Governance and Stakeholders Definitions

Governance & Stakeholders indicators

Enabling environment refers to the constraints and opportunities that are enshrined by the existing institutional framework (policies, regulations, market mechanisms and social norms) and the financial and technical capacity available to carry out mandates (Moglia et al. 2011).

Water resource management measures the degree to which institutions (formal and informal) are responsible for performing the water resource management functions of monitoring and coordination, planning and financing, developing and managing infrastructure, and resolving conflict (Global Water Partnership, 2009). Closely aligned with measures of Integrated Water Resource Management (IWRM) implementation (e.g. WWAP, 2015), it acknowledges that multiple entities may be involved in fulfilling these functions (Hooper, 2010).

Rights to resource use measures the coherence of the existing rights to resource use, including the coexistence of customary and formal rights. Clear resource use rights are recognized as a precondition to efficient use of scarce resources and as a means of forestalling or settling disputes (Gleick, 1998). Relevant rights include those that govern the various uses and users of surface and groundwater, water emissions and pollution, fishing permits and land-use zoning to safeguard waterways (e.g., riparian buffer zones).

Incentives and regulations measures the availability of different management instruments, including conventional command and control regulations, investment screening criteria, tax incentives and market-based instruments (payments for ecosystem services, water rights trading). In principle, more diverse instruments equate to more flexibility and efficiency in maximizing societal benefits at lower cost (Lemos and Agrawal 2006).

Financial capacity measures the investment gap in water resource protection measures as well as the capacity of skilled professionals working in water resource management fields (Ivey et al. 2004). The investment gap refers specifically to actual budget allocations versus official estimates of investment needed for water distribution networks, treatment, and wetland and ecosystem conservation. Even where financial resources may be available, there may be a shortage of qualified, adequately trained people to carry out the water resource management functions outlined above.

Technical capacity measures the number and skill level of professionals working in water resource management.

Stakeholder engagement refers to stakeholder interactions, their ability to engage in decision making processes and the degree of transparency and accountability that govern these interactions.

Information access and knowledge measures the access (and uptake) all stakeholders have to information including data on water quantity and quality, water resource management and development documents and relevant financial information. Even where data and information are abundant, to be effective, they must be analyzed and applied in decision making processes and made accessible (across agencies, with citizens, etc.) in ways that are understandable to various stakeholders (Burroughs 1999).

Engagement in decision-making processes measures the degree to which all stakeholders have a voice within the cycle of policy and planning. Engagement can be evaluated on a continuum where stakeholder influence increases, from unidirectional communication to consultation, representation and, eventually, co-decision and co-production (OECD 2015). Increased engagement is associated with improved information transfer, better targeted and more equitable plans and policies, improved transparency and accountability, and reduced conflict.

Vision and adaptive governance aims to measure stakeholders’ capacity to collect and interpret information, and then use this information to set goals for the basin and adapt to changing circumstances.

Strategic planning and adaptive governance measures the degree to which stakeholders engage in comprehensive strategic planning at the basin or sub-basin scale, and whether they have the capacity to adapt plans to new information or changing conditions. For instance, the basin-specific goals of IWRM are articulated in a river basin management plan and such plans should have well-defined objectives, mutually agreed to goals, and long-term resource development priorities to foster sustainability of freshwater systems (Hooper 2010).

Monitoring and learning mechanisms measures the adequacy and uptake of monitoring programs and information. Assessments of freshwater status and decisions about water resource development projects are best based on sound data and information that allows comparison through time (Pahl-Wostl et al. 2013). Monitoring includes physical, chemical, and biological properties of water resources, along with water-related socioeconomic and financial data.

Effectiveness examines the governance components that are being implemented and whether they are leading to the expected outcomes. A narrow definition of effectiveness is applied here, focusing on key indicators of governance failures (Rogers and Hall 2003): implementation gaps, inequitable distribution of benefits and the presence of water-related conflicts.

Enforcement and compliance considers the degree to which laws are upheld and agreements are enforced. In many societies, a gap exists between laws and their enforcement, reflecting either insufficient capacity or a lack of accountability (and possibly engendering corruption (Tropp 2007).

Distribution of benefits from ecosystem services measures the impact of decisions about water resource management with special attention to vulnerable populations, gender and resource-dependent communities. It is a proxy indicator for equity, which is commonly ascribed to principles of “good governance” but is subject to local interpretations (UN-Water 2015; Pahl-Wostl 2015).

Water-related conflict measures the presence of conflicts over water services, including allocation and diversion decisions, infrastructure development and access to resources. Tensions among stakeholders, particularly in transboundary settings, are to be expected when competition for water services and complex interactions occur within a basin. An effective governance system should prevent tensions from escalating into conflicts (UN-Water 2013).