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
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
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
Introduction…..
• Over last few decades—focus 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
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
Introduction…..
• At the beginning of the twenty first century, additional
water related issues are emerging:
– Coping mechanisms with the state’s 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
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
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
Methodological approaches…..
Taiwan
Thailand
Nepal
Time Variable (proxy)
Dynamics study with cross sectional data…….
Stages of economic development
Framework to capture dynamism with cross-sectional data
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
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
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
Major river basins of Nepal
Sampled regions with number of systems in Nepal
Major basin
Region
River basins
ER
DR
District
Koshi
1
Mechi, Kankai
Plain Terai
Eastern
Jhapa
2
Mechi, Mai
Mid-hill
Eastern
Ilam
3
Koshi
Plain Terai
Eastern
Morang
3
Tamor
Mid-hill
Eastern
Dhankuta
2
3
Sunkoshi
Hill
Central
S’palchowk
3
4
Kamala
Plain Terai
Eastern
Siraha
2
4
Bagmati
Plain Terai
Central
Sarlahi
2
5
E Rapti
Mid-hill
Central
Makwanpur
3
E Rapti
Plain Terai
Central
Chitwan
4
Marshyangdi
Mid-hill
Western
Lamjung
2
Madi
Mid-hill
Western
Tanahu
4
Kaligandaki
Plain Terai
Western
Nawalparasi
2
Kaligandaki
Mid-hill
Western
Palpa
2
Tinau
Plain Terai
Western
Rupendehi
2
W. Rapti
Mid-hill/valley
Mid-western
Dang
3
W. Rapti
Plain Terai
Mid-western
Banke
3
Bheri
Mid-hill
Mid-western
Surkhet
3
Thuli
Plain Terai
Far-western
Kailali
2
Mahakali
Plain Terai
Far-western
Kanchanpur
3
2
Gandaki
6
7
Karnali
8
9
Mahakali
10
Total
Number
50
Major river basins of Thailand
1
Salawin
14
Mae Klong
2
Mekong
15
Prachin Buri
3
Kok
16
Bang Pakong
4
Chi
17
Tonle Sap
5
Mun
18
East Coast Gulf
6
Ping
19
Phetchaburi
7
Wang
20
Prachupkiri-Khan Coast
8
Yom
21
East coast basin
9
Nan
22
Ta Pi
10
Chao Phraya
23
Thale-Sap Songkhla
11
Sakae Krang
24
Pattani
12
Pa Sak
25
West Coast
13
Tha Chin
Sampled regions with number of systems in Thailand
Major Basin
Region
River
basins
ER
DR
Province
No of systems
Fang
Hill
North
Chiang Mai
4
Khan,
Klang,
Ngat and
Kuang
Hill
North
Chiang Mai
14
Kok
1
Ping
2-5
Chi
6
Upper
basin
Undulating
plain
North-East
Khon Kaen
6
Mae Klong
7
Klong
Hill/plain
Western
Kanchanaburi
6
Chao
Phraya
8
Upper
basin
Plain
Central
Chainat
8
Eastern
Coast Gulf
Basin
9
East coast
Plain
Eastern
Rayong
6
Ta Pi
Plain
Southern
Surat Thani
6
Ta Pi
10
Total
50
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
Analytical Framework for Assessing Institutional
Change
Causes
Unobserved Construct
Indicators
Exogenous change
agents: Political stability,
state of economic
development, State
policies, accessibility and
commercialization
Physical attributes: type
of system & degree of
water scarcity
Institutional and social
attributes: design of
institutions and
occupation
Governance regime:
Legal recognition of
WUA, degree of
autonomy
Adoption of set of new
rules
Institutional
Change
Change in common
understanding
Resistance to change
Analytical Framework for Assessing Performance
Political stability,
State policies
Economic Pressure:
State of economic
development,
accessibility and
commercialization
Physical attributes:
type of system &
degree of water
scarcity
Social context:
Occupational status
of the community
Institutional context:
design of institutions
and autonomy
Physical
condition
Local
irrigation
institutions
Water
Performance
delivery
Agricultural
productivity
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
Definition of indicators and causal factors of institutional change
Variables
Definition
Value
Unobserved construct
INSCHNG
Institutional change in irrigation management
0..2
Indicators of institutional change
NRULE
Adoption of a set of new rules (weighted scores)
0…5
COMUND
Common understanding of the community (scores)
0…5
RESIST
Resistance to change (weighted scores)
0…5
Causes: Exogenous change agents
STABIL
Political stability (Unstable/relatively stable)
0/1
ECONDEV
State of economic development (Least developed/developing)
0/1
STATPOL
Changes in state policies (no change, moderate, Extreme)
1…3
ACCESS
Accessibility to the market (rural/Periurban/urban)
1..3
FARMING
Commercialization of farming (commercial/traditional)
1/0
Physical attributes
SYSTEM
Irrigation system (run-off-river, storage, with groundwater)
1…3
SCARCITY
Degree of water scarcity (not scarce, moderate, extreme)
1…3
Institutional and social attributes
DESIGN
Design of status quo institutions (effective/ineffective)
1/0
OCSTAT
Occupational status (agriculture dependent/alternate source)
1/0
Broader governance regime
RECOGN
Legal recognition of WUA (registered/not-registered)
1/0
AUTONOMY
Degree of autonomy (no/low/high degree)
1…3
Definition of explanatory variables for different dimensions of
performance
Variables
Definition
Value
Dimensions of performance (separate 3 models for each dimensions)
Physical condition
Water delivery
Agricultural productivity
>0
>0
>0
MODE
Mode of governance (Agency/farmer managed/joint)
1..3
HEAD
Headwork of the system (Permanent/temporary)
1/0
LINING
Lining of the canals (partially or completely lined/unlined)
1/0
TERRAIN
Terrain (located in the plains/hills)
1/0
LENGTH
Length of the canal (metres)
>0
SAREA
Total area of the system (hectares)
>0
NOAPP
Number of appropriators
>0
ACCESS
Accessibility to the market (rural/periurban/urban)
FARMING
Commercialization of farming (commercial/traditional)
1…3
1/0
Analytical approaches…
Assessing the performance of irrigation systems
•
Confirmatory factor analysis
•
Multiple regression model
•
Dimensions of Performance = α + β1 (MODE) + β2
(HEAD)
+ β3 (LINING) +β4 (TERRAIN) + β5 (LENGTH)
+ β6 (SAREA) + β7 (NOAPP) + β8 (FARMING)
+ β9 (ACCESS) + ε
•
Separate models for three dimensions of performance ;
– physical condition,
– water delivery, and
– agricultural productivity
Methodological approaches…..
Analyzing effect of intervention overtime
•
Studies on water resource management focused on assessing
direct effect of interventions which were aimed at improving
resource characteristics and also facilitating the provision
mechanisms
•
Comparing direct effect of any intervention immediately before
and after intervention with some basic indicators like change in
participation, resource mobilization, crop productivity and
cropping intensity at head and tail end of the system is easy
•
only few studies have adopted such approaches that can
examine interactive effect in the long-run
Methodological approaches…..
Analyzing effect of intervention overtime…..
Analysis of the interactive effect of intervention on agricultural
productivity and irrigation management in long-term
•
–
Long-term effect of WECS/IIMI intervention on 19 irrigation
systems of Indrawati watershed in Nepal; using three time slice
data for analysis: before intervention, and two periods after
intervention
Analysis of the dynamism in resource use pattern by examining
the changes in the institutional arrangements within a SocioEcological Systems
•
–
Dynamism and robustness of two irrigation systems in northern
Thailand in the context of changing governance mechanisms and
evolution of technological and market forces using data of three
time periods: before intervention; initial operation; and long-term.
Methodological approaches…..
Livelihood asset pentagon: Analytical framework for performance
assessment
•
Conventional studies assessed irrigation system performance
considering factors endogenous to irrigation system, and
overlooked several livelihood aspects to which irrigation is
closely tied
•
A framework of analysis was developed with identification of
grossly overlooked but crucial livelihood factors that influence
the performance of irrigation systems (Nepal study)
–
•
Five fundamental livelihood assets; human capital, natural capital,
physical capital, financial capital and social capital were considered
in the study.
Subsequent the analysis identified most significant livelihood
variables which can be used to assess the overall performance
of irrigation systems reliably and comprehensibly
Rules and collective actions for improving irrigation
governance
Analyzing the case of irrigation systems in Nepal we
make an attempt to addresses following issues:
1. How do rule configuration vary across irrigation systems that
are subject to various governance modes,
2. Are rule configurations influenced by diversity in biophysical
characteristics of the irrigation system and community
attributes, and
3. How do rule enforcement mechanisms affect performance and
collective action regarding irrigation performance?
Analytical Framework
Action Arena
Biophysical
conditions
Action situation
Information
Resources
Incentives
Considering
institutional change
Attributes of the
community
Rules-in-uses
Formal + Informal
Evaluation
Participants
Information
Motivation
Resources
Outcome performance
28
Using ADICO Syntax
Used grammar of institutions, ADICO Syntax, to analyze rule
configuration (Crawford and Ostrom 1995; Ostrom 2005):
A ‘Attributes’
Defines values of participant-level variables
distinguishing to whom the institutional
statement applies.
D ‘Deontic’
Refers to the three modal verbs: ‘may’ (permitted);
‘must’ (obliged); and ‘must not’ (forbidden).
I ‘Aim’
Describes particular actions or outcomes in the
action situation.
C ‘Conditions’
Defines when and where an action or outcome is
permissible, obligatory, or forbidden.
O ‘Or else’
Sets out the consequence for not following rule.
29
Using ADICO Syntax……
Rules include all five components (ADICO)
norms with four components (ADIC), and
shared strategies have only three components (AIC)
ADICO syntax provides a basis for coding institutional
statements and analyze the evolution of institutional
statements
30
Study area and sample irrigation systems in
Nepal
FMIS
41
AMIS
9
FMIS: Farmer-managed irrigation system
AMIS: Agency-managed irrigation system
31
Main features of samples systems
• Majority of the sampled irrigation
systems in Nepal: run-off-the-river
type
• Many systems rely on temporary
intake and conveyance structure
32
Main features…..
And exist in difficult
terrain and diverse
topography
33
Main features…..
• Most of the systems were very old (average 50 yrs to
more than 200 yrs old) in case of Nepal.
• In Nepal, FMIS smaller (~200-500 ha) than AMIS (800 –
10000 ha); overall average around 500 ha
• Conflicts in water use among the farmers
34
Salient feature of irrigation policies
Irrigation Act-1961
Laid foundation for legal framework specifically for
irrigation
Canal, Electricity &
Water Resources Act
1967
Introduced the concept of water tax and licensing
Water Resource Act
1992
Provisions for Water Users’ Organizations (WUO)
and recognized them as autonomous bodies with
perpetual succession
Water Resource
Regulation 1993
Provisions for formation and registration of WUO;
information to be furnished in WUO constitution
Irrigation Regulation
1999
Provides procedures for registration, election and
dissolve of WUO executive committee
Irrigation Policy 2003
Strengthening capabilities of WUOs and effective
participation of users in planning, construction, and
management 35
of irrigation systems
Existence of different rules
Type of rules
Percentage responding presence
of the rules (n = 50)
Position
98.0
Boundary
98.0
Choice (allocation)
92.0
Aggregation
72.0
Information
70.0
Payoff
94.0
Scope
12.0
36
Rule configuration: ADICO Syntax
Process of rule configuration
In the beginning no rule situation
Start with ‘Informal shared strategy’ – ‘AIC’ part of syntax
Then add some component that permit/oblige/forbid certain
actions making it ‘Norms’ – ‘ADIC’ part of syntax
Finally farmer also add consequences for not following agreed
norms making it formal ‘Rules’ – having all part of ADICO syntax
37
Rule configuration: role of autonomy
Degree of autonomy of WUA is important in devising the rules
High degree of autonomy in case of FMIS
38
Rule enforcement and collective action
Monitoring and sanctioning arrangements in FMIS and AMIS
(In Percentage)
FMIS
(n = 41)
AMIS
(n = 9)
Total
(n = 50)
With score less than 4
29.3
66.7
36.0
With score at least 4
70.7
33.3
64.00
Monitoring and
sanctioning index
P-value <0.05
39
Rule enforcement and collective
action…
Level of rule following among users in FMIS and AMIS
(In Percentage)
FMIS
(n = 41)
AMIS
(n = 9)
Total
(n = 50)
Rules followed by some
members but not by all
7.3
55.6
16.0
Almost all members follow
the rule
92.7
44.4
84.0
Level of rule following
among users
P-value <0.001
High level of collective action in FMIS as rules are mostly devised by
users themselves considering condition of irrigation systems and ideas
of the community
40
Rule enforcement and performance of irrigation
systems
Performance
Rule enforcement
Monitoring and sanctioning index
With score less than 4
(n = 18)
With score at least 4
(n = 32)
P-value
Physical condition
2.50
2.91
.018
Economic efficiency
2.72
3.06
.012
Low
(n = 8)
High
(n = 42)
P-value
Physical condition
2.50
2.81
.177
Economic efficiency
2.50
3.02
.003
Level of rule following among users
FMIS>> Highly autonomous>>> MSI and Rule Following high>>> Better
performance
41
High degree of autonomy in FMIS resulted into effective
rule enforcement mechanisms and rule following thus high
level of collective action: better performance
ADICO Syntax very useful, however, it can be refined to
capture the enforcement mechanisms
Rules devised, based on the particular bio-physical
condition of the area considering the ideas and
understandings of the local community, can result in
improved collective action and performance
42
Linking policy with local context
•
Governance change and coping mechanisms: Local
multifunctional cooperatives
•
Farmers-to-farmer peer training approach
•
O&M mechanisms: Changed participation, targeted credit,
and benefit sharing
•
Crops/drops of water---Agricultural research and irrigation
Linking policy with local context….
Governance change and coping mechanisms: Local
multifunctional cooperatives
•
Important to examine what kinds of organizational changes
may be needed to support IMT and to ensure sustainable
productivity of irrigation systems
•
The issue of multi-functionality of WUAs is getting attention
•
Multifunctional WUA would be most appropriate organizations
for small farmers to coexist with free market forces
•
In many countries WUAs are working as multifunctional
cooperatives
Linking policy with local context….
Farmers-to-farmer peer training approach
•
Intervention project to assist 19 farmer-managed irrigation
systems of Indrawati watershed in Nepal during 1985 by
WECS/IIMI
•
Later realizing the need of training to the farmers of some
systems intervened; an innovative training approach,
farmers-to-farmers training approach was designed by
WECS/IIMI
•
This approach aimed at stimulating transfer of experience
from farmers in well-managed systems to those in poorly
managed systems through site visits, informal exchanges,
and guided discussions
Linking policy with local context….
O&M mechanisms: Changed participation, targeted credit,
and benefit sharing
•
Participation as well as resource contribution from its users is
most crucial for operation and maintenance of irrigation
systems
•
In changing context both users’ participation and resource
mobilization criteria are changing
•
Efforts to increase user participation have been spurred by
poor performance but greater participation by farmers
through water users associations has helped overcome those
Linking policy with local context….
O&M mechanisms: Changed participation, targeted credit,
and benefit sharing……..
•
Financing through targeted credit are reported from different
countries
•
Benefit sharing is another important aspect of sustainable
O&M, which ensures increased participation of users
•
Benefit sharing mechanism plays most significant role in case
of transboundary river basin management
Linking policy with local context….
Crops/drops of water---Agricultural research and irrigation
•
To meet the scarcity and competing use of water in different
sectors; it is necessary to focus on productivity of irrigation
water
•
‘More crop per drop’, mission statement of International
Water Management Institute, captures this principle
•
Researches on agricultural aspect and use of water for
irrigation have developed different technologies for increasing
water use efficiency
Linking policy with local context….
Crops/drops of water---Agricultural research and irrigation…
•
International Program for Technology and Research in
Irrigation and Drainage (IPTRID), FAO has been working for
advancement of irrigation and drainage technologies in
developing countries
•
Israel has been the pioneer in developing policies to meet the
growing demand for water
An Agenda for Effective Irrigation Policy
Interventions
1. Responding to competition for resources (water scarcity)
• Transfer of water for multi-functions and irrigated land from
agriculture to other uses (municipal) and its impact on
agriculture
• Watershed depletion, water-quality degradation and water
reclamation
• Property rights: water, land, infrastructure (including the
planning, information and administrative requirements of these)
• Linking downstream and catchment stakeholders in watersheds
and effective management of water resources (including
information and communication requirements)
An Agenda for Effective Irrigation Policy
Interventions
2. Accountability and new partnerships
• Transfer of authority for irrigation system management
• Changing government roles to regulation, provision of support
services and capacity-building based on the principle of comanagement and ‘polycentric’ governance integrating farmers’
institutions of irrigation management
• New accountability mechanisms: service agreements,
management audits, asset management plans (including
information requirements) in light of multiuse of water
• Redesigning government subsidies in light of the public-private
partnership with enhanced ownership stakes made by local
users and matching investments, transparent and agreed
allocation criteria, incremental infrastructure improvement
An Agenda for Effective Irrigation Policy
Interventions
3. Reform, synergy and economic productivity
• Scheme-level Water User Association (WUA) federations and
new opportunities for WUAs hiring their own
agricultural/agribusiness development agents
• New information/communication systems for market
identification and networking
• Using new demand-oriented irrigation services to promote crop
diversification and commercialization
• Expanding the economic niche of farmers beyond cultivation to
agribusiness (input production and supply, crop processing,
production of manufactured agricultural/horticultural products)
An Agenda for Effective Irrigation Policy
Interventions
• Joint monitoring for irrigation operation and multiple uses of
water: diverse methods of data collection, storage and
processing into information, public access and sharing of
information
• Transition of irrigation operation policy beyond water provision
to cope with changing economic context and World Trade
Organization requirements
• Exploring alternate mechanisms for governance and
management of irrigation into the larger context of economic
integration, competition for water and the need for water
conservation and land resources
• Institutional reform of irrigation development agencies should
imbibe the new values of socioeconomic changes of
inclusiveness, gender concern, self-governing local water
institutions and poverty alleviation.