Nuffic/NICHE 027
Training in Policy Relevant Solution Oriented Research
(2) Stakeholder Participation
in Policy Relevant Solution Oriented
Research
The RAPID framework
external
influences
Socio-economic and
cultural influences,
& donor policies
Politics and policy
making
Media,
advocacy,
networking
links
political
context
Research,
learning &
thinking
evidence
Political context
Understand the
stakeholders
What you need to do
How to do it
 Who?
 Demand for new
ideas?
 Resistance?
 Process?
 Opportunities?
 Timing?
 Know them, and
their agendas!
 Identify supporters
and opponents!
 Understanding
politics
 Prepare for
opportunities and
keep an eye on the
process for windows
of opportunities
 Work with them
 Seek assignments
 Line up research
programs with policy
events
 Seek opportunities to
meet
 Reserve resources for
windows of
opportunity
Debate on stakeholder participation
Two opposing views:
• Broad stakeholder participation is extremely
good for policy relevant solution-oriented
research?
• Broad stakeholder participation has a negative
influence of policy relevant solution-oriented
research?
Why enhance participation?
• Participation results in policies in line with the
needs of the beneficiaries
• Participation results in technology that is
suitable and relevant to the local conditions
• Participation enables you to use knowledge
and experiences of stakeholders
• Participation enhances prospects of
ownership and sustainability
Reluctance to enhance participation
•
•
•
•
•
Difficult to organise and invite the right people
“People do not know what they want anyhow!”
Raising false expectations which cannot be met
Not “scientific,” but often highly political
Fears it will reduce the scientific quality of
research
Definitions
Stakeholders:
Any individuals, groups of people, organisations or
institutions that may have a particular interest in the
success or failure of a policy issue, including the
undecided
Definitions
Primary stakeholders:
• Those ultimately targeted by, affected by and with a primary
interest in the outcomes and implementation of the research
(positively/negatively)
Secondary stakeholders:
• Implementing agency, government reps, service providers,
local organisations, contractors, consultants, business
people. Not ultimate beneficiaries but perhaps with other
specific interests at stake
Participation ladder
5 Self mobilisation
4 Collaboration
3 Consultation
2 Asking
Information
1 Receiving
information
Degree of participation and empowerment
Stages
Description
No information
Farmers are not told beforehand on what the Ministry will
do.
Passive information
Farmers, or local leaders are informed that Ministry will
undertake a specific action
Interactive information
Farmers are informed on what the Ministry is planning to do
and for what reason. Opportunity to give reactions and
suggestions
Involvement and
influence in decision
making process
Ideas, plans and implementation processes are discussed
with farmers, who will have the prerogative to demand
necessary amendments
Shared responsibility
Decision making and implementation processes are a joint
undertaking
Full responsibility
Farmers organisations take over the responsibility work
plans, budgets and O&M of water infrastructure
Ministry will verify the quality of works, according to norms
and standards for IWRM activities
Custodian of
infrastructure
Water User Organisations become custodian and manage
the water management infrastructure. Ministry has an
advisory and normative role
Decision making
power
Ministry
Users
Summary
• Real stakeholder participation means giving
up some authority in exchange for better
informed research outcomes/policies with
greater ownership
• Stakeholder participation does not mean
handing over all decision making power
• It is also not without challenges and needs to
be carefully planned as one moves along
Mapping the stakeholder system
Institutional stakeholder diagram
• How would you be able to establish an
overview of all relevant stakeholders?
• How would you be able to describe the
different relationships between stakeholders?
• What do you think you can use stakeholder
information for?
Example from Egypt: Institutional Strengthening
for Private Agriculture (ISPA)
Ministry.
of Agr.
Credit
Co-ops
Agricultural
Producers
Commercial Banks
Middlemen
ISPA
Farm Associations
Dairy industries
Shops and outlets
Delivery products and services
Communication/coordination
Political ties/influence
Consumers???
Against reform
Supportive of reform
Mapping the stakeholder system
- One step at a time
1: Delivery products and services
Ministry.
of Agr.
Credit
Co-ops
Agricultural
Producers
Commercial Banks
Middlemen
ISPA
Farm Associations
Dairy industries
Shops and outlets
Against reform
Delivery products and services
Supportive of reform
2: Communication and coordination
Ministry.
of Agr.
Credit
Co-ops
Agricultural
Producers
Commercial Banks
Middlemen
ISPA
Farm Associations
Dairy industries
Shops and outlets
Delivery products and services
Communication and coordination
Against reform
Supportive of reform
3: Political ties and influence
Ministry.
of Agr.
Credit
Co-ops
Agricultural
Producers
Commercial Banks
Middlemen
ISPA
Farm Associations
Dairy industries
Shops and outlets
Delivery products and services
Communication/coordination
Political ties and influence
Consumers???
Against reform
Supportive of reform
Conducting a stakeholder analysis
Step:
1. Identify all relevant stakeholders (primary,
secondary)
2. Develop stakeholder interest matrix
3. Develop importance and influence matrix
4. Note conflicting interests and identify options
to address them
1. Identify all relevant stakeholders
• Primary stakeholders: those ultimately affected by
and with a primary interest in outcomes
(positive/negative)
• Secondary stakeholders: people not directly
benefiting, but with other long term strategic
interests (positive/negative)
• Power stakeholders: those who are able to and
likely to exert influence over planning and
implementation processes
2. Stakeholder interest matrix
List stakeholders
Describe interests in
intervention
Likely policy effect on
interest +/-
A. Traditional
Farmers
Reliable irrigation
water supply
Low water salinity
Water table control
-/+
B. Agri-business
Estates
Free Rights to
groundwater
exploitation
--
C. Town and village
inhabitants
Reliable delivery of
drinking water
Sanitation services
-/+
+
+
3. Importance and influence
• “Importance” indicates how important the
policy intervention may be to satisfy key
stakeholders' needs and interests
• “Influence” denotes the power or “voice” of
particular stakeholders to exercise influence
over the policy process and, ultimately, the
expected outcomes
Importance-influence matrix
HIGH
Special initiatives
needed to protect
stakeholder interests
No direct involvement
-low priority
LOW
High degree of
attention, good working
relationships must be
created and maintained
Potential source of risk,
need for careful
monitoring and
management
Influence
HIGH
Importance-influence matrix – Examples
HIGH
Private water utilities
Rural farmers
Agro-businesses
Urban slum dwellers
Isolated poor population Joint sectoral entities
Bedouin communities
Seasonal workers
Tourism
LOW
Key ministers
Industry leaders
Business lobby groups
Influence
HIGH
4. Conflicting interests?
• Are any of the interests you have uncovered
likely to lead to conflict between stakeholders
in your field of research?
• What do you think may be possible reasons
for these conflicts?
• What are the options you may consider in
addressing potentially conflicting interests
and to accommodate these in your research?
Initiating multi-stakeholder
dialogue:
how difficult can it be?
Consultation checklist
• Why consult: Why does a particular individual, department or
group need to be consulted? What type of exchange is one
hoping to have, e.g. gather information, obtain
feedback/reaction, keeping informed, disseminating
information?
• What to consult on: Subject matter topics, issue identification,
the range of options, the preferred options, the assumptions, the
principles, the outcomes, etc.?
• Whom to consult: Other departments, the minister, other
ministers, other levels of government, other jurisdictions,
committees of cabinet, various external client/stakeholder
groups, sub-groupings of clients/stakeholders general public?
Consultation checklist (cont.)
• When to consult: Timing of initiating and ending consultations. At
which stages, some or all? Should specific groups be consulted at
specific stages in the process and others consulted at other phases?
• Where to consult: Locations of consultation – may be politically
sensitive, yet important to recognize. Are some individuals/groups best
consulted with at certain locations. Should sub-groupings of
clients/stakeholders be brought together for consultations
• How to consult: Using workshops, round table discussions, public
meetings, internet for information dissemination and as a way to solicit
feedback, release of discussion paper for comment?
• Resource requirements: Cost is often a consideration in such choices
and decision, who contributes, in cash or kind, ownership of
consultation process etc. Other resource requirements include staffing,
required expertise, what is available in-house and what must be
outsourced?
Tips
• As a general rule, consultations within the
organization should precede external consultations.
• Failure to consult internally at the outset can often
cause resistance and other difficulties in the policy
development process.
• In particular, do not overlook inter-departmental
consultations on problems/ issues that cut across
more than one department
• Part of consultation is also about informing people
what you are doing
• How it may possibly impact them.
Tips (cont.)
• Follow-up your consultations with a thank you
letter that tells them that you will advise them of
the outcome of their input
• Letting clients/stakeholders know how their input
was used
• Also include an explanation of why their
suggestions were perhaps not implemented to
foster positive on-going relations with them in
future
Risks of not getting it right
The risks associated with not undertaking
consultations, limited consultations or a poor
consultation process are:
• Limited understanding of the problems/issues
leading to poor policy solutions;
• Negative back-lash from client/stakeholder in
reaction to a policy;
• Lack of policy co-ordination; and
• Potential misdirection of funds.
Different types of change resistance
BEHAVIOUR
Open
Hidden
Active
Disagreeing with process, not
direction
Lobbying for alternatives
Requesting more clarity
Go on strike
Forming opposing groups/
coalitions
“Too busy”
Not completing assignments
committed to
Sabotage
Rumour mongering
Boycotting changes
Passive
Not coming to meetings, being
late
Denial of positive effects of
change
Sticking to the old ways
Business as usual
Verbal support but no supportive
activities
Silence for now
Waiting till the storm is over
Resignation
Illness
Exercise
Situation:
You are about to start your MSc research with the
ultimate goal to get your MSc in IWRM from
WEC/Sana’a University
Questions:
1. Who would be the likely stakeholders and why?
2. Categorise them into primary, secondary and
power stakeholders and explain why?
Exercise (cont.)
3. At what level of the participation ladder are
these stakeholders?
4. Why do you think this is the case and would
you like to see it change?
5. What seems to be the greatest difficulty from
your position’s point of view?
6. Discuss your own experiences with concrete
examples.