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

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Innovative Research Issues Addressing Policies, Institutions and Governance Challenges of Irrigation in Twenty-First Century Ganesh P Shivakoti, PhD Professor of Agricultural and Natural Resources Asian Institute of Technology Thailand Slide 2 Presentation outline Introduction Emergence of methodological approaches for policy feedback Linking policy with local context An Agenda for Policy Research and Initiative in Responding Challenges Slide 3 Introduction Major changes in irrigation policies over the periods Participatory planning and decision making about irrigation investments Management transfer programs New approaches toward assistance to farmer-managed irrigation systems, and Joint financing of irrigation systems Slide 4 Introduction.. Over last few decadesfocus on improving institutional framework However, not sufficient for developing effective institutions needs understanding of dynamic of institutional development Increased water scarcity and quality concerns have generated new approaches to water management and reform responding to competition for water between agriculture and other sectors degradation of water quality and water reclamation climate change and global warming Slide 5 Introduction.. Trans-basin and trans-boundary water transfers Lack of appropriate institutions (River basin committees) Property rights and water rights Resistance against dam construction Rapid economic development and changes in political and social setting has posed a new setting to irrigation management Economic development has changed farmers cost-benefit calculus of irrigation management Slide 6 Introduction.. At the beginning of the twenty first century, additional water related issues are emerging: Coping mechanisms with the states retreat policy, alternative modes of governance and management at irrigation system levels Multifunctional WUAs Alternative O&M Mechanisms Farmers-to-farmers training approach Policy feed-back through innovative methodological approaches Slide 7 Emergence of methodological approaches for policy feedback Earlier papers mostly focused on use and efficiency of water resource In recent decades, irrigation management reform and impact of interventions have been matter of concern Some emerging methodological approaches: Dynamics study with cross-sectional data Integration of hydrological boundary with political boundary Analyzing effect of intervention overtime Livelihood asset pentagon: Analytical framework for irrigation system performance assessment Rules and collective actions for improving irrigation governance Slide 8 Methodological approaches.. Dynamics study with cross sectional data Study about the dynamic aspects of evolution of irrigation policy and institutions using cross-sectional data Scholars from The University of Hong Kong and Asian Institute of Technology have devised an approach trying to capture dynamism of irrigation management with changes in macro level political, economic and social settings in country Asian Irrigation Institutions and Systems (AIIS) Dynamics study and Database Management project Compares cases of three countries; Nepal, Thailand and Taiwan Slide 9 Methodological approaches.. Dynamics study with cross sectional data. Stages of economic development Framework to capture dynamism with cross-sectional data Time Variable (proxy) Nepal Thailand Taiwan Differences in management considering stages of growth as proxy for time Slide 10 Methodological approaches.. Integration of hydrological boundary with political boundary Conventional studies on irrigation management have focused either on hydrological boundary or on political boundaries as study units As water resources follow natural boundaries (river basins, watersheds), the concentration on administrative boundary will not capture the characteristics of resource well Similarly, the irrigation systems and water use in different ecological regions vary significantly The integration of the hydrological boundary with political boundary allows us to capture both the characteristics of water resources and human/management factors Slide 11 Methodological approaches.. Integration of hydrological boundary with political boundary. In our ongoing study we have tried to integrate hydrological boundary (river basins) with administrative/political boundary (regions) and ecological boundary The approach divides country into comparable regions considering major river basins and ecological regions which is covered from all the administrative regions Slide 12 Sampling strategy of the study At broader level, covered major river basins; representing different ecological regions (hills and plains) as well. At system level, representing both farmer managed irrigation systems (FMIS) and agency managed irrigation systems (AMIS) from both ecological regions, wherever applicable. Three criteria have been adopted for selecting irrigation systems: Ecological region Economic characteristics Management structure Slide 13 Major river basins of Nepal Slide 14 Sampled regions with number of systems in Nepal Major basinRegionRiver basinsERDRDistrictNumber Koshi1Mechi, KankaiPlain TeraiEasternJhapa2 Mechi, MaiMid-hillEasternIlam3 2KoshiPlain TeraiEasternMorang3 TamorMid-hillEasternDhankuta2 3SunkoshiHillCentralSpalchowk3 4KamalaPlain TeraiEasternSiraha2 Gandaki4BagmatiPlain TeraiCentralSarlahi2 5E RaptiMid-hillCentralMakwanpur3 E RaptiPlain TeraiCentralChitwan4 6MarshyangdiMid-hillWesternLamjung2 MadiMid-hillWesternTanahu4 7KaligandakiPlain TeraiWesternNawalparasi2 KaligandakiMid-hillWesternPalpa2 TinauPlain TeraiWesternRupendehi2 Karnali8W. RaptiMid-hill/valleyMid-westernDang3 W. RaptiPlain TeraiMid-westernBanke3 9BheriMid-hillMid-westernSurkhet3 ThuliPlain TeraiFar-westernKailali2 Mahakali10MahakaliPlain TeraiFar-westernKanchanpur3 Total50 Slide 15 Major river basins of Thailand 1Salawin14Mae Klong 2Mekong15Prachin Buri 3Kok16Bang Pakong 4Chi17Tonle Sap 5Mun18East Coast Gulf 6Ping19Phetchaburi 7Wang20Prachupkiri-Khan Coast 8Yom21East coast basin 9Nan22Ta Pi 10Chao Phraya23Thale-Sap Songkhla 11Sakae Krang24Pattani 12Pa Sak25West Coast 13Tha Chin Slide 16 Sampled regions with number of systems in Thailand Major BasinRegionRiver basins ERDRProvinceNo of systems Kok1FangHillNorthChiang Mai4 Ping2-5Khan, Klang, Ngat and Kuang HillNorthChiang Mai14 Chi6Upper basin Undulating plain North-EastKhon Kaen6 Mae Klong7KlongHill/plainWesternKanchanaburi6 Chao Phraya 8Upper basin PlainCentralChainat8 Eastern Coast Gulf Basin 9East coastPlainEasternRayong6 Ta Pi10Ta PiPlainSouthernSurat Thani6 Total50 Slide 17 Institutional change and dynamics: Theoretical framework of the analysis Earlier analytical frameworks tried on institutional decomposition and analyzing institution-performance interaction, however, did not measure the exogenous influencing factor explicitly We try to develop a theory of institutional change that could describe and explain why and how institutions evolve in different settings and how they affect performance of irrigation system We have developed two separate analytical framework for assessing institutional change and performance of irrigation systems Slide 18 Analytical Framework for Assessing Institutional Change Institutional Change Exogenous change agents: Political stability, state of economic development, State policies, accessibility and commercialization Institutional and social attributes: design of institutions and occupation Physical attributes: type of system & degree of water scarcity Governance regime: Legal recognition of WUA, degree of autonomy Adoption of set of new rules Change in common understanding Resistance to change Causes Unobserved ConstructIndicators Slide 19 Analytical Framework for Assessing Performance Performance Physical condition Water delivery Agricultural productivity Political stability, State policies Physical attributes: type of system & degree of water scarcity Economic Pressure: State of economic development, accessibility and commercialization Social context: Occupational status of the community Institutional context: design of institutions and autonomy Local irrigation institutions Slide 20 Empirical analytical approaches and proposed models Assessing institutional change Institutional change is the outcome of series of choices of rules made by a group of individuals Multiple Indicator Multiple Cause (MIMIC) model We include three observable indicators of institutional change; and four groups of causal factors in our analysis using MIMIC model Slide 21 Definition of indicators and causal factors of institutional change VariablesDefinitionValue Unobserved construct INSCHNGInstitutional change in irrigation management0..2 Indicators of institutional change NRULEAdoption of a set of new rules (weighted scores)05 COMUNDCommon understanding of the community (scores)05 RESISTResistance to change (weighted scores)05 Causes: Exogenous change agents STABILPolitical stability (Unstable/relatively stable)0/1 ECONDEVState of economic development (Least developed/developing)0/1 STATPOLChanges in state policies (no change, moderate, Extreme)13 ACCESSAccessibility to the market (rural/Periurban/urban)1..3 FARMINGCommercialization of farming (commercial/traditional)1/0 Physical attributes SYSTEMIrrigation system (run-off-river, storage, with groundwater)13 SCARCITYDegree of water scarcity (not scarce, moderate, extreme)13 Institutional and social attributes DESIGNDesign of status quo institutions (effective/ineffective)1/0 OCSTATOccupational status (agriculture dependent/alternate source)1/0 Broader governance regime RECOGNLegal recognition of WUA (registered/not-registered)1/0 AUTONOMYDegree of autonomy (no/low/high degree)13 Slide 22 Definition of explanatory variables for different dimensions of performance VariablesDefinitionValue Dimensions of performance (separate 3 models for each dimensions) Physical condition Water de