within national economic, social and encompassing political
of money and resources (e.g. brokers and The Mekong River Commission is an governments, inter-agency task forces (for issues, even more than on the technical IWRM
negotiators to build confidence). Donor example of a transboundary organisation. specific purposes e.g. water pollution control), issues.
support can be helpful here. It has had mixed but constantly evolving as well as international consortia for the
results. During the past 10 years, the management of water resources. The aim of Lessons learned
The use of a respected external party or parties to the 1995 Mekong Agreement such bodies is to provide structures for co-
organisation to act as honest broker is have entered into several sub-agreements, ordination between different organisations Successful experience to date in
useful (multilateral agencies such as the procedures and other technical guidelines as involved in water resource management. In establishing robust and respected apex
UNDP and World Bank have both fulfilled implementation has progressed: some cases water policy and management is bodies is limited.
these roles). Procedures for Data and Information centred in a specific body of government but in
Exchange and Sharing (2001); many situations responsibility for water is shared Establishment of a successful apex or
National water policy needs to support between a number of bodies (e.g. ministries coordinating body can be a slow process,
inter-agency co-ordination for the Technical Guidelines on Custodianship for irrigation, environment and public works) since it takes time for a new body to achieve
transboundary organisation and may need and Management of the Mekong River that may not be able to operate easily together. legitimacy.
to be modified to align with the other Commission Information System (2002); Here an apex body may provide a useful co-
parties to the agreement. ordinating function. The effectiveness of an apex body is linked
Procedures for Water Use Monitoring to the specific political and historical
Citizen, media and NGO pressure (intra-basin water use and inter-basin The functions of these bodies vary considerably. context
frequently galvanises action: e.g. diversions) (2003); As many governments endorse and seek to use
To reduce environmental problems from IWRM, the intended outcomes include: For an apex body to function effectively,
water overuse. Procedures for Notification, Prior all the stakeholders who are involved in
Once established, transboundary water Consultation and Agreement (2003); Improved co-ordination of government the functions under its jurisdiction need to
management needs to move beyond functions through integrated plans of action develop commitment to it and ensure it has
visions, and develop specific regulatory Procedures on the Maintenance of Flows appropriate powers. Conflict management
mechanisms, data and information sharing on the Mekong Mainstream (2006); and awareness raising techniques are
protocols and financing mechanisms to put important here.
transboundary water management firmly Procedures on the Maintenance of Water
on the ground. Experience shows that Quality (endorsed by the JC in 2006).
technical secretariats are essential in
this respect. Many of these agreements, however, are
ambiguous, difficult to implement and lack
clear enforcement mechanisms. For instance,
in June 2006, the Mekong River Commission
(MRC) ministerial council could only agree
to agree on procedures to maintain flows
on the Mekong. Clear and enforceable
implementation procedures are still needed
to maintain environmental flows.
Extracted from: Sadoff, C., Greiber, T., Smith, M. and

Bergkamp, G. (2008). Share Managing water across
boundaries. Gland, Switzerland
4.3 Division of responsibility and The co-ordination of the ongoing divisions and
accountability between levels the accountability of water and other agencies
in a national government are often undertaken
currently, Ministry of Natural Resources and
and sectors of Government by a peak (apex) body as described above. One
Environment has overall responsibility for example is the national coordinating council
water resources management including water This is one of the critical tasks to implement at the cabinet level of government which can
resources planning in river basins, water a co-ordinated approach. International oversee these activities (who is responsible
allocation for each economic sector, and (transboundary) river basin organisations can for what, have they achieved their objectives
water resource protection and natural hazards advise national governments but rarely, if at with respect to national water planning and
National Organisations in Viet Nam preventions. The Ministry also is responsible all, have any international legal jurisdiction, management within a whole of basin context.
to assist the Government to implement as this is a matter of internal administration of
The Ministry of Natural Resources and international treaties, agreements that Viet riparian countries. Protocols and international
Environment (MONRE) of Viet Nam has Nam is signatory regarding the water resources agreement encourage this type of co-ordination.
been established since 2002 as an integration development and management in trans-
of the Land Administration, Hydrological boundary river basins.
Meteorological Services, National Environmental
Protection Agency (of Ministry of Science, In the division of responsibilities between
Technology, and Environment), General MONRE and MARD, MONRE oversees MARD manager the Ministry of Water Resources and
Department of Geology and Minerals and to set up river basin planning. MONRE is Meteorology (MOWRAM) to monitor progress
Institute of Geology and Minerals (of Ministry a licensing authority for water use but and compliance, and foster the links to the basin
of Industry), and Division of Water Resources water supply and irrigation are under MARD. scale activities, through the close cooperation of
Management of Department of Water Additionally hydropower development is under the Cambodian National Mekong Committee.
Management and Hydraulic Works (Ministry of the jurisdiction of Ministry of Industry and
Agriculture and Rural Development - MARD), Commerce but MONRE controls authorization A modern Law on Water Resources has recently
and its functions, responsibilities, obligations through appraisal of EIA/SEA reports. been approved which establishes IWRM as
and organisational structure stipulated by a fundamental principle water planning and
the Decree No. 91/2002/ND CP dated 11 Establishment of an unique national apex body IWRM Governance in Cambodia management. It stipulates MOWRAM as the
November 2002, then strengthened by the for water resources management the Ministry water resources manager and clearly specifies
Decree No. 25/2008/ND CP dated 4 March of Natural Resources and Environment, and Description the processes for national and basin level water
2008 of the Government of Viet Nam. provision of clearer functions and responsibilities planning. It is now being made operational
of relevant ministries relating to water and Each country in the Lower Mekong Basin is through a number of implementing sub-
After the evolving institutional changes since related natural resources management, and progressing the modernisation of IWRM at the decrees. Implementation is being decentralized
early 2000, and many debates on sharing importantly, the reality of implementation of national level in a way that suits its particular to province and district levels, and provisions
functions and responsibilities in water resources coordinated water resources management, circumstances. There have been large changes in exist for the creation of river basin committees
management between MONRE and MARD, which have been taking place, will improve the all countries, particularly relating to developing in sub-basins that are under stress from
which attracted a lot of interests and concerns, water resources management in Viet Nam. clear statements of national water related policy development, or are likely to be in the near
and strategy, and developing an institutional future. For example, a Tonle Sap Authority
and regulatory framework to support these has been established to coordinate major
policies, that removes uncertainty as to which water development and planning in that
agency has the role of the water resources sub-basin. Basin forums can be established in
manager and gives it strong legal backing less threatened sub-basins and watersheds to
through modern water resources legislation. advise on water planning and management
These are foundation issues for good national issues. Irrigation scheme management is being
IWRM governance. transferred to the farmer level with legal backing
from the new Law, which separates the water
Cambodia has developed a number of regulatory role of MOWRAM from the water
statements of water policy and strategy over distribution and use role an essential step if
recent years with varying degrees and levels proper accountabilities are to be created.
of government endorsement. Work is now
proceeding to develop a clear implementation Lessons learned
plan, or roadmap, that will more clearly guide
the various sector agencies in water planning 1. These initiatives are quite new and successful
activities and allow the water resources implementation will depend to a large degree
on building human resource capacities, 2. A national water resources policy and

improving the range and extent of data and complementary strategies for implementation versus temperate river basins, for example). Successful river basin organisations are
information that is collected and processed, and are the guideposts for the planning and The policy and legislative framework will supported by:
developing new water resource technological management activities for all sectors related govern the purpose and effectiveness of An ability to establish trusted technical
and analytical systems and tools, such as to water resources management. Without a the RBO. competencies;
hydrologic and socio-economic modelling clear national water policy statement, agencies A focus on serious recurrent problems such
capabilities. This needs to occur at all levels of cannot properly relate sector plans and Lessons learned as flooding or drought or supply shortages,
government to ensure effective implementation development to national goals and objectives, and the provision of solutions acceptable to
of IWRM at national and basin scales, and proper nor can they clearly link to basin wide Experience shows that all RBOs evolve with time all stakeholders;
compliance by all water sector agencies. perspectives. and see their composition and duties adapted A broad stakeholder involvement, catering
from time to time reflecting the real needs of the for grassroots participation at a basin-wide
moment. level (e.g. through water forums);
An ability to generate some form of
sustaining revenue;
4.4 Data and information exchange natural resources management strategies and The capacity to collect fees, and attract
between levels and sectors of programmes of remediation of degraded lands grants and/or loans;
and waterways. They may also play a role in Clear jurisdictional boundaries and
Government consensus building, facilitation and conflict appropriate powers.
Development and coordination of information management.
resources is critical to achieve high levels of river
basin planning, as it informs decision-making at Recent innovation has focused on an integrated
different levels. This activity is discussed further river basin management approach (IRBM), a
in Chapter 7. subset of IWRM, and catchment management
rather than single sector approaches. (See also
basin management plans in this Manual) Provincial Department of Agriculture and
4.5 River basin organisations at Rural Development of Dak Lak Province,
the sub-basin level The form and role of a river basin organisation is permanent members who are also high ranking
closely linked to its historical and social context. The Sre Pok River Basin Council representatives from Provincial Departments
These exist in many countries where intra- Key characteristics of sustainable river basin of Agriculture and Rural Development, Natural
national (within a nation) river basins occur management are: This river basin organisation is among number Resources and Environment, Planning and
and there has been an effort to establish basin of mechanisms that have already been set Investment, Finance, Water Resources, Disaster
management planning and development. The Basin-wide planning to balance all user up in Viet Nam to promote the coordination Prevention of the 4 Provinces, representatives
following material is drawn largely from the needs for water resources and to provide among related organisations in utilization from Department of Water Resources of
GWP IWRM Toolbox. protection from water related hazards; and management of water resources at river MARD, Viet Nam National Mekong Committee,
basin level. The Sre Pok River Basin Council in and Project Management Board No. 5 of the
Characteristics Wide public and stakeholder participation Viet Nam was established in 2005 under the Electricity Corporation of Viet Nam, and some ad
in decision-making, local empowerment; Decision No. 41/2006/QD BNN dated 25 May - hoc members. The budgets for operation of the
National river basin organisations (RBOs) are 2006 of the Minister of Agriculture and Rural Sre Pok River Basin Council are shared between
specialised organisations set up by political Effective demand management; Development to coordinate activities among 4 the four provinces and from other mobilized
authorities, or in response to stakeholder Central Highland provinces of Viet Nam named sources.
demands. RBOs deal with the water resource Agreement on commitments within the Dak Lak, Dak Nong, Gia Lai, and Lam Dong for
management issues in a river basin, a lake basin, and mechanisms for monitoring exploitation, utilization, and protection of water The Sre Pok River Basin Council provides advices
basin, or across an important aquifer. The those agreements; resources of the Sre Pok River. The Sre Pok River relating to water resources of the Sre Pok River
focus here is the basin organisations that are Basin Council Office is located in the premise of such as: Strategies, policies on water use; river
domestic, not transcending state boundaries. Adequate human and financial resources. the Provincial Department of Agriculture and basin planning, water resources exploitation,
River basin organisations provide a mechanism Rural Development of Dak Lak Province. utilization, and protection; prevention and
for ensuring that land use and needs are Varying opinions exist about the most mitigation of flood and flooding consequences;
reflected in water management - and vice effective scale of application: the success The Sre Pok River Basin Council consists of one management, protection, exploitation, and
versa. Experience has varied dramatically in the of a river basin organisation may depend Chairman, who is also Chairman of the Peoples utilization of trans-boundary waters within
ability of these organisations to achieve IWRM. on such things as, the level of human and Committee of Dak Lak Province, 3 vice Chairmen 4 provinces, and the downstream waters in
Their functions vary from water allocation, institutional capacity of the civil society, from the Peoples Committees of Dak Nong, accordance with international treaties, and
resource management and planning, to the degree to which water resources are Gia Lai, and Lam Dong Provinces, respectively, recommendation of resolutions for differences
education of basin communities, to developing developed, and climatic variability (arid the standing member who is a leader of the and disputes if any.
>>> SEE SESSION PLAN 4.1: THE ROLES AND

FUNCTIONS OF BASIN AND SUB-BASIN 4.6 Session Plan 4.1:
OrganisationS the roles and functions of basin
>>> SEE SESSION PLAN 4.2: IDENTIFYING BEST and sub-basin organisations
PRACTICE IWRM AT THE RIVER BASIN LEVEL
OBJECTIVES TIME
n To understand the differences in roles and n 30 minutes
responsibilities of basin and sub-basin
organisations
Relevant material in other resources PREPARATION
Resource Section n Flip chart
The Global Water Partnership (GWP) and the International Network of Basin Chapter 4 MATERIALS
Organizations (INBO) for use of: A Handbook for Integrated Water Resources n This chapter of the Manual
Management in Basins. n Paper, pens
UNESCO IHP/WWAP/NARBO for use of: IWRM Guidelines at River Basin Level. Part 1, Section 4.3
Cap-Net, Integrated Water Resources Management for River Basin Organisations: Module 2 n The following table:
Training Manual, June 2008
Table showing relationships between types of basin organisations, scale and functions
STEPS management and a sub-basin organisation

in your country.
1. Divide into country groups with no more 4. Specify the differences between these
than 3 people per group functions and those of the Mekong River
Commission
2. Examine the above table; reflect on this
table with respect to the water resources 5. Prepare a short presentation describing
management functions of your country. the functional differences between Mekong
River Commission, national water resources
3. Prepare a list of specific functions for management agencies and sub-basin
the national agency in water resources organisations
Best practice IWRM at the river basin level
4.7 Session Plan 4.2:

identifying best practice
IWRM at the river basin
level
OBJECTIVES STEPS
n To understand six features of
best practice IWRM at the river 1. Divide into country groups with no more
basin level and be able to identify than 3 people per group
examples of same
2. Examine the table on the following page;
reflect on this table with respect to water
resources management activities at the
MATERIALS
lower Mekong basin level by the Mekong
n This chapter of the Manual River Commission.
n Paper, pens 3. Complete columns [b] and [c] on butchers
paper
n Print outs, one for each person, of
the following table (next page). 4. Report back to the class with the results of
your discussion
TIME
n 50 minutes
PREPARATION
n Flip chart - prepare charts for
groups of participants to complete
for columns B and C above
Chapter 5
Management Tools: Participation, going to have to sacrifice some desires for the Group A - Least influence, most importance
common good. Participation is about taking Includes those living in the project area. May
Stakeholder Engagement and Con- responsibility, recognizing the effect of sectoral
actions on other water users and aquatic
not include all members of the community, as
some may be powerful and influential people.
flict Management ecosystems and accepting the need for change
to improve the efficiency of water use and allow
May include local governments that have little
power to influence resource management
the sustainable development of the resource. decisions. This is the most critical group and will
Governments at all levels have the responsibility need careful attention during the participation
Parts of this chapter are drawn from the GWP occurs if democratically elected or otherwise for making participation possible. This involves process.
IWRM Toolbox. accountable agencies or spokespersons can rep- the creation of mechanisms for stakeholder
resent stakeholder groups (e.g. regional NGOs). consultation. However, governments also have Group B - Most influence, most importance
Management instruments are the elements The type of participation will depend upon the to help create participatory capacity, particularly May include the powerful ministry responsible
and methods that enable and help decision- spatial scale relevant to particular water man- amongst women and other marginalized social for the project, party members who have strong
makers to make rational and informed choices agement and investment decisions and upon groups. influence in a single party state, developers
between alternative actions. These include the nature of the political economy in which who are the main investors and so on. Good
a wide range of methods, both quantitative such decisions take place. working relationships between this group and
and qualitative, based on disciplines such as >>>
SEE SESSION PLAN 5.1: INTRODUCTION the MRC will be necessary but the participatory
hydrology, hydraulics, environmental sciences, Participation requires that stakeholders at all TO PARTICIPATION process should aim to balance their power with
system engineering, legal sciences, sociology levels of the social structure have an opportunity especially those in Group A.
and economics. to participate in decision making processes.
This can lead to impact on decisions at different 5.2 Stakeholder and organisational Group C - Most influence, least importance
This chapter deals with three management levels of water management. Consultative mapping This will include donors or agencies that have
tools: participation stakeholder engagement mechanisms will not allow real participation strong influence in planning and finance or
and conflict management. if they are merely employed to legitimize Building ownership of water management mobilisation of people. May include mass
decisions already made, to defuse political processes among stakeholders of a basin organisations. They should be fully informed
opposition or to delay the implementation is perhaps the primary challenge for any and able to share their ideas. They may
5.1 Introduction to participation of measures which could adversely impinge transboundary institution. A supranational represent considerable risk and will need careful
upon a powerful interest group. A participatory management institution can foster ownership monitoring and management.
Water is a subject in which everyone is a stake- approach is the only means for achieving long among riparian states. However, the
holder. Real participation only takes place when lasting consensus and common agreement. regionalization of water management is likely Group D - Least influence, least importance
stakeholders are part of the decision making However, for this to occur, stakeholders and to cause great concern among individual These are various groups who have low stakes
process. This can occur directly when local com- officials from water and related agencies have to stakeholder groups. Under such circumstances in the project. They may include groups with
munities come together to make water supply, recognize that the sustainability of the resource it is critically important to engage regional-level people who are marginally affected and
management and use choices. Participation also is a common problem and that all parties are civil society. are project beneficiaries or collaborators.
They require only limited involvement in the
The appropriate engagement of all stakeholders participatory process but should be kept
and accessibility of information, build a and civil society groups in particular, is essential informed and are given the opportunity to make
trustworthy foundation for a stronger and to build confidence, instil ownership and ensure queries about project details.
broader recognition and support by the public, the sustainability of transboundary water
and enhance its decision making through management processes. Assess type of participation
access to relevant information and experience The type of participation describes how the
from local, national and regional actors outside Figure 5.1 provides an overview of the process stakeholders are linked to the participatory
the domain of the MRC. Furthermore, the MRC of stakeholder identification and engagement process, depending on their respective influence
would build its reputation as a multi-stakeholder that can be applied at various levels of and importance. A different matrix using the
organisation that is led and managed by transboundary river basins, from the local four levels of public participation can be drawn
The Mekong River Commissions the four Lower Mekong Basin governments. to the regional level (while recognizing that up to differentiate the stakeholders according
rationale for Stakeholder Increased stakeholder engagement would there are overlaps and interdependencies at to intensity of participation. For example,
aim to contribute to conflict prevention and different levels). This is aimed at ensuring that Group A stakeholders should be linked in to all
engagement sustainability of water resources development all stakeholders within the transboundary river stages of the participatory process and have
and management in the Lower Mekong River basin are identified and engaged effectively in influence over decision-making. In addition,
The rationale for stakeholder engagement in Basin. In accompanying its decision-making transboundary river basin management. notwithstanding which group of stakeholders
the MRC is that through involvement of diverse process with broader stakeholder engagement, the National Mekong Committees fall into
stakeholders actively engaging in relevant and MRC would enhance the ownership and Explanation of stakeholder of groups according to the analysis, they should be
timely transboundary issues with the MRC, the regional coordination among a wider group of involved in the various participation activities
MRC would increase its overall transparency stakeholders and the MRC member countries. during the full project cycle.
Figure 5.1: Steps for stakeholder identification, stakeholder mapping of interests and assessment of the process
Stakeholder definitions associations. NGOs implement research, design
and development projects and carrying out
A stakeholder is an individual, group or advocacy to influence decision-making around
institution that has a defined and recognised water-related resources in the Lower Mekong
interest, or stake, in a decision making process River Basin. These groups come from a number
or project. Such interest may be economic, of sectors such as environment, water, nutrition,
cultural, recreational, religious, geographical community development, and humanitarian
or otherwise described. Stakeholder may be among others. Some locally based NGOs may
defined by whether they will be affected by a be representatives of directly affected people
decision or have some influence on its outcome and those operating on other levels may have
(as described above). interests in project/programmematic directions.
For example, World Wide Fund for Nature
The most important stakeholder in the Mekong (WWF) regularly works with the MRC at the
River Basin is its people and more specifically programmematic and governance levels.
those that are either directly or indirectly
affected, including those marginalised groups Academia, research and scientific institutions:
who are affected but have no voice or may These stakeholders conduct research on a range
be invisible, both positively or negatively by of environmental and social issues applicable
water resources development. This group to the sectors MRC is working to address. They
of stakeholders is considered key to the can provide a valuable resource of information
developments in the Mekong and the work of to the MRC particularly for the programmes
the MRC and more specifically to the process of but to also aid in higher level decision-making
the BDP2. based on scientific information. For example,
the International Water Management Institute
Stakeholders can be broadly categorised into (IWMI) and the World Fish Centre (WFC) are
the following groups: working directly with MRC programmes.
Directly affected people: These are both The private sector includes project developers
individuals and groups of people at the or investors both from the region and outside
local level who are affected by development the region who are either directly investing in
activities both positively and negatively. The a project or interested in investments which
affected groups in the Lower Mekong Basin would become feasible or profitable if a project
include workers, farmers and fisher folk who goes ahead. They are generally focused around
depend on river resources for their livelihoods the sectors of hydropower, irrigation and
as well as those that benefit from hydropower agricultural expansion, mining, and tourism
and irrigation development and navigation among others and include financiers.
improvement in the Lower Mekong Basin.
Minorities, poor people and women are also The Donors (Development partners) play a
included in these groups because they tend to significant role in consultations on the direction
be most vulnerable in that they have the least of the MRC and have interests in integrated
political power to inform and access planning sustainable development in the region. The
and decision-making processes. donors may be both programme or project
funders and play a role in the monitoring and
Indirectly affected people: People that live evaluating of the MRC.
nearby and/or use resources from project
areas. They may also include people who trade International organisations: United Nations
occasionally with directly affected peoples. (UN) agencies, ASEAN, IUCN, among others,
are major stakeholder groups that works
(Extracted from: Sadoff, C., Greiber, T., Smith, M. and Bergkamp, G. (2008). Share Managing water across boundaries. Gland, Switzerland) Non-governmental organisations (NGOs): with the MRC. UN agencies are often regional
Groups working at local, national and regional stakeholders who can influence or play a
levels. NGOs can be divided into several significant role in regional and/or national water
different types including: development- and related resources policies and programmes.
oriented, advocacy, research, and non-profit This may be through technical assistance to
line agencies, by accessing decision-makers or to stakeholders in line with the MRC Disclosure and financial resources, as well as participant following a fixed agenda. These are usually used
through other inputs. Policy. capacity. MRC should also place importance for the purposes of exchanging of information
on the complementary and coordinated or discussion or consultation. These types of
River Basin Organisations (RBOs). Where RBOs Accessibility: Accessibility will mean timely actions between the MRC Secretariat (e.g. the meetings are generally large in nature with 80
exist in a country (e.g. Thailand and Viet Nam), distribution of information that is presented programmes, BDP2 and governance level) and participants.
they can play an important role in sub-basin in non-technical, easily understood terms and the NMCs.
planning processes. translated into the four riparian languages of Consultations: A meeting or conference at
the member countries of the MRC. Information Accountability: Ensuring mutual accountability which advice is given or views are exchanged
Dialogue partners. China and Myanmar are should be easily accessible through the MRC between the MRC and its stakeholders is about a certain issue. For example this may refer
dialogue partners with the MRC and provide website and listserves as well as through essential. This stakeholder principle emphasises to a consultation on a programme document,
important data for scientific studies as well as to regional networks to ensure timely distribution the need for not only the MRC to uphold to strategy or policy. Consultation are organised
enhance decision-making. of information. To ensure an accountable the stakeholder principles and mechanisms in a manner in which participants are enabled
process, MRC will follow its Disclosure Policy for stakeholder engagement but also for to provide input in a variety of mechanisms
setting out the administrative rules and stakeholders to ensure and enable constructive either verbally, in a written form (such as using
regulations on access to data, information and engagement within the MRC that contributes coloured cards), in small group discussions or
>>>
SEE SESSION PLAN 5.2: STAKEHOLDER knowledge held by the MRCS and the materials to the overall objectives of the 1995 Mekong through written input (e.g. posting of a policy
IDENTIFICATION AND ANALYSIS available. MRC documents that meet the criteria Agreement. Therefore it should be clear on the internet to receive feedback). Examples:
>>> for disclosure will be made available to the that all stakeholders understand the abilities BDP2 Stakeholder Consultation and Hydropower
SEE SESSION PLAN 5.3: INSTITUTIONAL AND
ORGANISATIONAL MAPPING AND ANALYSIS public through a number of sources, including and limitations of the MRC and its mandate Consultation.
the corporate website. Ideally, MRC focal points through the 1995 Mekong Agreement and
at the MRCS and NMCSs will be responsible to look for ways to strengthen MRC activities and Dialogues: The term Dialogues is often
Identifying stakeholder principles communicate to stakeholders. actions. Accountability of all actors should synonymous with the multi-stakeholder
be mainstreamed throughout engagement platform conception.4 Dialogues can be large or
Identifying stakeholder principles is an Practicality and effectiveness: The MRC activities. small in nature with the goal towards sharing
important component of ensuring participation recognises that other regional and national of information in a respectful, trustful and safe
within IWRM. Stakeholder principles should networks exist and processes are already Timeliness: Stakeholder participation should space. Dialogues can also be used to negotiate
be flexible and actual modalities will differ established in the Lower Mekong River be integrated as early as possible in the an outcome but do not have to in all cases. (See
depending on the level of engagement among Basin. Efforts will be made to build on these formulation of MRC programmes, projects and broader definition under MSPs).
stakeholders. The principles should respond networks in order to ensure outreach and other activities as well as at the highest level of
to different conditions depending on the engagement with a wide range of stakeholder decision-making in the MRC Council and Joint Forums: A public meeting or assembly for open
nature of issues and decisions being discussed; groups. This would translate into greater Committee. Participatory approaches should discussion. Generally these are large in nature
participants knowledge and experience; regional cooperation and further reach among be employed throughout all stages of MRC 80+ people on a specific topic. For example,
and existing support and procedures for stakeholders. activities. the Climate Change Forum held by the Mekong
participation. River Commission enabled a large group of
Relevance: The role of MRC needs to be people to share their work and ideas about
Key principles related to the Mekong River clearly articulated to stakeholders so that they 5.3 Consultation and participation climate change in the Mekong Region in open
Commission include: fully understand the working parameters of in decision-making discussions. Similarly the Annual Flood Forum
the Commission. Furthermore, stakeholder provides the same opportunities.
Representation: Representation should engagement in real issues facing the Mekong
include processes that promote social equity, River Basin is essential to effective processes and Typology of meetings Roundtables: Smaller platforms or dialogues
ensure gender balance and enable the there should be mutual benefit for both the MRC with 20-30 people on specific topics of
interests and needs of affected peoples to be and stakeholders. MRC should ensure that issues Identifying the correct type of meeting is discussion. These may be used to convene
taken into consideration. A major forum for are presented in a timely manner and relevant to essential when thinking through what kind of stakeholders to actively input into a specific
representation of directly or indirectly affected the stakeholders of the Basin. participant one wants to engage. There are a issue, seek a solution, prioritise a work plan, etc.
peoples is through the BDP2 Sub-area forums. variety of intentions, structures and modalities
Opportunities should be provided for the Realistic and efficient: Resources are for meetings. Below are a list of the types Seminars: A structured meeting with an
interest and needs of the poor to be taken into frequently limited for carrying out stakeholder of meetings conducted in the Mekong and educational purpose. Seminars are usually led by
consideration. engagement activities in governance, their intended purpose. Use this information people with expertise in the subject matter.
programmes, projects and activities of the as a guide when deciding your purpose for a
Transparency: In order for stakeholders to MRC. Stakeholder involvement should be meeting. Workshops: An educational seminar or series
effectively engage in MRC activities all relevant designed and implemented in a manner to of meetings emphasising interaction and
LMB water-related information produced by the use resources effectively and efficiently, taking Conference: A highly structured, moderated exchange of information among a usually small
MRC should be fully and clearly communicated into consideration available information, time meeting where various participants contribute number of participants. Examples include
4. Dore J (2007) Mekong Region Water-Related MSPs-Unfulfilled Potential in Warner J (ed.) Multi-Stakeholder Platforms for Integrated Water
Management, Ashgate.
writing workshops, work planning workshops, invited and assisted to interact in a deliberative
etc. Example: Regional Meeting on Discharge forum that focuses on: sharing knowledge Key characteristics of MSPs:
and Sediment Monitoring. and perspectives, generating and examining
options, informing and shaping negotiations
Multi-stakeholder platforms (MSPs): MSPs and decisions5 but do not always result in a
are an approach for constructive engagement negotiated outcome. An MSP may involve Multi-Stakeholder Platforms (MSPs) or Dialogues
and learning about complex problems where regular meeting between core participants; Actors with either a right, risk or general interest are identified
facts and values may be in dispute. MSPs are conferences/discussions open to the wider Usually through representatives, invited and assisted to interact
a part of governance where stakeholders are public, locally hosted field visits, electronic in a deliberative forum
identified, and usually through representatives, exchanges, and government briefings. Aiming for all participants to learn and understand alternative perspectives
Possibly negotiate workable strategies and agreements
Desirable Context Desirable Process Desirable Outcomes
Well intentioned Inclusive Options assessed

Clear purpose and Facilitated Rights, risks,
scope Ethical responsibilities
Sufficient political Visionary and focused established
For multi-stakeholder processes to be effective: support Holistic Increased understanding
Make sure to get food on the table (quick Sufficient time Informed Workable agreements
results that most stakeholders value), Sufficient resources Deliberative Discursive legitimacy
Do it well or dont do it at all otherwise participants or other people will Appropriate levels Communicative
drop out. Multi-stakeholder platforms are and scales Constructive influence
Multi-stakeholder platforms usually lack slow to grow and quick to die.
a mandate, and resources for concrete Pay attention to the small things such
collaborative action are constrained by local as accessibility (providing transport), Source: J. Dore, Mekong Region MSPs: Unfulfilled potential or sideshow? in J. Warner (ed.), Multi-stakeholder Platforms:
Democratising Water Management, 2007, London, Ashgate
power differences. In addition they take a translation service, and training. One cannot
very long time to develop ownership. Multi- ensure a level playing field but it helps to
stakeholder processes do not necessarily solve provide practical support. However, several
problems, but they do help disputing parties to actors will find it more advantageous not to
understand at least partly other stakeholders participate or to mix in. Multi-stakeholder
views and interests. Those involved have platforms do not cut out politics; they are an
stressed repeatedly the crucial importance of integral part of it!
the process itself in low-trust societies such as Do it well or dont do it at all dont raise
post-violence, post-dictatorship, post unrealistic expectations, or people will
apartheid societies. feel cheated and will not co-operate next
time. P. Bindraban, M. Silvius and others,
People may not necessarily come to the table to 2005, Switching Channels: Challenging
learn or to bargain, but they find it very valuable the Mainstream, The Netherlands Water for
to hear about what is going on. However, Food and Ecosystems Programme; www.
providing only political space to different waterfoodecosystems.nl
stakeholders is usually not enough. Training,
empowerment and working towards quick wins (Extracted from: IUCN, TEI, IWMI, and M-POWER, 2007.
are necessary to keep people motivated. Third Exploring Water Futures Together: Mekong Region
parties such as local and external knowledge Waters Dialogue. Report from regional Dialogue, Vientiane,
brokers can play an important role in this effort. Lao PDR. 75pp.)
5. Dore J (2009 forthcoming) Multi-Stakeholder Platforms in Smith M, Dore J and Robinson J (eds.) NEGOTIATE: Overcoming Power
Differences in Water Management Negotiations.
Some 160 participants involved in water involved at the local, regional and international
resources development in the countries of level dam practitioners, economists,
the Mekong Region attended the Dialogue. sociologists, ecologists, political scientists and
The participants comprised of senior and the media. The process received enormous
middle-management representatives of the publicity and international recognition. In its
MRC, ADB and the World Bank, government own words it provided a unique arena for
representatives from water and related line understanding complex choices facing societies
agencies, private sector representatives, in meeting their water and energy needs.
Exploring Water Futures Together policy consultants and advisors, members of The World Commission on Dams
the academe as well as activists from non- The WCD commissioners produced a
Characteristics governmental organisations and local groups. Dont plan, build, protest, operate, decommission, consensus report, an informed and negotiated
propose, oppose or discuss a dam without it! By contribution, which was launched in a
In July 2006, the International Union for the The participants were motivated to attend the 2000, the world had built 45,000 large dams to blaze of publicity in 2000, evoking a range
Conservation of Nature (IUCN), the Thailand Dialogue as they felt that they have a stake in irrigate a third of all crops, generate a fifth of all of responses.6 The WCD decision-making
Environment Institute (TEI), the International the way in which transboundary water in the power, control floods in wet times and store water framework has since been evaluated for use as
Water Management Institute (IWMI) and the Mekong is managed. Current structures do in dry times. Yet, in the last century, large dams both an implementation and advocacy tool. It is
Mekong Programme on Water Environment not allow for all stakeholders to be a part of a also disrupted the ecology of over half the worlds complex. The framework includes 3 grounding
and Resilience (M-POWER) water governance process to determine the ways in which the rivers, displaced over 40 million people from their global norms, 5 core values, 5 key decision
network convened the Mekong Region Waters water and its associated benefits are managed. homes and left nations burdened with debt - points, 7 strategic priorities, 33 associated policy
Dialogue: Exploring Water Futures Together. Earthscan advertising material promoting the principles, and 26 guidelines.7 The task of trying
Lessons learned WCD report. to figure out how to combine these pieces
As a multi-stakeholder platform, the Dialogue of advice remains a challenge for post-WCD
was a process through which various individuals - Dialogues need to occur on multiple scales The World Commission on Dams (WCD) was activity.
and groups in the Mekong Region who are regional, national, provincial and local. The a high-profile MSP which emerged from
affected by issues related to water were able Mekong Region Waters Dialogue was the increasing public criticism of large dams. It Following the release of the WCD report there
to enter into discussions aimed at fostering first stage in a series of multi-stakeholder aimed to undertake a rigorous, independent were numerous follow-up activities, including
collective learning and forging well-informed, processes initiated by the conveners at review of the development effectiveness of MSPs, undertaken around the world. The Dams
participatory decision-making on water the region level. However, the organisers large dams, to assess alternatives and propose and Development Dialogue in Nepal8 is just one
governance issues in the region. recognise that only a limited number of practical guidelines for future decision-making. example where diverse stakeholders assembled
people can participate and thus needed The WCD attempted to conduct an ideal and persisted over several years to explore
The objectives of the Dialogue were: to include national dialogues in local deliberative multi-stakeholder learning process. sensitive large dams issues in the Nepal context.
To provide opportunity for state, civil languages in the Mekong countries. Government participated, but with the same
society and business actors in the Mekong standing as civil society. There were many actors Source: NEGOTIATE
Region to participate in water development - Dialogues are not one-time events. They
dialogues to inform and be informed; need to be initiated over long periods of
Case study record of a public participation tool - MRC Fisheries Programme
time, at least three years, to be effective.
To assess national water resources

Momentum needs to be built for
Type of problem to solve Enhancing public awareness
development strategies, and the relevant engagement and trust among stakeholders
Description of the situation Developing a mechanism for stakeholder engagement around critical fisheries issues. The
regional strategies of the Mekong River is very important. Fisheries Programme (FP) at the MRC established the Technical Advisory Body (TAB) that
Commission (MRC), Asian Development acts primarily as a steering committee but also provides technical input into the core work
Bank (ADB) and the World Bank; and - Ensuring relevant information pertaining of the programme.
to the dialogue topics needs to be Problems encountered In response to concerns in the Basin about widespread hydropower development along
To enable the articulation of different provided and ideally placed in the public the mainstream of the Mekong and potential fisheries impacts, the FP needed to find a
perspectives about water-related domain ahead of time so that participants mechanism to provide sound scientific information and global learning to understand the
development in the Mekong Region for have enough time to digest information real impacts in the Mekong.
consideration in decision-making. for effective engagement. Use of local Measures taken to FP established an Expert Working Group comprising internationally renowned experts on
language (e.g. in translation of document overcome the problem dams and fisheries from around the world to provide advice on the current status of
and simultaneous translation of sessions), scientific knowledge on specific technical issues. The Expert Working Group presented
their findings at a multi-stakeholder Hydropower Forum in September 2008. This
is essential.
information was provided to the MRC governments to aid in their decision making around
moving forward with Mekong mainstream dams.

6. There was a huge knowledge base assembled and debated by the WCD platform which informed the final report of the Commissioners
(WCD, 2000). All reports including, details of the process, can be found online at www.dams.org. Critiques abound, but any reviewer
of this process should include (Dubash et al., 2001).
7. (Dore et al., 2004).
8. (Dixit et al., 2004).
Example 1 shows a multi-stakeholder platform in the Mekong Region organised by civil society organisations Example 3 shows a Public Forum on the MRC website. A specific comment period was set-up
to obtain information.
Example 4 shows a web call for input via the Mekong organised by Thai NGOs
Examples of participatory events in the Mekong Basin. In example 1, 2 and 3 the same information was shared and
discussed but in very different formats. The first case was a multi-stakeholder platform open to all interested actor
covering the Mekong Region. Emphasis was placed on dialoguing with each other. The second example focused
Example 2 shows a consultation on hydropower organised by the Mekong River Commission specifically on hydropower and was designated a consultation by the MRC to obtain information and feedback on
their new Hydropower Programme. The third example was a Public Forum on the Mekong organised by Thai NGOs
to discuss Mekong mainstream dams. The event included a number of affected people and diversity of civil society
groups. Other actors such as government, MRC and donors were invited to present.
>>>
SEE SESSION PLAN 5.3: INSTITUTIONAL AND
ORGANISATIONAL MAPPING AND ANALYSIS
Relevant material in other resources

5.4 Conflict resolution conflict management, decision support/
in water resources modelling tools and tools for consensus
building.
management
A conflict management strategy will
This material is drawn directly from involve a combination of these types
GWPs Toolbox on IWRM: of tools. In most water resources cases
www.gwptoolbox.org the tools encourage parties to move
beyond positional bargaining and the
Procedures for consensus building and claim/counter claim process. They try
conflict management are central to to help parties identify which interests
successful IWRM. Conflicts can occur lie behind each sides position, and to
for many reasons. Areas for potential jointly construct win-win solutions based
conflict include: interdependence on meeting those interests. It must be
of people and responsibilities; stressed, however, that not all situations
jurisdictional ambiguities; functional can be resolved with win-win outcomes
overlap; competition for scarce - at least not in the short term. Trade-off
resource; differences in organisational and compromise is often the necessary
status and influence; incompatible outcome. Conflict management involves
objectives and methods; differences both social change and social learning. It
in behavioural style; differences has many benefits, including its voluntary
in information; distortions in nature. It can develop quick procedures
communications; unmet expectations; and solutions to dispute settlement, more
unmet needs or interests; unequal control over solutions by those closest to
power or authority; misperceptions, the issues, greater flexibility for crafting
and others. solutions than is offered in formal legal
mechanisms and time and cost savings.
Conflicts are inevitable in IWRM
but need not end in polarisation or These tools are applicable in almost all
impasse. Conflicts can also be positive. aspects of IWRM. They are especially useful
in early stages of IWRM planning and
For example, conflicts may help in: design. They are least useful in situations
n Identifying real problems needing where major legal precedent is being set.
solutions;
n Bringing about needed change; It is most important to stress that the
n Permitting adjustments to be ultimate mechanism for conflict resolution
made without threatening the is the law and legal procedures. This
basis of a relationship; section focuses on voluntary mechanisms
n Helping to build new for conflict management, but in many
relationships; cases beneficiaries of these techniques
n Changing the way we look would not participate without the
at issues, clarifying purposes knowledge that there is ultimate recourse
and identifying what is most to compulsory adjudication.
important.
n Identifying what is most Use the following three session plans
important. to experience some conflict resolution
procedures.
Conflict management refers to a
broad array of tools used to anticipate,
prevent, and react to conflicts. >>> SEE SESSION PLAN 5.4: MAIN CONFLICT INGREDIENTS
Which tool to select depends on the
root causes of the conflict, as well >>> SEE SESSION PLAN 5.5: CONFLICT MANAGEMENT WARM UP
as its type and location. Conflict >>> SEE SESSION PLAN 5.6: DEVELOPING NEGOTIATION SKILLS
management tools can be classified
into three types: interventions for
STEPS
1. Explain the purpose of the activity. Ask

participants what they understand by the
term participation in the context of IWRM.
Write the definitions on coloured cards and
talk through each one. There will be multiple Examples of what is participation
definitions of participation identified. Clarify according to the GWP toolbox:
any confusion.
Participation takes place when
5.5 Session Plan 5.1: 2. Remind participants of the discussion on what stakeholders are part of the decision-
introduction to participation a stakeholder is in the context of IWRM. making process
3. Present multiple definitions of participation. Participation requires that
See Session Support Material 1. stakeholders at all levels of the social
OBJECTIVES
structure have an opportunity to
4. Using a PowerPoint presentation, present
At the end of this session the participants will participate in the decision-making
examples of participation at different levels
be able to: process
in the Mekong Basin or in your country. See
n Understand the concept of participation. Handout 1 as an example. A participatory approach is the only
means for achieving long lasting
n Introduce the different levels of 5. Break the group into pairs. Explain that the
consensus and common agreement
participation. group will receive a piece of paper (Handout 2)
describing a level of participation (generally). It is about taking responsibility,
MATERIALS The participants will need to carryout the engaging and informing.
following tasks:
n Flip charts
Without sharing your paper with anyone
n Marker pens else find all the other participants with
the same level of participation (this can Types of Participation:
n Masking tape
be done by simply asking another person
n Coloured cards if they have manipulative participation or
n Handout 1: Examples of participatory passive participation or.).
activities in the Mekong Basin When the participant finds their partners,
n Handout 2: Types of Participation they need to read the definition and
discuss the meaning of this level of
participation. The trainer should circulate
TIME among all the groups to ensure that they
understand the terms used.
n 90 minutes
Each group will need to think through an
example from their type of participation
PREPARATION listed on their paper. It can be an example
that one of the group members has been
Cut out the participation levels (Handout a part of or it could be a hypothetical case.
2) from the handout and ensure there are
enough equal amounts for your group The groups will then need to get into a
line from lowest level to highest level
Prepare presentation of examples of of participation. This needs to be done
participation at different levels in the by sharing your level of participation
Mekong Basin or in your country (refer to and talking through with others to
Handout 1 as an example). determine where you fit on the ladder
Prepare two coloured cards: one with of participation - whether you are
highest level and one with lowest highly engaged or present a low level of
level. Place them across from each other participation.
on the floor using tape. Ensure enough When all groups are standing on the
space between the two to accommodate ladder, each group will to present (from
all the participants in the class who will highest to lowest) why they think they are
be standing on an imaginative ladder. in the position on the ladder, discuss with
the rest of the group if it is the correct
position and present their case example
2-3 minutes each. The case presented can
help determine whether the group is in
the right spot on the ladder.
4. Divide the participants into groups, own relative power to influence that decision.
3. Explain that participants, working in distribute flip charts, circles and triangles The men of village A, who traditionally fish on
small groups, will undertake the following and glue sticks to each, and ask them to the river, were seen as being the group that
activity begin the activity. was most affected by the proposed decision,
a. Each group should first select an issue 5. At the end of one hour, ask each group to yet they had the smallest input into decision-
they want to work on. present and explain its results briefly. making processes. Both the women and other
b. They should then discuss and list all the members of the village A felt disadvantaged
5.6 Session Plan 5.2: 6. Initiate a discussion around: because they predicted a reduction in overall
stakeholder groups for that issue.
stakeholder identification c. Next, the group members should use
a. What does this tell us about family income from fisheries and job losses such
stakeholders and power and influence as river patrol. Overall the women were seen as
and analysis one of the coloured circles provided to in IWRM? less powerful because they did not participate
represent each stakeholder group (by
labelling the circle). They should choose b. Where there any disagreements about in some of the consultation meetings held by
OBJECTIVES a circle size to represent the relative who were and who were not legitimate the water resources agency. They had significant
n To introduce a visual approach to interest or stake of the stakeholder stakeholders? How might identification fears about the affect on the villages overall
the identification and assessment of group. To determine this stake, it is of stakeholders change depending on family income. The conservation NGO, which
dependency and power of different useful to consider how affected the the group involved in the analysis? was providing technical advice on management
stakeholders in IWRM. stakeholder group is by the issue or its c. How did the groups determine primary of the fish conservation zone to the local village
outcome. For example, a large circle stakeholders? What criteria were used? as well as to the local government fisheries
indicates that the stakeholder group is department on which the government relied
MATERIALS greatly affected by the issue and will be for financial support. However the decision for
significantly affected by the outcome. the hydropower project was not made at the
n Flip charts A small circle, on the other hand, Stakeholder diagram and example local level but at the provincial in collaboration
Marker pens indicates that the stakeholder group is
n
not affected as much. with the central government. The provincial
n Coloured poster paper A proposal is being put forward for a large departments were seen as the most influential in
d. Glue the circles to a piece of paper hydropower project located in a village (village determining the decision. The conservation NGO
n Glue Sticks with the issue stated in the centre. Use A). Members of a conservation NGO are was on the side of the local government and
distance from the centre and from each operating a fish conservation zone project in village A but could not take a position on the
TIME other to depict the relative closeness village A. The new hydropower project would hydropower project out of fear of repercussions
(not geographic) of the stakeholder to
n 90 minutes one another and the issue. provide a barrier for fish to reach village As fish to their project.
conservation zone and impact of the subsistence
e. Once they are satisfied with their livelihood. The government is supportive of The size of a stakeholders circle and its
PREPARATION stakeholder interest circles, the group the project which will generate much needed proximity to the issue indicate the extent to
members should discuss the relative electricity for the province and income. The which that stakeholder group is considered to
n Cut several circles of at least six different power that each of these stakeholder
sizes out of the coloured poster paper. following diagram illustrates how the members be affected by the outcome of the conflict. The
groups has to influence the outcomes
Circles of the same colour should be the of the issue. of village A viewed the stakeholders to this size of a stakeholders triangle indicates the
same size. Cut out triangles of different sizes water resources conflict. It presents how they relative power that the stakeholder group has on
(again, triangles of the same colour should f. Choose a triangle that represents the defined the different stakeholders, their views the final management decision. The proximity
be the same size). Prepare enough of both relative influence of each stakeholder on how affected those stakeholders were by the of stakeholders to one another indicates the
so that each group can have several circles group (the bigger the triangle, the more outcome of the government decision, and their relationships and alliances among the groups.
and triangles of different sizes and colours. power the group has to influence the
outcomes of an issue). Glue this on top
n Prepare a flip chart from the Stakeholder of the appropriate circle (overlapping).
diagram example.
g. Once they are satisfied with their
diagram, group members should
STEPS discuss, and then mark with a (*), those
stakeholders that they feel are the
primary stakeholders who should be
1. Explain the purpose of the activity. Ask involved in managing the conflict.
participants what they understand by the h. At the end of the activity, each group
term stakeholder in the context of IWRM. should have a piece of flip chart paper
Clarify any confusion. depicting the issue, with circles and
2. Post and explain the Stakeholder diagram triangles representing the stakeholder
example on the flip chart. Briefly describe groups and their relative interest
the IWRM example and how the diagram and influence. Each group should be
depicts the different stakeholders, their prepared to present and explain its
interests and their relative power. results to the other groups.
3. Explain that there are, broadly speaking,

three types of roles played by institutions in
IWRM:
Enabling Institutions facilitating
relationships, formulating policies,
5.7 Session Plan 5.3: building capacity
institutional and organisational Delivery Institutions providing
mapping and analysis extension services, technical support,
inputs as needed
User Institutions direct beneficiaries
OBJECTIVE of the programme
n To build understanding on the role of
institutional assessment and to practice Point out that each of these institutions can exist
using a tool for institutional analysis in within the government, private sector and civil
IWRM. society.
Also point out that an institution can have
multiple roles depending on the stage of
MATERIALS the IWRM process, the size/mandate of the
n Flip charts institution, etc. Spend some time discussing and
clarifying these roles with the group.
n Coloured markers
4. Explain that we will be using a two-stage
n glue sticks process for organisational mapping
identifying the relevant institutions and
their inter-relationships and, understanding
PREPARATION their roles in IWRM, using the following
n Coloured poster paper cut into circles of small group process:
different sizes one mixed set per group Each group will be given a set of
(about 25 circles of different sizes and coloured circles and a glue stick.
colours each).
At the centre of a flip chart, they should
n A resource person to provide an overview note the IWRM programme or process
on institutions and organisations in IWRM. that they want to map out.
The coloured circles should be used to
TIME denote institutions or organisations
that are relevant to the IWRM process/
n 2 hours programme a larger circle depicting
greater relevance.
STEPS Once they have assigned different
circles to different institutions, they
should label these and stick these
1. Explain the objective of the session around the central issue on the flip
and provide a brief background on the chart.
importance of understanding institutional
roles and frameworks when planning They should use connecting arrows
IWRM. Point out that existing institutions of varying thickness to show the
play important roles in IWRM and an relationship and the intensity of
organisational mapping and analysis. relationship between the different
institutions.
2. Post the prepared definitions of
Institutions and Organisations (see Once they have completed this,
Session Support Materials 1) and briefly they should assess each of the key
discuss this difference explaining that there institutions in terms of their potential
is often confusion over these terms. Make role in IWRM, filling out the details of
sure that the importance of both formal each role in the corresponding box as
and informal institutions as well as the shown in the matrix on the next page.
issue of institutions operating at different
levels (community to national/regional/
international) is discussed. If necessary use
a resource person to provide this overview.
In your group identify an example

of a water conflicts that you have
experienced or have an understanding
of. Discuss this example and record
your main findings on flip chart based
around the following questions:
5.8 Session Plan 5.4: a) What are the factual, procedural and
main conflict ingredients relationship issues?
b) How did the conflict start, and how did
it spread to include other issues?
5. Divide the participants into groups, OBJECTIVES
distribute the set of coloured circles to c) How did the issues influence each
At the end of this session the participants other?
each group and give them 45 minutes to will be able to:
complete the task. 4. Give the groups 30 minutes to complete
n Recognize the different issues in a the task.
conflict;
6. Once all groups have finished, ask them to 5. After 30 minutes, reconvene the
n Recognize that all issues must be participants. Ask one person from each
post their results (both the institutional addressed for effective conflict
map and the table) and discuss them along Organisations are distinctive bodies set up small group to present and explain its
to achieve a particular purpose management. findings to the other groups.
with the following guiding questions:
What are the differences and similarities Institutions are sets of structured MATERIALS 6. Conclude the session by asking the
in the institutions identified by the participants to identify commonalities
behaviours and relationships guided by Flip charts
different groups? n and recurring patterns from looking at all
certain norms of conduct (or rules) and put the conflicts presented. What conclusions
Would this change if different into practice by organisations n Marker Pens
can be drawn from this comparison?
stakeholders were asked to do the same n Handout Emphasize the following key learning
exercise? In what way? Institutions encompass organisations but points.
To what extent did the groups identify also the enabling environment of policy, law
existing institutions which could play and customs within which they operate PREPARATION
a role in IWRM? What does this mean n Draw on a flip chart the Conflict Issue
in terms of setting up new institutions Triangle (See Session Support Material COMMENTS
focused on implementing IWRM/using 1)
an IWRM approach?
n Provide clear instructions to Conflicts cannot be handled effectively if
Are there similarities between the roles participants on the group exercise. the different issues are not understood.
assigned to similar institutions by the Most conflicts consist of all three types of
groups or are these different? If they are issue substance, relationship and process
different, what does this imply? TIME because the issues are interdependent
n 60 minutes and often influence or reinforce each other.
A conflict about factual issues can lead
to strained or spoiled relationships, for
Trainers notes: STEPS example, when critical feedback regarding a
decision is seen as a personal attack.
It is important that participants 1. Briefly explain the theory of conflict Many substantive issues are difficult to
understand the number and diversity of issues using the Conflict Issue solve, not because a fair compromise is
existing institutions in most situations Triangle. Explain that most conflicts difficult to find, but because relations
and question how each can collaborate involve several issues. Usually, more among the conflict parties are strained
together on IWRM (which cross-sects than problem has to arise before a trust has broken down, feelings are hurt,
many institutions). dispute breaks out. It is important to etc. or there are no acceptable decision-
differentiate these issues for an effective making processes in place.
Try to bring in the role of the private conflict management process.
sector if relevant this need not always Just as conflicts involve all three types of
be a negative role as is often perceived. 2. Form groups of four to five people issue, solutions need to address all three.
from a similar geographical location (or The inability to find a substantive solution
where the participants have a shared that is perceived as fair by all parties
understanding of a particular water may imply that certain psychological
conflict) and explain the task of the or procedural needs have not yet been
group work. satisfied.
The techniques and procedures for handling

factual issues, such as divergent interests, 2. Give each participant an instruction 1, 2
are different from those required for or 3:
handling relationship issues, such as hurt
feelings and mistrust. a) Arrange all the chairs in a circle.
b) Put all the chairs near the point
5.9 Session Plan 5.5: marked X.
conflict management warm up c) Put all the chairs near the point
marked Y.
OBJECTIVES Distribute equal numbers of each instruction
At the end of this session the participants will be randomly among the group. Tell participants
able to: that they should not read the instructions
until they have been told to do so.
n Demonstrate actively how conflict can be
managed through cooperation. 3. Explain to the participants that they
The Conflict Issue Triangle will have five minutes to carry out the
n Use as a warm-up introducing conflict. instructions given to them. Tell them
that they should not show their slips to
anyone else. (Note: Do not say anything
SUBSTANCE ISSUES MATERIALS: about not talking to anyone else.)
Conflicts are about: n About 20 chairs. 4. Once the above instructions are clear to
differences in use, distribution or everyone, ask them to open their slips
accessibility of resources; and carry out the tasks described in them.
divergent interests or needs; PREPARATION Carefully watch the process in the different
non-conforming data, standards or n Each participant must be given one groups, as well as in the overall group,
rules. instruction (see Step 2 below) only. noting especially whether and how they
Therefore write or print only one instruction start to cooperate and come to a solution. If
Solutions: Tangible, measurable on one individual pieces of paper. they do not come to agreement and reach
outcomes based on objective indicators. an impasse, stop the activity and start a
n Make sure that approximately a third of discussion with the following questions:
participants receive instruction 1, another
third of participants receive instruction 2 What did you experience during
and the final third receive instruction 3. this activity? (Answers will probably
range around conflicts, confusion,
n Clear the room or a large space of all tables, communication breakdown, etc.)
but leave about 20 chairs which should be
placed in the centre of the room. How did you interpret the instructions?
Did you follow them? Why or why
RELATIONSHIP ISSUES PROCESS ISSUES n Choose two points, x and y, which are not? (People often interpret the
Conflicts are about: Conflicts are about the way decisions are made: on opposite corners of the room and mark instructions as competing rather than
status, prestige, power and influence; poor stakeholder consultation, which may these prominently. collaborating relate this to resource
sympathy/antipathy, likes and dislikes; lead to resentment; management situations).
distorted perceptions of and negative limited cross-sectoral planning and TIME When did you start to cooperate? (If
attitudes towards other conflict parties. coordination, which may lead to n 30 minutes. they did not cooperate at all, ask them
overlapping and competing goals; how they could have.)
Solutions: Demonstrated interest, empathy, inadequate or poor information sharing, Were there any obvious mediators?
understanding and acknowledgement, which may lead to suspicion and mistrust. STEPS What was their role?
which influence perceptions and emotions
positively by matching the ways in which Solutions: Preferred processes, fora and How did the different people relate with
people want to be treated and feel about participation to think through issues and make 1. Do not explain the purpose but tell one another? Confront one another?
participants that it will become apparent at (Individuals will often focus on their
themselves. decisions. specific tasks without relating it to what
the end of the activity.
others is doing or how they can work
together to complete a task.)
between buyers and sellers, employers and

How is this activity related to a real employees, friends, spouses, parents and
situation in their experience? Bring out children, etc. Record these situations on a
issues of conflict, collaboration, working flip chart.
in isolation, partnerships. 3. Next, explain that two volunteers are
What does this tell us about conflicts going to role play the negotiation situation
over limited resources? About that they have prepared in front of the
compromises and trade-offs? (Point Instructions: 5.10 Session Plan 5.6: whole group. They are to negotiate and, if
out that often a goal that seems 1. Arrange all chairs in a circle developing negotiation skills possible, end with some agreement(s).
impossible to achieve because of 2. Put all the chairs near the point marked X
4. Distribute a copy of the Observers
conflicting interests can be modified to 3. Put all the chairs near the point marked Y sheet to each participant (except the role
accommodate different stakeholders PURPOSE play volunteers). Ask them to observe the
so that everyones interests are at least negotiation as it is acted out, and answer
n To increase understanding of the
partially met. This might sometimes be the questions on the sheet.
negotiation process and the skills it requires.
the only way to move forward.)
5. Ask that the role play begin.
What did you learn about
collaboration? MATERIALS 6. When the role play has finished, ask
which behaviours supported the
n Flip chart negotiations by helping them move
n Coloured pens forward. Post Enabling negotiations and
discuss. Ask which actions the observers
n Two copies of the Observers sheet saw demonstrated. (Emphasize that, in
per person. negotiations, people often argue over
conflicting positions and rarely find
mutually agreeable solutions unless they
PREPARATION explore the needs and interests underlying
Prepare flip charts from: those positions.)
A definition of negotiation 7. Ask which behaviours blocked the
negotiations. Post Blocking negotiations
Enabling negotiations and discuss.
Blocking negotiations 8. Ask which actions the observers saw
Ask two participants to prepare a role play in demonstrated. Discuss their observations.
which they negotiate to an IWRM Plan. They 9. Distribute a second copy of the
should prepare the role play before the session Observers sheet to each person. Divide
or trainers prepare in advance depending on the participants into groups of four. Explain
level of participants knowledge of negotiation. that each group should pick one of the
negotiation situations that were listed in
TIME Step 2 or an actual situation within IWRM
with which the participants are familiar. Two
n 2 hours people in each group should role play the
negotiation while the other two observe
using the Observers sheet as a guide.
STEPS
10. At the end of the negotiations, the two
observers should give the other two
1. Explain the purpose of the activity. Ask feedbacks on the negotiation behaviours
participants to brainstorm a definition for that they saw and their effects. It there is
the word negotiation. Record all their adequate time, they can switch roles and
responses on a flip chart. Post A definition does a second role play with the other pair
of negotiation and discuss how similar as observers.
or different it is from the participants
perceptions. 11. Explain that they have 40 minutes to
complete the task.
2. Ask the participants to list situations
in which people use negotiation skills. 12. After 40 minutes, reconvene the overall
Encourage them to think of people in a group. Initiate a discussion around the
variety of situations and relationships: following questions:
What are the advantages and disadvantages

of negotiation as a means of developing an
IWRM plan or managing a conflict over the
contents of such a plan?
What were the most difficult issues in
the negotiations? How did participants A DEFINITION OF NEGOTIATION
overcome these difficulties?
A negotiation is a focused discussion regarding parties structure the content of their meetings,
Did any group raise some issues that were needs and interests, with the intention of determine the outcome of their agreements,
not negotiable? If yes, how did they handle finding a mutually acceptable agreement. It and stipulate the methods for assuring the
these? is a voluntary action, in which negotiating implementation of their final decisions.
What are some of the more difficult Observers Sheet

aspects of negotiation in developing
IWRM in your country or at the regional
level? (For example, participants may
refer to methods for organizing multi-
stakeholder negotiations, cultural diversity,
lack of sufficient information, etc.) Refer
these difficulties back to the group for
any suggestions on how to address them
effectively.
Are there any particular issues within IWRM

that are more difficult to negotiate than
others? (For example, participants may
refer to policy issues such as water rights
and water use/access, or situations in
which different value systems clash.) Refer
these difficult issues back to the group for
any suggestions on how to address them
effectively in negotiations.
Chapter 6
Management Tools: IWRM Planning
Management instruments are the elements
and methods that enable and help decision-
ENABLING NEGOTIATIONS BLOCKING NEGOTIATIONS makers to make rational and informed choices
Negotiations are enabled by: Mutually beneficial negotiations can be between alternative actions. These include
blocked by: a wide range of methods, both quantitative
Separating the people from the
and qualitative, based on disciplines such as
problem and focusing on solving the Ignoring the other parties or their
problem; needs and interests; hydrology, hydraulics, environmental sciences,
system engineering, legal sciences, sociology
Making clear the underlying needs Changing the subject or delaying and economics (GWP IWRM Toolbox).
and interests of the parties; discussion of difficult subjects; Emergence of the Mekong
Identifying and concentrating on Demands that are unrealistic and far This chapter deals with the management tool: River Commission (MRC) Basin
responding to the parties underlying more than what can be met; IWRM planning.
needs or interests, rather than on Development Strategy
Asking questions to which you know
their stated positions; Integrated river basin planning is a stepped
there are no answers;
Building agreements by integrating process and is widely advocated and practised. The Story of Mekong cooperation begins
Hiding information; It forms the basic planning procedure in this in the middle of the 20th century with the
information;
Measuring success in terms of the Manual. formal signing of the Geneva Accords, when
Generating many options for
other sides losses; the newly independent nations of Cambodia,
meeting as many of all parties needs
as possible; Making threats, insulting, criticizing, This following material draws heavily from the Lao PDR and Viet Nam took their places on
blaming, interrupting, attacking Handbook of IWRM in Basins (see references) the world stage. The Mekong Committee
Being as objective as possible and illustrates a wide variety of experiences. opened office in 1959 in Bangkok. When
mistakes or anything else that is seen
about which options are fair and This material has been selected to be included the Mekong Committee began its work, there
as hostile.
reasonable; in this Manual as the procedures and examples were no models to follow. Since its early days,
Using open and non-judgemental echo the Mekong River Commission and the the Committee was guided and supported by
questions and active listening; levels of economic development of member ECAFE/ESCAP and the UNDP. The emphasis of
Redefining problems to include all countries. Care should be taken in not directly the cooperation was on surveys and studies
parties needs. transferring this approach as it will have to be for large-scale projects. In one form or another,
modified to suit Sub-basin Planning. This is the Committee continued its operations during
discussed later in this chapter and includes the times of regional instability.
Mekong procedures for BDP2 sub-area activities
of localised sub-basin planning. The 1995 Agreement on the Cooperation for
the Sustainable Development of the Mekong
6.1 The difference between a River Basin was a coming-of-age for the Mekong
strategy and a plan Committee, now the Mekong River Commission
(MRC). No longer under the umbrella of ECAFE/
ESCAP and the UNDP, its Articles give full

>>> A strategy is a plan of action designed to achieve management responsibility of the MRC to a
a particular goal. Council of Ministers of member countries. The
Articles of the 1995 Agreement have retained

>>> A plan is a series of steps to be carried out or much of the original Mekong Spirit, but have
goals to be accomplished. shifted the focus from development of large-
scale projects to sustainable development
and management of natural resources.
While definitions vary, they are often used to
mean the same thing. In this manual, a strategy Through the 1995 Agreement, MRC, as an
is seen as preceding a plan the plan being intergovernmental body, acts as a focal point
a document which sets out actions. However, for the cooperation, and assists the member
there is no hard and fast rule on this. countries in achieving their basin scale aims
through provision of shared information, In 2009 a start has been made with the 6.2 General procedures for planning
technical guidance, and mediation. The definition of core functions, which would be
Agreement establishes a forward-looking fully financed by the member countries after The general procedure for integrated river The learning-by-doing management cycle helps
framework and mechanisms for pursuing a transition period of 5 to 10 years. basin and sub-basin planning using an IWRM us incorporate what we learn in the process of
the concept of IWRM at the basin scale and approach is based on that in Figure 6.1. Note planning and managing water and take into
provides a platform upon which to build suitable The MRC does not have a mandate to direct that there are few basin organisations that act as account new information as it comes to hand.
stakeholder participation processes that cover countries to follow various IWRM procedures regulators, rather they act as advisors to national This means we can adapt how we manage water
all aspects of basin wide water management. and processes, and nor should it, as the basin governments (like the MRC). So, this cycle is to changing circumstances, for example political
The upper riparians, China and Myanmar cooperation model is built on cooperation, one basin organisations must engage in with changes, natural catastrophes and changes in
became dialogue partners in MRC sessions. coordination and mutual respect. However, the national governments who plan water resources demography.
four countries have recognized the need, and management and development.
Since 1995, the Mekong River Commission has value, of improving the links between basin level
made slow but sure progress, with member and national level planning of water and related
country agreement to a procedural framework resources, and making them much more explicit.
for cooperation and the development of They are doing this through the second phase Figure 6.1 The learning by doing management cycle of planning and implementation
regionally recognized knowledge base. It also of the Basin Development Plan Programme,
established a participatory process for basin which is focusing on developing a common
planning. Most of MRCs activities are now understanding of the IWRM transboundary Initiation
implemented through sector or thematic issues and problems, and of the importance of River Basin
programmes. The annual budget of the MRC is the environmental and social values and assets Organisation Vision/policy
in the order of USD 10 million. About 10% of the of the basin, and how these can be used and
Commitment to IWRM
budget is paid by the member countries and managed. This will all be brought together in an
90% by donors. IWRM-based Basin Development Strategy.
Evaluation Situation analysis

Assess progress, Continuous Problems,
Revise plan - Awareness raising WRM situation,
- Stakeholder participation Goals identified
- Political commitment
Implementation Strategy choice

River Basin Goals prioritized
Organisation
Basin plan
Draft,
Stakeholder &
political approval
Source: CAP-NET/UNDP, 2008: INTEGRATED WATER RESOURCES MANAGEMENT FOR RIVER

BASIN ORGANISATIONS. TRAINING MANUAL, p.86

>>> SEE SESSION PLAN 6.1: THE IWRM
PLANNING CYCLE
6.3 Basin management strategies when and where the goals will be achieved sustainable and shared development of the
(see case study: Niger Basin Authority: A Niger Basin was signed in April 2004 by the nine
A Basin Management Strategy in this cycle Shared Vision). The strategy document should Heads of State and Government.
sets out the long-term goals and aspirations of preferably take the form of a formally approved
basin managers the shared vision - for water official management plan indicating how The EU Water Facility provided funds to NBA to:
resources management, and how these goals the initiatives of all stakeholders involved - Draft a Water Charter
are to be realised. A strategy usually covers a ten (public and private) will be co-ordinated and
to twenty-year period. The strategy determines specifying the rules and regulations that will be - Make the Sustainable Development Action
the overall directions for basin management and implemented in the basin. The statement should Plan consistent with national and regional
is the basis for developing detailed three - to six- be made easily accessible to all stakeholders in a Integrated water resources management
processes
year basin management plans or action plans format that can be understood by all. Niger Basin Authority:
(see later in this chapter). a Shared Vision - Prepare investment programmes and
methods for implementing projects.
The strategy takes into account national or
regional in the case of transboundary basins: In 2003, the nine member states of the Niger With the formulation of the SDAP, the
water management policies; Basin Authority (NBA), Benin, Burkina Faso, development of the investment programme at
Cameroon, Chad, Ivory Coast, Guinea, Mali, Niger the end of 2007 and the Summit of the Heads
- Context, type, scale and severity of water and Nigeria, formulated a clear and shared of State and Government and Roundtable of
and land resources management problems; Vision for the Niger Basin. The vision is to create Donors held in 2008, the NBA will be able to
Guidelines for building a successful an enabling environment for co-operation achieve practical and lasting outcomes for
- The general and water-related development basin management strategy based on a Sustainable Development Action ensuring the future of Niger Basin users and
goals; Plan (SDAP). citizens.
- The level of economic development of the - Have a clear view of the actual
basin; situation of water resources in the The Declaration of Paris on the principles More on the NBA at: www.abn.ne
basin. of management and good governance for
- The capacity of water managers and - Agree on goals and targets.
institutions to manage natural resource - Propose scenarios to be discussed
problems; and with stakeholders.
- Co-ordinate priorities and actions
- The financial resources available during the
of all stakeholders. 1. Identifying issues
strategic period.
- Lay down a framework for making
decisions. The first step in developing a strategic plan is to and extent of the problem, the range of issues
Although strategies are a management tool, get a clear idea of the water and land resource to be addressed, the environmental policies
- Link the basin strategy to broader
they are best developed with the involvement development goals, and national management issues in a basin. The pressing and regulations that affect the issue and will
of the full range of stakeholders (see Chapter 5 and regional development need is frequently, as it is in the Mekong, to probably indicate possible management
Public Participation). planning processes. identify priority IWRM issues in most of the LMB solutions. Defining problems in this way helps
- Anticipate the need to strengthen countries (e.g. issues that are being or will be basin managers and stakeholders map out the
There are five main elements in developing capacity and fund capacity addressed in the next few years). boundaries of the problem in terms of what
a Basin Management Strategy. These may or building. is within the power of basin management to
may not be taken in sequence depending on - Involve and gain the support of One useful method for identifying issues is change and what is outside their authority.
circumstances: stakeholders, including women and scoping, but other methods, such as initial When done upfront, scoping is useful both
1. Identifying the issues; the poor. impact assessment, can also be used. The for making strategic long-term plans and for
- Allocate human and financial objective is to gain an overview of the issues, developing short-term action plans.
2. Setting priorities; how critical they are, who they affect and the
resources to the strategic planning
3. Identifying management options; process. chances of being able to achieve results in the The matrix method is another way of assessing
- Set a timetable with milestones and short term. and prioritizing the importance, scope and
4. Analysing costs and benefits; and
targets. the context of water management issues with
5. Assessing risks. Scoping is a way of making sure all aspects of an respect to the overall basin. Derived from
- Make sure the strategy includes
funding requirements and funding issue are considered. Basin managers can do this the screening and ranking methods used in
These are discussed below in detail. sources. in many ways, through stakeholder workshops, rapid impact assessments for environmental
- Put in place monitoring and surveys, or by asking for reports from different assessments, it helps in ranking different issues
The outcome of the strategic planning process evaluation systems that feed back groups, for example. Putting the results of the against each other.
should be a clear statement of the shared vision into the planning process. scoping exercise together will define the scale
of a basin organisation or basin initiative setting
out unambiguous goals and explaining how, Source: GWP TEC 2004
2. Setting priorities
Once the issues have been identified the next allow users to search, for example, by land type,
step is to set priorities. Often it is better to tackle land use, management options, settlement
the more feasible development and resource patterns, land ownership or planning zones.
management problems first, rather than to Many are user-friendly, available on the Internet
attempt to resolve more complex problems or and include different kinds of visualization
Setting priorities, evaluating and address all problems simultaneously. Models technologies that display the results of decision-
ranking water resources issues and decision-support tools can be helpful in support models.
setting priorities.
Setting priorities Importantly, local priorities must be integrated Decision-support tools are useful in
Specify and prioritise natural with regional and national priorities for water predicting the outcomes of alternative plans
resources management issues management, linking them to overall integrated and programmes. They are usually, but not
clearly and within national water resource management strategies and necessarily, computerised systems. They assist in
planning and development goals. plans. day-to-day operational and long-range strategic
decision making. Where more complex decision
Specify how each issue will be
These priorities will also reflect the financial models are required, expert systems can play
addressed in the planning process.
resources available to address the issues, picking an important role in predicting outcomes.
Check each priority issue against the low hanging fruits first. In this way a basin Expert systems are commonly used for on-going
the constraints and opportunities organisation can achieve substantial gains management problems. But, they can also be
of the basins hydrology. quickly and achieve more credibility with the used to develop policies and management plans
Relate priorities to financial basins stakeholders. for irrigation districts with rising water tables,
resources. strategies for tree planting and land-use options
Do what is most pressing first! for highland river basins, for example.
3. Prioritising using models and
other decision-support tools Modelling tools are useful for integrating social,
economic and biophysical data, usually in a
Models can be used to assist decision-making by geographic information system, and displaying
evaluation options and selecting the preferred management options. Groups of users - basin
option for water resources management. managers, farmers, agri-business managers,
Matrix for evaluating and ranking water resources issues Advances in computer technology, particularly water user associations, government agency
geographic information systems (GIS) policy makers, government planners - can
and decision-support systems (DSS), have interrogate models to see what the impacts of
revolutionised decision making in river basin different water management practices would be.
Problem type Affecting/addressing management in many countries. Users can often just point-and-click on a map.
Models draw on data sets in basin information Models can illustrate important concepts,
Impact management systems (see Chapter 9 Basin for example that lakes take a long time to
Quantity Surface water information systems and monitoring). GIS recover from pollution or degradation and
integrate and analyse data sets, for example that prevention is much more effective than
Demand/Availability ecological and environmental data, and trying to restore them. Models are also useful
Water issue
Quality Groundwater present the results spatially. DSS look at for indicating solutions. For example, models of
Mobilization different scenarios and show what happens water quality management options might show
when parameters are changed. These tools that water quality is more important in some
Quantity/Quality SW/GW can be used by groups or individuals in offices, parts of a basin than in others.
Risks/Harmful effect workshops or, when they can be accessed on the
internet, even in the home. Another advantage Based on these models, basin managers might
SW: surface water; GW: ground water of these tools is that they promote transparency. decide that, where water quality is important,
Source: http://www.scaucasuswater.org/files/introduction_to_water_resources_issues_assessment_model.pdf people might be more willing to pay for water
Geographic information systems are widely quality management or change the way they
used in developed countries to organise manage water than where water quality is not
geographically-referenced data about the basin so important.
- electronic atlases in other words. Most systems
Optimisation and simulation models are

other ways of examining certain problems. The strategy should show how basin action To do this economic analysis tools, such as
Optimisation simplifies problems, for example, plans will be financed. Weighing up costs and cost-effectiveness analysis and cost-benefit
by aggregating spatial descriptions of a benefits is a critical part of developing the basin analysis, can be used.
particular problem. Simulation models can strategy and deciding on the best options. This
then be used to generate, for example, dynamic means identifying who will benefit and who will To achieve the objectives set as priorities there
scenarios (see following Focus Point). be disadvantaged. may be several alternatives (options). Cost-
effectiveness analysis examines the costs (i.e.
Once water management options have been investment, operating costs) and benefits of
identified, the next steps are: each alternative. This gives basin managers a
To select the most cost-efficient set of ranking of the alternative options according to
by showing the behaviour of the river system options regarding selected priorities (i.e. the ratio of cost-effectiveness. Benefit sharing
under a range of interventions. The model can the set of actions that will address the focuses attention on the value derived from
be used for a number of years (hydrological data priorities (objectives) at the lowest cost; water use and ecosystems, and takes into
is available since 1985 in the Lower Mekong account water quality and risks, rather than
Basin) or a single year or season. Simulations To assess the costs and benefits of the focusing on the more contentious and less
enable planners to look at what might happen selected set of options (and how these costs useful process of trying to allocate specific
to a range of socio-economic and environmental will be divided between different sectors). amounts of water to different parties.
indicators.
Benefit sharing in the Senegal Basin is an
Mekong River Commission: The choice of socio-economic issues that are example of how the costs and benefits of major
models and decision-support tools assessed will depend on how the planners water infrastructure projects can be shared (Box
structure their analyses. This in turn depends 8F). The concept of value derived from water use
on the data that is available. Environmental is applicable in a wide range of economic, social,
A Decision-Support Framework has been indicators have been identified in relation to political and environmental uses, between
developed by the Mekong River Commission the transboundary issues identified by the four recreation or biodiversity and commercial
(MRC) as an analytical tool for assessing the basin member states. fishing for example.
magnitude of changes and impacts caused by Guidelines for sharing costs
natural and man-made interventions. This tool More information on the MRC at: and benefits
helps to build trust among member countries http://www.mrcmekong.org
Quantify the benefits and costs of
water management.
Address equity.
4. Identifying management options Link the size of water allocations to
the benefits derived.
Once priorities for basin management have At the whole basin level, where government
been agreed, the next step is to determine what and other institutions need to take action, Work out multiple benefits step-by-
step before making agreements on
management action is necessary to address on for example cost-sharing, tax incentives,
water sharing and who pays.
these priorities. In this step, identifying and laws to abate pollution, poverty reduction,
targeting action needs to take place at several building the capacity of water user groups. Define benefit shares initially at
levels: a sub-basin level then aggregate
At the local level, the best management them up to the whole basin
At the local level, for specific farms, options will be targeted at farmers, producer (including across international
borders).
properties or neighbourhoods, organisations, local government planners,
municipalities and industries, such as site provincial government resource managers, Use a third party to promote
management plans extractive industries and manufacturing sharing arrangements, such as
industries, nature conservation managers and funding agencies (World Bank) or
At the sub-basin level, where there are recreation managers. The options need to environmental organisations.
cross-cutting issues which require a broader complement sub-basin management plans and Recognise the link between water
scale of management, such as storm water the overall basin management plan. Some kind policies and transboundary water
management plans, pollution control. of co-ordination mechanism, such as national issues.
planning legislation, is needed to link bottom-
up and top-down action.
A Basin Management Plan is the basin

organisations blueprint for water management
across the basin (see focus points below).
Strategies to minimise risk

Organisation for the Development of Two major hydraulic infrastructure projects (the Hard strategies - infrastructure and
the Senegal River: benefit sharing Manantali dam in Mali and the Diama dam on technology: Design principles and main
the Senegal-Mauritania border) and an energy Traditional water storage systems; components of a basin
distribution network will stimulate regional
The Organisation for the Development of the development. Flood proofing; management plan
Senegal River (OMVS) has had strong political Storage management;
support for more than thirty years at the highest In the early 1980s the OMVS received loans and Basin plans - design principles
Early warning systems;
level (the supreme governing body of the grants from various funding agencies to finance
organisation is the Conference of Heads of State this major infrastructure programme. The Integrated water systems and supply
Define the boundaries of the basin
and Government). This political support is based contribution it would make to irrigation, energy security;
(river basins or sub-basins, aquifers,
on a benefit sharing system between riparian production and navigation was calculated as Water reuse and desalinisation. lake basins; national or transboundary).
states and the implementation of concrete well as the overall benefits to each member
activities in favour of regional development. country. Soft strategies institutions, technologies Establish operational rules which
reflect the technical and biophysical
and management systems:
characteristics of water ecosystems.
Demand management;
Ensure collective-choice arrangements
Efficient technologies; that engage village and district
stakeholders as well as neutral
Establishing a culture of conservation; government water policy people in
Managing water scarcity through trade; decision making.
Land use planning; Monitor the outcomes of planning and
policies through water audits.
Education and communications.
The debt repayment is shared pro rata among the three countries according to the benefits that will accrue to each.
Employ graduated sanctions.
More information on the OMVS at: http://www.omvs.org
Build in conflict resolution mechanisms.
Develop clearly defined property rights.
Separate the role of water provider
6.4 Basin management plans from that of the regulator, to avoid
conflicts.
5. Assessing risks Contents
Develop both demand management
and supply management options,
One of the key issues in developing long-term information on board and auto-adapt. Planning Sometimes called basin action plans, the basin and encourage water-use efficiency
basin management strategic plans is to assess systems need to be set up so that new data management plan sets out the goals, objectives through non-regulatory and regulatory
risks, such as those posed by floods, droughts, or and information can be fed in immediately and programmes for managing water for a mechanisms, particularly to increase
other natural disasters, and to devise measures it becomes available. In this way, basin specific period, usually between three and six efficiency in irrigated and dryland
to alleviate these risks. For example, it is management strategies can be rapidly adapted years. This plan is brokered by decision makers areas.
becoming increasingly important to plan for the to new predictions. There are usually no simple in the basin - government agencies, local
risks posed by changes in climate. technical fixes for some of the scenarios and authorities, municipalities, private firms, farmers, CONTINUES OVERLEAF
basin managers will usually need to mix hard individuals and community organisations
Because more and more data is becoming and soft strategies in their plans to minimise - and signed off by the basin organisation.
available and models of climate change are these risks. The agreed plan will specify responsibilities
constantly being updated, basin organisations for action, how costs will be shared, lines of
need to make sure that their strategic plans accountability and channels for exchanging and
are not set in stone, but can take this new distributing information.
It is important to understand that the basin irrigation water to get to the farmer, the actions
organisation itself will not undertake all of the reservoir manager, the water distribution
the tasks in the plan. The role of the basin manager, the farmers themselves and perhaps
organisation is to co-ordinate the various tasks the environmental regulator, if there is one,
that will be carried out by others. For example, a need to be co-ordinated. But the responsibilities
Basin plans - main components plan to reduce pollution in a basin might require for these actions often lie with different
a combination of actions by local councils, waste government departments or, especially in
The GWP IWRM Toolbox recommends disposal industries, farmers, local government developing countries, even outside government Guidelines for co-ordinating
that river basin plans should include planners, government resource managers, jurisdiction. Frequently, the links in the action basin management
information on the following items: extractive and manufacturing industries, chain may not communicate with each other.
nature conservation managers and recreation In large basins, some links in the chain may not
Physical description of the basin managers. In this case, the task of the basin even be aware of the existence of the others, let Encourage a learn by doing approach
Land use inventories organisation would be to co-ordinate action and alone co-ordinate with them. and create ways of learning from past
get agreement on who will be responsible for experiences.
Current water availability and
demands doing what, and where and when they will do it. What happens then is that agencies develop Establish rules for co-ordination (who
discrete local solutions that do not take into is involved), whether it is binding or
Pollution source inventories The basin management plan should be account impacts and improvements across permissive (what can be done) and
Aquatic and terrestrial ecosystem developed in such a way that it cannot be the basin. To avoid this fragmentation, basin the basis for involvement (law, policy,
needs put on the shelf and ignored. To ensure this managers need to build co-ordination into informal agreement).
Vulnerability to floods or extreme doesnt happen a reporting and accounting the basin plan. They also need to ensure that Establish integrated action across all
meteorological events system should be built into the plan. For the people assigned to carry out tasks have natural resource issues in the basin.
example, national and transboundary basin the capacity to work in teams, and plan across Ensure basin-wide planning procedures
Identification of stakeholders and management plans should stipulate what sectors and disciplines. This may mean working
mechanisms for participation balance all user needs, enhance water
should be reported to national governments to strengthen skills and capabilities. quality, provide protection from water
Implications of changing land use and how often these reports will be made. related hazards, ensure agreement on
Identification of priority issues (impact The basin organisation should also be subject commitments within the basin, and
issues or user requirement issues) to auditing by an independent authority. The monitor agreements.
audit should examine the outcomes of the
Short- and long-term goals for the basin management plan and, if warranted,
river basin recommend changes to improve outcomes in
Water related development scenarios, the future.
future water demands + risk
assessments A practical way of making basin management plans. The agency encourages community
Water allocation and water quality plans dynamic documents is to bind them in management of natural resources, emphasising
objectives loose-leaf folders. This way they can be updated the protection of water sources and
as new information emerges (audits, new food security.
Strategy, measures and action
scientific discoveries, stakeholder inputs) and
plans for the achievement of goals,
including sub-basin management respond to changing circumstances. A basin A key task of the basin agency is to educate and
plans management plan must be a living document train municipal staff and members of Sub-basin
which managers use, update and adapt as Ro Jubones, Ecuador: Committees in development and water basin
Financing of water use and they put the plan into practice. For the plan management. The agency will also introduce
management a co-ordination agency in
to be successful, stakeholders and the general environmental education in schools, again with
Responsibility and schedules for public must become involved. Lessons learned
the Jubones basin the emphasis on an integrated approach.
implementation as projects and programmes get underway must
Mechanisms for monitoring and be fed back into the plan so that successes can The Mancomunidad de la Cuenca del Ro The measures to boosting information and
updating be repeated and mistakes avoided. Jubones is a co-ordination agency, created by knowledge will strengthen the capacity of
local governments, provinces and municipalities, municipal staff in municipalities that are
Annexes including specific Coordinating action to manage the water resources of the Jubones members of the Mancomunidad to make
studies such as areas of significant
environmental problems basin. The agency aims to evolve and take decisions about environmental protection and
To implement the basin plan, a basin on more activities. These include identifying develop appropriate measures.
organisation must co-ordinate the actions common development strategies for the
of many parties with different roles and basin with an emphasis on integrated water More information on the Jubones basin agency
responsibilities. Take irrigation for example: for resources management and aligning provincial at: http://www.cuencadeljubones.gov.ec
and municipal development plans with basin
Many basin managers struggle to find the best Lessons learned

way to co-ordinate the actions of government
agencies and other stakeholders. Basin 1. A stakeholder analysis and participation
managers need to select those that they believe plan is proving to be a useful tool to engage
will get political and administrative support and key stakeholders in a relevant and efficient
can be readily used. The best way is to try what way.
appears to be a good option and evaluate its
2. A considerable effort is needed in the
effectiveness through trial and error.
beginning of the planning process to build
Basin Development Plan for consensus among the key stakeholders
the Lower Mekong Basin on what exactly an IWRM-based Basin
Development Plan is and how the Plan
should help the countries to achieve their
Description development objectives in a sustainable
and cooperative manner.
The main aim of the second phase of the Basin 3. In most countries, technical capacity needs
Development Plan Programme (2007-2010) is to be build to support discussion and
to prepare an IWRM-based Basin Development consensus building on the results of the
Plan in support of sustainable development in scenario assessment, the possible trade-offs,
the Mekong Basin, as envisioned in the 1995 the selection of the preferred scenario, and
Mekong Agreement, and building upon the the definition of the development space
participatory planning process established and associated implementation guidance,
during BDP phase 1. The preparation of the Plan and to discuss consolidated national
will be based on the concept of IWRM, as this positions at the regional level.
concept holds the promise of reconciling the 4. Proper recording of the discussions and
goals of economic efficiency, social equity and results of workshops and meetings are a
environmental sustainability in partnership with prerequisite for the final adoption of the
the basins stakeholders. The plan comprises: IWRM-based Basin Development Plan and
its implementation by the stakeholders in
the LMB countries.
Basin-wide Development Scenarios,
which provide the information that
Governments and other stakeholders need
to develop a common understanding of the
most acceptable balance between resource
development and resource protection in
the various parts of the LMB, and mutual
benefits to all riparian countries. The results
will guide the formulation of the IWRM-
based Basin Development Strategy.
An IWRM-based Basin Development
Strategy, which will be a clear statement
how the LMB how the countries intend to
share, use, manage and protect the basins
water and related resources in an equitable
and sustainable way. It will also provide a
coherent IWRM planning framework that
brings basin perspectives into the national
planning process. The Strategy will guide
the formulation of the Project Portfolio.
A Project Portfolio of significant water
resources development projects and
programmes that can enhance the value of
the Basins water and related resources and/
or capture the benefits of transboundary
cooperation, as envisioned in the 1995
Mekong Agreement.
6.5 Sub-basin plans

Contents
Scale
A sub-basin or land and water management 4. Other water services - floodplain
River basin planning operates at broadly plan is a tool to enact integrated river basin management, salinity management,
three levels management and local levels. It includes groundwater management, river
priorities, actions and reporting mechanisms management, water quality management
for implementing the overarching river basin and other key issues where appropriate.
management plan at the lower level of the a 5. Determinations of management
river valley or smaller catchment within a river options and specific courses of
basins. Here planning and management is at action - development options, demand
scales of approximately 1:100,000, but this management options structural, legal
varies. It includes sections or chapters on: and economic (e.g. user pays solutions);
implementation tasks, who is responsible,
funding sources; coordination options with
1. Context (a review of the historical, other government departments.
economic, environmental and statutory 6. Institutional arrangements: Structure,
context within which the Plan will work) and Governance and Functioning of basin
Scale (the size and level of application of the organisations - Purpose and scope,
Plan state-wide and in districts) organisational arrangements, composition
2. Engagement processes - Methods used to and representation, decision-making rules,
engage and use stakeholders to build the funding and staffing, authority of each
Plan; and external auditing of engagement government department
Figure 8.2. Macro-, meso- and micro-level natural water resource systems in a basin management framework
A macro-level system deals with part of a geographical zone, such as a river, lake or aquifer basin. A meso-level
process. 7. A monitoring programme to measure
system deals with a regional or local ecological system of a lake, river valley within a basin, or sub-aquifer within an 3. Water services: Statements of present successes and failures of plan and provide
aquifer province. A micro-level system deals with a relatively uniform ecological and hydrological unit. and future needs and issues; statements accountability of government investment;
of present and calculations of future congruence and linkages with state-wide
requirements for water services in terms state of the environment reports and/or
Basin Management Framework environmental auditing and monitoring.
of water demand and supply, for urban,
rural towns, industrial, power generation
and irrigation users; determinations of
supply reliability in stochastic climatic and
commodity environments
1. Plan management and coordination
Coordination of Plan development was initially

Management Committee. The committee the responsibility of the National Water
is an institutionalised platform with a clear Resources Coordinating Committee (WRCC) of
mandate, operating rules, procedures and the Prime Minsters Department and the WRCCs
budget. Members are relevant governmental Secretariat. Part way through plan development,
and non-governmental actors in the watershed a Department of Water Resources was formed as
who are trained or being trained on watershed Nam Ngum River Basin IWRM Plan part of a new Water Resources and Environment
Case Study on Watershed Plan of management principles. Administration which became responsible for
Action - Siem Reap Watershed, The Nam Ngum River Basin, Lao PDR Plan coordination and technical support.
A watershed management Plan of Action is
Cambodia never the same for the many watersheds that The Nam Ngum River Basin is the 2nd largest A Planning Team with members from national
exist in a river basin. Each individual watershed river basin in Lao PDR, both in terms of annual level agencies with water and related resources
The watershed Plan of Action is a basic tool for might have a different mix of environmental flow and population, and the 5th largest in management responsibilities as well as
Integrated Watershed Management. It prioritizes issues, social considerations and economic terms of area (7% of Lao PDR). The Nam Ngums Provincial level representatives were directly
critical issues that do or might impact watershed factors. The Plan of Action for the Siem annual flow is 21 billion m3 which is 14.4% of involved in preparing the plan including the
functions such as water quantity and water Reap watershed has identified ten critical the flow of the Mekong River. This plentiful oversight of plan preparation and of the various
quality beyond acceptable levels and identifies issues. The most important are loss of forest water resource underpins an unusually large studies undertaken, the collection of data and
actions to improve the state of the watershed. cover, destructive sand dredging on the river number of actively growing water using and information, and advice on plan content and
It is based on a collection and/or update of banks and waste and poison management. impacting sectors including rural and urban recommendations. They were supported by
ecological and socio-economic data, water Four issues that correspond to the typical water supply, hydropower, irrigation, fisheries, local and international consultants.
related issues of development plans, and social mandate of line ministries such as Forestry, forestry, rainfed agriculture, mining, tourism and
and community surveys and identifies potential Agriculture, Environment and Water resources, recreation, environment, waterways, navigation, At the time of plan preparation there was no
causes for watershed degradation, such as river the watershed committee ensures that they community uses (e.g. river side gardens, fishing), river basin organisation and so a river basin
bank and soil erosion, pollution, groundwater are being taken up in the socio economic and flood management. consultation group involving National and
issues, riverine vegetation, deforestation etc. development plans at commune and provincial Provincial leaders was formed to discuss
Specific targets and indicators relating to the level. Because of the rapid development of progress and comment on the plan.
main watershed functions are set to follow up hydropower and possible competing needs
on achievements over time. The Plan of Action Cross sectoral issues with uncertain institutional and uses for water, a pilot study of IWRM 2. The river basin profile
must continually be monitored, updated and mandates and legal frame work, require the river basin planning and management was
revised as more information becomes available Water Shed committees special attention. undertaken in Nam Ngum River Basin by the The River basin Profile was a key step in setting
about the watersheds natural resources and Task forces might have to undertake further Lao PDR government supported by the Asian the boundaries and priorities for the Plan. It was
about the people living in the watershed, their investigative work. This is the case with the sand Development Bank and Agence Franaise de prepared in consultation with a wide range of,
changing needs, and potential new threats. dredging issue. On site studies are being carried Dveloppement. mostly government, stakeholders and reviewed
out and a dialogue with the private sector is (i) water resource, environmental and socio-
The elaboration, implementation and initiated to find realistic and environmentally Developing the Nam Ngum River Basin economic conditions and trends, (ii) existing
monitoring of the plan of action is a multi- sound solutions. Policy recommendations are IWRM plan water and land uses, (iii) relevant government
stakeholder process managed by a Watershed being developed to ensure their sustainability. plans and policies, (iv) sectoral development
The Nam Ngum River Basin IWRM Plan focussed plans (v) stakeholders, their responsibilities
on sustainable water resource use and cross and issues in relation to management of the
sectoral matters as they relate to water sharing river basin, (vi) current and emerging issues
Lessons learned set up is a major bottleneck for a sound (quantity, quality and flow) The plan included a of importance in the basin, and, (vii) stated an
watershed management. balance of policy (e.g. water permits, operating initial objective for the river basin plan.
Coordination and facilitation among agreements) and infrastructure measures,
Only issues which have a visibly devastating and prioritised actions for development and A GIS of the river basin was built from data
provincial line agencies, the private sector impact on the watershed will motivate a
and civil society is essential for effective resource protection. Developing the river basin obtained from various agencies and the MRCS
coordinated response of the watershed
integrated watershed management. It committee and local authorities. plan included: and underpinned the development of the plan.
needs commitment and participation from Coincidently, the River Basin Profile and GIS were
all relevant bodies involved. Full support by Capacity development is a key to creating also used extensively by the Cumulative Impact
local authorities helps to overcome different the necessary institutional framework, Assessment for Nam Ngum 3 Hydropower
views and interests. technical knowhow and ownership to Scheme which was undertaken by the ADB.
effectively apply Watershed management
Resource mobilization for cross sectoral practices.
issues under the existing administrative
3. Scenario analysis and risks assessment dams. The Plan addressed implementation
issues centred upon responsibilities, linkage of the Nam Ngum Plan. There was some Data Analysis and Modelling: Analysing and
A scenario analysis of development to national socio-economic planning, funding, involvement of the private sector and from the making sense of data is essential to support
interventions was conducted. Scenarios monitoring and evaluation. District and community levels and some use river basin planning as well as to enable Lao
included the seven main hydropower made of the media. Greater involvement in the to participate fully in international forums.
developments (existing and planned), large Issues Associated with the Nam Ngum River planning process from these stakeholders would Strengthening computer modelling skills and
scale irrigation development, interbasin water Basin IWRM Plan have benefited the Plan by better identifying resources is needed.
transfers, increased forest cover, and these were the range of important issues, strengthening
overlaid with a range of climatic conditions. Preparing this first IWRM river basin plan in the measures proposed by the plan, awareness Financing: A critical issue for implementing
Lao has been a useful learning experience raising of water and environmental issues, and the river basin plan is funding of the various
4. Evaluation of management options and the approach will improve as the plan increased support for the plan implementation. measures recommended. This could include
is implemented and also as other plans are As processes develop and also as the plan is sources such as government general revenue,
Evaluation of the economic, environmental developed. Issues that are under consideration implemented it is expected that this stakeholder resource use royalties and, in the short term
and social impacts of the various development or that will be addressed and progressively participation will be strengthened. international donors. The approach for adequate
interventions and management options was improved include: funding of River Basin management is yet to be
undertaken by technical specialists and the Data: Good data is the foundation of good decided.
planning team using a Multi-Criteria Analysis National Water Resources Committee: planning. At the moment, data is held
approach. This included assessment of cross The National Mekong Committee has been independently in many different government
sectoral impacts, and the risk (certainty and convened as the peak national body for agencies. This limits and sometimes prevents
significance) of negative impacts. water resources management in Lao PDR. timely access. With time it is expected that there
This has an important role to play for river will be a government wide approach to data
5. Drafting and endorsement basin management in terms of advising on sharing and standards. Improving data quality is
government policy and investment in River also being worked on.
Consultation with the interim River Basin Basin management, coordinating government
Committee and a Leaders group was undertaken agencies, deciding on river basin planning
at key stages during plan development so that priorities, guidelines, standards and in finally
there would be knowledge and agreement with endorsing individual river basin plans.
the plans recommendations. After agreement >>>
SEE SESSION PLAN 6.2: THE DIFFERENCES
BETWEEN PLANS AND SUB-BASIN PLANS
by line agency and provincial agency officials National Policy and Strategy: A National Water
it was recommended to government for Resources Policy and Strategy is currently under >>>
SEE SESSION PLAN 6.3: FACILITATED
endorsement development and this will address many of the DIALOGUE AND CONVERSATION MAPPING
issues identified during the preparation of the ON FIVE KEY QUESTIONS
The River Basin Plan river basin plan.
The River Basin and included 6 Key Result Areas Enabling Laws: River Basin planning and river
related to the Plans vision and goal: basin organisations are not enabled by the Relevant material in other resources
(i) Creating effective river basin management national law on water resources and so IWRM
institutions and approaches including planning has a weak foundation. This has been
stakeholder participation and awareness raising, recognised and a review and possible revision of
(ii) Achieving sustainable water resources the water law is planned.
management through better inventory
information on surface water, groundwater Integration into the Government Planning
and water quality, water permitting and and Decision Making Systems: The
understanding of environmental flow governments Five Year Socio-economic
requirements, (iii) Coordinated management Planning process and related annual plans
of hydropower development and sustainability are the primary mechanism for initiatives to
reporting, (iv) Development of sustainable be included in the government planning and
irrigation, (v) Management of priority sub- budget agenda. Some progress has been made
basins in the river basin according to local with this during plan preparation however it
development pressures, (vi) Management of remains to be seen if this is adequate.
significant risks to river basin conditions which
for the Nam Ngum are flooding, short and Stakeholder Participation: Stakeholder
long term water quality impacts from mining, participation was principally with national and
and large (hydropower, irrigation, and tailings) provincial line agencies during development
2. Divide participants into small groups of 4 How long do participants think the full
to 6 participants and provide each group process would take to work through a
with a set of index cards. As each group to full cycle?
sort the cards into a logical sequence that
they think best reflects the IWRM planning Present the IWRM Planning Cycle (see
Session Support material) and seek
6.6 Session Plan 6.1: process.
comments or questions about the
the IWRM planning cycle Highlight that 7 steps are provided on proposed planning cycle, particularly
the index cards as well as 4 principles where participants planning cycle
or constant processes must also be outcomes differed.
OBJECTIVES integrated into the planning cycle.
At the end of this session the participants will be Allow 15 minutes for this process.
able to:
3. When each group has completed the small HANDOUT
n Define and order the general steps involved group work either: 1) continue onto Part 2
the IWRM Planning Cycle. if there is time OR 2) if time no further time Either write each of the steps below on an index
is available conclude the session by asking
n Identify 3 key actions for IWRM to succeed card, or print each step in very large font on a
each group to present their outcomes on a
at each identified step single piece of paper. Print or write enough sets
flip chart and encourage all participants to
review the outcomes of the other groups. for each small group that will be working on the
MATERIALS Initiate a discussion using the following exercise.
n Flip charts questions to generate a discussion.
n Marker pens What were the main similarities
and differences between the group
n IWRM Planning sets written or printed on outcomes?
index cards.
Do participants think there is a step
TIME they consider most important or are all
steps considered equally important?
n 30 minutes
How long do participants think the full
process would take to work through a
PREPARATION full cycle?
n Write or print IWRM planning steps on Present the IWRM Planning Cycle (see
index, one set of card per group. Session Support material) and seek
comments or questions about the
n Draw up the IWRM planning process on proposed planning cycle, particularly
several flip charts stuck together and hand where participants planning cycle
in a prominent place within the training outcomes differed.
room (see Session Support Material)
Part 2:
n This session plan is divided into two parts
depending on the time available for the If time is available, continue the session
session. 4. When all groups have completed the small
group exercise, ask each group to identify
STEPS 1 to 3 key activities that must occur in each
step. Get each small group to clearly write
Part 1: the identified activities next to each of the
planning steps.
1. Introduce the session be explaining that
IWRM planning is a stepped process 5. Once completed initiate a discussion
based on learning by doing or adaptive around the following questions:
management. Therefore IWRM planning What were the main similarities
needs to continually adapt to changing and differences between the group
circumstances, such as political, natural and outcomes?
human changes. However there is also a
very simple iterative process that all river Do participants think there is a step or
basin organisations must move through activity they consider most important
in a continuous cycle of planning, action, or are all steps considered equally
reflection and adaptation. important?
Handout for Session 6.2:
Contents of a River Basin Management

Plan based on IWRM
Flip Chart 1: the differences between plans The IWRM Toolbox (Global Water Partnership
The IWRM Planning Process 2002) recommended that river basin plans
and sub-basin plans should include information on the following
items:
Initiation OBJECTIVES Physical description of the basin
River Basin To understand the differences between basin Land use inventories
Organisation Vision/policy and sub-basin plans.
Current water availability and demands
Commitment to IWRM
MATERIALS Pollution source inventories
n This chapter of the Manual Aquatic and terrestrial ecosystem needs
n Paper, pens Vulnerability to floods or extreme

meteorological events
Situation analysis n The following handout (next page)
Evaluation Identification of stakeholders and
Assess progress, Continuous Problems, mechanisms for participation
Revise plan - Awareness raising WRM situation, TIME Implications of changing land use
- Stakeholder participation Goals identified
- Political commitment n 60 minutes Identification of priority issues (impact
issues or user requirement issues)
PREPARATION Short- and long-term goals for the river
Implementation basin
Strategy choice Flip chart
River Basin Goals prioritized
n
Water related development scenarios, future
Organisation water demands + risk assessments
STEPS Water allocation and water quality
objectives
Basin plan 1. Divide into mixed groups no more
Draft, Strategy, measures and action plans for the
than two people from each country and achievement of goals, including sub-basin
Stakeholder & no more than four people per group management plans
political approval
2. Examine the following lists; reflect on Financing of water use and management
the content of basin and sub-basin plans
with respect to the water resources Responsibility and schedules for
Source: CAP-NET/UNDP, 2008: INTEGRATED WATER RESOURCES MANAGEMENT FOR RIVER management functions of your country. implementation
BASIN ORGANISATIONS. TRAINING MANUAL, p.86
3. Prepare a list of similarities and differences Mechanisms for monitoring and updating
between the two types of plan. Annexes including specific studies such as
4. Specify the similarities and differences areas of significant environmental problems
in the context of the Mekong River basin
5. Prepare a short presentation outlining Sub-basin plans
your findings to the whole class
A sub-basin or land and water management
plan is a tool to enact integrated river basin
management and local levels. It includes
priorities, actions and reporting mechanisms
for implementing the overarching IRBM Plan
at the lower level of the river valley or smaller
catchment within river basins. Here planning
and management is at scales of 1:100,000. It Determinations of Management Options

includes sections or chapters on: and Specific Courses of Action
Context (a review of the historical, - development options, demand 4. Does the planning process include bottom-
economic, environmental and statutory management options (structural, up planning to address the water-related
context within which the Plan will work) and legal and economic (e.g. user pays problems and needs of local communities?
Scale (the size and level of application of the solutions); iimplementation tasks,
Plan state-wide and in districts) who is responsible, funding sources; 6.8 Session Plan 6.3: 5. How do basin and sub-basin management
plans incorporate risk assessment of
Engagement Processes - Methods used to coordination options with other facilitated dialogue and proposed projects?
government departments.
engage and use stakeholders to build the conversation mapping on
Plan; and external auditing of engagement Institutional Arrangements: Structure,
process.
five key questions Modified from: Integrated River Basins
Governance and Functioning of basin
organisations - Purpose and scope, Management: From Concepts to Good Practice.
Water Services: Statements of present OBJECTIVES Briefing Note 7: River Basin Planning and
and future needs and issues; statements organisational arrangements, composition
of present and calculations of future and representation, decision-making rules, Management. World Bank.
requirements for water services in terms funding and staffing, authority of each The objective is to ensure participants
of water demand and supply, for urban, government department understand five key elements of basin planning. TIME
rural towns, industrial, power generation A Monitoring Programme to measure The purpose of the conversation mapping n 75 minutes
and irrigation users; determinations of successes and failures of plan and provide exercise is to engage people with different
supply reliability in stochastic climatic and accountability of government investment; perspectives on water resources management
commodity environments congruence and linkages with state-wide and planning, capturing the salient aspects PREPARATION
Other water services - floodplain state of the environment reports and/or of the conversation. The trigger for the n Handouts 5 questions
management, salinity management, environmental auditing and monitoring. conversation is the five questions below. Instead
groundwater management, river of just talking, participants record the essence n Butchers paper on each table
management, water quality management of their contribution for others to then reflect on
and other key issues where appropriate. and make conclusions.
STEPS
MATERIALS
n This chapter of the Training Manual 1. Ensure the whole group has read the five
key questions above by requesting this be
n Butchers paper, coloured marking pens
done the day before
n The following Key Questions:
2. Conversation Mapping (25 Mins)
Here are some key questions to help move Participants will be divided up into
forward river basin and sub-basin planning: groups of 4-5, preferably form different
countries. Speakers will assign
themselves to each of the different
1. Has the basin organisation or the groups.
responsible water resources agency
developed a river basin or water resources Using a sheet of butchers paper, a circle
planning process? Have senior policy is drawn around the trigger idea (do
makers endorsed it? one for each question,(prepared prior
to the commencement of the facilitated
2. Are there adequate data and information dialogue session).
economic, environmental, and social for
the planning process to be effective? Is A participant starts the conversation
more targeted research needed? with any responses that they think
pertain to the question. As a person
3. Does the planning process include genuine is speaking they are recording their
participatory processes for the basin contribution on the paper and linking it
community to provide input and make with a single line to the trigger circle.
contributions?
continues on following page
Chapter 7
Each participant to have their own
colour pen, so that their contribution
is recognised. Only one person is to be
Management Tools: Monitoring

talking/writing at any one time.
Participants respond to comments
writing the essence of their contribution
on the paper linking it by a single line
to the earlier contribution it specifically
and Water Information
develops.
Management instruments are the elements a parallel technique that uses the performance
Lines and contributions gradually
branch-out from the theme as it is and methods that enable and help decision- of a similar organisation as an indicator of
explored. As each comment is made makers to make rational and informed choices performance.
it is circled in order to delineate its between alternative actions. These include
boundaries. (Process adapted from a wide range of methods, both quantitative Indicators and basin reporting can be used to
Mackenzie, 2005). and qualitative, based on disciplines such as examine and compare:
hydrology, hydraulics, environmental sciences,
3. Assimilation (40 mins) - Each group will
then be allocated 10 mins to interrogate system engineering, legal sciences, sociology The spatial and temporal variations in water
their conversation map in order to extract and economics (GWP IWRM Toolbox). cycle elements, such as water resources
what they feel are the two most important availability (m3/person/year), water use
issues/factors/comments/issues/actions This chapter deals with two management (litres/person/day).
associated with the progression of each tools: monitoring and water information (water
question. Each group will then be given 5 resources knowledge base and water resources Efficiency of water use (crop per drop or
mins to feedback to all participants. assessment). ensuring the greatest value to society per
4. Conclusion (10 mins). Drawing on m3 of water used).
comments made by the participants, the Integrated river basin planning requires several
session will be concluded by the session information management tools to inform and The efficiency and effectiveness of service
facilitator. support decision-making. This chapter outlines delivery (e.g. water costs ($/m3), numbers of
those tools. households served, area served by different
types of irrigation system).
7.1 Monitoring using key Water quality and biodiversity/ecology (e.g.

performance indicators and number of species/km2 or stretch of river,
quality of surface water).
basin reporting
Performance of water service providers
Characteristics
Performance of the river basin organisation.
Monitoring the outcomes of integrated river
basin planning is essential. It provides a means Other indicators can be developed to stimulate
of reporting to basin stakeholders of the water resource management reforms. Such
outcomes of IWRM and communicating critical indicators might try to assess links between
issues about land and water management. Water water provision and poverty, or the equity of
management indicators are an important tool in allocation of water across sectors, by looking at
the development of water policies, the setting of the social and economic value in use.
targets and goals and monitoring management
performance. The appropriate combination Indicators have a role at several levels, including
of indicators helps to show how well IWRM at river basin or catchment levels or across
objectives at the basin level are being met, and if shared boundaries and internationally. However,
necessary, can provide a tool to help reformulate a reliable data collection system that reflects
policies and programmes. Indicators support governments priorities and societal needs is
transparency and enable civil society and an important precondition. Basin organisations
governments to judge performance. They can play a lead role in monitoring overall basin
also be used for benchmarking, to encourage condition and the impact of policies (national
better performance from, for instance, water and transboundary) and river basin and sub-
service providers, and in the use of yardsticks, basin plans.
Lessons learned >>> SEE SESSION PLAN 7.1: INDICTORS AND BASIN REPORTING
Indicators are best used in clusters, as
Experience with developing indicators and a combination of indicators will better
basin reporting has shown that: present the whole story essential for IWRM.
The appropriate combination will depend
The assessment process
While devising representative indicators is on local circumstances.
relatively easy, it is often difficult to collect
consistent, reliable and meaningful data to Where indicators are used to compare DSF outputs Interpreted data Ecological impacts Social impacts Economic impacts
illustrate the performance in reaching the different regions, countries or water utilities,
desired goal. it is essential that the data elements of the
indicator are precisely defined. Delta abiotic
Although simple indicators may fail to Hydrology Vegetation
reflect important variations, they are Values of indicators or indices should be Hydrodynamics Geomorphology Invertebrates Economics
Social
powerful tools for creating awareness and reviewed critically, e.g. outlier values of Hydraulics Water quality Fish
political will. an index need to be investigated and Herpetofauna
explained. Water Birds
Lessons learned
1. Not all of the indicators pioneered under the

IBFM approach are relevant or efficient for should become one of the prime sources of
basin development planning. For the current information that informs how well the Strategy
planning process 13 assessment indicators is implemented, and guides whether it requires
were selected that are policy relevant (i.e. adjustment. Therefore, the State-of Basin would
Emerging Indicator Framework of clearly related to specific development have to be updated every five year, in advance
the Mekong River Commission objectives, user driven (i.e. understandable of a full review of the IWRM-based Basin
and meaningful to decision-makers and Development Strategy.
the public), sensitive to water resources
Description development, and can be reasonably readily State-of-Basin Reporting (Mekong Lessons learned
quantified. The selected indicators cover
the triple bottom line of economically River Basin)
To support earlier basin planning activities, beneficial, socially just, and environmentally 1. For ease of preparation, the scope of the
the MRC developed an Integrated Basin Flow sound development, as well as equitable State-of-Basin Report needs to be narrowed
Management (IBFM) approach to predict the development with respect to being mutually Description down to the status and use of water
impact of three flow change scenarios on beneficial to the LMB countries. and related resources. Indictors should
the ecological, social, and economic status of The first State-of-Basin Report of 2003 of the be agreed that can describe the status
2. Nevertheless, there are parts of the current
the Mekong Basin. The assessment process is Mekong River Commission provides in 300 of each the water-related resources, the
assessment framework for basin planning
summarized on the following page. pages an introduction to the geography, use of these resources, and the pressures
that rely on expert opinion and it is in these
hydrology, plant and animal life of the Lower on these resources, and can be easily
areas in particular that the IBFM approach
Each of the graphs 13 issues were described in Mekong Basin, as well as the social and updated every five years, based of MRCs
provides a particular advantage.
terms of a number of indicators, such annual economic circumstances of its peoples. It also transboundary monitoring programmes
3. There is scope for the development of a and the information obtained through the
low water level, number of islands at annual reviews key economic, environmental and social
coherent indicator framework that supports implementation of the procedures under
low water level, terrestrial plant productivity, several core MRC functions and products, issues related to fisheries, agriculture, forestry, the 1995 Mekong Agreement.
abundance of snails, nutrient related health such as: (i) basin planning indicators for hydropower, trade and transport, domestic
and economic value wetlands. In total 139 water and sanitation, as well as flooding. The 2. The changes and trends in the various
basin-wide scenario assessment and the
indicators were assessed by a group of preparation was a major undertaking, which indicators should be shown in diagrams
executive summary of the State-of-Basin
experts for each of the three flow situations. lasted almost 1.5 years and involved more than and associated explanation, which can be
Report, such as number of people in/out of
easily understood by non-technical basins
The results of the assessment, which were poverty, (ii) supporting indicators for sub- 60 staff, consultants and advisors.
stakeholders.
largely qualitative in nature, have supported the basin assessments and topic chapters of the
development of technical guidelines that are to State-of-Basin Report, such as dependency The IWRM-based Basin Development Strategy, 3. Possible controversial information related
support the Procedures for the Maintenance of and resilience ratios, and (iii) monitoring which will be adopted by its Council in to policies, management, cooperation, etc.
Flows in the Mainstream (PMFM). parameters for the MRC datasets, such as 2010, states that the State-of-Basin Report should be left out. Such aspects can be
demographic and health statistics. Such an better addressed in other reports.
integrated MRC monitoring and assessment
framework is currently being developed.
7.2 Water resources

knowledge base Building a knowledge base into an effective developments between line agencies, river
tool requires consistent, routine work over basin committees, and others.
large areas and many years. It also requires There is a fundamental need within the MRC
Characteristics the development of working relations and to maintain a record of existing, planned
data exchange between sector institutions and potential future water uses in the basin
This tool covers the collection and storage representing either impacts on water resources to facilitate the implementation of the
of data on the hydrological cycle (quantity or use of water resources. Thus it is important water utilization procedures under the 1995
and quality) and access to physical, socio- that data collection staff work in a co-ordinated Mekong Agreement.
economic, demographic and water use data fashion with those working on water resource Master Project Database And in the basin-wide planning process,
in a cross-sectoral perspective. The need to assessment, so that data continues to be (Lower Mekong Basin) facilitated by the MRC/BDP, requires the
share knowledge is growing rapidly in a world relevant to current problems, adequate for the storage of information of water - related
where the Internet and email allow for ease of assessments (see below) and so that data users programmes, projects, and initiatives that
interaction as never before. The holistic nature of can rely on the quality of the data. Description come from sub-area analysis and sector
IWRM requires constant knowledge exchange by reviews to support the periodic updating of
water stakeholders, and especially professional Data need to be converted into information and During the first phase of the Basin Development the IWRM-based Basin Development Plan.
water practitioners. knowledge which in turn feeds into decision Plan Programme (2002-2006), a central
support systems, assisting management in MRCS/BDP database in Microsoft Access was To foster ownership amongst the countries
Hydrological and meteorological offices addressing priority issues. developed. By March 2005, the project database and to support the processes of sub-basin and
routinely collect data on elements of the was populated with more than 300 project national planning and to integrate these with
hydrological cycle, and data links can be Lessons learned proposals. Most proposals were identified basin-level planning, it is proposed to build
established to ministries or other institutions through sub-area planning activities. on existing databases to develop a Project
with other data collection responsibilities A knowledge base is fundamental to water Master Data Base, as shown in the illustration.
(e.g. Agriculture, Planning, Statistics, Lands, resources assessment and subsequent More recently, during workshops under the The foundation of the Project Master Data Base
Local Government, and Environment). Given decisions. Basin Development Plan Programme Phase 2, will be the four compatible national databases,
agreed formats, direct downloads for use in it became apparent that there is demand for which would be housed in the national water
service programmes and GIS can be made It is essential that policy makers the developing the project database further resource management agencies. Data entry will
using contemporary data technologies and the appreciate the importance of reliable and to contain the key characteristics of existing, be made very user-friendly. Submission of the
Internet. representative data, create the necessary planned and potential water-related projects for project data will be facilitated in various ways,
institutional responsibilities and make water resources planning and management at including by e-mail attachment.
Water resource knowledge bases and links need appropriate allocations of financial and the basin, national and sub-basin levels:
to be built up considering the associated priority human resources reflecting local needs. Importance of case for IWRM
issues that have to be dealt with, such as human At the national level there is a desire to
health, ecosystems health, land use impacts Prioritisation of data needs based on key have a national database, which will serve 1. The Project Master Database will be an
and forest cover, sectoral competition for water, water issues and assessment of risks and the purpose of coordinating information important tool for basin-wide monitoring
vulnerability to floods and droughts, demand damages can help to develop political on existing and planned water-related and planning of water use, and the
and willingness to pay. An assessment of the support and resources. associated coordination and information
risks and damages involved when decisions sharing between water-related sectors.
are made based on inadequate information When data needed for water resources 2. A common format for the databases will
Figure 7.1 Proposed family of project databases
can help to determine priorities in developing assessment are collected by a number of make it easier and thus encourage the
the knowledge base. It should be noted that different organisations, their systems need sharing of information between countries
water quality is often very poorly monitored to be compatible in terms of standards, and with those engaged in basin-level
and weakly presented in knowledge bases, quality assurance, electronic access and Project Master assessments and planning.
putting such sectors as environment and health transfer. MRCS Database
National
at a disadvantage in situations where basic Basin-level NMC
database
knowledge is required. Cross-sectoral collaboration is essential to
obtain the broad knowledge base needed
for IWRM approaches.
Quality assurance is basic to the usefulness

of the knowledge base and in particular
in transboundary situations where mutual
RBCs, Line
confidence building and credibility is provinces, agencies
essential. etc
7.3 Water resources assessment WRA links to the Water resources knowledge
base and is a basic input to the planning
Characteristics process. Demand forecasting should use
and information; and provides the facilities techniques that uncover, for instance,
for collection and dissemination of data and Water resources assessment (WRA) is a tool willingness to pay for water at given prices,
information from/to national agencies and the to evaluate water resources in relation to a and further economic analysis will help
user community. reference frame, or evaluate the dynamics of reveal the true nature of competing water
the water resource in relation to human impacts uses. Demand management will also
The system is designed to detect and report or demand. WRA is applied to a unit such as influence the outcome of WRA.
failures and potential errors using a combination a catchment, sub-catchment or groundwater
Information System (IS) of the of software filters and expert surveillance that reservoir. It is part of the IWRM approach, linking Lessons learned
Mekong River Commission will check the integrity of the data vectors. social and economic factors to the sustainability
of water resources and associated ecosystems. A water resources assessment often
A comprehensive process is undertaken to Depending on the objective of the assessment, needs to be carried out in several steps
Description ensure that all critical data streams and existing WRA may look at a range of physical, chemical of increasing complexity. A rapid water
historical archives are inventoried to fully and biological features in assessing the resources assessment may help identify and
The MRC Information System (IS) is a repository integrate them into the IS. Agreements are dynamics of the resource. list the most important issues and identify
of data and information. It contains: reached with the member countries on standard priority areas. On the basis of this early
data and collection methods so that the Traditional water resource assessment aimed to assessment, more detailed investigations
Historical data and Information, which are systemic inconsistencies between data from the provide the basis for the supply of infrastructure may be required.
required for the analysis of past events in different countries can be eliminated. to meet projected needs. Assessments have
order to uncover the structure and pattern of Sound data analytical/statistical support is a much wider remit in an IWRM perspective, Assessments for large or long-term projects
the regimes in the Lower Mekong, to analyse used, particularly with regard to data validation, incorporating cross-sectoral tools such as: need to include examination of changes in
the incidence and severity of extreme events, treatment (gap filling, correction/flagging land use and possible soil degradation as
their risk of occurrence and their linkages with of error and so on), quality assurance and Demand assessment, which examines the well as climate variability and change.
synoptic and climatic conditions. Historical numerical analysis. competing uses of water with the physical
data are also required for understanding long resource base and assesses demand for Linking water resources assessment to EIA
term trends, calibrating and testing models and Lessons learned water (at a given price), thus helping to has been shown to build cross-sectoral
evaluating socio economic impacts on the determine the financial resources available linkages and heighten awareness of key
basis of past events. 1. Central to the success of the Information for water resource management. issues.
System is therefore the ability to handle
Present data and Information, which are a wide variety and large volumes of data Environmental impact assessment and Strategic impact assessment can help in the
needed for monitoring purposes, for real time dependably, deliver it efficiently and reliably Strategic impact assessment collect data on analysis of change capacity of a river basin,
assessment and prediction, and as the inputs through a quality management process the social and environmental implications to protect both quantity and quality.
to models. They are required continuously to the user community and also provide it of development programmes and projects.
and some in near real time from the telemetry operationally to software, for example in the EIA is an important tool for cross-sectoral
network for forecasting. cases of forecasting and modelling. integration involving project developers,
water managers, decision-makers and the >>> SEE SESSION PLAN 7.2: WATER RESOURCES ASSESSMENT
Future data and Information, which are the 2. IWRM requires substantial amounts of public. It can be seen as a special form of
outputs from models, needed for forecasting, historical, present and future data and water resources assessment.
post analysis and planning. information about the physical, socio
economic and environmental areas and the Social impact assessment, which examines
The comparative advantage and value-added of services enabling access and use to ensure how social and institutional structures
MRC is that it combines information from several sustainable development of the LMB. affect water use and management, or
countries, like extensive accumulated data and how a specific project might affect social
information about hydrology and environment structures.
of the Mekong River Basin; modelling tools; the
potential for contributing to improved quality Risk or vulnerability assessment, looking at
assurance and regional harmonization of data the likelihood of extreme events, such as
flood and droughts, and the vulnerability of
society to them.
Upper Basin flows (from China and Myanmar) Larger populations increase pressure on per
High Use in the Delta region: Viet Nam uses constitute around 18% of total Mekong flows. capita resources, especially land and water. It
virtually all the dry season flow that enters The proportion is higher in the dry season, when further complicates the balance between, on the
from Cambodia but this has no water quantity snow melt contributes a significant component one hand, the need to develop land and water
impacts on the other countries. of flow. The dry season flows will increase due resources for increased productivity and poverty
to the re-regulation of flows from the cascade of alleviation (and all the related aspects such as
High dependence on in-stream uses hydro-power storages now being developed in transport, roads, industry), and on the other,
(particularly by the poor): The Mekong China. acceptable protection of the basins ecology
fishery is the largest inland fishery in the world, which will need to support an increasing rural
estimated to be worth at least $US 1.4 billion Water resources development issues population.
Water Resources Assessment and annually, and providing the major protein
Key Water Resources Development source for many people in the basin. Inland In 2009, the total population living in the Lower This emphasises the importance of the
navigation is an important mode of transport for Mekong Basin was estimated at 65.7 million, relationship between resources and livelihoods.
Issues of the Lower Mekong many areas where road access is limited. the majority living in rural areas. Many of these This means close consideration of issues such as:
people are farmers who supplement what they
Water resources assessment, resources and Extreme seasonality: In most parts of the grow with the fish they catch and the food and 1. Early identification of basin wide
livelihoods Basin, flows in the driest three months constitute other materials they gather from forests and environmental consequences of
less than 10% of total annual flows; while flows wetlands. This makes the ecology of the lower development options using SEA/ CIA
The water resources of the Lower Mekong Basin in the wettest three months make up over 50% basin unique in terms of its contribution to approaches, so that protection or mitigation
are described in some detail in the MRC State of of total annual flows (see the figure below). livelihoods, particularly of the poor. measures can be included in planning.
the Basin Report (MRC 2003), in the Overview
of the Hydrology of the Mekong Basin (MRC Importance of the flood pulse for the ecology The majority of Cambodias and Lao PDRs 2. Valuation of environmental and livelihood
2005), in the Strategic Plan (2006 2010) and of the floodplain and the Mekong fishery: land area and population lie within the basin. benefits from in-stream uses of water.
in the MRC IWRM Strategic Directions (2005). During the wet season, between 1 and 4 million Moreover, nearly 40 percent of the people in
In strategic terms, important characteristics of hectares of floodplain are submerged, including Cambodia and Lao PDR living in the basin have 3. Improved knowledge about cause-effect
Mekong water resources include: the Tonle Sap Great Lake. This flood pulse in and incomes below the poverty line. Comparatively, relationships and management options for
out of the Great Lake is a very important trigger the Thai portion in the basin holds only about ecosystems.
Abundance: Annual runoff averages around 475 in the fish breeding cycle. 40 percent of the national population, while in
km3/year. Per capita resources currently stand Viet Nam, 20 percent of the countrys population 4. Identification of key habitats for protection.
at over 8500 m3/person/year which is plentiful Existing mainstream flow regime closely lives in the Mekong Delta or the Central
compared with most other international river approximates natural regime despite even Highlands. However, poverty rates are also high 5. Assessment of ecological water demand
basins. allowing for existing development. This in parts of Thailand and Viet Nam that lie within of the riverine systems of transboundary
highlights the large natural flows from the upper the basin. Projections suggest that by 2020 the nature, particularly for key locations such as
Low level of exploitation for extractive uses: basin in China and Lao PDR compared with basins population will reach 77.8 million. These Tonle Sap Lake and high value wetlands.
Water infrastructure development is limited present usage. conditions along with increased longevity mean
compared with most other large river basins. that overall population growth will remain 6. Integrated water and land use planning,
Dry season water shortages: Dry season significant. Population projections are shown in for flood plain areas of transboundary
The 2000 flood hydrograph recorded at Kratie, shortages can occur as a result of the rainfall Table 7.1. significance and consideration of impacts
Cambodia compared to the mean daily discharges seasonality, concentration of extractions in the on water resources.
for the period 1924 to 2003 driest period and drought events during the
onset of the wet season.
Table 7.1 Projected population growth of the Lower Mekong Basin
Water quality in the mainstream is generally
good, and is rarely a constraint to water use.
The exception is saline intrusion, acid sulphate
drainage and pollution in intensively used areas
of the Viet Namese Delta.
Groundwater resources are very widely used

as a source for domestic and industrial supply.
Use for irrigation is limited, but expanding.
Groundwater systems in the flood plain are
closely coupled to the river.
Figure 7.1 Profile of the hydropower cascade

on the Lancang in China
Water resources development So at the basin scale, there is as yet no

Average annual withdrawals in the LMB are statistical evidence of man-induced change
estimated at around 60,000 MCM, or 12% of to the hydrological regime of the Mekong
total annual flows. Mainstream water resources mainstream, which can thus be considered
development up to the present has mainly to be in, or very close to, its natural state. The
occurred in the most downstream portion of main environmental impacts of water related
the Basin, in the Viet Nam delta. Diversions from development to date are the problems of acid
the mainstream above the Viet Nam delta are so sulphate soils and saltwater intrusion in the
far negligible in terms of the impact on the dry delta. There also have been environmental
season flow regime on the mainstream. Existing problems on some of the tributaries, caused by
dams and storages are not significant when uncoordinated hydropower scheme operations
considered in relation to the basins average and some sedimentation from uncontrolled
flow; storage of water resources corresponds to de-forestation in tributary catchments. As
only about 2% of the average annual flow. well, there are some localised impacts from
some industries, such as mining. But these
Agriculture is the most dominant water related are localised and not so far of basin wide
sector, particularly in Thailand and Viet Nam. significance.
However expansion of the present levels of
irrigation is limited by the unavailability of However, the cumulative impacts of the planned
surplus dry season flows. In the Viet Nam delta, levels of resource development are expected to
virtually all the dry season flow is utilised. The significantly modify the hydrological regime of
hydropower potential is large and only about the mainstream over the coming decades. Water
5% of this potential has been developed to date. resources development is now accelerating, in For example at Vientiane, based on the effects between projects, and trade-offs,
Navigation is an important sector but is largely particular for the generation of hydro-electricity, modelling of the China Dams scenario, dry where benefits for one area or activity create
undeveloped in the sense that it is occurring driven by markets and the private sector, but season flows will increase by more than 30%. disbenefits for another. For example there can
naturally and so far, not as an integrated also for expanding and improving irrigated Also in the four LMB countries about 10 large be synergies between hydropower, irrigation
transport sector. agriculture, driven by food security concerns (> 10 MW) hydropower projects are under and upland watershed management - with some
inside and outside the region. construction and many more are planned, benefits occurring for all - as opposed to trade-
While the developments so far on the including 11 projects on the mainstream. Many offs between say, hydropower development,
tributary streams have had some localised In the Upper Mekong Basin, China is completing of these projects include significant reservoirs and fisheries health and productivity.
impacts, the impacts on the flow regime of its hydropower cascade on the Lancang which can further increase dry season flows
the mainstream are insignificant. The large or (Figure 7.1). In particular the Xiaowan and the through flow re-regulation. Trade-offs in particular require much analytical
macro scale of a large international river basin Nuozhadu hydropower projects, with 9,800 and work and negotiation between countries, or
such as the Mekong means that significant 12,400 million m3 of active storage are likely to There are also plans for large increases in between sectors, to find the middle ground
local impacts on flows are drowned out by cause a very significant seasonal redistribution irrigation, to improve navigation (see Table or balancing point which all key players
the overall magnitude of the basins total of flow, particularly increasing the dry season 7.2 on the following page), reduce damages and stakeholders are prepared to agree to.
flows. The impacts of land use change also water availability and opening up the possibility of floods, and improve public water supply. This requires strong IWRM understanding
become undetectable as geographic scale for major expansion of irrigation in the LMB. For example, Lao PDR plans to increase wet and capabilities across the basin, and across
of the basin increases, despite the fact that season irrigation from the current 170,000 ha institutions, and time for consultation and to
regional deforestation has been significant and to 450,000 ha and dry season irrigation from develop preferred negotiating positions. At
increasing from the 1960s. 100,000 to more than 300,000 (see the table the basin scale, integrated water planning is
below). Cambodia has considerable scope now only becoming a reality (this strategy
for agricultural development; large irrigation document is playing a key role), and there are
expansions are being studied, in particular still fragmented water related responsibilities
in the largely undeveloped Cambodian between national agencies, and development
delta, linked to major investments in flood still tends to be sector driven.
control, and elsewhere, linked to hydropower
development. Water transfers from the Mekong Trade-offs at the transboundary level will largely
have long been considered by Thailand to be about hydropower benefits from mainstream
complement national approaches to alleviate dams, on the one hand, and the disbenefits
droughts. caused by the blockage of fish migration routes
by this infrastructure. This will relate to 11 run-
Development plans of this size and scope bring of-river projects and in particular, to the 6 of
with them both synergies, or complimentary these projects that are below Vientiane. There is
also substantial irrigation expansion proposed flood levels. All the other development
within the Cambodian delta flood plain and components within the foreseeable future
the trade-offs between irrigation production scenario are likely to be able to proceed without
and improved livelihoods for some, must be any significant transboundary impacts.
compared with the loss of flood storage (from
the banked development) and the impacts on
fish movement and breeding and downstream
STEPS
Table 7.2. Planned increases in irrigated agriculture indicators and basin reporting 1. Examine the 29 indicators in the list below
encourage participants to read these the
night before.
OBJECTIVES
2. Divide the class into groups of 2-3.

n To evaluate existing basin IWRM governance
indicators, as listed below in this session 3. Prepare a SWOT analysis of the case study
plan. assessment:
a. Strengths
MATERIALS b. Weaknesses

n The hand out at this end of this Session Plan c. Opportunities

n Flip chart, paper, pens d. Threats
4. Summarise each of the SWOT components
TIME into three key items
Relevant material in other resources

n 60 minutes 5. Present the 3 key items for each SWOT
component to the whole class
6. The whole group votes on the top 3 items
PREPARATION for each component.

n Flip chart ready to record responses 7. Discuss the results.
COMMENT
The session requires the leader to ensure

that all participants:
- Understand what each component of
SWOT means
- Each participants responses are
considered
- There is adequate time to capture all
responses
S/he needs to explain these items prior
to starting the session or during if the
questions about these arise.
Indicators of IWRM for transboundary basin organisations

Source: Bruce Hooper & Associates/IOEAU Project - IWRM Indicators for African Transboundary Basin Management
bphooper@gmail.com

water resources assessment
OBJECTIVES STEPS

n To evaluate an existing water resources
assessment procedure. 1. Examine the case study in this chapter
entitled, Water Resources Assessment and
Key Water Resources Development Issues
MATERIALS of the Lower Mekong require that this be

n Chapter 7 of this Manual read the night before this session.

n Flip chart, paper, pens 2. Divide the class into groups of 2-3.
3. Prepare a SWOT analysis of the case study
TIME assessment:

n 60 minutes Strengths
Weaknesses
PREPARATION Opportunities

n Flip chart ready to record responses Threats
4. Summarise each of the SWOT components
into three key items.
5. Present the 3 key items for each SWOT
component to the whole class.
6. The whole group votes on the top 3 items
for each component.
7. Discuss the results.
COMMENTS
The session requires the leader to ensure
that all participants:
- Understand what each component of
SWOT means
- Each participants responses are
considered
- There is adequate time to capture all
responses
S/he needs to explain these items prior to

starting the session or during if the questions
about these arise.
Chapter 8 The extent to which receiving water

Management Tools: Impact Assessments Impacts of particular importance in many IWRM
projects are:
quality standards and/or other
beneficial use objectives will be
Projected quantitative changes in achieved.
availability of water for beneficial The length of stream or expanse of
uses, such as fisheries, recreation lake or coastal waters that will be
M anagement instruments are the
elements and methods that enable and
help decision-makers to make rational and
In this chapter, we will examine these activities. and tourism, potable water supply,
irrigation and industrial use.
positively or negatively affected by any
discharges, and the magnitude of the
changes in water quality parameters.
informed choices between alternative actions. 8.1 Introduction to impact Table 8.1 General definitions of different impact assessment (IA) tools and methods
These include a wide range of methods, assessment
both quantitative and qualitative, based on
disciplines such as hydrology, hydraulics, Environmental impact assessment of EIA Environmental Impact The process of identifying, predicting, evaluating and
environmental sciences, system engineering, proposed projects Assessment mitigating the biophysical, social, and other relevant
legal sciences, sociology and economics (GWP effects of development proposals prior to major decisions
IWRM Toolbox). Environmental Assessment (EA) is a tool for being taken and commitments made. The EIA is closely
anticipating the environmental effects of connected to the triple bottom line approach emphasising
This chapter deals with the management tool proposed projects, enabling the incorporation environmental, social and economic aspects.
of impact assessment. There are several types of of management or control measures into
impact assessment (Table 8.1). project and policy design. It is routinely used EA Environmental EA is a systematic process to examine, evaluate and
all around the world to improve the planning Assessment document potential impacts of proposed developments
Many river basins in emerging economies are of projects and is increasingly being used to so that they can be taken into consideration during the
experiencing increasing pressure to develop examine strategies, policies, plans, and sector decision making process, and uses the term as a collective
their water resources. This in response to programmes, when it is known as Strategic term for project-level Environmental Impact Assessment
multiple demands: more agricultural production Environmental Impact Assessment (SEIA) or (EIA), programme, policy and plan-level Strategic
for food and fibre using irrigation, greater levels Strategic Environmental Assessment (SEA). EA Environmental Assessment (SEA) and for the assessment of
of water use from increasing industrialisation is required when projects are likely to have cumulative impacts (Cumulative Impact Assessment - CIA)
and urbanisation and the need for greater significant effects on the environment. Criteria
power yields by increasing the number and size for deciding whether projects should be subject
of hydro-electric dams. to EA include: CIA Cumulative Impact CIA can be defined as a systematic procedure for
The size or scale of the project (e.g. Assessment identifying and evaluating the significance of effects from
This chapter draws directly from two resources: described by design capacities) multiple activities. The analysis of the causes, pathways
the Global Water Partnerships tools on risk including multi-objective projects and consequences of these impacts is an essential part
assessment and World Banks guidelines for of the process. Cumulative effects are the net result of
the notification and evaluation of projects. The sensitivity of the affected area environmental impact from a number of projects and
(e.g. wetlands, wildlife habitats and
Reference are included in the chapter and at the activities.
biodiversity)
end of this Training Manual.
The character or complexity of the likely SIA Social Impact SIA includes the processes of analysing, monitoring
To address this issue, river basin planning and impacts (e.g. physical impacts from Assessment and managing the intended and unintended social
sub-basin planning can: hazardous wastes or social impacts (for consequences, both positive and negative, of planned
instance in resettlement schemes). interventions (policies, programmes, plans, projects) and
- Assess the existing status of water use
and availability, any social change processes invoked by those interventions.
The basic methodology of EA is to study the Its primary purpose is to bring about a more sustainable
- Assess the development window environment in which a project is planned (the and equitable biophysical and human environment.
beyond which sustainable water baseline), describe the activities that will take
resources management is not possible
place during each phase of a project (i.e. the
- Identify current and proposed construction, operation and decommissioning), SEA Strategic SEA is usually defined as a process of anticipating and
developments, and develop their water describe the likely environmental impacts and, Environmental addressing the potential environmental consequences of
footprints where significant adverse impacts are predicted, Assessment proposed initiatives at higher levels of decision-making,
- Create and follow a proposed schedule develop an Environmental Management and evaluating the interlinkages with economic and social
of actions Plan (EMP) to mitigate them. A programme considerations. SEA aims at integrating environmental
to monitor changes from project impacts in considerations into the earliest phase of policy, plan or
- Develop risk assessment (including
environmental, social and economic environmental parameters forms part of the programme (P/P/P) development, on par with economic
assessments) of proposed projects EMP. and social considerations. SEA can consist of family of
different approaches using variety of tools and making use
- Develop mitigation strategies for of participatory process.
proposed projects
Public health impacts from chemical or long been used by social scientists for analysing feasible. Change and predicted effects use. Good economic assessment that reinforces
bacteriological pollution the conditions, causes and consequences of can be assessed in terms of levels of IWRM demands a clear understanding of the
social phenomena and social life. risk, altered amenity value, community direct and indirect impacts of proposed projects.
Socio-economic impacts (Social Impact
identity and cohesion, etc. It is a tool that identifies external impacts and
Assessment below).
SA is useful to examine the impacts of structural equity (i.e. who pays and who reaps the benefits)
reforms such as privatisation of state owned Lessons learned as well as efficiency. Economic assessment
Table 8.1. Provides a list of impact assessment enterprises, agricultural reform, reform of basic tools can be highly effective in changing the
tools and methods services, utility reform, civil service reform and SA should inform and improve the culture of water managers and increasing public
fiscal policy. It is also used for large and complex quality of decision-making. awareness of IWRM. As such they may be termed
Lessons learned projects (e.g. dams and impoundments, social change agents.
wetlands management). An SIA study will SA also has as much value for managing
The best results are often reached when EAs of consider population impacts, community/ social impacts and managing Lessons learned
the discourse of project/policy
progressive levels of detailing are mainstreamed institutional arrangements, communities in
development, as it has for anticipating
in the planning, design and implementation transition, individual and family level impacts and documenting impacts. Although When used seriously and consistently, economic
process allowing early consideration of and community infrastructure needs. often seen as part of Environmental assessment of proposed projects can provide
alternative schemes and adjustment of project Assessment, it may be better carried an objective way of choosing the best water
designs at times when most flexibility exists. SA is particularly useful for assessing: out separately from the main projects. But it can also be used cynically, e.g. to
Once the design and sitting of a development How the costs and benefits of reforms environmental studies, since specialist satisfy external funders, or to window-dress a
are complete, any further mitigation of are distributed among different skills in social sciences may be needed, pre-chosen project. Other problems include:
environmental effects will rely on end-of- stakeholders and over time. and the timescales and study areas of
the physical and social analyses may be The technocratic nature of CBA or CEA,
pipe adjustments or compensation provisions, and the use of a single number or single
and these are usually the most costly and the How specific groups such as the poor very different.
are able to cope with reforms, both criterion to choose among complex
least effective environmental management SA should focus on the ways in which projects
physical and institutional, and access
options. market opportunities people are affected rather than on
technical and. Technical disagreement among
How assets (physical, financial), practitioners (e.g. on which discount
EA facilitates public consultation by providing rate to use, on defining the without
a context in which the public can both learn capabilities (human, organisational), Economic impact assessment of proposed
economic and social relations (e.g. case scenario, or the inclusion of
about and express opinions on development projects environmental costs and benefits).
gender, exclusion) of stakeholders, and
proposals and their envisaged effects. People institutions affect policy outcomes.
potentially affected by the project can exert There are two types of economic assessment: Its use is not compulsory and its
Gender issues, assessing how womens findings are not upheld by any
influence to reduce adverse impacts, maximise cost-effectiveness analysis (CEA) and cost-
views, interests and needs to shape the legal requirements (in contrast with
ancillary benefits and ensure that they receive benefit analysis (CBA). CEA aims to select the environmental impact assessment).
appropriate compensation. decisions that affect their lives as much cheapest (most cost-effective) method of
as mens, in whatever cultural context
attaining given objectives, while CBA selects The following are preconditions for the
they live.
EA allows the consent granting authority to the project with the highest excess of benefits usefulness of economic assessment:
make better decisions, such that environmental The psychological and health effects over costs. Economic assessment techniques
experienced by individuals and the Politicians and senior administrators
(and social) costs and benefits are considered take account of all costs and benefits on a are committed to its serious use in
alongside the technical and financial costs social and cultural effects experienced year-by-year basis over the life of the project,
by communities, selecting public investments
and benefits. Conditions that ensure the most discounting future cash flows at an appropriate
efficient use of resources can appropriately be The institutional and financial effects rate. Depending on type, results are expressed An suitable guidance manual is
experienced by societies. available for sector professionals,
incorporated into the EMP. as: discounted cost per unit (e.g. of water saved
responsible officials and consultants
or of treated effluent); Net Present Value (of employed
Social impact assessment of To make the assessments, SA uses a range of the surplus of benefits over costs at a specified
proposed projects tools: discount rate); or Internal Rate of Return The policy context is conducive to the
(discount rate at which benefits and costs are selection and successful operation of
Qualitative data collection tools (focus projects
Social Impact Assessment (SIA) or Social groups, semi-structured key informant equalised). Financial and economic values are
Assessment (SA) is a tool used for ensuring interviews, ethnographic field research, usually differentiated (e.g. taxes and subsidies A range of options exists, sufficiently
systematic analysis of social impacts of a stakeholder workshops would be disregarded for economic analysis); different to give a real choice and are
proposed project, particularly if these are varied a more refined model includes environmental compared consistently. Assumptions
Surveys that capture direct impacts and the without project scenario
and extensive, and/or a proposal is expected costs and benefits.
and behavioural responses to reform, should be realistic, to avoid casting the
to attract extensive opposition. Social impacts or specific dimensions (e.g. time-use
include all social and cultural consequences to Economic assessment can be linked with project in an artificially favourable light
patterns) that affect reform outcomes
human populations of any actions that affect the participatory approaches and demand Spurious accuracy is avoided; It is
ways in which people live, work, play, relate to National survey data or statistics. While assessment, and can focus on womens issues better to be approximately right than
one another, organise to meet their needs, and it may sometimes be necessary to rely and broader health/livelihood effects of water precisely wrong.
on qualitative descriptions, quantitative
generally cope as members of society. SA has information should be provided where
>>> SEE SESSION PLAN 8.1: IMPACT ASSESSMENT Both low flows and large flows are important. n Scour estuaries thereby maintaining the link
Three dimensions should be recognised. with the sea
How are environmental lows assessed? Several
1. Low flows: types of environmental flow assessments exist
n Define basic seasonality of rivers and are summarised in the box below:
8.2 Environmental flows assessment
n Create prevailing background hydraulic
Material in this section is drawn largely from conditions
the UNEP-DHI Centres materials on ecosystem n Water depth, water velocity, wetted
requirements for water resources management perimeter
and the GWP IWRM Toolbox. n Create prevailing background chemical Methods used to estimate environmental water requirements
conditions Source: Page 18 of Schofield et al, 2003 Environmental water allocation: principles, policies and practices.
An important aspect of assessment is the so- Land and Water Australia.
called environmental flows approach i.e. the n Directly influence the habitat availability
water flow (including the appropriate variability and thus balance of species in any season Hydrology-based approaches usually rely on the use of historical hydrological data, and
regime) and water quality needed to ensure are often referred to as fixed percentage or standard-setting methodologies. They assume
an ecosystems health in accordance with the 2. Small floods: that the provision of some proportion of the natural flow regime will maintain sufficient
set of socio-political targets for the systems. n Stimulate spawning in fish of the required hydraulic habitats, and therefore the fishery or other desired ecological
Addressing the environmental flow issue is feature. They frequently attempt to define a minimum flow. Expert judgment is often
an important component in state-of-the-art n Cue for fish migration incorporated to increase the quality of the assessment.
management of aquatic ecosystems. n Re-set of river conditions
Hydraulic rating methodologies use rated river cross-sections to measure changes in
n Flush out poor quality water
However, within the wider concept of hydraulic parameters such as depth or wetted perimeter with changing flow, and relate
environmental assessment, it is necessary to n Cue for germination of riparian seedlings these changes to increased or decreased habitat availability.
consider more than just water quantity and n Sort river bed material
quality. Land issues like the characteristics of the Habitat simulation methodologies use multiple cross-sections to model habitat
upland catchments and floodplain morphology n Recharge soil moisture in banks changes, usually in terms of depth, velocity and substratum types, and may be linked
(including river beds and artificial levees and to habitat preference measures for selected biota. Holistic methodologies are designed
weirs) are also important parameters in the 3. Large floods: to evaluate ecosystem requirements, in contrast to most of the environmental-flow-
Water for Nature approach of IWRM. n Dictate the channel form assessment methodologies described above which aim to assess the flow requirements
of individual species or ecological components.
What are environmental flows? One definition n Move and cleanse cobbles/boulders in
is: Environmental flows are flow regimes riverbed Holistic methodologies employ groups of specialists from different disciplines (e.g. fish,
provided within a river, wetland or coastal zone n Deposit silt, nutrients, eggs and seeds on invertebrate and riparian vegetation biologists, social scientists, geomorphologists and
to maintain ecosystems and their benefits to floodplains hydrologists) and the final assessment is a consensus view of the flows that are needed to
people Adapted from IUCN, 2003. What is a n Inundate backwater areas meet the requirements of a variety of critical species and components.
flow regime? It is the range of flows in a river as
shown in a rivers hydrograph: n Recharge groundwater in floodplains
Mekong River Commission Procedures for the Maintenance

of Flow on the Mainstream (PMFM)
The intent of the 1995 Mekong Agreement is to promote cooperation among the riparian
countries on the sustainable development and management of the Mekong water and related
resources. The intent of the Procedures for Maintenance of Flow on the Mainstream (PMFM)
under the provisions of Article 6 and 26 of the 1995 Mekong Agreement is to cooperate on the
maintenance of an acceptable hydrological flow regime on the mainstream to optimize the
multiple uses and mutual benefits of all riparian countries and to minimize the harmful effects
(Article 1).
The PMFM Technical Guidelines provide flow thresholds for long-term planning and
for real-time monitoring purposes at 11 hydrological stations along the mainstream.
The flow thresholds provide an opportunity for the riparian countries to utilize considerable
quantities of water of the Mekong without compromising its natural flow regime.
For long-term planning purposes, the potential impacts of development plans or proposed
development projects will be assessed using the simulation models of MRCs Decision
Support System (DSF). Plans or projects are usually grouped within Scenarios, with the plans
or proposed projects added to the existing water demands and infrastructure. For each
scenario, the DSF models provide simulated time-series of water flows at each of the selected
hydrological stations on the mainstream. Subsequently, the scenarios will be evaluated with
respect to the agreed flow thresholds. A scenario or proposed development project would not
be deemed acceptable if the simulated flow transgresses the agreed flow thresholds at one or
more of the selected hydrological stations.
For real-time monitoring purposes, the agreed flow thresholds provide confidence that the
PMFM is being implemented and natural flows are being maintained at the key points along
the mainstream for meeting important economic, social and environmental needs. When the
daily monitoring shows that specific thresholds would be transgressed, investigations will be
initiated to identify the cause(s), possible response(s) and mitigation measures.
8.3 Risk assessment and 1. What principles should govern risk

management mitigation decisions? (E.g. a precautionary
approach, uniform safety standards or
subsidiarily principles, should decisions
Following environment, social and economic on risk bearing and mitigation be made
assessments of a proposed development, there by private individuals or communities or
is the need to undertake risk assessment of the professional experts, who should pay for risk
project and options within the project. Risk mitigation?)
assessments are needed to:
Environmental flows in the Songkhram Lessons Learned Analyse the nature and distribution 2. What is the appropriate scale and strictness
River Basin, Thailand of potential harms from water of regulation? These should depend on
The work of the Nam Songkhram Basin E-Flows management projects (e.g. dam the nature of the hazard and the socio-
Characteristics study continually stressed the inter-disciplinary building), policies and practices. economic characteristics of the related risks.
linkages at the core of the process and Potential harms include not only the
The Nam Songkram Basin covers an area underpinned the effort. physical effects on interdependent 3. What is the appropriate mitigation strategy?
of 13,128 km2 and is the second largest water resources, related ecosystems The option range includes complete
basin in Thailands Northeast region. The Nam An increased knowledge and understanding and other waste receiving media, but hazard avoidance, structural measures, soft
Songkhram River flows c. 495 kms to enter of the river floodplain system and how also any detrimental socio-economic hazard reduction measures (e.g. catchment
the Mekong River in Tha Utaen District of hydrological flows affect it, is a key output of impacts. This more holistic risk management), vulnerability reductions, risk
assessment is critical for IWRM.
Nakhon Phanom Province. A defining feature the E-Flows process. An unexpected output pooling, loss bearing or sharing and post-
of the Lower Songkhram River Basin is that was the realization that there are several other Inform decisions on appropriate event harm alleviation.
it experiences a widespread flood across its analogous flows occurring on and around the response levels and mitigation
floodplain each rainy season for two to four floodplain, beyond the watery flows that were strategies to deal with water related 4. What are the appropriate policy tools?
months duration that is closely connected to the the primary object of the teams attention. natural and human induced hazards These include direct government provision
hydrology of the Mekong mainstream. (resource scarcity, water quality, non- of safety, regulations, economic incentive,
average climatic events, public health,
The study confirmed and strengthened the land use planning, information provision,
ecosystems change).
An environmental flows assessment was carried understanding of the close relationship between community participation and action.
out in the Nam Songkhram Basin in 2007. the mainstream Mekong River and the Lower Evaluate the risks faced by water service
This was the first time this approach had been Nam Songkhram River Basin (LSRB), in terms of providers and regulatory agencies in 5. What organisations need to be in place? e.g.
explored in Thailand. The interdisciplinary ecology and hydrology, in particular the role undertaking their functions (design stakeholder fora, coordination mechanisms
Environmental Flows work in the Nam of flooding arising from a notable backwater and construction, operating failures, as well as hazard regulators and safety
market, financial political and legal
Songkhram River Basin was a preliminary step and occasional backflow effect on to the LSRB risks, compliance risks). providers.
towards providing data and practical tools for floodplain.
river basin and water managers at national, Lessons learned
regional and local levels to apply similar Because of the primary influence of the Mekong Conventional risk assessments link qualitatively
approaches for better outcomes. mainstream on LSRB flood timing, duration the probability and magnitude of a hazard event Sectoral and segmented risk assessments
and extent, any attempt to control flooding with the costs of consequences (expressed in can create major inefficiencies and
The E-Flows approach in the Nam Songkhram by building flow control infrastructure on monetary terms) if the event actually occurs. inequities in the allocation of risk, mitigation
River Basin combined two core elements: the Lower Nam Songkhram River or main These can then be incorporated into an costs and benefits of increased security.
- A step-wise dialogue and consultation tributaries like the Nam Oon, is likely to be economic assessment to aid decision-making.
Risk needs to be seen as a social as well
process with key actors and stakeholders futile and counterproductive, creating new and However, it is increasingly recognised that risk
as physical issue. Stakeholder preferences
within the basin and at a national level undesirable environmental impacts, which so is a cultural concept and that risk assessment must play a role in establishing risk
before and after the collection of empirical far have not been taken into account in project has to include evaluations of public perceptions mitigation priorities and practices (although
data proposals. of dread of the risk and of public priorities for these are not necessarily rational or well
- An Intermediate Environmental Flows harm reduction. There are now models in which informed).
Assessment exercise that collected field data the assessment starts with human needs and
Risk mitigation has to be viewed as
across a range of disciplines at the height of preferences, and then consider alternative an economic good; safety is not a free
the wet season flows and lowest flow period courses of action available to address these good as it inflates demand and creates a
of the dry season. This field exercise helped needs within the financial and human capital dependency culture.
to inform and guide subsequent discussions constraints that always exist.
with a range of basin stakeholders. Decisions about which hazards to address
>>> SEE SESSION PLAN 8.2: ENVIRONMENTAL FLOWS Risk management ideally needs to address five (and how and where) have distribution
equity implications and thus need to be
key questions: treated with political sensitivity.
whether they are related to water

Designing institutions which can take a quantity or water quality
holistic and demand driven approach to risk
is a complex and difficult task. facilitate any consultations, presentations, The criteria for which a project is
evaluation and site visits as requested by deemed insignificant and hence does
the MR Joint Committee for the proposed not trigger notification (size; type -
Risk reduction is not the same as hazard use; and domestic, industrial, or agricultural;
reduction; risk mitigation has to consider impact)
the reduction of vulnerability and methods record and transmit copies to respective
line agencies or parties making the Who can trigger the notification
to make loss/harm bearing easier (e.g. proposal for a definite use of water procedures the proposer, the river
insurance). through the Prior Consultation process of basin organisation, a riparian, or all of
any comments or response received from the above
The Mekong River Commission the MRC Secretariat
The format, information, and time
>>> SEE SESSION PLAN 8.3: RISK ASSESSMENT (MRC) PNPCA The Scope of Prior Consultation refers to uses
required for notification and for
including:
evaluation
Inter-basin diversion from mainstream
The MRC requires all member-countries to during wet season The criteria for extension
advise or notify of particular projects under Intra-basin use on the mainstream during The details for requesting additional
8.4 Procedures for notification its Procedures for Notification and Prior the dry season, and information who can request more
and prior consultation and Consultation and Agreement. (PNPCA). information; whether this must be
Inter-basin diversion of the surplus
agreement quantity of water during the dry season. complied with
Notification is applied for following proposed
The procedures for non-compliance
Proposed developments vary in size, impact and uses: Regarding Specific Agreement for inter-basin
with submission guidelines
type. Significant discussion and debate should - Intra-basin use and inter-basin diversion from mainstream during dry season. The
take place before deciding which projects are country (ies) that has (have) the proposed inter- The role of the basin stakeholders
diversion on the tributaries; and
sufficiently significant to warrant notification basin diversion shall notify the JC by a letter with advisors or decision makers
and evaluation. This includes defining a project - Intra-basin use during wet season on attached documents and request the JC to initiate, The role of the basin organisation
of significance in the Mekong system, where the mainstream. on case-by-case basis, consultation process for whether to participate in the evaluation
it occurs, who assesses its impacts (national Notification is undertaken in accordance with leading to a specific agreement. or coordinate the evaluation process to
governments, Mekong River Commission) The a form/format agreed by member States and be done by others; dispute resolution
policy and institutional settings must also be content of Notification includes a Feasibility The information dissemination
taken into consideration: for example, whether Study, an Implementation Plan, a Schedule, and and consultation practices and the
a basin organisation exists; whether there all available data relevant to the proposed use. confidentiality levels public hearings,
are water rights; what are the organisational Prior Consultation includes data and closed technical reviews.
arrangements for water resources management. information required for notification plus The type of evaluation to be done
available and additional technical data and 8.5 What factors need to be based on set project criteria technical,
The various funding agencies such as the World information for other member riparians to considered? environmental, social, economic, and
Bank, the Asian Development Bank, and the evaluate the impact of the proposed use upon financial.
Organisation of American States (OAS) all have their uses of water and any other affects, which World Bank Guidelines for identifying projects
notification and evaluation requirements and is the basis for arriving at an agreement. of significance suggest that core critical factors This is not a complete list of all the factors
procedures. These will vary slightly and are likely According to the PNPCA para. 5.3.1, the role of need to be considered. Each river basin is that need to be taken into account for project
to be more comprehensive than what would an NMC in Prior Consultation is to: different and a host of aspects need to be notification and evaluation, in particular with
apply to a river basin scenario. Nevertheless, inform relevant line agencies of the considered in establishing the procedures for respect to the technical and legal issues.
they can provide some guidance to basin scope, contents and form of Prior notification and evaluation. Below is a list of
organisations. Consultation of a proposed use covered some of the issues that should be considered for
by the Procedures notification and evaluation.
receive, review and check
It is important to establish the following:
documentation of any Prior
Consultation for consistency and Whether the main river system and the
completeness tributary streams warrant the same
attention
assemble and transmit in a timely
manner the proposal with appropriate The potential impacts of the project on
documents to the MRC Secretariat riparians, including magnitude
for their submission to the MRC Joint
Committee and transmission to other The main transboundary issues and
NMCs
Lessons learned agencies in each country. To date, records of

the MRCS indicate a total of 24 projects are
Identified examples of untapped potentials, covered by the 17 notifications submitted. To
which could increase the benefits from multi- date, there have been no submissions for prior
purpose hydropower for the local population consultations or specific agreements. So far the
and especially those directly affected by intended impact of the PNPCA has been limited.
the projects, are: reservoirs fisheries and Notifications mostly reached the MRCS at the
aquaculture, cultivation of the reservoir bed, Procedures for Project Notification very end of the project preparation cycle and no
Main IWRM Issues at the Project catchment management, pumped irrigation; in the Lower Mekong Basin annual reports on the PNPCA implementation
Level (Mekong River Basin) water supply; and recreation and tourism. status and effectiveness have been submitted to
Often the above additions to the project have or considered by the JC.
benefits too for the hydropower developers Description
Description and operators. For example, improved upland Lessons learned
watershed management reduces the sediment The 1995 Mekong Agreement is not an
In general, the hydropower locations in Lao PDR, accumulation in the reservoir. The cost of upland allocation based agreement (percentage or 1. The line agencies need to become much more
Viet Nam and Cambodia, have been identified watershed management should be considered fixed volume of flows or discharges), but rather involved in the implementation of the PNPCA. It
and assessed solely for the development part of the operation and maintenance cost of a more flexible formula of enabling a minimum is, after all, the responsibility of the line agencies,
of hydropower and therefore offer few the infrastructure and internalized in the price of amount of interference through simple and in particular the national water resource
opportunities for traditional multi-purpose water or energy. notification, to prior consultation where the management agencies, to manage the water
operation for flood control and irrigation. likelihood of impacting the rights and interests resources of their countries.
Therefore, it is understandable that subsequent Hydropower projects on the Mekong tributaries of all riparians may arise, to the highest standard
hydropower planning to a large extent considers are peaking projects that create wide and of a specific agreement where the proposed 2. The PNPCA needs to be complemented by
the rivers as hydraulic systems to be operated sudden variations in downstream flows, often use will impact mainstream flows, but not an IWRM-based Basin Development Strategy,
for maximum hydropower generation with little to the distress of people living downstream. necessarily interfere with the rights and interests against which country plans and project
consideration of other potential uses and the Usually it necessary to construct a low dam of other riparians. proposals can be considered. This will create
healthy life of rivers. downstream of the main dam to reduce flow confidence that water can be allocated and used
variations. The Procedures for Notification, Prior Consultation without unforeseen impacts. This should lead
The situation is amplified by the central and and Agreement (PNPCA), were negotiated to proposals being notified much earlier in the
sector oriented development and management There is a need to increase the capacity of line between the LMB countries with facilitation process. This in turn will need evaluations to
of hydropower projects, whereby planning is agencies to work together to assess project of the MRC and approved in 2003. The be timely and comprehensive. The timely and
carried out by technical specialists with limited proposals from a multi-purpose perspective, implementation guidelines were approved transparent processing of the notifications by
on-site knowledge of the present utilization of and learn to appreciate the potential benefits of in 2005 and provide responsibilities to MRC the MRC will make it easier at the national level
the river systems and limited understanding of multi-purpose projects at the national and local bodies only. The Joint Committee (JC) over to attract funding for projects, since project
the social, cultural and environmental values of levels. sees the implementation, the National Mekong developers are provided some certainty as to
the river systems to the local population. Committees (NMCs) collaborate with the line the water resources management processes
The water resources management agencies agencies and submit the notifications to the against which proposals will be judged.
The resulting single-purpose projects may be in Cambodia, Lao PDR and Viet Nam need to MRC Secretariat (MRCS). MRCS reviews the
less economically beneficial and efficient than support the energy sector agencies to review notifications for completeness and transmits 3. There is a need for joint learning and sharing
multi-purpose projects and they often increase and update sector plans and projects, which in copies to all JC members for their review of views in an informal setting to complement
the adverse effects downstream and upstream the past were approved by governments, taking and comments. No duty or responsibility for the formal negotiation and drafting meetings,
of the project. into account recent changes in the policy and technical review of the notifications has been in order for all participants to fully understand
legal framework. delegated to the MRCS. and appreciate the topic under consideration
and bring out their particular knowledge on
Implementation of the PNPCA began through the subject for innovative discussions. This will
the NMCs in contact with the relevant line enhance the implementation of the PNPCA.
8.6 Key questions Should specific schedules to the basin

agreement be prepared, agreed, and
attached to the basin agreement to detail
Is one of the roles of the basin organisation
the role and functions for notification and
or relevant water resources agency to
evaluation?
evaluate the basin-wide impact of new
development proposals? Has it been specified how stakeholders and
civil society are to be involved, what are
If not, how can these evaluations be
General provisions of what Specification of the policies, guidelines, goals,
undertaken so that all administrations
their participation and objection rights, and
information is typically included and targets against which the project will be what procedures should be followed?
within the basin (states, provinces, counties)
evaluated
in a Notification and Evaluation Advice of results of evaluation for:
are confident that their interests are being
Source: Integrated River Basins Management: From
considered?
Protocol Concepts to Good Practice. Briefing Note 9: Notification
- Acceptable proposals If notification and evaluation of particular and Evaluation of Projects of Basin-wide Significance.
- Unacceptable proposals projects has been mandated, does the World Bank.
Chapter 1. General Provisions legislation, legal agreement, or set of
Purpose Advice to stakeholder groups regulations provide clear powers for
Role and responsibilities Appeal processes if the proposal is not the basin organisation to undertake the
acceptable evaluation work? >>>
SEE SESSION PLAN 8.4: ROLE PLAY BRINGING
- Basin organisation
- Basin partners IT TOGETHER PROJECT NOTIFICATION AND
- Member-state/province EVALUATION, ENVIRONMENTAL FLOWS, STAKEHOLDER
Area of application of these procedures - Stakeholders INVOLVEMENT AND IMPACT ASSESSMENT
General obligations to comply
Obligations to consult with stakeholders Chapter 4. Request for Information
and civil society Additional information relating to a notification
Information for a proposal that has not been Relevant material in other resources
Chapter 2. Project Notification submitted for review
Obligation to notify of a specified project Appeal against decision to request:
Format and timing of notification - Further information
Type of projects
Basin organisation to advise all members of - Notification of a new proposal
any notified proposal
Chapter 5. Disputes, Penalties, and
Chapter 3. Project Evaluation Interpretation
Procedures for the basin organisation to Dispute process
follow in: Penalties and sanctions for refusal to comply
- Collating information Interpretation of schedule
- Making technical assessments:

undertaking impact assessments of
proposed projects (environmental,
social and economic assessments)
and risk analyses
- Determining time necessary for
evaluation
In plenary, ask the participants what storage facilities. This will be the first refuelling
assessment means and why assess impacts station on the Mekong.
in water resources management. Write
definitions on coloured cards and talk A housing compound for 10 full time staff will
through each one. be constructed 100 m from the riverfront. The
Have a discussion on the use of the impact housing compound will contain five duplex
and assessment concepts. housing units, a small recreation hall and
8.7 Session Plan 8.1: Lion Refuelling Co. Ltd. restaurant. Just above the landing, LRC will
impact assessment 45 min: construct a row of twenty 4x5 market stalls for
Break into small groups of 4. You work for the Ministry of Water Resources in rent to traders. LRC will also build a small clinic
your country. The World Bank is developing a and pay for a full time doctor. Significant forest
OBJECTIVES Ask participants to read a short case study new project and the Ministry has asked you to will need to be cleared to build the housing and
(if not provided the day before) on a assess the projects environmental, social and market stalls.
At the end of this session the participants will be hypothetical situation. Review the details of
able to: economic impacts (both positive and negative).
the case study if needed. This can be done
Water for the housing compound, market
Understand what the concept of impact by explaining the key points.
n
Read through the case below and working in stalls, clinic and landing facility will be pumped
assessment is and to list some examples Groups should discuss the study together your group answer the questions and decide from the Mekong River and treated in a small
from the Mekong Basin and agree jointly on the findings. whether this project should be approved. treatment plant. Currently local communities are
n Identify impacts from a case study and ways In small groups, participants will need to drinking water directly from the Mekong River.
in which to assess them answer the following questions: The Lion Refuelling Co. Ltd. (LRC) is a joint
venture between Thai, Chinese and Lao
o What are the likely impacts from the
MATERIALS proposed project? Provide both a list of companies. The partners anticipate an increase During Phase 1, fuel will be shipped to the site
n Flip charts both positive and negative impacts in in commercial shipping on the Mekong River in tankers and pumped from the landing to the
the areas of environmental, social and (between China and Thailand) and wish to storage facility. A single lane, all weather road
n Marker pens economic. establish a refuelling station upstream of Huay will be constructed from the site to Huay Xay
Coloured cards Xay, Lao PDR in a small fishing village, which and link to Road Number 3 in Lao PDR. Land will
n
o How would you assess these impacts?
is critical habitat for the Mekong giant catfish. be cleared and some villages will be relocated to
n Case Study description o Would you recommend this project It is expected that other important fishing make way for the road.
n Mekong map for approval? If not, what would you areas would be impacted and the Mekong Kai
recommend needs to be improved (e.g. (seaweed) would be lost. Procurement of materials and supplies will
n Copy of the IWRM Planning Cycle further studies? Change in design?) benefit Chinese, Lao and Thai companies. LRC
15 min: The companies chose this location because expects to employ up to 100 people during the
TIME In plenary, ask each group to present their they were able to obtain a good lease on the construction phase of the project. Many Chinese
n 90 minutes impact assessment findings, their decision riverfront at a reasonable rate. Furthermore, will be involved in the construction phase. The
about the project and reason for that this stretch of riverfront (along the Mekong) is company will employ ten full time people at
decision. suitable for construction of a landing for large the site and provide part-time and occasional
PREPARATION boats. The site is easily accessible from Chaing employment for nearby villagers.
After each group presents, ask for questions Rai on the Thai side and the village of Huay
n This session requires that participants or comments.
read the case study in advance and Xay on the Lao side. However, the planned LRC is committed to sustainable development.
work together in multi-country groups. Discuss any difficulties that the groups may development is just downstream of serious bank Before they begin construction on the site, an
Participants will need to talk through issues have identified in identifying or assessing erosion on the Lao side and a major port (Chiang environmental impact assessment needs to be
and impacts and determine assessment impacts. Saen) on the Thai side. developed.
techniques before making a decision on a 15 min:
project In Phase 1 of the project LRC will construct a We would like you to review the information in
Close the session by identifying on a
map of the Mekong places where impact 50 m landing for refuelling boats. Fuel will be the case study and advise on any measures the
STEPS assessments have occurred. Remind piped to the landing. This pipe will contain shut company could take to minimize environmental,
participants of the numerous different off valves every 50 m to minimize leakage in the social and economic impacts and maximize the
15 min: types of impact assessments being event of a rupture in the pipe. The latest safety benefits to local people.
carried out in the Mekong. That many of equipment will be used in the pumping and
Introduce the session on impact these assessments are being carried out
assessment. by different actors in an uncoordinated
In plenary, ask the participants what manner. Finally, explain the importance of Questions for group discussion:
impact means? Write the definitions on doing impact assessments and when they What are the likely impacts from the proposed project? Provide both a list of positive and
coloured cards and talk through each one. are carried out within the IWRM planning negative impacts in the areas of environmental, social and economic.
There will be multiple definitions of impacts. cycle. How would you assess these impacts?
Would you recommend this project for approval? If not, what would you recommend needs to
be improved (e.g. further studies? Change in design?)
management. Note down the responses on

a flip chart or white board.
3. Break participants into small groups based
on geographical localities so that each
group can work on a common (and known)
river system. The exercise will be much
8.8 Session Plan 8.2: STEPS 8.9 Session Plan 8.3: easier to complete if the participants have a
environmental flows risk assessment specific location or example that they have
good background knowledge of.
Work in groups of 2-4 and:
4. Outline the exercise to participants
OBJECTIVES Prepare a first list: what are important OBJECTIVES indicating that 4 steps will be taken to
n To introduce trainers to principles of ecosystem services supported by At the end of the session participants will be explore the potential social, economic and
environmental flows assessment and its use environmental flows in your basin able to: environmental risks from climate change to
in IWRM. Prepare second list: what are the trade offs IWRM:
n Use a very simple risk management
between water used in a reservoir and water planning tool to assess the social, - Step 1: Ask participants to brainstorm
released for environmental flows environmental and economic risks all the possible risks associated with
MATERIALS climate change that will influence
What will be your advice to the Minister of associated with any planned water
n Paper, pens Water Resources in your country? management intervention. IWRM in their particular river system.
Each identified risk needs to be written
What will be your advice to the Mekong onto one index card and each group is
TIME River Commission? MATERIALS to consider social, environmental and
What will be your advice to fishermen who economic risks.
n 60 minutes n Flip charts
use the river as their food source? - Step 2: Each group is then to identify
n Marker pens
Prepare an outline (just subheadings) what they consider to be the three
PREPARATION Glue or sticking tape most important risks for the social,
of environmental allocation strategy n
Flip chart to record answers within an overall IWRM basin plan or environmental and economic groups.
n n Index cards
strategy for a specified location. Three key - Step 3: For each of the three most
understandings for a case study can be important risks, each group is to place
developed: TIME them in one of the quadrants of the risk
1. How altered flow regimes affect riverine n 1 hour and 30 minutes assessment matrix.
health and how to achieve optimal - Step 4: Each group is to develop up a
riverine health in significantly altered risk management strategy based on
flow regimes PREPARATION
the assessment of each of the risks
2. The specific socio-economic issue of n Outline the steps of the exercise on a flip against livelihood and impact. When
property rights chart (see Step 2). participants are considering strategies,
refer them to the strategies outlined in
3. Justice issues of people being denied n Draw a risk management matrix on a flip the Session Support Material.
access to river flows chart (see Session Support Material - 1)
5. After introducing the exercise, seek
Report back to the whole class with your n List possible risk management strategies on questions or clarifications from participants.
observations a flip chart (see Session Support Material Allow 45 minutes for the exercise.
2)
6. At the conclusion of the small group work,
STEPS get each group to report on their outcomes.
7. Initiate a discussion around the following
1. Introduce the session by indicating that guiding questions:
one of the key issues in developing long- What were some of the main risks that
term basin management strategic plans were identified that would negatively
is to assess risks, such as those posed by impact on IWRM in the region?
floods, droughts or other natural disasters,
and to devise measures to stop or reduce What groups of people would mainly
these risks. For example, it is becoming be impacted by these risks and what
increasingly important to plan for the risks strategies do you think they could
posed by changes in climate. employ to over come these risks?
2. Ask participants what are the economic, What were some of the common
social and environmental risks associated strategies suggested to overcome the
with climate change for water resource identified risks from climate change?
STEPS
Risk Assessment Matrix
1. Distribute the Big Hydro material the day

before and request it be read prior to the
session
2. Allow 2-3 minutes for participants to
role play bringing it together identify the stakeholder they wish to role
play
OBJECTIVES 3. Select a river manager s/he will be the
final decision-maker who decides water
Many water resources management issues allocations including environmental flows
require practitioners to deal with complex
situations in which they use several IWRM tools 4. Request the role players work out their
simultaneously. The objective of this session bargaining position - allow at least 20
is to role play a hypothetical case and for the minutes for this. The participants need to
participants to appreciate the importance of: identify what is there bargain starting point
as well as what they will compromise to in
- Notification order to achieve a final equitable solution?
- Environmental flows assessment Ensure the role players can state these
positions clearly
- Stakeholder involvement
5. Role players then present their
- Impact assessment bargaining positions to the river manager
Note: This session is best done once all the 6. Bring in the river manager get him/her
materials in the above four topics have been to provide a final decision, including reasons
covered in class and does not need to occur in why this decision was made
the presentation of material in this chapter. It 7. Discuss together in class: What is the final
can be presented at the very beginning or at the solution? Has everyone won? Are there
end of the overall training session. winners and losers? Are all benefits shared
equitably?
MATERIALS
Under the MRC PNPCA, discuss if this
n Print outs of the following Big Hydro case role play example does or does not
material quality for action.
If the role play example qualifies for
TIME action under PNPCA, what are the first
two or three steps (use the Focus Point
n 60-90 minutes on page 146) that you would undertake
Hard strategies - infrastructure Soft strategies institutions, technologies under:
and technology: and management systems:
PREPARATION o Notification, and / or
Traditional water storage Demand management;
systems; n Printout of the Big Hydro case material o Prior Consultation
Efficient technologies;
Flood proofing;
Establishing a culture of conservation;
Storage management;
Managing water scarcity through trade;
COMMENTS
Early warning systems;
Land use planning;
Integrated water systems and
Education and communications. This is a complex but perhaps realistic
supply security;
water resources management issue. Care
Water reuse and desalinisation. is needed to allow time for participants to
discuss the issues for a considerable time
before they adopt role playing positions.
Allow at least 30 minutes to discuss the
material.
Invasion of a salt wedge at the river mouth part of a move to efficiency - a key IWRM goal. Role play is a useful device for trainers.
Role Play: The Legend of Big where it enters the Great Big Sea, with a This involves corporatizing hydro-electricity
Hydro - An IWRM role play on the decline in coastal tourism production by creating new water companies It stimulates trainees to:
which are partially government owned. Big
impacts of dams, water reform and Reduction in breeding waterholes, and
Hydro now makes money and doesnt cost
- Understand what a stakeholder is
environmental flows on livelihoods subsequently declining fish populations - Learn stakeholders positions/opinions
which are used by over 25,000 local taxpayers anything. Many politicians in the Big
Hydro area are happy because of this. on an issue
fishermen
- Appreciate others point of view
Declining fish populations due to altered In 2009, the three provincial governments
fish barriers created by changed flows the - Understand the complexity of water
who share the Y-Me River basin agreed to 21% resources management issues
fish barriers and piles of sediment in the
river caused by low flows the pools behind of annual natural flow being financially
facilitated and secured for return within - Show how IWRM provides a solution
the barriers also fill with human waste through bargaining to achieve a
10 years of corporatisation of the hydro
Significant loss of a rare and endangered scheme, with an additional 7% of returned coordinated solution
water bird, the Long Neck Crane found annual flow to be made available later, subject
only in River Y and which used to breed in a to private investment. So far, this has worked. Lets role play!
Ramsar wetland on River Y
The government bureaucrats are pleased and Become a stakeholder. What is your
Loss of species habitat (e.g. fish and bird taxpayers no longer have to pay for Big Hydro bargaining position with the river
populations have severely declined on the (as it sells its water and electricity and makes manager?
flood plains next to the river these dont money). Consequently, the price of electricity
flood any more) has gone up for pumping water by Y-Me paddy Who is the river manager (decides
water allocations including
farmers who use groundwater which was once environmental flows)?
recharged by Y-Me River.
What will you bargain to get an
For the 10-year period during which 21% equitable solution? What will you do?
The White Mountains Hydro-Electric Scheme is a of annual natural flow will be reinstated, What will you say?
cooperative scheme shared by three provincial two of the provincial governments have What is the final solution? Has everyone
governments in Somewhere Land that produces committed $150 million to source the required won? Are there winners and losers? Are
electricity and increases the security of water 214 GL (gigalitres), predominantly through all benefits shared equitably?
supply along the Yin-Yang River. water efficiencies. It is anticipated that a joint
government enterprise will be established
Big Hydro is a dam on the Y-Me River on the to oversee expenditure of these funds and the
other side of the drainage divide to the Yin-Yang reclamation of water for the Y-Me.
River. It provides water by pumping from Y-Me
River over the drainage divide into the Yin-Yang A significant increase in water temperature Looking to the future, the availability of three
basin for downstream irrigated agriculture. harming in stream biota (animals) and water years of extensive, pre-environmental flow,
There are about 75,000 paddy farmers using quality riverine health data provides an excellent
this diverted water. They have a secure water Prolific sedimentation and macro-algae foundation for broad research - assessing the
supply and are improving their farm incomes. matting effects of environmental flows on channel, fish,
Life has never been better for the farmers of Loss of a regular snowmelt fresh water water - quality and weed management. Many
Yin-Yang Rivers. They are model farmers to the supply to the indigenous people, most of professors see this as a great opportunity to
rest of Somewhere Land. Many have won best whom are fisherman and have lived here for become environmental flow experts.
practice awards for farm improvements. over 1000 years
But ....... will water-dependent livelihoods be
Lost recharge capacity to shallow aquifers
Big Hydro was completed in 1967. Since then sustainable for Y-Me River residents?
on the lower catchment floodplains,
flows have dropped below the dam wall to 1% and subsequently negative impacts on
of annual natural flow. The environmental agriculture - over 100,000 paddy farmers What is Role Play?
impacts of damming Y-Me River have been are losing their ability to irrigate from In a role play, participants take on the role
substantial and include: groundwater supplies). of different actors in a water resources
Significant reduction in the size of the management issue. Role plays can be used to
river channel and changes in the channel The good news is that there is a lot of water act out their beliefs and bargaining positions in
geomorphology from a continually flowing reform in Somewhere Land. The provincial a water stakeholder conflict.
river to a chain of pools governments have implemented water reform
as directed by national government. They have
Channel infestation with nasty weeds
begun partially privatising the water sector as
Drainage divide inter-basin transfer BIG HYDRO DAM: Chapter 9

Basic Training Skills and Knowledge
from Why-Me to Yin-Yang Basins Sells water
Sells energy
YIN-YANG
RIVER BASIN
- A RAINFALL Y-ME RIVER
DEFICIT BASIN: A 9.1 Introducing training and A safe and open environment is needed and
REGION RAINFALL time should be spent on getting to know
learning participants and build group norms.
Adults therefore learn best through a
River Y-Me current allocation Introducing the principles of adult Learning combination of methods that link their
= 1% of annual flow experiences to the testing of new knowledge
Adult learners will come to a training and skills. Active participation session where this
programme with a vast amount of previous can happen is therefore very important.
knowledge and experience that they have
YIN-YANG RIVER BASIN: MANY IMPACTS FROM gained throughout their lives of which training Adults will therefore learn when it is:
PROPOSED NEW will only be a small element of this learning
Receives water from Y-Me LOW FLOWS Self-directed: Adults can share responsibility
ENVIRONMENTAL FLOW process. In acknowledging this, consider:
River, since 1967 [RELEASE FROM BIG HYDRO] for their own learning because they know
Background enabling their own needs
75,000 paddy farmers TO RETURN 21% OF ANNUAL environment: Adults decide for themselves what is
expected to make 214 GL NATURAL FLOW OVER 10 - Reform of water sector important to learn. Give adults a say in Fills an immediate need: Motivation to learn
water use efficiencies every YEARS towards irrigation efficiency the training agenda. Include a session on is highest when it meets the immediate
year under new water reforms - Reform of water sector expectations. needs of the learner
privatize water sector by Adults draw from past experiences and Participative: Participation in the learning is
corporatizing hydro-schemes like their learning to be focused on their
FIGURE 1. THE WATER RESOURCES MANAGEMENT SITUATION IN active not passive.
- At least 40 years experience own specific situations. Refer to those
THE BIG HYDRO REGION OF SOMEWHERE LAND of build and operate water past experiences and encourage exchange Experiential: The most effective learning is
utilities among trainees by working in groups and from shared experience; learners learn from
- Move to start environmental by asking them to link things to their own each other, and the trainer often learns from
flows working situations. Use reflection exercises the learners.
and provide specific real-life, working Reflective: Maximum learning from a
examples. particular experience occurs when a person
Adults question the truth or usefulness of takes the time to reflect back upon it,
information they receive. Before a session draw conclusions and derive principles for
explain the need and usefulness of the application to similar experiences in the
session for the participants. future.
Participation in learning for adults is Provides feedback: Effective learning
voluntary. If they are convinced of the requires feedback that is corrective but
usefulness of material they are more supportive.
motivated. Shows respect for the learner: Mutual
respect and trust between trainer and
learner help the learning process.
course the learners will represent a mixture of Learning is evidenced by change changes in
Provides a safe atmosphere: A cheerful,
these different styles. The trainer therefore needs behaviour, knowledge, understanding, skills,
relaxed person learns more easily than one
who is fearful, embarrassed, nervous, or to develop training methods that emphasis all interest, values, awareness or attitudes. To
angry. 4 learning styles or else the effectiveness of the facilitate these changes, learning activities need
training programme, for all learners, may be to be selected specifically to encourage learners
Occurs in a comfortable environment: A limited. to engage with the material and become active
person who is hungry, tired, cold, ill or and excited about the material learners
otherwise physically uncomfortable cannot
How to use this knowledge of learning need to offer ideas, raise questions, build on
learn with maximum effectiveness.
styles and problem based learning during a one anothers statements and challenge one
training? anothers opinion. Adult learners need to work
By understanding and applying the above with and learn from other participants.
principles, the training can be tailored to be Vary training approaches and methods to
more effective for all learners. try and accommodate all learning styles; During a participatory training programme, the
trainers job is to structure and facilitate rather
Try to design the same session using than deliver information, explain or provide
Introducing problem based and different approaches to encourage yourself answers. Trainers initiate discussion and then
to think more creatively;
experiential learning draw in the trainees. They amplify some trainees
Try to walk through all 4 phases of the comments and summarise others; they compare
Activist learning cycle for each new topic; and connect separate remarks and point out
Problem Based Learning Learns best by doing using methods like Select various teaching methods that will be opposing views. They draw the threads of
attractive to all learning styles; and discussion together and relate them to the
Problem based learning ensures that training Group discussion workshops objectives. Participatory training
Present learners with a realistic situation,
matches real-life needs and allows learners to Projects approaches emphasise the process of inquiry,
problem or case and get learners to work in
acquire skills in using essential information in groups to: and therefore participatory training approaches
Role play
decision making processes for the analysis and often end with questions as well as conclusions.
solutions of problems. Problem based learning Simulation n Brainstorm the key issues based on
builds upon adult learning principles and can their experiences (experience) Traditional Teaching
serve as a core training approach as it stimulates Reflector n Generate a rich array of possible Teachers role is to tell students what they
learners to reason, think critically and consider Learns best in situation where can observer explanations or approach to solving the need to know
differing scenarios of options. or reflector: problem (reflect)
Teacher is more knowledgeable and
Brainstorm on own experiences n Critically consider each of the possible experienced than students
Experiential Learning solutions through reasoning and
Reflecting on a simulation or role play prioritising (conclude) Teacher shares his/her knowledge with the
Tell me I forget, show me I remember, students by lecturing
n Come to a conclusion through
involve me I understand. Pragmatist Students are passive, just listening and
testing or seeking further information
Ancient Proverb Learns best from specific examples and own (practice) taking notes
involvement such as Students learn the right answer from their
Building upon adult learning principles and
Exercises teacher
problem based learning, experiential learning 9.2 Participatory training
is a four-stage cycle based on experiences (do it
- experience), reflection (reflect and think about Theorist Many of the principles of participatory training Participatory Training
it), concepts and ideas (conclude - think about Learns best by self-study such as draw on theories of adult learning which Trainers role is to ask questions and to
how to apply it), and active experimentation or stresses that adult learners need opportunities facilitate discussions
practice (try it out - practice). Home work to think, to understand and to apply.
Both trainers and trainees are
Analysing case studies
For a learner to be fully effective they need to knowledgeable and experienced
To learn by thinking, trainees need to
move through all four stages. have responsibility to work out their own Everyone must reflect on her/his own, then
Although everybody has an overall preferred conclusions. share their ideas, experiences and expertise
Based on the experiential learning cycle four learning style, the choice in a specific situation Trainees are active and analytical, asking
main learning styles have been identified: might be different depending on the task and To learn by understanding, trainees need to
relate the learning experience to their own questions and exploring alternatives
the topic. However it is important to understand
values, beliefs and previous experiences. Trainees develop their own answers.
that learners will have different styles or
To learn by applying, trainees need to use Indeed, there may be many different
preferences for learning and in every training
and test a new skill and receive feedback on answers.
their performance.
1. Facilitating the contents by: their feelings, ideas and values; to focus Managing conflicts: the ability to resolve
When facilitating a training programme, the on roles rather than on personalities or conflicts by negotiation and mediation
objective is not to take the role of the expert; Presenting new information and
competence
rather facilitate the group to learn by allowing material for the group to consider Modelling: the ability to include yourself
Basic communication skills: the abilities of as a model in the group, responding
the learners to bring forth their own expertise, Demonstrating new techniques or skills
active listening and observing, questioning, spontaneously, without being idealistic,
shaping this experience within the context of Setting tasks and activities for the probing, creating dialogue, paraphrasing, posing as an expert.
the new knowledge and skills being explored group to explore giving feedback,
and helping the learners to discover their own
solutions. Identifying themes or common thread Diagnosing: the ability to define
in a discussion the problem and choose appropriate 9.3 Training design and session
intervention
This is a different model of training to the Summarising, documenting and planning
more traditional approached which have been organising the ideas generated by the Supporting and encouraging: ability to
strongly-trainer-centred. The facilitator requires group. provide verbal and nonverbal indicators of Presented is a simple training design cycle
significant expertise in the subject area, but encouragement, appreciation and caring. in which each phase must be systematically
rather than going into prove how cleaver 2. Facilitating the process by: Challenging: the ability to confront, to considered for the full learning outcomes of any
and knowledgeable they are, the facilitator disagree, to stop a process without being training programme to be realised.
should have the intention of highlighting how Modelling appropriate learning rude
cleaver and knowledgeable the learner is. This behaviours
represents a significant difference in terms of Making sure everyone gets a chance to
the behaviours a facilitator will demonstrate. participate and provide input
Monitoring group process and
The trainers role performance
A trainer during the same training, or even the Providing additional guidance as
same session needs to play many different roles, required
depending on the setting of the training, the Identifying feelings that are interfering
purpose of the session, the type of participants, with the groups work
the group dynamics and the training context. Helping members to express and deal
with conflict.
Every trainer needs to find her or his own
style as a trainer, balancing all these different In changing from a more traditional trainer-
tasks. Each trainer has their own strengths and centred approach to a strongly learner-centred
weaknesses in carrying out these different roles. approach, some learners may feel a little lost.
Some roles will be easier to perform, while on This is especially the case for some adults
others you will have to work harder. who have not engaged in formal learning for
a long time or are use to an approach where
the trainer lectures and spoon feeds the
Delegator Learner group by providing all the answers without an
Entertainer Evaluator opportunity to think and reflect on the new
Leader Facilitator material being delivered.
Teacher Lecturer
Observer Interpreter An important skill a trainer may have to cover
Organiser Listener with a group of learners is learning how to
Time keeper Moderator learn. Some important attitudes and skills
Negotiator Designer needed to be an effective facilitator of learning
Role Model Manipulator programmes are:
Instructor Motivator Openness: the ability to invite dialogue,
receive feedback, and be prepared to
examine your values and opinions and to
So when conducting training, the trainer has change them, if necessary
two key functions to carry out:
Sensitive/empathy: the ability to pick up
implicit messages; to see problems through
the eyes of the participants; to understand
Prepare the introductory material A training strategy explains, based on certain It is important that your training strategy
Although, initially it may appear strange to assumptions, how we want to achieve be based on the outcome of your training
plan an assessment at the very start of the Prepare the conclusion our training objectives, using activities or need analysis, the learners profile and their
training design process and before you know Prepare training aids methods suitable for target group, taken into organisational goals and the organisation
what you are training in, this practice insures consideration the context or available resources. supporting the training and their sector
Prepare the lesson plan
that the training is going to meet the outcome In other words a training strategy determines development goals.
as opposed to making the outcome meet the Rehearse how we package the identified training needs
training. Prepare the venue into a training programme in order to meet How to assess your training strategy?
these needs. A training strategy is important,
Hence, when designing and developing because 1. What are the underlying assumptions?
and training programme, you need to work It explains why a certain combination of
backwards by following the steps listed below. Training strategies methods and means is selected to reach
2. Do you think that a programme based on
this strategy will be effective in the present
Determine the learning outcome specified objectives. context and under the conditions given?
In developing up the content and structure of
Study the subject material It explains why emphasis is given to certain Will it realize the desired changes?
any training programme, it is important that
type(s) of training events and supporting 3. Will the training strategy lead to an efficient
Design the assessment there is consistency with training and sector
activities. training programme? Does the plan use
strategies and links between activity levels.
Prepare the body It explains how a particular set of objectives minimum inputs to realize the required
can be achieved given a specific target changes? Is the programme realistic in
group, available resources, working its assumptions regarding availability of
conditions and socio-political context. financial, human and other resources?
It makes the assumptions regarding to 4. Does the strategy relate well to the
learning and change explicit. characteristics and conditions of the
potential participants?
Below are a variety of training approaches that 5. Is the plan flexible? Will it still work under
can be bundled together to form a coherent scarcity conditions?
training strategy:
International training
9.4 The training agenda
National training
In-service training When deciding on what contain within a
training programme to focus on, ask yourself:
Training of trainers In order to achieve the learning outcome, what
Participants as co-facilitators must the participants know? What is the core
Long-distance learning through radio, material?
television, audio and/or video tapes and
computer programmes
Individual self study, self directed learning
Contract learning
Apprenticeships
Internships
Coaching
Classroom training
Field based training
Outdoor survival training
Study tours
Exchange visits
Building networks
Peer feedback
Roving training/ workshop, information
market
Writers workshops
The purpose of a trainers agenda is to create To oversee the big picture while handling The nature of the training day and week rather than the process of the session itself and
a master plan so that the core content is the details of each learning moment is taken into account: slack periods as such should answer three questions:
introduced and explored by participants in a after lunch, fourth day in the week,
Self-confidence that allows you to be Friday afternoon feelings etc. 1. Performance: what should the learner be
logical and systematic way. It is only for the able to do at the end of this session?
creative and to take risks
trainers, but is a very practical tool because it Opportunities for humour and fun
provides you with a clear overview and makes it To be flexible and open for changes if things are included such as icebreakers, 2. Conditions: under what conditions must
possible to: go wrong or if a better opportunity presents openers, art, music, puzzles, games and the performance occur?
itself as the training goes on. movement. 3. Criterion: how well must it be done?
Check the training has a logic flow over the
weeks and days The more threatening activities (role-
Training is both exciting and, at times tiring plays, fish bowls, and certain types Using verbs or doing word when writing
Check that the training objectives are met in and that is why the design phase is so of energisers) take place later in the learning objectives increases the strength of any
the allotted time challenging. The task of sequencing learning programme. learning objective by ensuring performance can
Assess the variety of training methods events is part logic, part experience, part Adequate support materials are be measured.
Assess whether the timing of the sessions is intuition and part good common sense. included for each session, such as
feasible or not Sequencing, or deciding what comes next, is worksheets, instruments, and quizzes to Verbs for knowledge
both a micro and macro concern. The trainers check understanding. apply assign average
Share your design with peers, to receive agenda is a tool to work form the macro down classify compare conclude
feedback and improve on it to the micro level. The agenda of a training programme is a basic contrast decide define
Share with co-trainers and resource people, component to learning effectiveness and is why demonstrate design diagnose
so that they can better prepare themselves. How to develop a trainers agenda? the design of any training activity needs care. differentiate discuss distinguish
estimate evaluate examine
Provide enough time to open and explain identify illustrate
close each day, to refresh, to energize, There is no one way of learning and therefore interpret justify name
to summarize, link and provide the there is no one way of developing and 9.5 Setting learning objectives prepare qualify rate
opportunity for daily feedback. sequencing learner activities. What follows is a recall repeat select
suggested approach; Learning objectives are a description of state summarize
A training agenda includes a detailed training performance and are what you want your
schedule, including the timing and objectives of 1. Prioritize and select the training needs. The learners to be able to do at the end of a session Verbs for feelings and attitudes
every session and resources and resource people highest risk in any design is to over load and as such are vitally important for any training accept advocate agree
required. The participants agenda should only the programme. Therefore it is crucial to programme and any training session. argue approve attempt
be a summary of the trainers agenda and only distinguish between what your learners: attend avoid balance
be limited to general topics and approximate believe challenge change
Must understand or master 1. Objectives are the foundation for choose comply conform
time allocations to allow for flexibility. training and session planning.
Should understand or master cooperate criticize debate
They provide the basis for training design decide defend devote
Why is designing an IWRM trainers agenda Could understand or master display dispute evaluate
so challenging? and planning, including content and
methods. (If you dont know where you favour follow influence
2. After the selection you have to start
are going, how will you know how to get initiate join judge
Designing a good IWRM training agenda is sequencing the topics over the available
there?) Writing learning objectives forces justify object observe
time. One way of sequencing is to find
difficult because it requires: you to decide what exactly the participants organize participate persist
a framework for the overall flow of your
need to... and what would be nice to know. praise prefer promote
Knowledge of the many design options training course. A framework helps you to
protest pursue question
available; design a logical flow, link sessions and helps 2. Objectives allow for testing of outcome. recommend reject request
the learners to build upon what they have
Skill in using them; Setting clear and specific learning resist resolve respond
already learned.
objectives lets you find out whether the seek share support
Creativity in manipulating the various 3. Distribute the topics following the flow volunteer
options to enhance participants objectives have been accomplished. (If you
over the allotted time for the training. For dont know where you want to go, how will
involvement and effective learning example if it is a three weeks training, divide you know that you have arrived?) Verbs for skills
Sound knowledge of IWRM, but not the topics over the three weeks in a logical
necessarily a high level of knowledge in all way. Then divide the topics over the days in 3. Objectives give clear directions to the adjust administer approach
aspects of IWRM each week, to finally divide the topics within learner. assemble build can
each day into sessions. collect connect construct
A working knowledge of the terminology A good objective tells the participant control coordinate communicate
of IWRM (see the Glossary at the end of this 4. Write out the time, topics, objectives and whats going on allowing learners to better cover demonstrate develop
Training Manual) materials for each session in a trainers participate in the learning process; they guide handle manage
agenda. dont have to guess whats expected. maintain measure mold
Ability to readily access other case studies
beyond this included in this Training Manual 5. Review and preferably discuss your first move operate perform
How to write specific learning objectives? place prepare process
trainers agenda to make sure that:
A basic knowledge (say first year of Learning objectives describe the intended produce read reduce
university level) of hydrology The programme is not overloaded outcome of a training programme or session, remove stop transplant
use write
Examples of knowledge (information, theories & The introduction prepares the learners for Every trainer has her or his personal favourite What is the participants profile? What is
concepts) based learning objectives: what they will learn during the training session methods, depending on personal preferences, their age, sex, educational and social
and sets out the ground rules or steps for the style and experience. However we should try to backgrounds, how are they used to learning,
At the end of the training session, students are they used to be trained?
will be able to write explain the importance session. The body is where the main learning select an appropriate training method not on
of developing learning objectives for the activities take place and the conclusion is to the basis of our own preference but mainly from What is your own experience, what are your
development of any training programme and/ confirm or review the learning outcomes and the participants viewpoint. strong & weak points? You need to feel
or session plan. see if the learning objectives have been met. comfortable using the selected training
What are the learning objectives? In terms of method.
raising awareness, developing knowledge
Examples of skill (able to do, including physical, A session plan can contain many elements, what or building skills. What is the practical situation like? Is there
communication and thinking skills) based follows are the most essential ones. available time, materials, resources, facilities
learning objectives: How much experience do the learners have for your selected training method?
Objectives: A session plan should first give related to the topic? If they have experience,
At the end of the training session, students objectives of the session. This can help the build on it and give them time to recall
will be able to demonstrate two participatory trainer to run the session and evaluate its and share by using case studies, role-plays, The following overview will give you some hints
training methods. effect. simulations, brainstorming etc. of the type of application of a selected number
of training methods.
Timing: An indication of the time that the
Examples of attitude (thoughts, feelings about
session will take is needed for planning the
people, ideas and experiences) based learning training agenda.
objectives:
Materials: Notes on preparations, space
At the end of the training session, students and materials needed make the trainer
will be able to debate the importance of aware on what and how to prepare.
gender sensitivity in IWRM planning and
management. Activities or steps: Simple instructions,
guidelines, questions and exercises can
be described here. It should also contain
9.6 Developing session plans answers and detailed information on
questions or subjects that are likely to come
A session plan needs to contain all the up during the training. Instructions should
also be included on how to use the other
information to run a session - it should have material presented, such as visual aids and
enough information for another trainer to read exercise sheets.
and conduct the training session. The most
important aspect of any session plan is to be in Visual aids, exercise sheets and
a logical and clear order as they are the building handouts: Any material needed to run
the session, such as transparencies for
blocks of your training programme. If you only
presentation, worksheets for exercises, case
lecture you dont need session plans, PowerPoint studies and handouts should be included.
is probably enough, however if you want to run
participatory training events you need to write Comments: Any comments about the
session plans to: application, possible impact, risks, warnings,
or ideas for variations can be included here.
check whether the session follows
a logic flow
check time feasibility 9.7 Training methods
avoid that you forget anything
to prepare Selecting appropriate learning activities is a
avoid that you forget anything to do critical part of developing a session or training
or say during the session plan. The activities chosen will provide a vehicle
for learners to actively engage with the material
share your session with other trainers as well as practice and apply the learning.
or resource people A variety of methods will be required as the
get feedback learners will have a wide range of learning styles
improve your session (see above). As such there is no clear guideline
in selecting an appropriate training method.
document your training Method selection is a creative and analytical
process during which many quite different
A session plan needs to read like a mini story, it issues need to be taken into consideration.
needs an introduction, a body and a conclusion.
Eye contact: Is the eye contact we have

9.8 Facilitation skills with others culturally respectful? Type of Question Explanation Example
Facilitation can be described as a conscious Physical space: Are we providing others Open Questions Open questions encourage Why do you think that
with appropriate physical space for them to
process of assisting a group to successfully feel comfortable? participation and interaction. happens?
achieve its task while functioning as a group. As They can draw out the What can we do about this
effective participatory training is based on the Vocal tone: The tone of voice you use with knowledge and experience of problem?
input of all participants, the trainer will need to your learner needs to be non judgmental the learner. How do you think we can deal
facilitate both the learning process (the what) and inquisitive. This means inviting the with that in the future?
learner to feel
and the process of participation, sharing and
group dynamics (the how). Closed Questions Closed questions are used Is everyone finished?
Observing is the ability to interpret non- for confirmation. Closed Have you reached your target?
Basic communication skills are essential for this verbal clues and to judge and monitor group questions can be answered Is the system working?
to occur, but good communication is much work objectively. It is a basic facilitation skill with a one work answer- either
more than having a simple conversation with that ensures a trainer can assess how people yes or no.
somebody. interact within a group and learn within a group
situation. Direct Questions Direct questions are asked of a Steven, you have experience
Non-verbal communication specific person or group. This in this area, how would you
and observing Observation and understanding non-verbal is a good way of encouraging deal with this?
communication are very important facilitation someone who has knowledge Sam, would you like to
The facilitators ability to read and understand skills for a trainer and over time you will need or experience with a particular share your experiences in
the learners body language, as well as to do this at speed, and without anybody really topic the share this with the overcoming these issues?
controlling the message that he/she transmit noticing it. group
through their own body language, can mean the
difference between making a great impression Listening Indirect Questions Indirect questions are open Why would we need to
or a very bad one! We communicate a great deal to anyone present to answer. provide an introduction to a
about how we feel by facial expressions, tone Hearing is Passive Listening is Active The benefit of an indirect session?
of voice, eye contact, pauses, hand movements question is that learners are How could we capitalise on
and body postures. Listening is an important skill to develop as in control of their level of this opportunity?
a facilitator and more difficult than we think. interaction, they can choose
For example, when asking questions, the use Few of us really actively listen to what another to speak or remain silent.
of non-verbal responses can be important. To person is saying. In reality we think we listen,
pause after a question is answered may indicate but we actually hear only what we want to hear! Leading Questions Leading questions lead the I take it you have done this
to the learner to elaborate on what they have This is not a deliberate process but listening person to the answer the before, havent you?
said. However, to remain silent too long might carefully and creatively (picking out positive facilitator is wanting
be perceived as threatening. The facilitator can aspects, problems, difficulties and tensions)
encourage the learner to continue to speak by is the most fundamental skill for facilitation. Factual Questions Factual questions are used to What is the fuel to air ration?
leaning forward, adopting a body position that Actively listening or improving listening confirm knowledge or facts. What are the different types
indicates interest and responding positively with behaviour requires the ability to: These are often used for quick of coal?
favourable noises, such as (Uh-uh, Mmmm, `yes, Concentrate quizzes to check learners have
OK). A simple nod may also be encouraging. accurate recall of the facts.
Apply objectivity
Generally, how we say something may have as Employ questioning Probing Questions Probing questions are used to Luke, you mentioned checking
much impact as what we say: follow up on the response that for safety; how would you go
Obtain feedback. did not give sufficient depth about this?
How we sit: This includes whether we
are fidgeting, whether we have an open or detail. Probing questions Matt, when the mine wall
posture, or whether the posture is too open Questioning are always expressed as an collapsed, how did this affect
and therefore confronting. Effective questioning techniques form an open question. the operation of the plant?
important part of the facilitation skill set and
How we stand: It is often perceived that a
person who crosses their arms is putting there are many different types of questions a
up a barrier between themselves and facilitator could use to generate different results.
the other person, and may therefore be An effective facilitator knows what they want
uncomfortable with that person to achieve by asking a question, and chooses
the type of question which will generate the
Our facial expressions: Do we look happy, required result.
interested, nervous, annoyed?
Responding to the answer Good probing Paraphrasing uses the following four-step Mentoring, coaching, and tutoring
Listen actively model:
Developing effective questions is just the 1. Listen carefully. Mentoring, coaching or tutoring a learning
beginning and the facilitator needs to make Build the next question on the support processes conducted outside the
sure that they respond appropriately to learners understanding of the previous answer 2. Use your own words to say what you think training room, but are important activities that
answer: Clarify information the person said, for example: should (where possible) complement a training
Always acknowledge that the person has In other words or programme.
Single out the problem or main points
responded Do you mean that or
Mentoring is a mutually beneficial relationship
If the response is lengthy, paraphrase it for Poor probing It sounds like what you are saying is which involves a more experienced person
the group helping a less experienced person to achieve
Judge while listening 3. Check by saying something like:
If the person spoke softly, again repeat the their goal where the mentoring relationship:
answer or paraphrase it so the whole group Jump from one topic or issue to another Is that correct? or Did I get it?
Focuses on the needs of the mentee (the
hears what was said Make assumptions 4. If it is not correct keep asking for person being mentored)
When the answer given is incomplete, clarification until you understand what s/he
Lose track by getting bogged down in meant. Fosters caring and supportive relationships
acknowledge the response and wither details or side-tracked
probe further or redirect the question to the Encourages all mentees to develop their full
group for further details Note: If the speakers statement is one or two potential
When an incorrect answer is given, sentences, use roughly the same number of
acknowledge the person and then either Paraphrasing words when you paraphrase it. If the speakers Coaching: Mentors are facilitators who allow the
ask the rest of the group what they think or statement is too long, summarize it. learner to discover their own direction; while a
ask for any other thoughts on the subject. Paraphrasing is repeating what somebody has coach has a set agenda to reinforce or change
said, using your own words. It is an important skills and behaviours, and may have specific
If the incorrect answer is allowed to remain skill as it: Providing feedback learning objective for each discussion. The term
unaddressed, the learners will often think that it Benefits the facilitator: The technique forces coaching is most often heard in the context of
is the correct answer. you to listen very carefully, because when Most people recognise that feedback is sports and there is much in what a sports coach
the person has finished speaking, you know important and helps us to learn, but many does that is similar to what a learning facilitator
that you will need to repeat what was said. people find it difficult to provide feedback, coach will does.
Probing In addition, you have the opportunity to regardless of whether it is positive or
find out whether you really understood constructive. Below are some hints for giving
Probing is asking follow-up questions in order what was said. constructive feedback:
to gain a deeper understanding of the issue. For Benefits for the speaking person:
example: Paraphrasing has both a calming and a
Can you explain further? clarifying effect. It reassures the speaker that
Could you put it in another way? his or her ideas are worth listening to. And
Can you please tell me more about that? it provides the speaker with the chance to
But why, how, who, when, where? see if others are listening to his/her ideas. In
Anything else? other words, it supports people to think out
loud.
Probing is rather like peeling away the layers Benefits for other people listening: They get
of an onion to gain a deeper and better a second chance to understand what the
understanding of the issue. Probing is an speaker has tried to share.
important skill and has many different purposes
as it can be used to:
draw people out Paraphrasing can be used when a person makes
clarify questions, inputs and/or opinions, very long, complicated or confusing statements,
create dialogue or when a person has problems phrasing his/
solve problems her own thoughts clearly. But DO NOT OVERUSE
paraphrasing too often as it will slow down
interactions and eventually group members will
become lazy listeners themselves.
Tutoring: A tutor is similar to a coach, in the training. For example, trainers may be more What to evaluate? (appropriate) changes in knowledge, skills and
that they work with an individual to develop interested in the process and outputs, while a attitude have occurred and if this is having an
particular skills and knowledge. A learner will funding agency may just want to know what the Most evaluation exercises measure mainly the impact in the participants working environment.
approach a tutor with some level of skill or cost (input) and impact of training were. satisfaction and enjoyment of participants at Therefore we also need to consider conducting
knowledge in a particular area, and a tutor the end of a training programme. But a training evaluating participants progress after a training
will work with the learner to solve a particular programme should also be evaluated against programme has been completed.
problem. When to evaluate? the specified learning objectives to see if
Informally, we have all tutored someone at some On a daily basis: This allows the trainer to
time, this may have been tutoring a child in the respond immediately to feedback, problems, or
art of tying shoelaces or tutoring a friend to concerns and adapt the training programme to
paddle a canoe. In the workplace, it may have meet the participants needs and the training
been with a colleague in using a photocopier, or objectives. Short participatory M&E exercises
how to present a specific material to a group of (see Annex 3) are useful here to seek feedback,
learners. ideas and for concerns to be raised.
Mid-way through the training programme:

This allows the trainer to refine the process and
FOR CASE STUDIES, SEE SESSION PLAN 9.1: PREPARING correct small problems before they become big
>>> FOR PARTICIPANT CASE STUDIES
ones so participants can benefit from findings
during the same training event. A midcourse
FOR FIELD STUDIES, SEE SESSION PLAN 9.2: PREPARING questionnaire is useful here to help the trainer
>>> FOR A FIELD TRIP AND FIELD EXERCISE
identify how well the participant has grasped
concepts taught up to that point.
Evaluating a training programme At the end of the training programme: This

allows the trainer to refine future training
Training evaluation is the systematic collection activities and plan for supporting and following-
of qualitative and quantitative information up on participants who have been through the
necessary to improve training efficiency and training programme.
effectiveness. It is an important part of all
training programmes to: A post-test and checklists are used to
Determine whether training achieved its evaluate if the training programme led to
objectives. the desired participant knowledge, skills,
and attitude acquisition.
Assess the value of training programmes.
An evaluation form can be passed out
Identify areas of the programme that need to participants to get feedback on how
improvement. they perceive the training activities, what
Identify the appropriate audience for future is working well, and what suggestions
programmes. they may have for improving the training
programme.
Review and reinforce key programme points
for participants. An evaluation form can be passed out to
trainers to inventory what worked and what
Sell the programme to managers and needs improvement.
participants.
Revise or refine training design for future
use. After participants have returned to their work
sites:
Judge success or failure of the training.
Checklists, interviews, and questionnaires
Persuade funding agencies to continue or can assist trainers in evaluating how
replicate the training, etc. well the training programme prepared
participants to apply new knowledge, skills,
What Parts of a Training System should be and attitudes in their workplace.
evaluated? All parts. Different evaluators will
be interested in evaluating different parts of
General steps in planning evaluation 3. Clear instructions should be provided

to participants 3 to 4 weeks prior to the
training commencing so that they can
1. Decide why to evaluate and for whom collect the relevant information. Participants
2. Specify what to evaluate; which levels and should work in groups of 2 to 4 in the
which components at each level preparation and delivery of the allocated
session and the instructions need to clearly
3. Decide what information to collect from 9.9 Session Plan 9.1: state that the trainers will work with and
whom; participant, resource people, preparing for participant support participants in the development of
employers, villagers etc.
case studies the session they are to deliver.
4. Select evaluation methods and techniques 4. Allocate a theme or topic that the
which fit best your purposes and situation participants should present on that matches
OBJECTIVES
5. Develop and conduct the evaluation the technical material the trainer would like
activities. At the end of this session the trainer will have: to cover. To ensure that participants dont
arrive at the training with vague, general
6. Integrate and analyse the data of the n Developed clear instructions to be emailed
case studies or PowerPoint presentations on
Training Needs Assessment, Daily to participants prior to the training so that
IWRM. The trainer needs to allocate themes
monitoring, Participants Action Plans, can develop up a clear and concise IWRM
or topics for which specific presentations
Participants Evaluation, and trainers case study.
should be developed around. For instance
feedback and observations, feedback from participants could be asked to develop up a
employers, villagers, etc. case study on:
MATERIALS
7. Take action based upon results, such as a. Participation in IWRM planning
revise training events, develop new events n None
and/or approaches, develop follow-up and b. Payment for environmental services
support activities needed. TIME for PREPARATION c. IWRM sub-basin planning
n 2 hour minimum, but will depend on the d. The use of Environmental Impact
complexity of the case study required by Assessments in IWRM.
the trainer
>>> SEE SESSION PLAN 9.3: TRAINING REVIEW,
EVALUATION AND CERTIFICATE CEREMONY The trainer must given some thought to
PREPARATION matching themes to the actual experiences
n None of the participants therefore some prior
knowledge of the participants background and
working knowledge of IWRM is essential.
STEPS
5. The amount of information that participants
1. As the training programme has the dual need to collect prior to the training must
objective of both strengthening the be kept to a minimum. It is suggested
technical knowledge of IWRM and the that participants bring a PowerPoint
training skills of the participants, a highly presentation of 5-10 slides and one
useful session is for participants to develop supporting document. The development
and lead a training session on a selected and deliver of the session is not to test the
training topic. technical capacity of the participants but to
build their confidence in the development
2. Allocate sufficient time during the and delivery of participatory training
training to support the participants in the sessions.
development and delivery of these sessions.
The training schedule should be provided
to participants prior to the training in which
the session they are expected to lead is
clearly marked. Time during the training COMMENTS
programme should also be made available
for participants to revise and review their
presentation in light of what they are Provided is an example of information sent
learning in during the training programme. to participant prior to an IWRM Training
Workshop in Lao PDR.
To ensure that the Lao training programme Viet Nam: IWRM sub-basin planning 3. Invite suitable local resource people to
is as interactive, participatory and useful in provide background information to
both building your training skills and your Thailand: Economic tools the sites being visited: Ensure suitable
knowledge of IWRM in the Lower Mekong The material that needs to be collected and resource people can provide information
Basin, the trainers have asked if you could brought to the training only needs to be on the historical context of the site (or
prepare a short case study before the very brief; 5-10 PowerPoint slides plus one issues), current activities and future plans.
training starts. (1) supporting document. The PowerPoint Also provided invited resource people
Based upon this case study, the trainers will slides should be a simple review of your 9.10 Session Plan 9.2: background information on the participants
work with you to further develop this into case study and some of the challenges you and the training programme, so they
have faced or achievements made. preparing for a field trip and understand how the field trip fits into the
an interactive and participatory session
which you will be expected to lead. While Please work in pairs in both collecting
field exercise overall learning programme.
this may seem a big task the trainers will any background material and during the 4. Planning all logistical issues carefully. Well
work with you and allow plenty of time training programme to develop up your OBJECTIVES before the field trip is to occur, carefully plan
to develop learning objectives, prepare session all logistical issues related to the field trip.
At the end of this session the trainer will have: Some of the issues to consider are:
effective presentation methods; develop An outcome of these sessions will be: 1) a
and test a range of participatory training well developed session plan, 2) a logical n Organised the logistical issues for a effective a. Visit a variety of different sites and
methods and tools; develop short and process to explore the topic that includes field trip and developed clear instructions stakeholders to gain a broad overview
participatory feedback processes; and write an introduction to the topic, a participatory for an exercise to be completed by the of the issues.
exercise and a summary of the key issues participants during the field trip.
a session plans for your session. b. Use the field trip to support local and
covered, and 3) The strengthening of your regional initiatives and networks.
The trainers have asked if participants from capacity to further lead and develop IWRM MATERIALS
training programmes in your country. As c. Provide background material to
each country can prepare a case study mentioned the trainers will help you in n None participants prior to the field trip so that
around the following themes. Please use preparing these sessions but bring some they can read up about the location
your site, project or programme experience information to the training workshop will and the issues they will visit.
to inform these case studies: help this process. TIME for PREPARATION
d. Consider the needs of all participants
Cambodia: Participation in IWRM n 4 hour minimum, but will depend on who particularly the elderly, disabled and
planning will be responsible for the arrangement and women.
management of all logistical issues related
Lao PDR: Impact Assessments to the field trip. e. Provide plenty of good food and drinks
and ensure time for discussion and
debate during the breaks.
PREPARATION f. If there the group is large, use a
n None portable PA system in the field so that
everyone can hear.
g. Avoid long bus trips if possible and
STEPS ensure there are appropriate toilet
opportunities.
1. A field trip allows many of the issues discussed h. Leave time at the end of each session
in the training room to be explored in for an informal review and discussion.
greater detail and in more depth in the
field. A good field trip can be both a highly i. Dont fill up the field trip with lectures:
educational activity and a great energizer. adults like to have time for discussion
However a poorly planned and managed and debate so as to test their ideas and
field trip can be dull and irrelevant to experiences.
the training programme. Therefore good j. If the trainer is not familiar with the site,
planning makes for a good field trip. make sure somebody that is familiar
2. Ensure that the field site to be visited has wit the site organizes and manages the
examples or activities where the training field trip.
learning objectives can be fully explored. 5. Ensure that the safety and comfort of all
The learning objectives for the training participants through out the field trip. A
programme will dictate the content and happy and comfortable participant is also
process of the class-room based training a happy and comfortable learner who is
programme and must also dictate what enjoying the learning experience.
should be seen or explored during the field
visit
6. Fully brief participants the day before the

field trip. Make sure all participants know
the field trip schedule (departing times,
transportation options, meal options,
clothing requirements, weather, etc) the day
before the field trip. During this briefing
session also ensure all participants are 9.11 Session Plan 9.3:
aware of the field trip exercise (if one is to STEPS
be set). training review, evaluation
7. Develop an exercise for participant to consider
and certificate ceremony
1. Introduce the session as the final review
during the field trip and completed at the session.
end of the field trip. To ensure participants OBJECTIVES
are active during the field trip develop up 2. Using PowerPoint, provide an overview of
an exercise that utilized the unique features At the end of the session the participants will be the entire training programme. During this
of the field site and matches the learning able to: highlight:
objectives of the training programme. Be n Assess and comment on learning outcomes Training aims and objectives
creative and innovative, but consider: from the training programme, thereby
allowing the trainers to improve the training Participant expectations
a. Dividing the participants into small
groups (4 to 6) and assign a different programme for future delivery of the Key learning points
stakeholder role to each group programme.
Any amusing or funny incidents along
(i.e. Government, NGO, industry,
the way.
community) and get each group to
assess the situation or issue being MATERIALS 3. Seek any final questions from participants.
explore during the field trip through n Evaluation questionnaire 4. Handout training evaluation form,
the eyes of a stakeholder group.
n Two alternatives are provided. indicating that it is completely confidential
b. Developing up a case study based on and participants do not have to put names
the field trip, but adjust the case study on the questionnaire.
TIME
so that there is a problem that the
5. Allow 15 minutes for participants to
participants must resolve. For instance n 30 minutes
complete the questionnaire and get them
if a wetland is visited, develop up a case
to place the completed questionnaire in a
study where a dam is to be constructed
PREPARATION pile face down.
that would impact on the hydrology of
the wetland. Get participants to assess n PowerPoint presentation that reviews 6. Once all participants have completed the
the impact of the dam based on what the training programme, expectations questionnaire, thank them for their input
they have learned during the field trip, (participants and trainers) and learning and conclude the training.
their own experiences and knowledge outcomes
gained during the field trip. 7. Conduct the certificate ceremony.
8. Provide sufficient time back in the training

room for the learning outcomes of the field
trip to be reviewed. Ensure time has been
set aside for the participants to complete
their field exercise back in the training room
and reflections and learnings from the field
trip can be explored.
COURSE EVALUATION
9. How much benefit do you think you have gained from participating in this course?
What is your objective to attend the course? _____________________________________________
Great deal 5 4 3 2 1 Little benefit
___________________________________________________________________________________
___________________________________________________________________________________
10. How suitable was the venue for the training session?

Please circle the number which most closely corresponds with your view Very suitable 5 4 3 2 1 Not suitable
1. To what degree did this course contain information and/or skills that were: Please write your answers to the following questions in the space provided.
Relevant 5 4 3 2 1 Irrelevant
11. What do you think were the three best features of the course?
New material 5 4 3 2 1 Very familiar
a. ______________________________________________________________________
High quality 5 4 3 2 1 Poor quality
b. ______________________________________________________________________
2. To what extent were the goals and objectives of the course achieved?
c. ______________________________________________________________________
Great deal 5 4 3 2 1 Very little
12. What were the three least successful features of the course?
3. Was there balance between theory/discussion/activities?
a. ______________________________________________________________________
Well balanced 5 4 3 2 1 Not Balanced
b. ______________________________________________________________________
4. How well presented was the information?
c. ______________________________________________________________________
Very well 5 4 3 2 1 Not well
13. Are there any comments, suggestions that you would like to make about this course?
5. How relevant was the information to your position/employment?
________________________________________________________________________
Very relevant 5 4 3 2 1 Not relevant
________________________________________________________________________
6. Will you be able to use the information and/or skills in your current or future roles?
________________________________________________________________________
Great deal 5 4 3 2 1 Not at all
7. How much did you enjoy the course? THANK YOU FOR COMPLETING THIS EVALUATION
Great deal 5 4 3 2 1 Not at all
8. How suitable was the time allocation for the course?
Very suitable 5 4 3 2 1 Not suitable
COURSE EVALUATION 5. Please comment on the length of the workshop: (too long, too short, etc). What would be the
best length and why?
1. Please circle the number that reflects your overall satisfaction with the workshop:
Very satisfied - Satisfied OK Not Satisfied Very Unsatisfied 6. How relevant was this workshop to the kinds of problems and issues that you face in your work
Excellent Very Poor situation?

5 4 3 2 1

7. What changes have you experienced as a result of the workshop?
(for examples what changes to your knowledge, skills and/or attitudes?)
Why?
8. How likely are you to recommend this workshop programme to a friend or colleague?
2. Please indicate if your feel the objectives of the workshop have been satisfactorily met (please
tick the appropriate box) Very likely Yes it is essential Likely Perhaps No Likely Not at all
Objective Very Satisfied OK Not Very 5 4 3 2 1

satisfied Satisfied Unsatisfied Why?
1. Insert training objective
At the end of the training, participants
will have: 9. Other comments:
Insert learning objective 1
Thank you very much for your help, your hard work and your contributions.
Did the workshop meet your Have a safe trip home and we look forward to working with you again!
expectations

3. What did you think was the most useful part of the workshop? Why?
4. What do you consider to be the least useful section(s) of the workshop? Why?
Annex 1 Draft schedule -10 day IWRM training programme

Week One
Different Training Scenarios Day/
Theme
Day 1 Monday Day 2 Tuesday
IWRM Enabling
Day 3 Wednesday
IWRM Management
Day 4 Thursday
Field Trip
Day 5 Friday
Environment Tools
8:30 Registration Daily intro Daily intro Field Trip Daily Intro
Develop different training scenarios to match participant needs 8:45 Welcome and Enabling Environment Stakeholders / Field Trip Review (role
Introduction Introduction Organisational play from field trip)
Provided in this manual is a 10 day IWRM training programme, but depending on the focus, Mapping
objectives, target groups and time available different training schedules (curriculum) may have 10:15 Break Break Break Break
to be developed. This will require careful planning and consideration for the learning needs of the 10:45 Expectations, Norms Policy 3 Rs Field Trip Review
participants. and Working Groups Cont.
12:15 Lunch Lunch Lunch Lunch
IWRM training programmes (3 days, 5 days, 2 weeks) 1:15 What is IWRM? Legislation and Participation and IWRM Planning Cycle
Driver of Change Regulatory Power
Draft Schedule - 3 day IWRM Training Programme Instruments
Day Day 1 Day 2 Day 3 2:45 Break Break Break
3:15 Transboundary RBOs Financing Field Trip Prep Weekly Review
8:30 Registration Daily intro Daily intro
and National
8:45 Welcome and IWRM Planning Cycle Impact Assessment
Organisations
Introduction
4:45 Daily evaluation and Daily evaluation Daily evaluation Daily evaluation
close
10:15 Break Break Break
5:00 Close Close Close Close
10:45 What is IWRM? Basin and Sub-Basin How to address conflict
Driver of Change Strategies and Plans
Week Two
12:15 Lunch Lunch Lunch Day/ Day 6 Monday Day 7 Tuesday Day 8 Day 9 Thursday Day 10 Friday
1:15 Transboundary RBOs Field Trip Negotiating water Theme Wednesday
and National agreements
8:30 Week 2 intro Daily intro Daily intro Daily intro
Organisations
8:45 Basin and Sub- KPIs for IWRM Impact Creating a Conflict Action Plan
2:45 Break Break Break Basin Strategies Assessment Where to next?
3:15 Policy, Law and Field Trip Action Plan Where to and Plans
Finance next?
4:45 Daily evaluation and Daily evaluation Evaluation 10:15 Break Break Break Break
close
10:45 Basin Water Resources Environmental How to address ToT Programme
5:00 Close Close Close
Management Knowledge Impact conflict Evaluation
Strategy Assessment
Draft Schedule - 5 day IWRM Training Programme Closing Session
Day/ Day 1 Monday Day 2 Tuesday Day 3 Wednesday Day 5 Friday End of
Theme IWRM Enabling IWRM Management Programme
Environment Tools 12:15 Lunch Lunch Lunch
8:30 Registration Daily intro Daily intro Daily Intro 1:15 Developing a Sub- Information Environmental Negotiation
8:45 Welcome and Enabling Environment Stakeholders / Field Trip Review Basin Plan 1 Exchange Flows
Introduction Organisational Mapping (role play from field
trip) 2:45 Break Break Break
10:15 Break Break Break Break 3:15 Implementing a Project Notification Risk Assessment Negotiating water
10:45 Expectations, Norms Policy, Law and How to address conflict Impact Assessment Sub-Basin Plan 2 and Evaluation agreements
and Working Groups Finance 4:45 Daily evaluation Daily evaluation Daily evaluation Daily evaluation
12:15 Lunch Lunch Lunch Lunch and close
1:15 What is IWRM? IWRM Planning Cycle Field Trip Negotiating water 5:00 Close Close Close Close
Driver of Change agreements
2:45 Break Break Break
3:15 Transboundary RBOs Basin and Sub-Basin Field Trip Action Plan Where
and National Strategies and Plans to next?
Organisations
4:45 Daily evaluation and Daily evaluation Daily evaluation Evaluation
close
5:00 Close Close Close Close

186 APPENDICES Training Manual Integrated Water Resource Management in the Mekong Basin APPENDICES Training Manual Integrated Water Resource Management in the Mekong Basin 187
Annex 2
Training Logistical Arrangements 2. Training supplies and equipment
If you are to employ a lot of interactive and
participatory small group work you will need to
1. Logistical arrangements consider a range of stationary and make sure
that the supplies required match the number of
In considering a new training programme, participants attending your training.
the space in which the training programme
will be run can influence the style of training
considerably. While participatory training Training Checklist 2: Stationary Requirements
programmes can be held in a variety of
locations, there are some basic requirements For each participant Eraser
to help it run smoothly namely room to Files Paper clips (also very big ones for flip chart
move and flexibility to adapt. Separators stand)
Note books/ pads Multi plugs and extension cords
Training Checklist 1: Logistical Issues
Pens Ruler
Seating Arrangement Facilities Pencils Cutter
number of chairs presentable bathrooms High lighters Coloured posted paper
mobility of chairs coffee break service Blank name tags o Blue
seating arrangement drinking water o Green
number of tables For the training room o Red
mobility of tables Equipment Flipchart stands o Orange
white board Flipchart paper o Yellow
Audibility pin board Whiteboard o Brown
outside noises flipchart stand with clips Whiteboard markers (chisel tipped) o White
inside noises (ventilator, overhead projector o Black Package Index cards
microphone, chairs etc.) screen o Blue Package Post its: sizes
no microphones needed slide projector o Green colours
T.V. set o Red Overhead Projector
Visibility VCR Permanent markers (chisel tipped) Slide projector
windows; day light photocopy machine o Black TV/VCR
lights electricity o Blue Computer
possibilities to make it dark no. and type of plugs o Green Printer
presenter/ screen/ boards extension cords o Red CDs
flipchart and overhead computer facilities o Purple/ pink Photocopy machine
pillars blocking view Masking tape Package A4 paper (plain and coloured
printer facilities
Stapler/staples paper)

Atmosphere Hotel in general Glue sticks
ventilation control overall service (laundry, food, snacks) Hole puncher
temperature control Sharpener
hygiene in the kitchen

accessibility for participants
Space accessibility by telephone fax or email
place for display leisure Where stationary is not available or too expensive, improvise. For instance coloured index cards
place for group work/ plays can easily be made by cutting coloured A4 paper in half.

equipment storage Other:
wall space to paste flip charts

Annex 3
Monitoring and Evaluation of Your
have been posted and clustered; or:
These questions can be followed with questions
like: Take the cards, summarize them overnight
Training and Actions Plans Why did you choose these words? Or can
you say more about the words chosen?
and give the feedback in the morning.
Tossing the ball
Piggy bank or saving box Write a number of key questions on one sheet
about the aspects that you would like to
1. Simple, quick and useful Are we on target? Prepare enough 10, 25, 50 and 100 cent coins monitor. Form a ball with the paper and ask the
participatory M&E tools and a saving-box to collect the coins in. Ask the participants to stand in a circle and toss the ball
1. Preparation: participants to select the coin that represents around as long as you have turned your back to
their satisfaction with the day. If fully satisfied them. Turn around and say stop. Ask the person
Gaining the participants feedback and insights Draw 5 concentric circles on a flip chart they put in a 100 cent coin, if half satisfied, 50 who has the ball to open it up and answer the
throughout the training is an excellent way to (similar to a dart board) cents, etc, but they can use only one coin. first question. If necessary you can ask the others
adjust the training to meet the participants Make several pie-like divisions for the to add or help. Repeat the procedure until all
needs and pace of learning. The following training aspects you wish to evaluate; Using metaphors to capture feelings or questions are answered. As this is a rather direct
are some short and simple monitoring and for example, content, methods, learnings way of asking for feedback, do not touch on
evaluation (M&E) tools that are extremely useful facilitators, etc. sensitive issues or feelings with your questions;
in doing this and can be used at the end of the 2. During feedback time, ask the participants Ask the participants to compare the training rather, focus on what they learned.
day or after every couple of days in the training to place their pins or stickers on each pie to with a meal and write down the meal that best
room. reflect their rating (the closer to the centre represents the training experience so far, and Variation: use music to signal when it is time to
the more impressed or satisfied they are). why this meal was chosen. toss the ball and when to stop.
The M&E tools below rely less on answering 3. After all the participants have placed their
direct questions and more on small exercises, pin or sticker, invite the participants to Using drawings Complete the sentence
artistic expressions, and small games. This is take note of the general placement and
done as many groups and individuals often investigate any pins that fall outside of the Ask the participants to draw their feelings Display (or photocopy for each participant)
struggle to answer direct questions and may general choice of position. about the day and ask them why they drew this open-ended sentences directed at the aspects
simply say what the trainer wants to hear. A 4. Give a summary of the results of the group. picture. of the training that you want to be evaluated, for
more indirect way, using creative expression example:
to gain information, usually results in richer, Variation: Feedback cards I find the training effective because...
deeper, more honest and complete information. If there is a certain hierarchy of
learning objectives you can write Distribute cards or post-its. Ask the participants The training could be improved by....
these objectives in the circles, with the to write a brief answer to the following: The facilitators could be more effective if...
highest in the centre. Ask participants
What was most helpful today? Followed by
to draw an arrow from the outside in You can have the participants answer all the
Why? or
The following monitoring and evaluation the direction of the centre as far as they questions displayed or choose the ones they
tools have been adapted from the Regional feel they reached with their learning. What was most useful, interesting, and would like to respond to.
Community Forestry Training Centres (RECOFTC) difficult? What did you like most?
Ask participants to add post-its to the
excellent training manual The ART of Building
pins or arrows with an explanation You can add questions like: Mood meter
Training Capacities, which can be accessed
of why they placed the pin or arrow
through the RECOFTC website What was least helpful, useful, and difficult?
at that point, and/or suggestions for Prepare a mood meter sheet with a happy, a
(www.recoftc.org). What did you not like? followed by
improvement. neutral and a sad face on it. Explain the symbols
What could have been improved? Or Any to the participants and post this sheet at the
Words remembered suggestions? exit of the room. Ask participants to mark their
mood with a sticker or a marker pen. A variation
Ask participants to write down words that, for After the cards are collected, there are different is to use post-its on which the participants write
example: ways to go about it. comments to clarify the moods indicated. It can
best describe what you have learned or If time, be useful to use different colours for participants
represent the training experience so far Shuffle, redistribute and have persons read from different regions or institutions; this can
them aloud; or: show up sharp differences in perceptions.
Post the cards and ask participants to cluster Take care not to break anonymity by making
the cards as they are posted. Discuss after all groups too small. Another variation is to have a
6. Ask the group to value the activity, making

continuous mood meter for the whole length of sure to comment on how graphic their self- Dividing a paper Faces
the training course and measure the moods at assessment is.
the end of each morning and afternoon. Ask the participants to think about what Distribute this handout and ask participants to
Poster exhibition they have learned today. Ask them to divide a indicate HOW they feel at the end of the day and
Resents and appreciates blank page into free-form sections with each WHY?
Write at the top of different posters aspects of section related to an aspect of the day that was
Arrange the participants in a circle, so that all the day you would like to have feedback on. Put useful to them. They should label each section
have eye contact with each other. In turn, each up the posters and ask the participants to take accordingly and explain why. The different
participant completes the sentence: I didnt like a marker, walk around and write their feedback sizes of the sections of the page should be
it when... related to the aspects mentioned on the posters. proportionate to the usefulness of that aspect of
their learning.
This may refer to anything that happened during Fishbowl
the day. Each person may choose to say nothing
or complete the sentence as many times as Part of the group sits in an inner circle facing
necessary. No one should pass judgment or each other, with the others on the outside. Give
comment on what others have said. You, as them a question related to learning from the day
the trainer, should begin the round and be as to discuss. For example: what were the most
honest as you expect the participants to be. helpful parts of today? And why? Only those in
After everybody has answered this question, the the inner circle can speak. Those in the outer
procedure is repeated for what they appreciated. circle listen. After a few minutes, have them
This time complete the sentence: I liked it change places (inner go to the outer and outer
when... The exercise finishes with the likes, so to the inner). You can also change the questions
the participants finish on a positive note. being asked. If the group is large (over fifteen
people) use three rounds: one group first, then
Mural second, then third.
Using symbols, group members create a mural, Monitoring wheel

which represents their collective feelings or
thoughts about the day. The mural should Decide which 8 elements of the day you would
answer only one question. like to monitor. Write those aspects on a
wheel with 8 spokes and copy this wheel for
Human Continuum all participants. Ask them to score each aspect
(centre is low, outer circle is high) and draw a dot
1. Along a long wall post a sign at one end on each spoke accordingly. The dots are then
labelled nothing learned and another linked, so that a web is created. Post all wheels
labelled fully competent at the other end. and if time permits trigger a discussion on the
outcome.
2. Explain the continuum on the wall and ask
the participants to think where they were
at the beginning of the training in terms of Review and rank learning objectives
knowledge, comfort and skill level.
Ask individuals or small groups to rank cards
3. Then ask them to stand up and place containing learning objectives, according to
themselves on that continuum. After the learning, usefulness, etc.
participants have stopped moving, ask
for three of four to share why they placed
themselves on that continuum. Opposite scales
4. Next ask them to think about where they Choose a number of aspects you like to
are now, at the end of the training, and to receive feedback on, for example, the degree
place themselves at the appropriate spot on of difficulty, usefulness etc. For each aspect,
the continuum.
draw a scale and assign scores to responses
5. Again ask for a few volunteers to explain (for example, a positive score could get 5 and
why they placed themselves where they did. a negative 1, with 2, 3, and 4 in the middle). To
make the answers more useful you can add why,
comments, or suggestions.
Why do you feel like that? __________________
2. Formal evaluation of a 3. Developing action plans

training programme STEPS
OBJECTIVES
At the end of the session the participants will be 1. Explain that one of the challenges of the
The above M&E tools are ideal for quick, fun able to: training is taking the training experiences
evaluation exercises at the end of the day. and converting the valuable lessons learnt
But generally a more formal evaluation of the n Reflect upon the training content, key issues
into the participants own working context.
training will also need to be conducted at the explored and their key learning outcomes
that may impact on their work. 2. Distribute the Action Plan template to each
end of the programme. Provided are generally
participant and suggest that participants
questions that can be easily adapted to suit your n Document their key learnings and
from each country (or province) might like
needs. actions that must be undertaken after the
to team up to jointly develop up an action
conclusion of the training for the successful
plan. However individuals can also develop
1. Please circle the number that reflects your implementation of their IWRM projects/
up an Action Plan.
overall satisfaction with the workshop: programmes.
3. Ask participants now to reflect upon
n Develop realistic and achievable action
the whole training and to clearly identify
plans for the implementation or support
activities that they believe must occur at the
of on-going IWRM practices in their home
end of the training for IWRM to be achieved
country or province.
or promoted in their projects/programmes/
countries.
MATERIALS
4. Allow participants 1 hour to complete the
n Flip charts action plan and then ask for volunteers to
share their intended action plan.
Why? n Marker pens
n Handout: Action Plan template
1. What did you think was the most useful part of the workshop? Why? COMMENTS
For this action planning session to be
TIME effective, a commitment must be obtained
2. What do you consider to be the least useful section(s) of the workshop? Why? n 2 hours from both the participants and the
organisation supporting the training (or the
participants own organisation) to support
3. Please comment on the length of the workshop: (too long, too short, etc). What would be the PREPARATION the proposed activities or, as a minimum,
best length and why? follow up with participants in 3 to 6 months
n Photocopy enough Action Plan templates after the training to ensure the action plans
for all participants or draw up an Action Plan have been put into place.
4. How relevant was this workshop to the kinds of problems and issues that you face in your work on a flip chart.
situation?
5. What changes have you experienced as a result of the workshop? (for examples what changes to
your knowledge, skills and/or attitudes?)
6. How likely are you to recommend this workshop programme to a friend or colleague?
Very likely
Yes it is essential Likely Perhaps Not Likely Not at all
Why?
7. Other comments:
Annex 4
Energisers
ACTION PLAN
These simple energisers are activities designed
to make learning easier and more fun for both The following energizer tools have been
Name of participants: the participants and trainers alike. They are very adapted from the Regional Community
useful to: Forestry Training Centres (RECOFTCs)
excellent training manual The ART of
Break the ice and to create opportunities to Building Training Capacities, which can be
get to know each other better (icebreakers) accessed through the RECOFTC web site
Encourage interaction (www.recoftc.org).
What (are the main lesson learnt from this training?) Stimulate creative thinking Other excellent energisers are written
Challenge basic assumptions up in the booklet 100 Ways to Energise
Groups: Games To Use In Workshops,
Illustrate new concepts Meetings and the Community from the
Introduce specific material (warming-up) HIV/AIDS Alliance (which can be accessed
through the HIV/AIDS Alliance web site -
What (are the key actions and activities that must be undertaken after the end of Form groups http://www.aidsalliance.org/sw1280.asp).
the training for the successful implementation of your IWRM project/programme/ Enliven sleepy groups (especially after
lunch)
country?).
Have fun!
Which energizer to use and when?
Good energisers need to be planned for so that
they dont look planned: They should: All energisers are not the same. The list below
Why (are these activities important for the successful implementation of IWRM in Require 30 minutes or less (and often only groups them by their primary function.
your project/programme/country?): 5-10 minutes)
1. Getting to know each other better
Demand little or no advance preparation
Be simple to implement a. Name train
Not threaten anybody, or make people Ask everybody to stand in a circle. Say your
uncomfortable (some energisers are less name and add the name of the neighbour
How (will you implement some of the key activities?): suitable for older participants, men and to your right.
women in mixed groups (body contact) or Ask this neighbour to say your name, her/
in certain cultures). his own name and that of the neighbour to
Invite everybody to participate; including the right.
facilitators, observers, trainers etc. But never Continue for all people in the circle, ending
force participants to participate in with the last person repeating all the names.
Who (will you have to collaborate with, gain support from or share you new an activity
knowledge with?): Ask people to change places in the circle
Maintain an acute awareness of group and challenge a volunteer to repeat all
development names.
Provide positive feedback
Ask the first question: stand up if you are a

b. Ball game father............ give people time to look around Bring the box back at the end to return the c. Choose your spot
and ask people to sit down again. papers.
Ask everybody to stand in a circle and throw Post four posters in four different corners of
a ball to somebody, saying your own name, Ask the next questions in the same way: Variations: the room; each with one face representing
the name of the person you throw the ball stand up if you the following opinions: strongly disagree,
Participants write their worries but keep the
to and the name of the person to whom the disagree, agree, strongly agree.
are a mother, like cooking, are a forester, paper in their own pocket.
receiver should throw the ball next.
have a girlfriend, like lectures, have been Explain to the participants that the faces
Participants can mentally place their worries
The person who receives the ball repeats to Thailand before, like sports, like group represent these opinions and that when
in a box until the training session ends.
their own name, the name of the person (s) work, have a boyfriend, do not like Thai each statement is read out (or displayed)
he was requested to throw the ball to and food,...................(add your own course- The box with all the worries may also be they should choose the face which most
the name that person should throw the ball specific questions) ceremoniously burned if all the participants closely represents their feelings.
to. agree.
Ask if any of the participants wants to ask a Ask all participants to stand in the centre
Variation: question to the group. of the room as you read the statement,
and then go and stand beside the face
This exercise can be done first with the name e. Recalling learning that represents how much they agree or
cards still on, and repeated when the cards have disagree with the statement. After they
been removed. 2. Relaxers and Reflectors At the end of this session ask the participants to have discussed each statement in their sub-
do the following: group, they should choose a spokesperson
c. Name game a. Three deep breaths Close their eyes, take three deep breaths. to share key ideas from the sub-group with
Divide the group in two and ask them to everyone in the room.
Ask everybody to stand up. Travel back in time to the beginning and
place themselves on either side of a sheet, recall what struck them, what they learned, Read the statements one by one, allowing
so that neither group can see the other. Demonstrate how to take one deep breath,
new insights, etc. five to ten minutes for discussion and
reaching out with your arms and standing
Each group places one volunteer near the reporting back on each one.
on your toes. After two or three minutes ask volunteers to
sheet.
Ask them to repeat this three times while share their new insights. d. If then
The facilitators will drop the sheet on the you count slowly from one to three.
count of three.
Ask the group to sit in a circle and divide
The two volunteers who are all of a sudden b. Shoulder massage 3. Openers or Warm-up them into two groups
facing each other have to call out the name Form a fairly tight circle.
of the other. The loser joins the group of the a. Visualize Write on the whiteboard: if...then...
winner. Ask all participants to turn to their right Explain that one half of the group will
and put their hands on the shoulders of the Display a picture, cartoon, comic,
Repeat this procedure until most people photograph or poster related to the write the end to the if sentence while the
person in front of them. other group will write the end for the then
have had the chance to guess once. training as a whole or a specific topic to be
Give him/her a good shoulder massage. discussed. sentence. They can fill in anything they
want. Give an example for both, such as; if I
After one minute turn in the other direction Ask the participants to reflect on it, either had time and then I would be very angry
d. Group yourselves according to and return the massage. individually or in (buzz) groups.
Ask the participants to stand up and group After everybody has finished one of the
c. Meditation Ask volunteers to share their reflections. two sentences, say your if sentence and
themselves according to: height, size, age,
number of children, size of feet, number of Build on this reflection while introducing ask somebody from the other group to
trees planted in their lives, etc. Ask the participants to close their eyes, observe the new topic. continue with a then sentence. This will
silence and concentrate on their breathing or produce many laughs.
After each ordering, give the participants
the opportunity to observe the line to get a massage their ears. b. Quote Reflect: ask the following questions:
feeling for the composition of the group. Display a quotation, saying, proverb, poem What was so funny? The cause and
d. Worries aside or song related to the training as a whole or effect relationship did not exist.
Variation: include a competition element by Ask the participants to write all their worries a specific topic to be discussed
dividing the group into sub-groups. Ask each Does this also happen in our jobs?
on a piece of paper, fold it, and write their Ask the participants to reflect on it, either
sub-group to order themselves and sit down Why? Because we make too many
name on top. individually or in (buzz)groups
when ready. The first group to get themselves assumptions.
into the right order wins. Collect the papers in a box. Assure Ask volunteers to share their reflections
participants that these will be kept
confidential. Build on this reflection while introducing
e. Stand up If. the new topic.
Put the box aside and remind the
Ask the participants to form a circle with participants that their task is to give
their chairs and explain the purpose and attention and energy to the training.
procedure.
4. Games focusing on team dynamics Hold on to the rope (combining forces) Facilitator will call out an amount 4. Bottle and pen
of money and you will have to form
Provide a strong rope of about 4 meters groups which make up that amount Arrange two soft drink bottles and two
a. Knotty problem long. pieces of string with a pen knotted at the
People who do not manage to form the end.
(Group own solving skills) Divide the group in two and start a pulling right amount in their group or alone
competition. drop out Divide the group in two and attach the
Ask the participants to stand in a tight circle, string to the belt on the back of a volunteer
close their eyes and stretch their arms in Then, knot the ends together and arrange Do a trial round to give people a feel for from each group.
front of them. the rope on the ground in a circle. how it works.
Put the bottles behind the volunteers with
Invite them to clasp one hand of somebody Ask everybody to sit down around the circle Start calling out different amounts the string, ask them to close their eyes while
else in each of their hands. and take the rope in both hands. (depending on the number of people): the rest of the team coaches their volunteer
When everybody is holding two other Ask them while holding on to the rope to 50 cents, 2.50, 1.25, etc. to drop the pen inside the bottle.
hands, they can open their eyes. stand up all at the same time. Stop until only a few people are left. The team who succeeds first in dropping
Tell them to disentangle, without letting go Reflect on difference between the two the pen into the bottle has won.
of each others hands at any cost. exercises. 2. Turning heads (training reflexes)
Ask the participants to sit in a big circle. 5. Chasing the robber
Variation: ask one facilitator to unravel the knot d. Fruit salad Arrange two shawls, one long enough to
within 3 minutes using verbal expressions only. Divide the participants into two groups.
Ask people to select in their minds the fruit be knotted once around the neck and the
Instruct him or her to keep their hands behind they like best. Ask one volunteer from each group to other twice.
their back to prevent her/him from touching the take their place on one of two chairs in the
group or using body language. Place enough seats in a circle for everybody middle of the circle with their backs to each Ask the participants to stand in one circle
to sit on but not your own. other. and explain that the person with the short
shawl has to knot it once around the neck,
b. Find the leader Remove your own chair and explain that if On the count of three the volunteers have to being the policeman, and the person
you call out a fruit these people that have turn their heads. Explain that one group will receiving the long one has to knot the shawl
Ask the participants to stand in a circle
selected the fruit called out have to change win if the two volunteers turn their heads twice and is the robber.
shoulder to shoulder.
seats and try to find another seat. to the same side, while the other group will
Explain that a volunteer will be sent out and win if they do not face the same side. The shawls are distributed at opposite sides
The next person without a seat will call out a of the circle, are knotted, unknotted and
that (s)he will have to determine the leader
fruit and the game continues. The volunteer who lost will be replaced by a passed around in the same direction.
of the group, following these rules: (s)he
can fail 2 times and if (s)he finds the leader Variation: new member of the same group.
By the time both shawls meet the robber
within three times and/or one minute (s)he The group that runs out of volunteers first is identified and this person receives a
will be rewarded. Instead of calling out a fruit the person in
the middle asks the question: do you love loses. punishment (like sing a song, tell a joke).
Send the volunteer out. me?
While the volunteer is out, explain to the If the answer is yes: everybody changes 3. Trees and bushes
group that whatever the leader does the chairs. Ask everybody to sit in a circle and have Brain teasers or crackers
rest will follow. Choose a leader and start them count off 1,2,1,2...
with the first movement (clapping hands, If the answer is no the next question is who
do you love: 1. Arm Folding:
stamping feet, shouting something etc.), Explain that all the number ones belong to
changing every 15 seconds. the answer can be like people wearing the group of trees and all the number twos Ask the participants to fold their arms.
jeans, people wearing slippers etc. to the group of bushes. Ask them to unfold their arms.
Ask the volunteer to come back. Invite him/
her into the circle while continuing the Explain that if you call out trees; all the trees Ask them to fold their arms but starting with
movements. have to stand up with their arms up in the the other arm (some people can do this
If the volunteer correctly identifies the Competition air, if you call out bushes the trees sit down immediately; other cannot do it even after
and the bushes stand up with their arms trying several times over).
leader, the group rewards her/him with spread to the sides.
something. 1. Fighting over scarce resources Ask what happened? Why was the second
Explain that the resources are the men and Call out at random trees, bushes, bushes, time more difficult? What does this say
c. Sitting on knees women in this classroom, and put up the trees, trees, trees, bushes etc. about our behaviour? What kind of
Form a very close circle, with each person following rules of the game: The people who remain standing or seated implications does this have for our jobs/
circle facing the back of the next person. at the wrong moment have to leave the learning?
Women are worth 25 cents
circle.
Try to all sit down at the same time on the Men are worth 50 cents
knees of the person behind you.
Variation: shaking yes and nodding no Invite participants to continue passing the
Annex 5
Show people that to express yes they
should shake their head from right to left
scissors around the group.
While this happens you will tell them
Further Resources
and to express no they nod their head up whether what they say is right or wrong.
and down. The trick is that the cross and uncrossed
Explain that if you say yes or no they have does not refer to the scissors but the legs.
to repeat the appropriate movement.
Ask why this feels so strange. What does Reflect. What did we learn from this? Sometimes
this say about our behaviour? What kind what we conflict to what we see. By observing The following manuals, toolboxes and resources 4. A handbook for IWRM in Basin (GWP/
of implications does this have for our jobs/ we can find the clue. How does this relate to our are available to support training in integrated INBO), 2009
learning? job? river basin planning.
It is proposed to translate this Handbook for
2. Join the Dots Energy and fun raisers All websites were available at the time of writing IWRM in Basins into the four national languages
Draw the following dots the board or flip (September, 2009) but may have changed. for MRC/ICBP/BDP training purposes. The
chart: 1. Triple A participants would be requested to read this
Ask first: are we alive, alert, awake and 1. The GWP IWRM toolbox, undated handbook in advance of training. This ToT
enthusiastic? Yeah! IWRM manual would focus on best practice
This web-based resource details over 50 tools guidelines for priority IWRM issues in most of
Then sing with the following movements for IWRM. Sections of this Manual draw directly the LMB countries (e.g. issues that are being or
Alive: left arm in the air from the Toolbox and the assistance of the will be addressed in the next few years). These
Alert: right arm in the air Global Water Partnership is appreciated. best practice guidelines will be developed from
Awake: make big eyes with your hands See: website existing training material (for the Mekong Basin
and and worldwide). The training material for each
Enthusiastic? shake your hips 2. CAP-NET/UNDP, 2008: integrated water priority IWRM issue would include exercises,
Invite the participants to connect the dots (Repeat 3 times) resources management for River Basin role plays and other group learning activities.
with only 4 straight lines. Organisations. Training Manual Sections of this Manual draw directly from the
If nobody can come up with the solution Toolbox and the assistance of the Global Water
show how to do it: 2. Battle of Sports The purpose of this training manual is to Partnership and the International network of
Divide the participants in groups, each of improve efficiency and effectiveness in Basin Organisations is acknowledged.
them will be assigned a sport including a the application of IWRM for sustainable
slogan supported with movement: management and development of water 5. Integrated River Basin Governance:
resources, targeted at river basin organisations. learning from international experience
Soccer: football kick It includes chapters on introduction to IWRM, (Hooper, B, IWA Publication) 2005
Baseball: baseball shoot water resources management functions at the
Bowling: bowling strike river basin scale, using indicators to measure IWA Publishing, London Publication Date: 01
progress and performance, stakeholder Sep 2005 ISBN: 9781843390886. Pages: 320
Swimming: swimming jump participation, water allocation, pollution Hardback
Cricket: cricket batting management, monitoring systems, information
Ask them: management, economic and financial; This book aim s to help the current and coming
etc.
instruments, and basin planning for water generation of water professionals learn how
What did we can learn from this? One group starts by repeating their resources. to design basin management. Providing a
What does this challenge to think beyond slogan and movement 3 times, ending by classification of river basin organisations and
existing frameworks mean to our learning mentioning the team that has to proceed. 3. IWRM Guidelines at River Basin level their use, the book also covers fundamental
or jobs? The trick is that the team has to yell and (Unesco IHP/WWAP/NARBO), 2009 issues related to implementation: decision-
move as one and clearly call out only one making. institutions and organisations,
other team to follow-up. If the group fails to
3. Crossed or uncrossed These guidelines include four volumes of information management, participation
do so the team is out.
Invite everybody to sit in a circle and guidelines about how to use tools to implement and awareness, legal and economic issues,
Afterwards reflect on what happened. Why IWRM at the river basin level. Four volumes, start integration and coordination processes, and
explain that you will pass a pair of scissors
did some teams last longer than others? at Volume 1: website (a downloadable PDF). building organisational and human capacity.
to your neighbour.
What does this tell Integrated River Basin Governance focuses
Say that you will pass the scissors either on the social, economic, organisational
crossed or uncrossed.
and institutional arrangements of river
basin management. Methods are outlined
for implementing strategic and regional

approaches to river basin management, noting Glossary of
IWRM Terms
the importance of context and other key
elements which have been shown to impede
success. The book includes a range of tools for
river basin governance methods, derived from
real life experiences in both developed and
developing countries. The successes and failures
of river basin management are discussed, and
lessons learned from both are presented.
See: website. Selected chapter PDFs available
from the author. See the endnote for the sources of word definitions Basic water resources management needs:
and funding support for the development of this Basic water resources management needs are
6. Integrated River Basin Management: from glossary. certain tasks that need to be implemented
concept to good practice (World Bank), 2005 adequately in order for any water resources
Accountability: A process which ensures actions management to take place. These tasks
These Briefing Notes consider five main are reported. include water resources monitoring, water use
attributes or features as crucial for good permitting, and compliance assurance with
integrated river basin management: (a) clear and Adaptive management: A structured, iterative permit conditions and other regulations. If
strong institutional arrangements, supported by (ongoing through a sequence of rounds) approach these tasks are not implemented properly then
clear regulations, decrees, or agreements and that recognizes that the information used in water availability, water quality, water use, and
with well-defined implementing procedures; (b) making decisions is imperfect and that, as decisions water issues are not known well enough to
good water-related data, information, systems, are made, a process is in place to gain better permit meaningful water resources planning
and models readily available to the river basin information and adjust the implemented action and decision making on water management
partners and those agencies and bureaus accordingly. issues. Currently, the essential water resources
operating within the basin; (c) a complete and management needs in Armenia need to be
clear suite or package of basin-wide policies, Allocation: The units of water (volume or updated and revitalized to facilitate water
procedures, and strategies to guide water equivalent) provided to a recognised user for a resources planning and management.
and natural resource planning, management, given period usually a year or a season
and administration; (d) an appropriate form Basin development strategy: An approach
of communication and participation for all Apex body: The lead organisation that takes the or line of attack to managing and developing
basin stakeholders and partners; and (e) basin most prominent decision-making role. natural resources in a river basin; a carefully
sustainability performance indicators and an devised plan of action to achieve a goal, or the
agreed approach to monitor and report on how Aquatic ecosystem: The living and non-living art of developing or carrying out such a plan;
the basin is being managed and the resources natural components of a stream or other water the words strategy and plan are often used
consumed and protected. resource. interchangeably these days.
See: website
Aquifer system: A series of geologic formations Basin: A large watershed see watershed.
7. Mekong River Commission resources, which consist of two or more aquifers divided by
undated lower permeability units. Basin development and management plan
(or integrated river basin management
BDP Core Library: http://www.mrcmekong.org/ Aquifer: An underground geological formation of plan or integrated catchment management
programmes/bdp/BDP-core-library.htm rock, sand or gravel, capable of storing water within plan or IWRM plan): A plan which sets
BDP documents: http://www.mrcmekong.org/ cracks and pore spaces, and that yields water to out the goals, objectives and guidelines for
download/programmes/bdp/02-SA-analysis.pdf springs and wells. The water contained in an aquifer management of a river basins natural resources.
is called ground water. It documents data, information, procedures
and mechanisms found in the protocol.
Backstopping: Providing additional support to The contents of a basin development and
somebody or something to protect somebody or management plan will vary according to the
something else. river basin context: the type, scale and severity
of natural resources problems, the level of
Basic human needs: Water of required quantity economic development of the basins natural
and quality sufficient for human existence and resources, the capacity of current institutional
primary household needs. arrangements and organizations to manage
the natural resource management problems.
Contents of a plan include: possibility of adverse impacts of land use upon Consumptive Use: Utilization of water which reduce losses of water, reduce waste of water,
Physical description of the basin water quality. reduces the supply from which it is withdrawn or alter land management practices, and/or alter
diverted. land uses.
Land use inventories Bulk water: Relatively large quantity of water
Current water availability and demands supplied or sold by a wholesaler to a retailer Control structures: A man-made structure Demonstration: An activity which serves as an
or agent. It would normally be understood designed to regulate the level and/or flow of example to others.
Pollution source inventories
that the retailer or agent would distribute the water in a canal (e.g., weirs, dams).
Aquatic and terrestrial ecosystem needs water among their customers (e.g., farmers or Development space: The area of influence
Vulnerability to floods or extreme households) according to some pre-determined Cost accounting: Quantification of cost resulting from an incident that causes a situation
meteorological events agreement. according to activity, time period and to change or progress.
recovery unit (e.g., Ml of water used) for the
Identification of stakeholders and Capacity building: The development of an purpose of recovering costs. The operating Distribution equity: Processes that help to
mechanisms for participation
organizations core skills and capabilities, such and maintenance costs of irrigation inside ensure water users belonging to a particular
Implications of changing land use as leadership, management, finance and fund- a command area will begin by defining and supply system get a share of the annual/
Identification of priority issues (impact raising, programs and evaluation, in order identifying all the relevant costs. Next, the seasonal allocation. This will not necessarily be
issues or user requirement issues) to build the organizations effectiveness and systems used for sourcing and validating costs the same share, but definition of prior rights will
sustainability. for the current accounting period will refined. assist with delivery of equity.
Short- and long-term goals for the river Cost accounting is the essential pre-requisite to
basin
Catchment: See watershed. cost recovery. Distribution headworks: Essentially the
Water related development scenarios, future physical network of channels and ditches that
water demands + risk assessments Compliance assurance and enforcement: Cost effective: The minimum cost within are used to distribute water among recognised
Water allocation and water quality Exercise of supervision over the implementation defined limits of performance and/or quality members of a project or scheme.
objectives of conditions and measures prescribed by legal standards; for example, a cost effective public
instruments and, if necessary, the sanctioning water supply would provide water which meets Drawdown: When a well is pumped, water is
Strategy, measures and action plans for the
of non-compliance. For example, in Armenia the U.S. EPA drinking water standards and public removed from the aquifer surrounding the well,
achievement of goals, including sub-basin
management plans compliance of the water use permit holder with preferences for taste, colour, and hardness; and and the water table or piezometric surface is
the conditions described in the water use permit is within a range of acceptable water pressure lowered. The drawdown at a given point is the
Financing of water use and management (which is a legal instrument) should be regularly and some defined service reliability criterion. distance the water level is dropped.
Responsibility and schedules for controlled. Compliance with the assessment of
implementation environmental fees and charges should also be Cost recovery: Imposition of a cost per unit of Drivers of change: Major factors, processes or
strictly enforced, and be coupled with a vigorous water sold that will recover costs as defined. If activities which cause changes on the earths
Mechanisms for monitoring and updating
program aimed at the collection of delinquent it is total irrigation operating and maintenance surface, changes to economic systems, land use
Annexes including specific studies such as fees and charges. In case of substantial costs within a project area, that must be and water use changes.
areas of significant environmental problems. deviations from the conditions by the permit recovered, then this should be specified when
holder, an increasingly stringent set of sanctions making a reference to cost recovery. The final Economic instruments/market-based
Benefit sharing mechanisms: Mechanisms should be applied through administrative and critical step in cost recovery is invoicing all incentives: Economic instruments, often called
which specify equitable water shares. legal action, including warnings, fines, and members within the command area for their market-based instruments, can be defined as
penalties ranging from temporary suspension share of the total cost. policy instruments that create price signals to
Best management practices (BMPs): of permit holders activities, permit forfeiture, to encourage companies and water users to make
Agriculture and other industry management the shutdown of permit holders facility. Criterion: A criterion is a standard rule or test decisions that help achieve environmental
activities designed to achieve an important on which a judgment of decision can be based. objectives. Such instruments increase the cost
goal, such as reducing farm runoff or optimizing Cone of influence: The area around a Water quality criteria are based on specific levels of behaviour that harms the environment,
water use. producing well which will be affected by its of pollutants that would make the water harmful and reduce the cost (or increase the value of
operation. if used for drinking, swimming, farming, fish and behaviour) required to protect the environment.
Brackish: Water with a chloride level greater aquatic life production, or industrial processes. This is the incentive objective of economic
than 250 mg/l and less 19,000 mg/l. Consumptive Use: The quantity of water that instruments.
is effectively removed from surface or ground Cross-cutting programmes: Integrating
Budget: A financial plan or statement which water resources because it has been evaporated, actions which cover several different aspects Economic instruments may be also used as a
lists how monies will be and have been spent. transpired, or incorporated into products, or of land and water management; IWRM plans source of finance for environmental and/or
plant or animal as a result of human intervention should always be cross-cutting. water resources management, or for adding
Buffer Zone: An area situated between two in the water cycle. to the state budget. In practice, the incentive
areas in possible conflict. The objective of Demand management: Reducing the demand objective and the financial objective often occur
establishing a buffer zone is to reduce the for water through activities that alter water at the same time. However, there are reasons
use practices, improve efficiency in water use,
for distinguishing between the two objectives the forums and mechanisms, information water resources discharge and pollution fees, also may be used to leverage capital markets
when setting the levels of the fees or charges. and capacity-building, created to establish to be re-established in Armenia, according to to secure large loans for the construction, for
Small levels do not change the pattern of these rules of the game and to facilitate and instructions in the National Water Code. example, of centralized treatment plants to
behaviour of companies, but may still provide exercise stakeholder participation. The GWPs benefit multiple users. Environmental funds
significant revenue for financing essential water IWRM Toolbox lists three groups of enabling Environmental flow assessment methods: are usually established as revolving funds
(or environmental) resources management environment tools: (a) national, provincial and these refer to a number of different techniques in order to preserve the corpus for further
needs. local policies, (b) legislation and (c) financing used to the amount of water needed in a environmental improvement, consistent with
and incentives. See www.gwptoolbox.org watercourse to maintain healthy ecosystems. the funds purposes. The authorizing law
Policy instruments classified as market-based Various methods are available: hydrology- should recognize that the revenues derived
instruments include Environmental Charges, Enact: To make happen. based, hydraulic ratings, habitat simulation, from the fund are to be earmarked for fund
User Fees for Natural Resources, Financial holistic (assessment of whole ecosystems); purposes and not deposited in the government
Incentives, Fines and Penalties, and Industrial Entitlement system: The use of water downstream response to imposed flow treasury for general use. Often, as is the case in
Waste Exchanges. Other types of economic entitlements as a means of sharing scarce water transformations (DRIFT); flow stress/response Armenia, national laws prohibit special funds
instruments include: fees for environmental resources among competing uses and users. (FSR); and benchmarking. and their presence constrains an environmental
services; deposit-refund systems; trading The system will include efficiency if it allows funds optimal effectiveness. Armenias
programs; input and output taxes; removal entitlements to be traded among different users Environmental flow: Refers to the amount law in this respect requires amendment to
of import duties; and market stimulation within a defined supply area such as a basin or of water needed in a watercourse to maintain accommodate this concept. An environmental
for recycled goods through, for example, storage. healthy ecosystems. The term is used in the funds chief purpose to provide funding can
government procurement practices. context of rivers which have been dammed, with play a particularly important role in the early
Entitlement: A water right or expectation most or all of the flow trapped by the dam phases of implementing a National Water
Economic principles: When applied to granted or purchased by a user specifying their the failure to provide an environmental flow can Program (NWP) for Armenia. In this connection,
consumptive water, the term economic permanent access to supply from a nominated have serious ecological consequences [source: an environmental fund could be constructed
principles refers to efficient capture, allocation, source. The access right will normally be Global Environmental Flows Network]. to serve the water sector only, for example
distribution and usage of water. Economic tools specified in terms of an annual volume and to finance the improvement essential to
that assist these functions include competitive reliability but will not guarantee the volume Environmental fund: An environmental fund water resources management needs: water
pricing, timely price reporting and transparent received in any given year that is the role of may be created at any level of government resources monitoring, water use permitting, and
and informed decision making. allocations. Water allocations can be tied to the to help finance prioritized environmental compliance assurance with permit conditions
land to which they apply or made free-standing. protection activities. It is ordinarily legally and regulations. Such a water fund can be
Economic value: The economic value or price In the latter event, it will be possible for the authorized concurrently with the authorization considered as a pilot project for Armenia, and,
of water at a time and place, with defined entitlement holder to trade it independently of of incentive systems designed to stimulate as experience is gained, be expanded to cover
qualities can be established via its opportunity the land. innovative approaches to environmental other water and environmental needs.
price in its next best usage. The scarcer water management, such as pollution and water use
is the higher will be its opportunity value and Environmental asset valuation: measures fee systems to stimulate cleaner production Equitable: The delivery of equity usually means
price. which quantify the ecological, economic and and water conservation, respectively. The fund making recipients of water more equal. Where
societal value of environmental assets which is a depository for revenues received from the the application of equity results in farmers
Efficient: Water used efficiently will be include goods (e.g. potable water, irrigation incentive programs, such as environmental getting just a small quantity of water, that cant
productive as defined by the relationship water and fish) and services (e.g. waste disposal, fee and charge programs, as well as other be used efficiently, the end result can be gross
between a unit of input and units of output. flood regulation and recreation). These assets sources of receipts, such as fines and penalties inefficiency. The details of how equity and
Agriculture and industry will measure water use depend on the characteristics of the ecosystem, from enforcement, government budgets, efficiency trade-off needs to be understood and
efficiency in terms of output per Ml of water whether it is an upstream catchment, a commercial banks, and international donor explained by policy makers.
purchased or consumed. Efficiency in the case floodplain or a river delta. Some assets are agencies. Disbursements from the fund follow
of households could be litres per person per day. directly related to aquatic ecosystems (such as carefully constructed guidelines to ensure Equity: Equal opportunity or access to the use
to water supply and to fish), whereas others are compliance with the purposes of the fund and of a resource and benefits to be derived from
Effluent: Water that is not reused after flowing indirect input to terrestrial ecosystems (such as transparency. Disbursements may take many the use of a resource. Often used mistakenly
out of any wastewater treatment facility or other soil moisture and land erosion). forms but typically include low-interest loans, to refer to protecting the vested interest of
works used for treating, stabilizing, or holding loan guarantees, interest subsidies, and, in some groups with relative greater economic, social,
wastes. Environmental Charges: Environmental cases, grants to assist recipients in financing and political influence. Sometimes confused
charges require polluters to pay a fee for the cleaner technologies. Fund disbursements with the concept of fairness, which refers to the
Enabling environment: The rules of the game pollution they produce. They internalize the may also include recovery of the operating proportional distribution of benefits and costs of
in water management; what makes it easy for social costs of pollution by forcing polluters costs of the fund, the incentive programs, resource use.
stakeholders (people who have a say) to play to include the damage to the environment and/or the implementation of the regulatory
their respective roles in the development and that they cause in the prices for their products. framework (monitoring, permitting, and Eutrophication: The process by which water
management of water resources. It also includes Examples of environmental charges are the compliance assurance and enforcement). They becomes enriched with plant nutrients,
most commonly phosphorous and nitrogen, to be replaced, and all factors of production having substantial value to an enterprise and Hydrology: The study of the spatial
which cause increases in plant and algal rewarded, it is necessary to cover all costs and being appropriately allocated in the calculation and temporal changes in water volumes
growth. Such increases reduce clarity and the make a profit. of profit and loss. and discharge rates, and in its broadest
availability of oxygen for other organisms. interpretation includes the physical and
During eutrophication, a lake or reservoir may Financial: Refers to expenditures, budgets and Function: An action or use for which something dynamic properties of water, water quality,
become so rich in nutritive compounds that monies spent on water resources management. is suited or designed e.g. the function of this and many aspects of climatology and geology.
algae and other microscopic plant life become reservoir is to collect and store water. Hydrologic parameters of importance to
superabundant, decreasing oxygen for other Fines and penalties: Fines are an floodplain management are more limited,
aquatic life and thereby choking the lake or administrative legal instrument to encourage Good governance: Procedures are in place to including: flood peak flows; flood volumes; time
reservoir. proper environmental behaviour. When fines ensure your transboundary water organization of concentration and travel; rate of rise; water
are not paid, a legal action can be taken in is free of corrupt practices in fiscal management, velocities; sedimentation and degradation of
Evaluation: The systematic assessment of accordance with civil or criminal law, which reporting and water sharing. flood channels and floodplains; flood elevation;
the relevance, implementation efficiency, may result in imposing material and/or criminal the effect of geomorphology on floods; the
development impact, and the expected penalties. Governance: The range of political, social, hydraulics of flood channels, floodplains, and
outcome of a policy, strategy or plan. economic and administrative systems that are man-made structures; and water quality as it is
Fixed cost: Fixed costs are those costs that do in place (or need to be in place) to develop impacted by floods.
Evaporation: The process by which water is not vary in proportion to output. If DoWR has and manage water resources and the delivery
changed from liquid to vapour. less water to sell in a given year, there might of water services, at different levels of society Impact assessment procedures: studies of the
be slightly lower labour costs associated with (source: GWP). potential future effects of resource development
Evapotranspiration: The loss of water to the monitoring water applications but most costs on other resources and on social, economic
atmosphere by evaporation from land and water will be the same as they would be in an average Government utilities: These are government and/or environmental conditions. Tools such as
surfaces and transpiration from plants. year. departments or agencies that sell real products Environmental Impact Assessment, Strategic
to customers, whether as a retailer or wholesaler. Environmental Assessment, Cost Benefit
Externalities: A secondary or unexpected Floodplain: Land area subject to inundation The utilities typically sold by government Analyses and Operational Assessments support
consequence, often measured in an economic by flood waters from a river, water-course, lake, agencies include water, electricity and the management of threats to sustainable water
sense in terms of impacts. or coastal waters. Floodplains are delineated sanitation. use (e.g. from infrastructure construction, over-
according to their estimated frequency of abstraction, point-source and diffuse pollution
Financial Incentives: Financial incentives flooding. Green tax: A levy, duty or toll established by and habitat loss/degradation). See Table 8.1 in
are subsidies paid to those who undertake governments to pay for environmental activities. this Training Manual for definitions of different
environmental protection projects. For example, Formal entitlements: Entitlements supported types of Impact Assessment
a subsidy can be paid to an industrial enterprise by a legally drafted and signed document that Ground Water: Water beneath the surface of
that wishes to invest in modern and clean indicates the holders rights regarding ongoing the ground, whether or not flowing through Instream flow needs: Use of water taking
production technology or pollution control and access to a regulated or supplementary supply known and definite channels. place within the stream channel (in-stream
abatement measures in order to comply with of water. use) for such purposes as fish and aquatic
conditions described in its water use permit. Growth: Expansion or increase in scale, life propagation, recreation, water quality
Incentives such as grants, soft loans or other Framework: The structure, outline or magnitude, or physical dimensions. improvement, hydropower generation,
forms of subsidies, reduce the costs incurred agenda for thinking about water resources navigation, and environmental protection.
for the project. They thus reduce any adverse management; a set of ideas, principles, Human system: Any part of the natural system
impacts on the receivers financial performance agreements, or rules that provides the basis or which has been modified structurally for human Incentive: A positive influence which motivates
or provide an incentive for a receiver (for outline for something intended to be more fully economic or residential uses. action; it could a financial (pay money
example an industrial enterprise) to undertake developed at a later stage. encourage action) or non-financial
the project. Hydraulics: The study of the physical behaviour
Full cost accounting: An economic tool which of water in terms of its flow paths, velocities, and Incorporation: The process of registering a
Financial viability: The capacity for an takes into account the externalities involved in stages. Surface water hydraulics are basically business. Pani Panchayats wanting to take
enterprise to remain viable because it the production, use, and disposal of goods and controlled by relatively few parameters, some responsibility for O&M within their command
establishes a relationship between incomings services over time. Externalities are given prices of which have so far only been estimated by area will need to put in place some corporate
(from sales) and outgoings (costs) that gives all to reflect their costs, including energy sources empirical methods. These are: slope, surface structure for collecting and dispensing funds. A
factors of production (including capital) a return used, the environmental damage caused by roughness, depth of flow, channel shape limited liability company owned and controlled
equal to or better than the opportunity returns the production, and the costs of disposal or and size, and sediment load. Each of these by members will be the easiest way of doing
elsewhere. In the short term, a business can recycling when the product is no longer usable. parameters is interrelated, so that the effect of this; the company structure will allow farmers to
remain in place (and thereby appear viable) by Natural or renewable resources, traditionally slope is generally measured while holding the undertake many beneficial functions as a group.
just covering its variable costs. In the longer viewed as free goods, are redefined as assets, other parameters constant, and so forth.
term, however, when capital equipment has
Infiltration: The movement of water through some definitions: conservation and utilization of natural resources Levee: An embankment to prevent flooding,
the soil surface into the soil under the forces of A process of formulating and implementing reflect the public interest and the public will. or a continuous dike or ridge for confining the
gravity and capillarity action, or the volume of a course of action involving natural and This results in the development of plans that irrigation areas of land to be flooded.
water that passes into the soil profile over a unit human resources in an ecosystem, taking have public support, in addition to sound
area. into account the social, political, economic technical, economic, financial, environmental, Logistical: Referring to the method(s) by which
and institutional factors operating within and social foundations. Public support is also an activity takes place.
Infringement: A breach, violation or the ecosystem in order to achieve specific necessary in order to establish willingness-to-
contravention of a law, rule or directive. societal objectives. (Dixon and Easter 1986) pay. The application of IWRP&M requires the Lowest appropriate level (principle of
The coordinated management of land proper institutional framework. The appropriate subsidiarily): an organizing principle which
Institutional: A practice of a large water and water resources within a river basin, institutional setting for undertaking IWRP&M maintains that matters ought to be handled
organisation, law or administrative system that with the objectives of controlling and/or is deserving of considerable and purposeful by the smallest, lowest or least centralized
is influential in the community, e.g. a national conserving the water resource, ensuring investigation and effort to assure that objectives competent authority; for example, in the water
water resources department; institutions include biodiversity, minimizing land degradation, can be achieved most efficiently. Thus, four sector this could be a local water user district.
policies, laws, regulations, financial incentives and achieving specified and agreed elements are necessary for successful integrated
and subsidies, tariffs and other money raising land and water management, and social water resources planning and management: Main stem (mainstem, mainstream): refers to
activities. objectives. (Hooper 1997) the main, central course of a river.
The application of proper methodology;
A process which promotes the coordinated
Institutional arrangements: mechanisms of development and management of water, The proper institutional setting; Management instruments: These are the
social order and cooperation governing the land and related resources, in order to The framework of natural river basin elements and methods that enable and
behaviour of a set of individuals or organizations maximize the resultant economic and social boundaries; and help decision-makers make rational and
in the water sector welfare in an equitable manner without informed choices between alternative actions.
compromising the sustainability of vital Public participation
These include a wide range of methods,
Institutional roles: These refer to the ecosystems. (Technical Committee of the Integration: The act of combining into a both quantitative and qualitative, based on
Global Water Partnership, 2000)
functions and responsibilities of the institutions coordinated whole. disciplines such as hydrology, hydraulics,
(government departments, laws, administrative This methodology provides for due environmental sciences, system engineering,
systems) which deal with policy, regulations, consideration of all water and related land Involvement: Participation in a water resources legal sciences, sociology and economics. To
implementation, execution and oversight resources concurrently, including surface waters management activity. make progress in IWRM it is necessary to select
understand and deliver as per their roles, and ground waters, in the process of conserving the group of instruments that best suit a specific
and the institutional capacities they need to these resources, and exploiting these resources Irrigation: The application of water by artificial reality, considering the existing social and
be effective. The GWPs IWRM Toolbox lists in the solution of problems and the satisfaction means. The goals of irrigation include, but are political consensus, available resources, and
two broad categories of institutional tools: of clearly identified and defined needs. The not limited to, supplying evapotranspiration geographical, social and economic contexts;
organisational frameworks and capacity building application of these physical resources, and also needs, field preparation, freeze protection, crop and applying them properly. As a decision-
mechanisms - see www.gwptoolbox.org human and financial resources, to the resolution cooling, and leaching of salts. maker, you need to know which management
of inter-sectorial and competing needs, in instruments are in use, and the experiences and
Institutions: See institutional roles accordance with defined criteria, represents the Jurisdiction: Defined area or jurisprudence lessons that have been acquired after applying
essence of IWRP&M. It is a holistic approach in over which an authority or agency has these instruments on different realities, so that it
Integrated catchment management plan: see which all legitimate claims on resources-use and responsibilities or influence. is possible to select best options while adapting
Basin development and management plan. management are given due consideration, in to local conditions. The GWPs IWRM Toolbox
advance of investment and exploitation. Equity Legal instruments: They comprise direct lists many management instruments - see www.
Integrated river basin management plan: see in the application of resources to the benefit regulations coupled with systems of monitoring gwptoolbox.org
Basin development and management plan. of those to whom these resources pertain, in and compliance assurance, and the sanctioning
accordance with appropriately established of non-compliance. They are often combined Manipulative: Scheming, calculating or
Integrated Water Resources Management principles, goals, objectives, standards and with financial enforcement incentives, such as controlling.
(IWRM): or Integrated Water Resources criteria, is one of the key aspects of IWRP&M. fines and penalties. Traditionally, Governments
Planning and Management (IWRP&M) is a have used legal instruments in a command and Marginal cost: The cost associated solely
structured process that is well conceived and The management of these physical resources on control approach to manage water demand. with each additional unit of production or
defined, and very creative. It is a method for the basis of natural boundaries defined by the A water use permit is an example of a legal consumption.
the management, regulation, conservation and river basin rather than political or administrative instrument.
utilization of water and related land resources boundaries is a more rational and viable Market-based instruments: see Economic
in an orderly and coordinated manner. Formal approach. The process of integrated water Legislation: Refers to the laws operating in a instruments
definitions vary but all focus on inter-sectoral resources planning and management requires country; the act of making or enacting laws.
coordination, stakeholder involvement and public education, public awareness, and public
intergenerational equity. Here is a sample of participation, so that decisions regarding the
Measure: An activity that is in line with National Water Program: In general, a National Outstanding issue: An item of overwhelming Probing: Inquiring, questioning.
the strategy chosen and which contributes Water Program describes the strategies and importance e.g. the outstanding issues in the
immediately or in the longer term to the measures to achieve certain (policy) objectives. lower Ganges River floodplains are poverty and Property rights: The rights (implicit or explicit)
achievement of the (policy) objective(s). The Program also provides a schedule for the flood damages. help by users in relation to real property such
implementation of these measures, assigns as land or water. Property rights with respect
Memorandum: A written statement responsibilities for their implementation, Paraphrasing: To restate something using to water will refer to such dimensions as access
summarizing the terms of a contract or a similar and describes how the implementation other words, especially in order to make it (e.g., when and where), quantity (e.g., a volume
legal transaction; a memorandum refers to an will be financed. In addition, the National simpler or shorter. or equivalent amount), reliability (e.g., low,
agreement for joint action. Water Program could provide instructions high or a % of a specified amount), quality (e.g.,
and guidelines for the preparation of the Participation: Process through which potable, suitable for livestock or irrigation,
Micro-economic reforms: These refer to development of river basin plans. The national stakeholders influence and share control; being hazardous, etc.). Property rights might also refer
substantial changes in markets, particularly strategies and measures will have to be reflected involved to some extent. to the conditions under which real property can
those controlled by government. The primary in river basin plans, although the actual be traded or exchanged.
purpose of micro-economic reform applied formulation of the basin plans should be more Permeability: The ability of a rock or sediment
to government utilities is to make them related to specific issues and conditions. The to transmit fluid. Public goods: Assets owned by all people in
perform and behave more like firms subject to National Water Program is generally prepared on a nation e.g. the assets of this country include
competition. Cost recovery is often the initial the basis of national policy documents or plans PIM (Participatory Irrigation Management): clean water.
focus of micro economic reform. prepared by the water using sectors (irrigation, refers to programs that seek to increase farmers
environment, municipal water supply, etc.), a direct involvement in system management Raw water: Water that has not received any
Minimum flow requirements: The minimum national policy document for spatial planning, either as a complement or a substitute for the man-made treatment.
water flows in rivers to maintain several essential and other documents that look into the future of state role.
functions including aesthetics, fish production, the various economic sectors. Reasonable/beneficial use: The use of water
human health and the maintenance of an overall Plan: A more detailed outlining of the measures in such quantity as is necessary for economic
healthy water ecosystem. During Soviet times, National Water Reserve: The Armenian Water that have to be implemented to operationalize and efficient utilization for a purpose and in a
Armenia established a system and models for Code defines the National Water Reserve as the a certain strategy. Any plan should be practical manner which is both reasonable and consistent
calculating minimum flow requirements in quantity of water needed to preserve aquatic and technically and financially feasible. with the public interest.
rivers. The calculation method is described in ecosystems and basic human needs of present
Guidelines for Regulating Minimal Water Flow in and future generations. The water requirements Policy: A statement of guiding principles and Reclaimed water: Water that has received at
Rivers for Nature Protection. The application of related to preservation of water ecosystems refer course for action; a programme of actions least secondary treatment and is reused after
the guidelines result in minimum flows (in m3/s) to aspects of water quality and water level of adopted by a person, group, or government, or flowing out of a wastewater treatment facility.
in one point along each river, far downstream Lake Sevan (and associated wetlands) and to the the set of principles on which they are based.
in the basins, with no regards to the flow in the minimum flow requirements in rivers. Reforms: Actions to change and improve
rivers upstream of this point. Potable Water: Water that is suitable for something by correcting faults, removing
Non-consumptive allowance: This refers to an drinking, culinary, or domestic purposes. The inconsistencies and abuses, and imposing
Minimum flows and levels: The limit at which allowance of water that should not be extracted maximum chloride concentration is 250 mg/l. modern methods or values.
further withdrawals would be significantly from the river or storage. Thus environmental
harmful to the water resources or ecology of the flow can be referred to as the non-consumptive Price signal: Often expressed in terms of Reservoir: A manmade or natural lake where
area. allowance. clarity. Prices that go up and down rapidly or are water is stored.
difficult to discern are said to be confused. But
Monitoring: Monitoring is the systematic and Non-profit (not for profit) organisation: A if the price of water was to trend upward it could Resilience: The ability of a natural system to
continuous collection and processing of data social structure in which people for together be taken as a clear signal that demand has recover from or adapt to the stresses being
for planning, enforcement, and decision-making and which does not earn any financial benefit increased and superior water use and allocation placed upon it.
purposes. over expenses, of if benefits accrue, they are measures should be attempted. Clear price
returned to the organisation for research and signals provide the basis for decisive action. Responsibility: The state, fact, or position
National water policy: An outline of objectives development or further actions. of being accountable to somebody or for
and general directions for the development and Price: The rate resulting from the conjunction something.
management of the countrys water resources, Organisation: A social structure in which of supply and demand applying to a product
based on certain fundamental principles people work together. (output) or factor of production (input). Price in Restoration: To recover the natural systems
and national law. The Armenian Water Code this context is usually expressed relative to some vitality and biological and hydrologic integrity
defines the national water policy as a concept of Organisational mapping: A procedure to list unit such as Rs/Ml of water. in such a way that the stated levels of health and
perspective development of strategic use and the social structures in a specific place (local ecological function are maintained over time.
protection of water resources and water systems. area, region, nation) and describe their roles and
responsibilities.
Reuse: The deliberate application of reclaimed their interests and activities in a water resources structural and non-structural measures intended hydropower, etc.) without reducing the National
water, in compliance with FDEP and Water management setting. to reconcile the water conveyance and storage Water Reserve.
Management District rules, for a beneficial function of depressions, lakes, swales, channels,
purpose. Stake: A bargaining position a person holds in a floodplains, and coastal waters with the space Total water use: Total water use equals the
water decision. and related needs of a designated area. current active (consumptive) use of water
Riparian: in the case of transboundary water resources in a country or river basin in water
management, this refers to a country which Stakeholder: (i) A person or an organisation Surface Water: Water upon the surface of the using sectors (irrigation, hydropower, industry,
contains an international river, lake or aquifer. with an interest in water resources management earth, whether contained naturally or artificially. public water supply, etc.).
or water-related development; or (ii) a person or Water from natural springs is classified as surface
Robust M&E process: A strong, useful an organisation likely to be affected, positively water when it exits from the spring onto the Trade-off: A situation in which somebody is
and effective activity which includes both or negatively, by a planned. earths surface. prepared to compromise by giving up all or part
monitoring (checks something at regular of one thing in exchange for another.
intervals in order to find out how it is Stormwater: Surface water resulting from Sustainability: The state of having met the
progressing or developing) and evaluation (the rainfall that does not percolate into the ground needs of the present without endangering the Traditional plans (called Master Plans):
act of considering or examining something in or evaporate. ability of future generations to be able to meet cover one sector (or theme) and are intended
order to judge its value, quality, importance, their own needs. for implementation by one administrative body;
extent, or condition). Strategic Water Reserve: A water body that but a basin development and management
can be used for the provision of essential water Sustainable community: A community which plan (see above) will span across sectors
Safe annual yield: The reliability of water supply services during dry seasons or a series of uses its resources to meet current needs while and include activities to be implemented by
sourced from surface storages can be expressed dry years. For example, the main strategic water ensuring that adequate resources are available different agencies, in support of a shared over-
in terms of safe annual yield and will be of great reserve in Armenia is the storage in Lake Sevan for future generations. Such a community seeks all water resources development and and/or
interest to downstream water users especially above the outlet to the Hrazdan River. Another improved public health and better quality management goal.
during those months of the year when natural potential strategic reserve constitutes the of life for all its residents by limiting waste,
water supplies are most stressed. The safe countrys deep groundwater resources. preventing pollution, maximizing conservation Transferability of entitlements: The capacity
dimension of yield will take into account the and promoting efficiency, and developing local to transfer a water entitlement by trading
key sources of variability; principally monsoon Strategy: A strategy describes the ways resources to enhance the local economy. between buyers and sellers. The terms and
behaviour, size and efficacy of the catchment and means to achieve a certain (policy) conditions attached to a water entitlement will
and siltation of the dam itself. objective(s). A strategy could also provide Sustainable economic development: indicate whether it can be transferred and under
a general description of the measures that A qualitative change (improvement or what conditions.
Saline Water: Water with a chloride should be implemented in order to achieve the degradation) of a physically non-growing
concentration greater than 250 mg/l. The objective(s). Some strategies dont need any economic system in a state of dynamic Typology: The study or systematic classification
term saline water includes brackish water and policy guidance, as they are obvious, based on equilibrium maintained by its environment. of types, groups, categories or classes.
seawater. national and international experience or simply
common sense in water sector development. Tariff: Another term for price, charge or rate Urban development: The human landscape
Scenario: An outline or synopsis of a water Any strategy should be practical, realistic and e.g., Rs/Ml of water. Pani Panchayats that take characterized by cities, towns, suburbs, and
resources project, or plan, or impact of an action. fundable. responsibility for their own O&M will determine outlying areas which are typically commercial,
member charges on any basis they see fit. residential, and industrial in nature. They are
Scoping (as in impact assessment): The range Sub-basin: Comprises the drainage basin typically non-agricultural or non-rural in nature.
of influence covered by an activity, subject, or of a tributary that discharges directly to the Total available water for development: In
topic. mainstream river. an Armenian context, total available water for Urban service area: The geographic extent
development is defined as total available water or area to which urban utilities or services are
Sectoral: Pertaining to a distinct subset of a Subsidiarity: The principle that political power minus total water use. provided or planned to be provided over a
market, society, industry, or economy, whose should be exercised by the smallest or least specific time frame.
components share similar characteristics; central unit of government. Total available water: The total available water
examples include the water sector, the food equals the annually renewable water resources User fees for natural resources: User fees
sector, the environmental sector, the energy Subsidy: A grant or gift of money from a (surface water and groundwater) in a country or require users of natural resources to pay a fee
sector. government to a private company, organization, a river basin. for the use of the resource. The most common
or charity to help it to function; a monetary gift example is the use or withdrawal of water. Since
Self mobilization: Participation by taking or contribution to somebody or something, Total useable water: In the context of Armenia, the resource is finite, a fee for its use encourages
action. especially to pay expenses. the total useable water equals the total available users to conserve it.
water resources minus the National Water
Social mapping: An activity which charts and Surface water management: The development Reserve. Total usable water can be allocated Value-added: The monetary worth contributed
records the range of players (stakeholders) and and implementation of a combination of for consumptive use in the water using sectors by labour to raw materials through the
(irrigation, industry, public water supply, production process. Any process that adds value
to products and final goods.
Variable cost: Those costs of production that can buy and sell water products. Efficient soil conditions for growth and reproduction. Sources of definitions:
vary in direct proportion to the volume of interaction between supply and demand relies These include swamps, marshes, bayheads, Bruce Hooper (Bruce Hooper &
output. firstly in the existence of real or virtual markets cypress ponds, sloughs, wet prairies, wet Associates, Brisbane);
and secondly on feeding the market with meadows, river overflows, mudflats, and natural
Vulnerability: The degree to which a system relevant information. ponds. DHI, 2009, UNEP IWRM Survey
is susceptible to, or unable to cope with, (Glossary); Global Water Partnership Tec
Paper No 4. Integrated Water Resources
adverse effects of change, including system Water protection zone: A territory established Whole of basin approach: a procedure which
Management;
variability and extremes; in the water sector for preventing pollution, littering, depletion recognizes the river/lake or aquifer basin
the hydrological extremes include flood and of water resources, as well as for provision of a as an integrated ecological system in water Florida Department of State (unknown
drought. favourable water regime, which is not subject to management plans; specifically, this approach author);
privatization and confiscation. recognises that supplying adequate flows will Gulati, Meinzen-Dick and Raju,
Wastewater: The combination of liquid and not achieve environmental objectives unless 2005, Institutional Reforms in Indian
water-carried pollutants from residences, Water quality criteria: Numeric or narrative water quality, catchment land use, riparian over- Irrigation.
commercial buildings, industrial plants, and value designed to protect and support a grazing and other problems are addressed at Ian Whan (Alliance Resource Economics,
institutions together with any ground water, designated use of a water body. the same time; see also Basin development and Brisbane);
surface runoff or leachate that may be present. management plan.
Water quality standards: Includes the New Mexico State University (unknown
Water allocation: A regulated withdrawal of designated uses, criteria and anti-degradation Wholesaler: When a state water agency sells author);
water from a ground or surface source on the policy that define the water quality goals of a water to a retailer (such as a Department Ton Lennaerts, Mekong River
basis of total volume and/or rate of withdrawal. water resource. of Public Health that sells water to urban Commission;
This term is also applied to designated amounts households) then it is acting as a wholesaler. In UNEP-DHI Centre for Water and
of storage in a reservoir, including the amount to Water standards: Qualitative and quantitative the role of wholesaler, the state water manager Environment; UCC-Water, undated.
be released to protect fisheries and recreational criteria and requirements for water resource is better positioned to focus on efficient storage Addressing Environmental Aspects of
uses; an institutional device (policy, agreement, (including the National Water Reserve) necessary and distribution and water planning. IWRM. Concepts and Issues Paper No. 1;
programme) used to share water between for protection of water resources quantity and
riparians. improvement of water resources quality. Acknowledgment: The financial support for
the development of this Glossary came from:
Water budget: A description and quantification Water table: That surface of a body of Mekong River Commission funded
of the quality and movement of water in the unconfined ground water at which the pressure project, Development of a Training
hydrologic cycle within a specified geographic is equal to the atmosphere; defined by the level Manual and Delivery of a Training of
area. The product is often portrayed as a at which water within an unconfined aquifer Trainers (TOT) Course for 20 Participants
balance sheet of water in and water out in a stands in a well that penetrates the aquifer far originating from Four MRC Member
dynamic system. enough to hold standing water. Countries (RFP 09-007), and
ADB Technical Assistance Project TA-
Water footprint: The impact of water use, Water use: Any utilization of water which 7131 [IND] Technical Assistance for
usually measured in terms of volume per unit reduces the supply from which it is withdrawn or Institutional Development if Integrated
of time of a specific area (e.g. m3/year/km2); it diverted. Water Resources Management in Orissa.
is an indicator of water use that includes both
Contact for further contributions or
direct and indirect water use of a consumer or Watershed: A region of land within which discussion: Bruce Hooper & Associates
producer. water flows down into a specified body, such as bphooper@gmail.com
a river, lake, sea, or ocean; a drainage basin or
Water market: The mechanisms that allow catchment basin; the total area above a given
the relationship between water supply and point on a watercourse that contributes water to
demand to be revealed and converted into its flow; the entire region drained by a waterway
relevant actions. A major component of or watercourse that drains into a lake, reservoir
supply will be the water plans and distribution or bay.
systems applicable to basins, rivers, streams
and storages that are integral to servicing the Wetlands: Areas that are inundated or
water needs of the population. Water demand saturated by surface or ground water at a
should be expressed through prices and actions frequency and duration sufficient to support
that different users are prepared to pay or take. and under normal circumstances do or would
Protests about water might reflect the inability support, a prevalence of vegetative or aquatic
of users to gain access to a market where they life that require saturated or seasonally saturated
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TRAINERS NOTE PAGE TRAINERS NOTE PAGE
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TRAINERS NOTE PAGE
222 APPENDICES Training Manual Integrated Water Resource Management in the Mekong Basin
Office of the Secretariat in Phnom Penh (OSP) Office of the Secretariat in Vientiane (OSV)
576 National Road, #2, Chak Angre Krom, Office of the Chief Executive Officer
P.O. Box 623, Phnom Penh, Cambodia 184 Fa Ngoum Road,
Tel: (855-23) 425 353 P.O. Box 6101, Vientiane, Lao PDR
Fax: (855-23) 425 363 Tel: (856-21) 263 263
Fax: (856-21) 263 264
October 2011

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TRAINING MANUAL

Mekong River Commission

Manual for Training

2. Purpose of this Training Manual 1 3.4 Subsidies and incentives 38

TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin i

2. Training supplies and equipment 189

Introduction to the Training Manual

1. Background and Aims of the 2. Purpose of this Training Manual

The development of a Training Manual and

n To produce a Training Manual (this

n To develop a group of about 5 master

2 TRAINING MANUAL Integrated Water Resource Management in the Mekong Basin 3

Pre-training preparation by participants the nominated or suggested topic are not

Goals & objectives:

1. Introduce the session by explaining

Ask participants how much adults

PREPARATION Emphasize that the training will use a

6. Invite questions or comments from

5. Once the above tasks are completed,

>>> SEE SESSION PLAN 2.1: WHAT IS IWRM?

considerably re-regulate flows, to the extent

New investments and development 2. Highlight the four definitions placed on

Different user groups (farmers,

A process of coherent policy making OBJECTIVE STEPS

Flip Chart 4 Management: The skilful or

Flip Chart 5 - What is IWRM: The Global

Lessons learned 3.2 Legislation, regulations and

All major policy areas affecting water use should

Strengthening capacity in all water specific aspects of the listed policy/

2. Explain that we are now going to be

This session plan continues on the next page.

linkages, information linkages, resource HANDOUT STEPS

1. Working in country groups of 2-3 people,

Institutional Roles - Developing and regulating.

Lessons learned 4.2 National organisations Structural change within government

Extracted from: Sadoff, C., Greiber, T., Smith, M. and

on building human resource capacities, 2. A national water resources policy and

>>> SEE SESSION PLAN 4.1: THE ROLES AND

STEPS management and a sub-basin organisation

Best practice IWRM at the river basin level

4.7 Session Plan 4.2:

Desirable Context Desirable Process Desirable Outcomes

Well intentioned Inclusive Options assessed

Relevant material in other resources

1. Explain the purpose of the activity. Ask

3. Explain that there are, broadly speaking,

In your group identify an example

The techniques and procedures for handling

between buyers and sellers, employers and

What are the advantages and disadvantages

What are some of the more difficult Observers Sheet

Are there any particular issues within IWRM

Evaluation Situation analysis

Implementation Strategy choice

Source: CAP-NET/UNDP, 2008: INTEGRATED WATER RESOURCES MANAGEMENT FOR RIVER

Optimisation and simulation models are

A Basin Management Plan is the basin

Strategies to minimise risk

Many basin managers struggle to find the best Lessons learned

6.5 Sub-basin plans

1. Plan management and coordination

Coordination of Plan development was initially

Handout for Session 6.2:

Contents of a River Basin Management