Nguyen Tung Phong, Ph.D., Vietnam Institute for Water Resources (VIWRR)‏ and Dann Sklarew, Ph.D. GEF IW:LEARN Asia Regional Workshop on Stakeholder Engagement in International Waters Management Hanoi, Vietnam, 2-4 April 2008

1. 1
Promoting and Institutionalising Participation
for Integrated Watershed Management
by Nguyen Tung Phong, Ph.D.,
Vietnam Institute for Water Resources (VIWRR)
and Dann Sklarew, Ph.D.
GEF IW:LEARN
Asia Regional Workshop on Stakeholder Engagement
in
International Waters Management
Hanoi, Vietnam, 2-4 April 2008

2. Objectives
• To elaborate needs, scales and strategy
for institutions promoting participation
• To apply the strategy to the working
situation of participants
• To discuss the roles and comparative
advantages of existing or new institutions
to promotes participation at local through
international scales

3. Need to institutionalise
participation?

4. Scales for Institutionalising
Participation
1.Family (the Nguyen household)
2.Neighborhood/Village (Hoàn Kiếm)
3.Local/Municipal (Hanoi)
4.Province/State/Prefecture (North
Vietnam)
• National Level (Vietnam)
1.Transboundary Level (Mekong R.,
Yellow Sea)
2.Regional Level (East Asia)

5. Scales for Institutionalizing
Participation
1.Family (the Nguyen household)
• Neighborhood/Village (Hoàn Kiếm)
1.Local/Municipal (Hanoi)
2.Province/State/Prefecture (North Vietnam)
• National Level (Vietnam)
1.Transboundary Level (Mekong R., Yellow
Sea)
2.Regional Level (East Asia)
3.Global Level (Earth)

6. Process
Elaborating a strategy
• Main steps of a strategy to promote participation
• Specific aspects of a strategy, like for example
on the role of villagers, of promoting institutions,
and the individual promoters of change
processes.
Identifying suitable methods
• For each step of the strategy, the most
appropriate methods for promoting participation
Institutionalisation of participatory strategies
• The main challenges in participatory strategies
on a sustain-able basis

7. Planning cycle

8. Strategy for institutionalising
participation at village level
Initial phase
• Clarifying the objectives
and commitment of the
promoting organisation
• Identifying the key actors.
groups and organisations
at community level
• Creating an awareness of
the issues among them
• Identifying other internal
and external supporting
agencies for networking
• Obtaining the approval
and commitment of local
authorities

9. Strategy for institutionalising
participation at village level
Analysis of the local situation
• Contacting active groups and key
persons at community level
• Planning and implementing jointly a
participatory situation analysis
• Identifying needs and problems at
individual, organisational and village
level
• Clarifying the expectations of
different individual, local groups and
organisations
• Documenting villagers' experiences
with participatory approaches

10. Strategy for institutionalising
participation at village level
Identifying objectives of local people and local
organisations (Why?)
• Discussion with villagers, local authorities, key
persons
• Discussing with groups who may support and
who may oppose the activities
• Prioritising objectives and expectations of
villagers
• Looking for village opportunities, weaknesses,
opportunities and threats (SWOT)

11. Strategy for institutionalising
participation at village level
Action planning at community level (What? How?
When? Who?)
• Identifying the strengths and weaknesses of each
proposal
• Designing a plan of operation for introducing
participatory processes
• Agreeing on the contributions of villagers, authorities and
agencies (What?)
• Listing the activities of everybody involved (How?)
• Fixing a time frame for the implementation of activities
(When?)
• Agreeing on responsibilities to local groups, authorities
and agencies (Who?)

12. Strategy for institutionalising
participation at village level
Implementation of
participatory activities
• Putting the village
action plan into action
• Handling conflicts in
the implementation
phase
• Experimenting and
trying out new things

13. Strategy for institutionalising
participation at village level
Participatory Monitoring and Evaluation
• Monitoring the implementation
• Evaluating results and impacts
• Sharing insights gained with all actors
involved
• Feeding the results back to the villagers,
authorities and organisations involved
• Thinking about ways to improve the future
impact of participatory processes

14. Strategy for institutionalising
participation at village level
Institutionalisation
• Promoting the results and experiences to
other areas
• Scaling-up activities
• Multi-sectoral networking and
collaboration

15. Strategy for promoting participation
• 2-3 Groups discussions

16. Step 4.
Action
Planning
Step 6.
Monitoring
&
Evaluation
Step 7.
Institutional
-ization
Step 5.
Project
Implement-
ation
Step 3.
Defining
objectives
Step 2.
Situation
analysis
Step 1.
Orientation
phase
Methods we
may use
Role of
commu-
nity
Role of
private
sectors
Role of
NGOs
Role of
Govern-
ment
Role of
your
organiz-
ation
Role of
individ-
ual

17. Venn diagram
Stakeholder analysis
Define problem cause
Visioning
Contributor
(explain
problems and
solutions)
Supporter/
Consultant
Facilitator
Encourage
participation
of other
stakeholders
Organize the
cooperation
and
involvement
of ministries,
agencies... to
define
strategic
objectives
Supporter and
facilitator
Facilitator (get
feedback from
community)
Co-organizer/
facilitator in
community
meeting
Contributor/
Participant in
defining
objectives
Solution
analysis
Problem-
ranking
Problem raising
Resource
assessment
Step 3
Defining
objectives
PLA/PRA tools
Collect data
Use SWOT analysis
Provided of
data and
information
Facilitator/
Consultant
Help to identify
needs
Consultation
with
stakeholder
Facilitate
analysis of
general
information
Supporter and
facilitator
Encourage
the
involvement
of different
functional
organizations
to do macro
and micro
analysis
Organizer/
Implementer/
Facilitator/
Researcher/
Director/
Consultant
Process data and
information
Gather data and
information
Make proposals
Participatory
initial research
Provider of
information/dat-
a
Data collection
and sharing
Research
Data analysis
Participation
and consultation
Step 2
Situation
Analysis
Semi-structured
dialogue/
Mass Communication
(TV, radio....)
Field consultations
Provide ideas
(initiator)
Information
sharing
Innovator (give
new ideas)
Idea Provider
Discussion
Suggest
strategies
Strategy
maker
Vision maker
Policy maker
Guideline
provider
Decision
maker
Facilitator
Exchange
information from
local level
Define who will
be involved
Site visit and
sharing
information
Review on
institutional
frame work
Review on legal
framework and
share ideas
Step 1
Orientation
Phase
Methods we may useRole of
community
Role of private
sectors
Role of NGOsRole of
Government
Role of your
organization
Role of
individual

18. Methods we may useRole of
community
Role of private
sectors
Role of
NGOs
Role of
Government
Role of
your
organizatio
n
Role of
individual
Problem ranking
Problem analysis
SWOT analysis
Participatory M&E
Conflict management
Evaluator
Monitor
Decision maker
Consultant
Discuss new
adjustments to
improve
performance
Coordinator
/ Consultant
Facilitator
Supporter
Provides
consultation period
to monitoring and
evaluation process
To encourage all
the stakeholder to
join in M&E
Steering
committee
Get
feedback
Consultant/
Supporter/
Implementer
Give
recommendations
Defining
milestones and
indicators for
M&E
Participate in
monitoring and
evaluation
Step 6
Monitoring and
Evaluation
Community mobilization
Technical training
Project leader/
Planer/
Implementer
Donor
Technical
supporter
Trainer
Budget provider
Technical
assistance
Facilitator
Technical
supporter
Fund
provider
Facilitator/
Monitor/
Auditor
Decentralize
To create favorable
conditions for co-
operation among
stakeholders and
encourage the
involvement of
stakeholder
Supporter/
Consultant
Provide
technical
assistance
Implementer/
Supporter
Share experiences
and knowledge
Share resources
Share
responsibility
Participate in
implementation
Step 5
Project
Implementation
Discussing
Onsite study and
consultations
Negotiation
Stakeholder analysis
Venn diagram
Initiator/
Decision maker
on planning/
Steering
committee
member
Fund provider/
Technical
support
Facilitator/
Coordinator
/ Trainer on
methodolog
y of
planning/
Consultant
Approve the planSupporter/
Organizer of
action
planning
process
Facilitator/
Supporter/
Participant
Share experiences
Participate in
decision making
Participate in
preparing action
plan
Step 4
Action Planning

19. Consulting/
Training (TOT,
on local and
central level
stakeholders)
Workshop
Meeting
Venn diagram
Supporter/
Coodinator/
Support data
and information
Facilitator/
Consultant
Meeting
Discussion
group
Project
Committee
member
Working group
member
Facilitator
Support scaling
up and
expansion to
other areas
Initiator
Policy support
Provide
regulations and
rules
Analyze and
define relevant
partner
institutions
Step7
Institutionaliza
tion
Methods we
may use
Role of
community
Role of
private
sectors
Role of
NGOs
Role of
Government
Role of your
organisation
Role of
invidual

20. Which institutions should
promote participation?
Depends on:
• Stakeholders targeted (fr. prior SH
analysis)
• Stage in planning cycle
• Organisatonal Scale for Participation
• Expected level of participation
• Resources (time, money...) of Project, etc.
• Capacity of existing institutions / need to
create new institutions

21. Which institutions depend
on level of participation
 villagers,
 village authorities,
 local groups
 project leaders
Implementation,
monitoring and
evaluation phase
local working groups,
new local
organisations,
local community
takes over
control of the
development
activities
Local self-
development
 local groups,
 individuals,
 supporting institutions
Implementation phase:forming working
groups at
village level,
training
activities
defining the
objectives and
strategies for
future actions,
coordinating
local activities
Partnership
 village authorities,
 key informants,
 rural families,
 men and women,
 local organisations
Initial phase: situations
analysis
Methods of
Participatory
Rural Appraisal
(PRA), village
meetings,
identification of
needs,
problems,
expectations,
commitment,
Consultation
 village authorities
 entire communities
 GO and NGO
Initial phase:
situation analysis,
Public meetings,
radio, television,
local fairs,
exhibitions,
creating awareness,
setting up working
groups,
Information
Who participates?When?How ?What ?Level
Adapted fr. inWEnet/VIWRR workshop in Thah Hoa

22. Will existing institutions suffice?
• Consider institutional diagrams, profiles
and maps to determine whether existing
capacity can meet expectations for
participation
Example Tool: External Profiles of [Existing]
Project-related Institution

23. Does External Profile indicate
need for new institution?

24. Scales for Institutionalising
Participation
1.Family (the Nguyen household)
2.Neighborhood/Village (Hoàn Kiếm)
3.Local/Municipal (Hanoi)
4.Province/State/Prefecture (North
Vietnam)
• National Level (Vietnam)
• Transboundary Level (Mekong River,
Yellow Sea)
1.Regional Level (East Asia)

25. Transboundary Examples
• IW CAM (Caribbean Sea)
• South China Sea

27. Regional Partnership Council
• Promote networking within IWCAM (e.g., gov'ts, NGOs,
CBOs, funding agencies, devel. banks);

To integrate and coordinate IWCAM activities;

To manage stakeholders, with emphasis on community
empowerment and direct input from the civil society in
management decisions;

To develop Private-Public sector relationships and concepts of
Transferred Benefits and ‘Beneficiary-Pays’
IWCAM's Project Coordinating Unit includes a dedicated
specialist who works with the forum to promote
stakeholder involvement.

29. + IW Forum

30. Conclusions
• Strategic involvement plans (SHIPs) should
consider means to institutionalize participation
from the outset, building capacity over time.
• Distinct institutions w/similar issues, including:
– representivity of partnership members
– appropriate scales, levels & timing of participation
– administrative burden, cost, consumption of time
– capacity of existing institutions
vs. burden of creating new ones
• Building ownership can be messy, costly and slow.
• Synergies among projects & organizations may incr.
institutional capacity & sustainability for participation.

31. If you wish to build a ship, don't start assembling wood,
cutting the boards, and distributing the work.
But wake in your men the longing
for the wide, open seas.
Antoine de Saint Exupéry