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Performance and

Capacity of River Basin


Organizations
Cross-case Comparison of Four RBOs
February, 2008
FOREWORD
Sustainable management of water resources is an important goal being adopted at international
leel and by many countries around t!e world in a bid to address water s!ortages, ine"uity,
pollution and many ot!er water problems# $!e recognition t!at upstream% downstream effects
re"uire management using a basin approac! !as resulted in many countries introducing new
institutional arrangements to manage water at t!e basin leel#
Creating new structures and c!anging roles and responsibilities to meet t!e goals of integrated
water resources management is not easy and t!ere is eidence t!at t!e introduction of new rier
basin organi&ations does not run smoot!ly in many countries# 'n addition t!ere is widespread
uncertainty about t!e role and functions of rier basin organisations w!en it comes to t!e
implementation of t!e '(R) approac! to water resources management#
*uring 200+ Cap-,et !as underta-en a number of case studies wit! partner networ-s on t!e
implementation of '(R) t!roug! Rier Basin Organisations .RBOs/# $!ese studies !ae been
completed for )e0ico, 1enya, Sri 2an-a and )alaysia and t!e results summarised in t!is report
prepared for Cap-,et by 3,4SCO-'54# (e would li-e to t!an- t!e following indiiduals (im
*ouen, 1laas Sc!wart&, 3,4SCO-'546 (angai ,dirangu, ,ile '(R)-net6 2ee 7in,
8gua7aring6 )#'#)# )ow9ood, 2an-a Cap,et6 and Carlos *ia& *elgardo, 28-(4$net#
$!e case studies are now being followed wit! t!e deelopment of performance indicators and
capacity deelopment actiities to support t!e strengt!ening of Rier Basin Organi&ations#
Paul Taylor
*irector
Cap-,et
ACRONYMS
'(R) 'ntegrated (ater Resources )anagement
'RB) 'ntegrated Rier Basin )anagement
238S Sungai 2angat Rier Basin Organi&ation
)8S2 )a!aweli 8ut!ority of Sri 2an-a
,8RBO ,etwor- of 8sian Rier Basin Organi&ations
RBO Rier Basin Organi&ation
(R)8 (ater Resources )anagement 8ut!ority
- Performance and Capacity of River Basin Organizations -
2
PERFORMANCE AND CAPACITY OF RIVER
BASIN ORGANIZATIONS - SUMMARY
INTRODUCTION
Since t!e 'nternational Conference on (ater and t!e 4nironment in *ublin in :;;2,
'ntegrated (ater Resources )anagement .'(R)/ !as emerged as driing concept
be!ind t!e management of water resources# $!e <lobal (ater =artners!ip .2000/ !as
defined '(R) as >a process, w!ic! promotes t!e coordinated deelopment and
management of water, land and related resources, in order to ma0imi&e t!e resultant
economic and social welfare in an e"uitable manner wit!out compromising t!e
sustainability of ital ecosystems?#
8lt!oug! t!e concept of '(R) !as been generally accepted, t!e actual implementation
of '(R) !as proen more difficult# 4idence suggests t!at t!e performance of recently
establis!ed rier basin organi&ations, wit! t!e aim of implementing '(R), !as been
disappointing# )oreoer, t!ere appears to be widespread uncertainty about t!e role and
functions of rier basin organi&ations w!en it comes to t!e implementation of '(R)#
$!e ob9ectie of t!e @Study on t!e performance and capacity of national rier basin
organisationsA is to address t!ese issues and to identify priority capacity building actions
and strategies to improe t!e efficiency and effectieness of RBOs# For t!is purpose, four
RBO case studies were conducted, and ma9or strengt!s, wea-nesses, problems and
successes in t!e implementation of t!e RBOAs roles and responsibilities towards
sustainable management of water resources, were recorded and analysed#
RIVER BASIN ORGANIZATIONS AND PERFORMANCE
ASSESSMENT
$!is performance framewor- was applied to t!e following four case studies by local
consultantsB
)a!aweli 8ut!ority of Sri 2an-a .)8S2/ - $!e )a!aweli 8ut!ority of Sri 2an-a
was establis!ed by 8ct no# 2C of =arliament in :;+;# $!e main tas- of t!e )8S2
is t!e planning and implementation of t!e )a!aweli *eelopment =rogramme,
w!ic! include construction, operation and maintenance of reseroirs, dams,
canals, and drainage systems and ot!er infrastructure#
$ana Basin (ater Resources )anagement 8ut!ority .$ana-(R)8/ in 1enya -
$!e $ana Basin (ater Resources )anagement 8ut!ority is one of si0 catc!ment
organi&ations responsible for management allocation and protection of water
resources in 1enya# $!e $ana (R)8 became operational in 7uly 200D and
operates under t!e national (ater Resources )anagement 8ut!ority, w!ic!
became operational in 200E#
$!e RBO for t!e 2erma-C!apla-Santiago in )e0ico is t!e (ater ,ational
Commission .CO,8<38 a Federal <oernment 8gency/ and t!ere are also $wo
basin Councils in t!e 2erma-C!apala-Santiago Basin in )e0ico F $!e two basin
- Performance and Capacity of River Basin Organizations -
C
councils in t!e 2erma-C!apal-Santiago basin are t!e 2erma Basin Council and t!e
Santiago Basin Council#
Sungai 2angat Rier Basin Organi&ation .238S/ in )alaysia - $!e Selangor
(aters )anagement 8ut!ority, or 238S as it is locally -nown, manages water
resources in t!e Selangor part of t!e Sungai 2angat rier basin# 't was enacted in
:;;; and !as t!e responsibility of protecting, regulating and managing water
resources in t!e Selangor part of t!e Sungai 2angat Rier Basin#
PERFORMANCE ASSESMENT
$o study t!e performance of t!ese RBOs t!e following dimensions
:
were assessedB
2egal framewor- under w!ic! t!e RBO operates
2eel of autonomy of t!e RBO
4ffectieness of t!e RBO .comparing t!e ob9ecties%performance targets wit! t!e
actual functioning/
'nolement of sta-e!olders
Financing of RBO actiities
Legal Framework
'n t!ree of t!e four cases t!e legal framewor- as it currently e0ists appears to be
sufficient for t!e RBO to underta-e its tas-s and to implement '(R)# 'n t!is sense t!e
legal framewor- under w!ic! t!e organi&ations are operating do not appear to be a
constricting factor for t!eir performance or for t!e implementation of '(R)# $!e only
e0ception was 238S, w!ic! operates under a framewor- t!at proides only limited
opportunities to inole sta-e!olders in t!e decision-ma-ing process regarding water
management# 8part from t!is limitation, !oweer, t!e legal framewor- is considered a
sufficiently compre!ensie enactment to support rier basin and water resources
management in t!e country#
Level of Autonomy
(it! t!e e0ception of )8S2, t!e RBOs all !ae limited autonomy# $!e two RBOs,
w!ic! operate on a !ydrological basis bot! operate under national organi&ations for t!e
management of water resources# 'n bot! cases t!e leel of autonomy en9oyed by t!e
RBOs are limited by t!e fact t!at approal for some decisions needs to be obtained from
t!e national agencies as well as on t!e fact t!at muc! of t!e RBOs funding goes t!roug!
t!e national agency# $!e t!ird RBO,238S, is a statutory agency goerned by a Board of
*irectors, w!ic! is c!aired by t!e C!ief )inister of Selangor# 'n t!e goernance structure
of t!is organi&ation, arious goernment officials and goernment representaties play
prominent roles# 8s a result t!e influence and control of t!e .State/ goernment oer t!e
functioning of 238S is considerable#
4ac! of t!e cases mentions political influence at some point as being detrimental to t!e
functioning of t!e RBO# $!e Board of t!e $ana-(R)8, for e0ample, is appointed by t!e
political leaders!ip# 8s mentioned, in 238S, t!e Board of *irectors is dominated by
representaties of goernment#
:
'mportant to note is t!at some of t!ese dimensions of performance oerlap#
- Performance and Capacity of River Basin Organizations -
G
ffectiveness of t!e RBO
8lt!oug! t!e ob9ecties of t!e organi&ations appear to steer t!e organi&ation towards a
!olistic approac! to water management, few of t!e studied RBOs are actually able to
ac!iee t!ese ambitious ob9ecties and ad!ere to a !olistic approac! to t!e planning and
management of water resources# $!e difference in ob9ecties and actual actiities of t!e
RBOs appear to be related to t!e limited !uman, financial and institutional capacity of t!e
organi&ation# $!e organi&ation does not !ae t!e re"uired resources to address all t!e
water management tas-s t!at it would ideally underta-e and w!ic! !ae been attributed
to t!e organi&ation# 8s t!e organi&ation cannot address all water management tas-s it
must necessarily select priorities on w!ic! it focuses# <ien t!e limited capacity t!at
many of t!ese RBOs !ae, t!e RBO will eentually decide to focus on t!e problems t!at
are most acute or are gien t!e !ig!est priority# Because t!e acute problems differ from
one location to t!e ne0t t!e different RBOs also !ae different water management
priorities#
"take!older Participation
#!e level of stake!older participation differs markedly amongst t!e four cases$ %n two
cases &'A"L and #A(A-)R'A* eit!er mec!anisms for participatory governance e+isted
or t!e esta,lis!ment of t!e RBO improved t!e level of stake!older participation$
'n general, no special mec!anisms seem to e0ist to inole women in t!e proision and
management of water in t!e arious basins# $!e only e0ception appears to be in 1enya,
w!ere t!e 1enyan goernment !as recently directed t!at at least C0H of all public
appointments be resered for women#
Financing of RBO Activities
)ost of t!e organi&ations also appear to !ae limited financial autonomy in t!e sense t!at
t!ey !ae limited financial resources and are strongly dependent on transfers from t!e
central goernment and t!e donor community in order to finance t!eir actiities#
$!e $ana-(R)8, w!ic! !as an annual budget of about 3SI : million, is currently
financed by t!e central goernment .C2H/ and donors .D8H/# 'n t!e $ana rier basin a
reenue collection system based on water c!arges was deeloped# 5oweer, ga&ettement
of t!e water rules and regulations t!at will allow t!e $ana-(R)8 to ley fees on t!e full
range of users is pending#
For 238S in )alaysia, on paper possibilities e0ist to finance management of t!e rier
basin from licensing fees# Currently, !oweer, no fund for 238S !as been establis!ed
.despite t!e possibility to do so/ and t!e reenue generated by 238S flows to t!e State
$reasury# 238S receies its complete annual budget from t!e state goernment#
'n Sri 2an-a, t!e )8S2, w!ic! !ad a budget of about 3SI G0 million in 200E, is
financed primarily t!roug! goernment and donor agencies# $!e only contribution from
users .e0cluding water supply pro9ects/ concerns re!abilitation of irrigation wor-s of
w!ic! between :0H and 20H is financed by farmers#
For t!e two basins in t!e 2erma-C!apala-Santiago basin t!e lac- of financial resources
!as been a constant element t!at !as !ampered t!e design of effectie mec!anisms, -
especially for enironmental protection#
- Performance and Capacity of River Basin Organizations -
E
Conclusion
$!e assessment of t!e performance of t!e basin organi&ations s!ows considerable
ariation between t!em# $!is is in itself not suc! a stri-ing conclusion as t!e
organi&ations face different conditions and c!allenges w!ilst operating under limited
capacity and are in different stages of deelopment# )oreoer, it is difficult to compare
an organi&ation suc! as 238S, w!ic! !as an annual budget of about 3SIGC0,000 wit! an
organi&ation suc! as )8S2 wit! an annual budget, w!ic! is almost a !undred times
larger#
,otewort!y is t!at for most of t!e categories of performance, t!e )8S2 appears to score
better t!an t!e ot!er RBOs# 8 number of possible e0planations can be forwarded for t!is
obseration# First of all, t!e )8S2 !as by far t!e largest annual budget# 't is also t!e
oldest of t!e RBOs and, as suc!, !as !ad more time to mature# )oreoer, t!e
organi&ation is a part of a pro9ect%deelopment programme, w!ic! may ensure a degree of
.political/ commitment and financial support, w!ic! t!e ot!er RBOs seem to be lac-ing
at t!is time#
CAPACITY BUILDING IN THE WATER SECTOR
Capacities can be seen as t!e -nowledge, s-ills and ot!er faculties, in indiiduals or
embedded in procedures and rules, inside and around sector organi&ations and
institutions# $!ese main capacity building components areB
$!e creation of an enabling enironment wit! appropriate policy and legal
framewor-s6
'nstitutional deelopment, including community participation .and of women in
particular/6 and
5uman resources deelopment and t!e strengt!ening of managerial systems#
na,ling environment
$!e main capacity gaps relating to t!e enabling enironment of t!e RBOs were found to
be as followsB
<eneral awareness and -nowledge F <eneral -nowledge and awareness about
'(R) is limited#
<oernance structures, w!ic! limit autonomy of t!e RBO - 'n some of t!e cases
studied RBOs were attributed a broad range of goals and ob9ecties to be
ac!ieed .often incorporating or reflecting '(R) principles/ w!ilst at t!e same
time t!e goernance structure proided t!e RBO wit! ery limited means to
address t!ese goals and ob9ecties#
'nter-agency coordination and cooperation - capacity building will !ae to focus
on ac"uiring a good understanding among t!e different agencies and
organi&ations on t!eir fragmented and s!ared responsibilities for effectie water
resources management#
First of all, increasing general awareness about '(R) in t!e enabling enironment
re"uires s!ort capacity building actiities, in w!ic! t!e importance of '(R) and t!e
- Performance and Capacity of River Basin Organizations -
D
re"uirements for its implementation are pressed upon -ey decision-ma-ers wit!in
different leels of goernment and in a range of organi&ations# Secondly, increased
awareness and -nowledge about '(R) and t!e re"uirements for its implementation need
to be translated in c!anges in t!e goernance structure under w!ic! t!e RBO operates#
)ost illustratie are t!e financing arrangements of some of t!e RBOs in t!e case studies#
)oney raised by t!e RBOs were transferred to general goernment budgets rat!er t!an
being aailable to t!e RBO for financing its actiities, creating a strong dependency of
t!e RBOs on goernment funding# $!irdly, in t!e enabling enironment, fora at arious
leels need to be establis!ed in w!ic! different agencies and organi&ations, representing a
ariety of sta-e!olders, are able to negotiate and decide upon issues of water
management#
%nstitutional -evelopment
$!e cases broug!t to t!e forefront seeral capacity gaps related t!e institutional leelB
Organi&ational 8utonomy F $!e issue of organi&ational autonomy !as been
discussed briefly aboe as it is strongly lin-ed to t!e goernance structure under
w!ic! t!e RBO operates#
Financial autonomy F 8part from t!e )8S2, eac! RBO suffers from limited
financial autonomy#
Community participation F 'n most cases community inolement was ery
limited# Specifically, t!e role of women in decision-ma-ing and management of
water resources was not addressed by any of t!e RBOs#
$!e issues of organi&ational autonomy and financial autonomy are li-ely most effectiely
addressed by addressing t!e @enabling enironmentA# $!e issue of community
participation and specifically t!e inolement of women in water management, !oweer,
re"uires t!e establis!ment of institutional mec!anisms t!roug! w!ic! sta-e!olders are
inoled in decision-ma-ing processes in t!e organi&ation#
.uman Resources
$!e capacity gaps concerning !uman resources can subdiided in, on t!e one !and, t!e
"uantity of staff aailable for t!e RBO to underta-e its tas-s and, on t!e ot!er !and, t!e
e0pertise and s-ills t!at t!e aailable staff possess#
$!e number of staff - Some of t!e RBOs studied !ad only a small number of staff
wit! w!ic! t!ey could not possibly underta-e t!e tas-s and responsibilities
attributed to t!em#
$!e e0pertise and s-ills of staff F $!e principles of '(R) re"uire staff wit!
bac-grounds in ariety of disciplines as t!e paradigm of water management
moes from a deelopment-oriented paradigm to more !olistic management
paradigm# 'n t!is conte0t, t!ere appeared to be a s!ortage of staff w!o are
speciali&ed inB
o Social issues including participatory goernance, gender and community
inolement6
o <oernance and legal aspects of water management including monitoring
and enforcement of releant legislation and licenses, demand
management, etc#6 and
- Performance and Capacity of River Basin Organizations -
+
o 4conomic aspects of '(R) .water pricing, economic incenties for water
conseration, etc#/#
$!e capacity gaps in !uman resources are for t!e "uantity part largely dependent on
aailable funds and as suc! are strongly lin-ed to t!e leel of financial autonomy# For t!e
"uality part, first of all, t!e criteria and procedure for recruitment of staff is important as
many RBOs still faor !iring engineers instead of staff wit! a bac-ground in social and
administratie sciences or economics# Secondly, it re"uires ad9usting e0isting training and
deelopment possibilities to ensure t!at t!ey not only coer matters of tec!nical water
management# $!irdly, it re"uires @newA capacity building actiities to be deeloped to
address t!e growing need for capacity building on topics suc! participatory goernance,
sta-e!older inolement, water goernance, and economic aspects of '(R)#
Principles for Capacity Building
8lt!oug! t!e deelopment of a detailed capacity building plan to address t!ese capacity
gaps is beyond t!e scope of t!is report, some principles on t!e basis of w!ic! suc! a
capacity building plan .and t!e ensuing capacity building actiities/ can be !ig!lig!ted#
$!e principles are based on t!e idea t!at capacity building actiities s!ould reac! a large
number of organi&ations world-wide as well as lead to sustainable capacity building
initiaties .w!ic! are fle0ible enoug! to address t!e needs of a specific time and location/
$!e proposed principles areB
Cost-effectieness F Capacity building actiities s!ould ad!ere to t!e principle of
cost-effectieness in t!at e0pensie training courses and programmes w!ic! sere
only a limited number of organi&ations or people are to be aoided#
2ocally-drien and @ownedA F $!e comparatie study of t!e RBOs !as s!own t!at
t!e actual organi&ations for rier basin management are ery dierse# Successfully
addressing t!ese needs re"uires capacity building actiities to be mainly @carriedA
by local organi&ations#
3se of e0isting capacity building infrastructure F 8s muc! as possible e0isting
capacity building networ-s and organi&ations s!ould be used, rat!er t!an
duplicating e0isting networ-s and organi&ations#
$!e principle of openness and accessibility F Capacity building actiities s!ould
be based on a principle of openness and accessibility, meaning t!at as muc! as
possible capacity building materials are to be made aailable in t!e public
domain#
- Performance and Capacity of River Basin Organizations -
8
Table of Conen!
I. SUMMR!................................................................................................................................................."
Main Report
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- Performance and Capacity of River Basin Organizations -
;
"# INTRODUCTION
Since t!e 'nternational Conference on (ater and t!e 4nironment in *ublin in :;;2,
'ntegrated (ater Resources )anagement .'(R)/ !as emerged as driing concept
be!ind t!e management of water resources# $!e <lobal (ater =artners!ip .2000/ !as
defined '(R) as >a process, w!ic! promotes t!e coordinated deelopment and
management of water, land and related resources, in order to ma0imi&e t!e resultant
economic and social welfare in an e"uitable manner wit!out compromising t!e
sustainability of ital ecosystems?# (!en loo-ing at t!e actual implementation of water
policies and strategies to implement '(R), it is unavoidable to consider river
basins as logical units for water resources management (Jaspers
2003). This implies viewing Integrated River asin !anagement as a
means of implementing I"R!. #ooper (200$) similarl% &nds that
IR! is now 'recogni(ed as a tool) perhaps the most appropriate tool)
to deliver I"R! in the basin scale*. If IR! is the most appropriate
+tool, to deliver I"R! at a basin scale) then Rier Basin Organi&ations
.RBOs/ are increasingly being promoted as -ey organi&ations in t!e implementation of
t!is tool# 'n t!e past decades, rier basin organi&ations !ae become >a central component
of t!e most recent eolution of t!e framewor- t!at defines !ow water is managed at t!e
rier basin or strategic leel? .)a-in et al#, 200G6 Radoseic! and Olson :;;;/#
Cap-,et .www#cap-net#org/ initiated t!is study to assist in defining appropriate capacity
building actions to furt!er t!e implementation of '(R)#
"#" OB$ECTIVE OF THE STUDY
$!e ob9ectie of t!e @Study on t!e performance and capacity of national rier basin
organisationsA is to analyse t!e ma9or strengt!s, wea-nesses, problems and successes of
selected rier basin organi&ations in t!e implementation of t!eir roles and responsibilities
towards sustainable management of water resources and to identify priority capacity
building actions and strategies to improe t!eir efficiency and effectieness# $!is report
is based on des--top study of literature and e0periences of sector professionals and on
four case studies t!at were underta-en specifically for t!is pro9ect# 'n c!apter two, t!e
role of rier basin organi&ations is discussed in greater detail# Specifically, t!e
performance of RBOs is elaborated upon# C!apter t!ree describes t!e met!odology used
for t!e four case studies# C!apter four concerns a discussion t!e performance of t!e
RBOs in t!e four case studies# C!apter fie focuses on capacity and capacity building for
integrated rier basin management and lin-s capacity to t!e functioning and performance
of RBOs in particular#
- Performance and Capacity of River Basin Organizations -
:0
#.
I$TR
% RIVER BASIN ORGANIZATIONS
8s t!e RBO !as grown to become a central component in t!e institutional framewor- for
water management, RBOs, t!eir c!aracteristics and t!eir functioning !ae increasingly
been t!e topic of discussion# $!e discussions broadly reole around t!ree main t!emes#
$!ese are t!e types of rier basin organi&ations, t!e problems t!ey face and t!eir
performance#
%#" TYPES OF RBO!
't is possible to select different criteria to distinguis! between different types of RBOs#
)ostert .:;;;/ identifies t!ree types of RBOs by distinguis!ing t!e basis on w!ic! t!ese
organi&ations operateB !ydrological, administratie and coordinated# $!e !ydrological
model implies t!at water management is done on t!e bases of !ydrological boundaries
and t!ere is e0tensie rier basin planning# 'n t!e administratie model water
management becomes part of enironmental management and is conducted by entities
operating on administratie boundaries .suc! as municipalities and proinces/# $!e
coordinated model can be placed in between t!e !ydrological and administratie models#
Rier basin commissions e0ist, w!ic! !ae a coordinating tas- but e0tensie rier basin
planning as under t!e !ydrological model does not e0ist#
)illington et al .200G/ distinguis!ed t!e tas- of t!e RBOs rat!er t!an t!e basis on w!ic!
t!ey were operating# 8s a result t!ey came up wit! t!ree categories of RBOsB t!e rier
basin coordinating committee%council, t!e rier basin commission and t!e rier basin
aut!ority#
%#% PROBLEMS IN THE RIVER BASIN AND INSTITUTIONAL
RESPONSES
Releant to t!e institutional framewor-s managing water resources in t!e basin are t!e
problems faced in a particular basin# =roblems t!at can be found in rier basins includeB
water pollution, sediment build-up, degradation of wetlands and water scarcity issues
.leading to water allocation problems/# 'n different basins, !oweer, different problems
are considered a priority# 'n !ig!lig!ting t!e different @realitiesA under w!ic! rier basin
organi&ations operate in deeloped and deeloping countries, S!a! et al .200:/ proide
two contrasting pictures of organi&ations in deeloped countries and t!ose operating in
deeloping countries#
- Performance and Capacity of River Basin Organizations -
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'
Table %#"& A Co'(a)*!on of Ba!*n Real**e!
%eveloped Countries
%eveloping Countries
$emperate climates, !umid, !ig!er rier-
stream density
Rainfall low, climate e0treme, !ig!er mean temperatures,
lower stream density, water scarcity an emerging constraint
=opulation concentrated in t!e alleys,
downstream
*ensely populated in bot! alleys and catc!ment areas6
population !ig! bot! upstream and downstream of dams
(ater rig!ts based on riparian doctrine
and prior appropriation
(ater rig!ts based on rig!ts to rainfall or ground-water6
peopleNs notions of owners!ip relate more easily to rain
t!an to large-scale public diersions
Focus on blue surface waterB water found
in riers, and la-es
Focus on green waterB water stored in t!e soil profile or
blue water stored in a"uifers
)ost water users get water from Nserice
proidersN6 most water proision is in t!e
formal sector-ma-ing water resources
goernance feasible
)ost water users get t!eir water directly from rain and
from priate or community storage wit!out any significant
mediation from public agencies or organi&ed serice
proiders# Because t!e bul- of water proision ta-es place
in t!e informal sector, it is difficult to pass enforceable
water legislation
Small numbers of large-scale sta-e!olders Jast numbers of small-scale sta-e!olders
2ow transaction costs for monitoring
water use and collecting water c!arges
5ig! transaction costs for monitoring water use and
collecting water c!arges
Source: Shah et al 2001.
't leads S!a! et al .200:/ to conclude t!at >t!e problems t!at rier basin institutions in t!e
deeloped world successfully address F suc! as pollution, sediment buildup in riers and
t!e degradation in wetlands F are not t!e top priorities for Odeeloping countryP policy
ma-ers and people#
$!e roles and functions of basin organi&ations are usually indicatie of t!e way t!e
organi&ation was formed and wit! w!at purpose# )illington et al .200G/ and 5ooper
.200D/ diide t!e stage of RBOs deelopment into fie groups as s!own on $able 2#2#
$!e functions of group : are critical to any RBO# $!e organi&ation cannot effectiely
manage water allocations and usage, and resource protection wit! inade"uate data,
systems and models# <roup 2 actiities are per!aps t!e more traditional responsibilities
of RBOs in deeloping countries# $!ese reflect t!e direct connection between regional
planning and new water infrastructure#
- Performance and Capacity of River Basin Organizations -
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Table %#%& F+n,*onal !a-e! *n .e e/ol+*on of an a0a(*/e
)*/e) ba!*n o)-an*1a*on
/unctions
Initial
RBO
dult
;auto
adaptive
< RBO
Mature
RBO
<roup :B (ater .and natural resource/ data collection and
processing, systems modeling, water and natural resources
planning, sta-e!older consultation Q issue clarification
R R R
<roup 2B =ro9ect feasibility, design, implementation, operation
and maintenance, raising funds, ongoing community
consultation and awareness raising
R R R
<roup CB 8llocating and monitoring water s!ares ."uality and
"uantity and possible natural resources s!aring/, cost s!aring
principles
R R
<roup GB =olicy and strategy deelopment for economic,
social and enironmental issues, community awareness and
participation
R
<roup EB )onitoring water use and s!ares, monitoring
pollution and enironmental conditions, oersig!t and reiew
role for pro9ects promoted by RBO partners, monitoring and
assessing t!e !ealt! of t!e basinAs natural resources,
monitoring t!e sustainability of resource management, reiew
of strategic planning and implementation of modified plans
R
Source: Based on Hooper (2006) and Millington et al (2004)
8daptable RBOs are more dynamic t!an initial RBOs and are able to respond to c!anging
conditions# $!e idea is t!at suc! RBOs are li-ely to be considered as >!ig! ac!ieers in
integrated water resources management? .5ooper 200D/#
%#2 PERFORMANCE OF RBO!
(it! RBOs becoming increasingly prominent in t!e management of rier basins# 8t t!e
same time concerns regarding t!e performance of RBOs are increasing# 'llustratie is a
recent wor-s!op !eld between staff of t!e (orld Ban- and selected e0ternal e0perts# $!e
main "uestion posed by t!e (orld Ban- staff and discussed wit! t!e e0perts wasB >5ow
come t!at RBOs to date !ae not met e0pectations?M $!e "uestion itself is not surprising
as relatiely little is -nown about !ow to measure performance and functioning of RBOAs
and t!eir ability to implement '(R)# $!e researc! t!at !as been done on t!e topic of
performance of RBOs seems to be primarily focused on issues of transposing rier basin
management institutions .S!a! et al# 200:/ or ta-es a more process-oriented approac! to
performance .5ooper 200D/#
2#C#: *ifferent 8pproac!es to )easuring RBO =erformance
=erformance assessment often !as t!ree distinct foci, performance of policies and
programmes .w!ic! often incorporate efforts of multiple organi&ations/, organi&ational
performance and indiidual performance .$albot :;;;/# $!ese t!ree leels are
intertwined, meaning t!at one leel of performance can influence t!e ne0t leel .and
- Performance and Capacity of River Basin Organizations -
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ice-ersa/# 'n t!is paper t!e focus is mainly on organi&ational performance and to a
limited e0tent on t!e performance of policies and programmes#
8lt!oug! ac-nowledging t!e dierse landscape of RBOs and t!e problems t!at t!ey face,
e0isting approac!es to performance management from public and business administration
literature and approac!es deeloped by academics and professionals in t!e water
resources sector may be of alue w!en trying to ealuate t!e performance of RBOs# 'n
t!e section below a number of different approac!es are presented and discussed# $!oug!
t!e list of approac!es is not e0!austie, t!ey do proide a broad oeriew of t!e different
ways of approac!ing t!e issue of performance of RBOs# $!e first of t!e approac!es
relates to t!e @traditionalA focus on efficiency and effectieness of organi&ations# $!e
second approac! loo-s at performance from t!e perspectie of t!e user%sta-e!older# $!e
t!ird approac! concerns -ey performance indicators for rier basin organi&ations
deeloped by 5ooper .200D/# $!e fourt! approac! concerns a benc!mar-ing e0ercise
deeloped by t!e ,etwor- of 8sian Rier Basin Organi&ations .,8RBO/# ,8RBOAs
approac! is based on 1aplanAs and ,ortonAs .:;;2/ Balanced Scorecard approac!, w!ic!
was originally designed for commercial businesses# $!e fift! approac! ad!eres to using
t!e *ublin principles as a benc!mar- for performance#
5oweer in all cases t!e lac- of specific indicators of sustainable management of water
resources or '(R) ma-es assessment of t!e performance of RBOs problematic#
/$0$1$1 fficiency and ffectiveness of Organizations
Fre"uently, t!e performance of an organi&ation is assessed by determining t!e efficiency
and effectieness of t!e organi&ation# $!e actual effectieness of a specific organi&ation
is determined by t!e degree to w!ic! it reali&es its goals or ob9ecties# $!e efficiency of
an organi&ation is measured by t!e amount of resources used to produce an output .2ane
2000/# Figure 2#: proides a .simplified/ oeriew of !ow effectieness and efficiency
relate to t!e organi&ations ob9ecties and t!e resources, actiities, outputs, and t!e effects
of t!e organi&ation#
- Performance and Capacity of River Basin Organizations -
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F*-+)e %#"& E3,*en,4 an0 E5e,*/ene!!
Source: Based on Pollitt and Bouckaert 2004
8lt!oug! effectieness and efficiency remains an important framewor- for determining
t!e performance of an organi&ation, t!is approac! does !ae some difficulties# First of all
t!e @problem of attributionA e0ists# $!e main "uestion !ere is to w!at e0tent t!e
ac!ieement of a certain effect can really be attributed to t!e deliery of certain outputs
by t!e organi&ation and to w!at e0tent ot!er factors played a role in ac!ieing t!is effect#
Secondly, a ma9or difficulty relates to t!e official ob9ecties t!at !ae been attributed to
organi&ations on paper and t!e ob9ecties as managers of t!e organi&ation interpret t!em
in reality# Ob9ecties t!at an organi&ation must ac!iee, especially w!en t!ey are
publis!ed, are often oerly ambitious and beyond t!e actual capacity of t!e organi&ation#
$!is means t!at using t!is framewor- t!us re"uires identification of realistic ob9ecties
for t!e organi&ation# $!e realistic ob9ecties will li-ely be influenced by t!e nature of t!e
RBO and t!e main problems facing t!e basin#
't is also important to note t!at t!is form of performance measurement incorporates an
accountability relations!ip to t!e organi&ations, w!ic! sets t!e ob9ecties# Often t!is will
be t!e goernment#
/$0$1$/ A "take!older Perspective on Performance
(it! t!e increasing importance being gien to sta-e!older participation and
accountability to users%sta-e!olders, an alternatie approac! is to use sta-e!oldersA
perceptions as t!e basis for performance measurement# $!e idea is t!at by considering
w!at sta-e!olders want, need, or prefer and w!at t!ey are willing to support financially,
- Performance and Capacity of River Basin Organizations -
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t!e RBO would be best able to matc! its serices wit! t!e sta-e!olders preferences,
aspirations and circumstances# $!is !as t!e added benefit t!at t!e RBO becomes
accountable to t!e sta-e!olders for its performance# Fol& .200G/, in loo-ing at t!e
proision of municipal serices, !as suggested using serice-"uality indicators .leel of
deliery, fre"uency, coerage, "uality of serice as perceied by t!e user/ as a measure of
performance# 4ssentially t!ree reasons can be forwarded for inoling sta-e!olders in t!e
assessment of performance .$albot :;;;/# $!e first of t!e reasons is a @rig!tsA based
9ustification, w!ic! follows t!e argument t!at sta-e!olders, being sub9ect to t!e actions of
t!e RBO, s!ould -now w!at leels of serice t!ey can e0pect and are entitled to# $!ey
are t!en also in a position to determine to w!at e0tent t!e RBO !as managed to delier
t!ese @entitlementsA# $!e second reason relates to t!e leel of support for t!e RBO# Only
if t!e RBO is able to proide t!e serices t!at sta-e!olders demand will it receie t!e
support of t!ese sta-e!olders# Support .including possible financial contributions/ will
decline if t!e RBO is not able to meet t!e e0pectations and demands of t!e sta-e!olders#
3sing sta-e!older assessment of performance is t!us a way of improing t!e li-eli!ood
of support from t!ose sta-e!olders# $!e t!ird reason bot! !ig!lig!ts t!e need for
sta-e!older inolement in t!e assessment of performance as well as pinpoint one of t!e
main difficulties of sta-e!older approac!es to performance measurement# $!e reasoning
is based on t!e fact t!at a rier basin encompasses a multiplicity of sta-e!olders, w!o
!old diergent interests and iews on !ow t!e water resources s!ould be managed# $!is
implies t!at @one-si&e fits allA solutions may not be acceptable# 3sing sta-e!older
assessment of performance is t!en a mec!anism to increase t!e RBOs sensitiity to t!ese
diergent interests and needs#
8t t!e same time t!e wide array of sta-e!olders in t!e basin and t!eir dierging interests
also ma-e performance measurement t!roug! sta-e!olders ery difficult# Often
sta-e!olders will not only !ae diergent interests but een competing interests# $!is
comple0ity will only increase w!en t!e basin in "uestions is a transboundary basin# 5ow
can t!e performance of an RBO t!en be measured w!en sta-e!olders !ae opposite
iews of w!at good performance entailsM

/$0$1$0 .ooper2s 3ey Performance %ndicators
(!at is particularly interesting about 5ooperAs approac! is t!at it stretc!es performance
beyond t!e traditional criteria of effectieness and efficiency and incorporates
dimensions of @good goernanceA indicators .suc! as accountability and transparency/
and actiities often iewed as being critical for ac!ieing good performance .suc! as
training and researc!/ as indicators for performance in t!eir own rig!t# 'n ot!er words,
performance is not only measured by !ow effectiely and efficiently t!e organi&ation
operates, but also by t!e degree to w!ic! is accountable to citi&ens in ac!ieing t!at
efficiency and effectieness or by t!e degree to w!ic! t!e organi&ation proides capacity
building opportunities for its staff#
'n 5ooperAs framewor- -ey performance indicators !ae been identified for RBOs on t!e
basis of an e0tensie literature reiew and on inputs from sector e0perts# On t!e basis of
t!ese inputs, 5ooper identifies ten categories of performance indicators, w!ic! !e uses to
assess t!e performance of an RBO# $!e ten categories of indicators are .5ooper 200D/B
Coordinated decision-ma-ing - t!e use of coordination mec!anisms between and
wit!in agencies and basin organi&ations6 lin-s between local water institutions
and a basin organi&ation6 !ow releant sectoral interests are engaged6
- Performance and Capacity of River Basin Organizations -
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Responsie decision-ma-ing F decision processes w!ic! adapt to new -nowledge
and new conditions6 promote efficiency6 alue cross-sectoral dialogue6 promote
best practices6
<oals, goal s!ift and goal completion F ac!ieement of goals using an integrated
approac!6
Financial sustainability F eidence of ongoing financial support, cost-s!aring,
transparency, innoatie water pricing and demand management6
Organi&ational design F t!e use of democratic processes6 eidence of stable
international agreements and eidence of national water policy conducie to t!e
rier basin management6 use of organi&ational structures w!ic! fit basin needs
and aoid fragmentation6
Role of law F t!e e0istence of laws w!ic! support rier basin management6 laws
c!aracteri&ed by strong and fle0ible arrangements6
$raining and capacity building F t!e use of ongoing training and capacity building
of staff releant to basin needs6
'nformation and researc! F t!e e0istence of a -nowledge system to aid decision-
ma-ing, protocols to s!are information, and a culture of researc!--nowledge
lin-s6
8ccountability and monitoring F eidence t!at basin organi&ations are
accountable to constituent goernments and citi&ens6 use of transparent reporting
mec!anisms6
=riate and public sector roles F eidence of sta-e!older participation6 clear
specification of roles of priate and public sector#
5ooperAs framewor- of ten categories aims to be a compre!ensie assessment of
performance# 8t t!e same time, t!e influence of t!e @suite of good goernance factorsA is
also clearly isible, in t!e sense t!at t!e framewor- !as a strong process-oriented
approac!# )any of t!e indicators see- to establis! if an eent or actiity !as occurred,
assuming t!at if suc! an actiity%eent occurred t!an it also !ad an impact# 'n ot!er
words, if eidence is found t!at a certain procedure !as been followed, t!en an actual
impact is assumed#
/$0$1$4 #!e (ARBO Benc!marking +ercise
Benc!mar-ing wit!in t!e water sector is not new# 'n t!e past decade, t!e water supply
and sanitation sector !as witnessed a number of suc! e0ercises# $!e J4(', in t!e
,et!erlands, for e0ample, annually compares t!e performance of *utc! water supply
companies# $!e *utc! 3nion of (ater Board benc!mar-s wastewater treatment by t!e
water boards# 'n 'ndonesia, =4R=8)S' !olds benc!mar-ing e0ercises inoling 80
'ndonesian water utilities# Ot!er benc!mar-ing e0ercises too- place in =eru, Jietnam and
in 8frica t!roug! t!e 8frican (ater 3tility =artners!ip# $!e benc!mar-ing of RBOs,
!oweer, is a relatiely recent p!enomenon# One suc! recent e0ercise is t!e
benc!mar-ing e0ercise started by ,8RBO in 200E#
Similar to 5ooperAs framewor- t!e ,8RBO benc!mar-ing e0ercise focuses on -ey
performance indicators, or as t!e ,8RBO terms it @critical success indicatorsA .)a-in et
al 200G/# $!e critical success indicators coer different dimensions of performance# 8s
t!e ,8RBO benc!mar-ing e0ercise is based on t!e Balance Scorecard 8pproac!, t!e
- Performance and Capacity of River Basin Organizations -
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main categories used are t!at of sta-e!olders, internal processes learning and growt! and
financial# 'n figure 2#2 t!e categories and corresponding indicators are presented#
F*-+)e %#%& Cae-o)*e! an0 In0*,ao)! *n .e NARBO
Ben,.'a)6*n- E7e),*!e
$!e balanced scorecard approac! can be iewed as a reaction to dissatisfaction wit!
purely financially based models of corporate performance, w!ic! dominated t!e :;80s# 't
presents a more !olistic approac! to t!e performance of an organi&ation .$albot :;;;/#
On t!e one !and t!e scorecard includes financial measures of performance .w!ic! reflect
decisions already ta-en/, on t!e ot!er !and it incorporates operational measures
.sta-e!olders, internal processes and learning and growt!/ w!ic! drie future
performance .1aplan and ,orton :;;2/# 'n t!e ,8RBO e0ercise t!e category of
@missionA !as been added to scorecard# $!e two indicators, t!e status of t!e organi&ation
and RBO goernance are strongly oriented towards t!e decision ma-ing process of t!e
RBO rat!er t!an related to actual effectieness of t!e organi&ation# 'ndeed indicators
related to t!e actual effectieness of t!e organi&ation .outputs and outcomes/ appear to be
absent# $o a large part t!is can be e0plained by t!e origin of t!e balanced scorecard .as a
priate sector management tool/# 't also !ig!lig!ts t!at t!e balanced scorecard !as a
strong focus on t!e internal management of t!e organi&ation# 8s suc!, t!e scorecard
proides a mec!anism for internal accountability of arious departments and sections
wit!in t!e RBO for t!eir performance#
- Performance and Capacity of River Basin Organizations -
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'
/$0$1$5 %)R' principles as a Benc!mark for Performance
8not!er way of measuring t!e performance of an RBO, is by e0amining t!e performance
of t!e ultimate goal, namely integrated water resources management# 8s mentioned
earlier, performance can be measured at different leels, w!ic! are intertwined# 'n t!is
case t!e performance of t!e organi&ation is determined by t!e degree to w!ic! t!e goal of
'(R) is ac!ieed# For e0ample, t!e *ublin principles can be used as an ideal-situation
benc!mar- against w!ic! to score performance# 8ssessing performance using t!is
approac! t!us entails analy&ing t!e ability of t!e RBOs to implement '(R) in terms ofB
$!e degree to w!ic! management of water resources follows a !olistic approac!6
$!e leel of sta-e!older participation in management of water resources6
$!e leel of inolement of women in t!e proision, management and
safeguarding of water6
$!e degree to w!ic! water is recogni&ed and treated as an economic good#
3sing t!is approac! is not wit!out difficulties, !oweer# '(R) will inole a multitude
of organi&ations underta-ing a wide array of functions and responsibilities at arious
leels, w!ic! toget!er manage water resources# $wo problems, w!ic! !ae been raised
earlier, also apply !ere# First of all t!ere is t!e problem of attribution# (it! t!e wide array
of organi&ations participating in t!e management of resources, !ow can t!e ac!ieement
of t!e policy .'(R)/ be attributed to only one organi&ationM Secondly, t!e "uestion is
!ow realistic it is to e0pect rier basin organi&ations to lie up to t!ese benc!mar-s .i#e#
!ow realistic are t!ese ob9ecties/M
2#C#2 $!e )i0 of 8pproac!es and t!e Reason for )easuring =erformance
$!e arious approac!es to measuring performance described aboe eac! !ae t!eir
adantages and disadantages# Some approac!es, suc! as 5ooperAs -ey performance
indicators, appear "uite compre!ensie# $!e down side of suc! a compre!ensie
framewor- is t!at t!e effort re"uired to apply t!e framewor- can be considerable and t!e
costs of implementing t!e framewor- may outweig! t!e reason w!y t!e assessment is
being underta-en#
'n t!e end, t!e met!od of ealuating t!e performance of RBOs will depend on t!e reasons
for measuring performance and t!e aailable resources for measuring performance# 'n
t!is study, t!e reason for assessing performance is to establis! a lin- to t!e capacities of
RBOs# 8lso t!e time and resource aailability did not allow all of t!e different
approac!es to be fully applied# 8s a result, we !ae opted for a framewor- for assessing
performance, using elements of t!e arious approac!es discussed aboe#
$!e approac! used in t!is study e0amines t!e following dimensionsB
- 2egal framewor-
- 2eel of autonomy of t!e RBO
- 4ffectieness of t!e RBO .comparing t!e ob9ecties%performance targets wit! t!e
actual functioning/
- 'nolement of sta-e!olders
- Financing of RBO actiities
'mportant to note is t!at some of t!ese dimensions of performance oerlap# For e0ample,
t!e leel of autonomy is li-ely to be influenced by t!e legal framewor- under w!ic! t!e
- Performance and Capacity of River Basin Organizations -
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RBO operates and t!e financing of RBO actiities# Similarly, t!e effectieness of RBOs
is influenced by t!e leel of autonomy of t!e RBO#
Before assessing t!e performance of t!e four cases, !oweer, t!e ne0t c!apter e0plains
t!e met!odology used in deeloping t!e case studies#

- Performance and Capacity of River Basin Organizations -
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2 CASES AND RESEARCH METHODOLOGY
$!e researc! underlying t!is report followed a case study approac! in w!ic! four case
studies of RBOs were researc!ed# 8t t!e start of t!e researc! pro9ect researc! ob9ecties
were formulated# $!e second step in t!e pro9ect was to select t!e case studies and to
deelop a standardi&ed framewor- for analy&ing t!e RBOs in eac! of t!e selected case
studies was deeloped# $!e t!ird p!ase reoled around underta-ing t!e actual case
studies# $!e final p!ase concerned a cross-case comparison of t!e cases and on t!e basis
of t!is comparison to draw conclusions concerning t!e researc! ob9ecties#
F*-+)e 2#"& Me.o0olo-4
2#" CASE STUDIES
- Performance and Capacity of River Basin Organizations -
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"
"
4ac! case study concerned an organi&ation, w!ic! !ad been attributed t!e responsibility
of managing water resources in a specified area# $!e selection of t!e cases was based on
t!e fact t!at eac! case is a national organi&ation# Furt!ermore, t!e organi&ations were
selected on t!e geograp!ical distribution of t!e case studies .one in 8frica, one in 2atin
8merica, one in Sout! 8sia and one in 4astern 8sia/#
$!e researc!ed RBOs areB
)a!aweli 8ut!ority of Sri 2an-a .)8S2/ - $!e )a!aweli 8ut!ority of Sri 2an-a
was establis!ed by 8ct no# 2C of =arliament in :;+;# $!e main tas- of t!e )8S2
is t!e planning and implementation of t!e )a!aweli *eelopment =rogramme,
w!ic! include construction, operation and maintenance of reseroirs, dams,
canals, and drainage systems and ot!er infrastructure#
$ana Basin (ater Resources )anagement 8ut!ority .$ana-(R)8/ in 1enya -
$!e $ana Basin (ater Resources )anagement 8ut!ority is one of si0 catc!ment
organi&ations responsible for management allocation and protection of water
resources in 1enya# $!e $ana (R)8 became operational in 7uly 200D and
operates under t!e national (ater Resources )anagement 8ut!ority, w!ic!
became operational in 200E#
$!e RBO for t!e 2erma-C!apla-Santiago in )e0ico is t!e (ater ,ational
Commission .CO,8<38 a Federal <oernment 8gency/ and t!ere are also $wo
basin Councils in t!e 2erma-C!apala-Santiago Basin in )e0ico F $!e two basin
councils in t!e 2erma-C!apal-Santiago basin are t!e 2erma Basin Council and t!e
Santiago Basin Council#
Sungai 2angat Rier Basin Organi&ation .238S/ in )alaysia - $!e Selangor
(aters )anagement 8ut!ority, or 238S as it is locally -nown, manages water
resources in t!e Selangor part of t!e Sungai 2angat rier basin# 't was enacted in
:;;; and !as t!e responsibility of protecting, regulating and managing water
resources in t!e Selangor part of t!e Sungai 2angat Rier Basin#
Table 2#"& In0*,ao)! fo) .e !ele,e0 R*/e) Ba!*n! an0 RBO!
- Performance and Capacity of River Basin Organizations -
22
"
)8S2 238S 2erma-C!apala-
Santiago
$ana-(R)8
Si&e of basin
.-m
2
/
:0GG8 2CE0 :CC000 :2D02D
=opulation
residing
2800000 ;E:,800 :++D0000 D:00800
8erage
rainfall in basin
.mm per year/
:2E0-2000 :800-C000 D;D-+20 D+;
2
)a9or water
uses
'rrigation
5ydropower
(ater supply
.=rimary 3se/
8"uaculture
,aigation
.Secondary
3ses/
'rrigation .8:H/
(ater Supply
.:2#DH/
2iestoc- and
'ndustry .D#EH/
'rrigation
5ydropower
(ater supply
$ype of
organi&ation
8n aut!ority
under t!e
)inistry of
)a!aweli
Statutory
8gency at t!e
State 2eel
>Collegial
bodies? operating
under ,ational
(ater
Commission
.CO,8<38/
Regional office
of national
corporate body
.(ater
Resources
)anagement
8ut!ority/
)andate of
organi&ation
)ultiple rier
basins
8dministratie
boundary .part
of a basin/
2 rier basins : rier basin
8nnual budget 3SI G0 million 3SI GC0,000 3SI:G8 million 3SI : million
Funding
sources of t!e
organi&ation
)ainly
<oernment
and *onors
State
<oernment
Federal
<oernment
<oernment
and *onors
,umber of
employees
G,+;: CE ECE 82
Sources: Mo!ood et al. 200"# $dirangu 200"# %&a'(%elgado et al.#
200"# )ee 200"
2#% STANDARDIZED FRAMEWOR8
=rior to underta-ing t!e case studies a standardi&ed framewor- was deeloped, w!ic!
was to be used for eac! of t!e indiidual case studies# Suc! a standardi&ed framewor-
allows for t!e findings from t!e different cases to be compared and analy&ed# 8 draft
ersion of t!e framewor- was circulated to and discussed wit! t!e arious persons
inoled in t!is researc! pro9ect .indiidual consultants, Cap-,et and 3,4SCO-'54/#
2
$!e aerage figure of D+; mm per year obscures t!e fact t!at in more t!an E0H of t!e catc!ment area less
t!an C00 mm per year is receied#
- Performance and Capacity of River Basin Organizations -
2C
9 PERFORMANCE ASSESSMENT
'n t!is c!apter t!e performance of t!e four RBO case studies is assessed# $!is
performance assessment focuses on t!e legal framewor-, t!e leel of autonomy of t!e
RBO, eeffectieness of t!e RBO, inolement of sta-e!olders and t!e financing of RBO
actiities#
9#" LEGAL FRAMEWOR8
'n t!ree of t!e four cases t!e legal framewor- as it currently e0ists appears to be
sufficient for t!e RBO to underta-e its tas-s and to implement '(R)# 'n t!is sense t!e
legal framewor- under w!ic! t!e organi&ations are operating do not appear to be a
constricting factor for t!eir performance or for t!e implementation of '(R)#
'n t!e 2erma-C!apala-Santiago basin t!e legal framewor- proided by t!e ,ational
(ater 2aw, allows for t!e implementation of '(R)# 'n practice, !oweer, actual
implementation !appens only partially# $!e legal framewor- !as stipulated a large
number of tas-s but actual implementation of t!e tas-s !as been lac-ing eit!er because of
lac- of interest of t!e agency responsible or because of lac- of resources to underta-e a
particular tas-#
'n 1enya, t!e (ater 8ct of 2002 forms t!e primary legislatie basis for water resources
management# $!e (ater 8ct enisages t!e formation of drainage basin organi&ations and
re"uires preparation of a catc!ment management strategy, deeloped on a consultatie
basis# 'n a few instances t!e proisions in t!e (ater 8ct conflict wit! ot!er releant
legislation .suc! as t!e 4nironmental )anagement and Co-ordination 8ct and t!e 2and
8ct/# 5oweer, despite t!ese conflicts users and sta-e!olders are agreed t!at t!e reforms,
w!ic! lead to t!e new (ater 8ct, represent a considerable improement#
'n Sri 2an-a, successie goernments !ae tried to introduce national water policy wit!
t!e aim of ac!ieing efficient and e"uitable allocation of water resources# *espite
approal of t!e Cabinet of )inisters in 200:, t!e policy was subse"uently re9ected by t!e
media and ciil society as it lac-ed enironmental and resource conseration focus,
proided inade"uate safety nets for t!e low-income segments of t!e population and
because it contained a more mar-et-oriented approac!# 8s a result in 200E two draft
water policies e0isted w!ic! were promoted by two ministries of t!e same goernment#
Recently, a new draft was publis!ed in newspapers for public comments# )8S2 t!erefore
lac-s a clear legal framewor- supporting t!e implementation of '(R)#
$!e main limitation in t!e legal framewor- under w!ic! 238S operates is t!at it
proides only limited opportunities to inole sta-e!olders in t!e decision ma-ing
process regarding water management# 8part from t!is limitation, !oweer, t!e legal
framewor- is considered a sufficiently compre!ensie enactment to support rier basin
and water resources management in t!e country#
9#% LEVEL OF AUTONOMY
)uc! more problematic t!an t!e legal framewor- under w!ic! t!e RBOs are operating
appears to be t!e leel of autonomy t!at t!e organi&ations en9oy# (it! t!e e0ception of
)8S2, t!e RBOs all !ae limited autonomy# 'mportant is to note t!at autonomy !as bot!
- Performance and Capacity of River Basin Organizations -
2G
.
a positie dimension .t!e aut!ority to ma-e decisions/ and a negatie dimension .to be
free from outside interentions/# $!is means t!at t!e leel of autonomy is determined by
.Jer!oest et al# 200G/B
:/ $!e leel of decision-ma-ing competencies of t!e agency .concerning management on
t!e one !and and concerning agency policy on t!e ot!er !and/6 and
2/ $!e e0emption of constraints on t!e actual use of decision-ma-ing competencies of t!e
agency .referring to structural, financial, and legal constraints on t!e agencyAs decision-
ma-ing competencies/#
G#2#: Central Control
$!e two RBOs, w!ic! operate on a !ydrological basis bot! operate under national
organi&ations for t!e management of water resources# 'n bot! cases t!e leel of autonomy
en9oyed by t!e RBOs are limited by t!e fact t!at for some decisions approal needs to be
obtained from t!e national agencies as well as on t!e fact t!at muc! of t!e RBOs funding
goes t!roug! t!e national agency# 'n t!is sense t!e leel of autonomy is limited bot! in
terms of t!e official decision-ma-ing competencies as well as t!e constraints posed by
access to .financial/ resources .w!ic! is described in t!e ne0t section/# $!e $ana-(R)8,
for e0ample, must re"uest approal from t!e national agency w!en aut!ori&ing a water
use actiity w!ic! is of a large scale or is comple0 and w!ic! is deemed by irtue of its
scale to !ae a measurable impact on t!e water resource# 8lso t!e basin councils in t!e
2erma-C!apala-Santiago basin lac- an ade"uate legal status and t!e autonomy to carry
out t!eir decisions#
238S is a statutory agency goerned by a Board of *irectors, w!ic! is c!aired by t!e
C!ief )inister of Selangor# Ot!er goernment members of t!e Board include t!e State
Secretary, t!e State 2egal 8disor, t!e State Financial Officer, t!e *irector-<eneral of t!e
national *epartment of 'rrigation and *rainage, and two members from t!e State
40ecutie Committee appointed by t!e C!ief )inister# 'n addition to t!ese goernment
members not more t!an fie ot!er e0pert members can be appointed to t!e Board# 8lso
t!e oerw!elming ma9ority of members of t!e t!ree 8d-!oc committees, w!ic! assist
238S in t!e management of t!e Sungai 2angat rier basin, are goernment officers
representing releant goernment agencies# 8s a result t!e influence and control of t!e
.State/ goernment oer t!e functioning of 238S is considerable#
$!e )8S2 seems to be t!e organi&ation wit! t!e largest degree of autonomy# $!e )8S2
is !eaded by a *irector <eneral and t!e organi&ation !as powers of direction and control
of all agencies and institutions inoled in t!e )a!aweli <anga *eelopment
=rogramme# $!e !ig! leel of autonomy t!at )8S2 en9oys was considered essential for
t!e ability to implement t!e deelopment programme on time and successfully#
G#2#2 Financial resources
)ost of t!e organi&ations also appear to !ae limited autonomy in t!e sense t!at t!ey
!ae limited financial resources and are strongly dependent on transfers from t!e central
goernment and t!e donor community in order to finance t!eir actiities# 'n most cases
t!e organi&ations receie funding from t!e goernment or t!e national water management
agencies under w!ic! t!ey operate rat!er t!an from water users#
'n t!e state of Selangor in )alaysia, t!e legal framewor- proides t!e opportunity for a
separate Fund to be establis!ed# $!e arious sources of income t!at 238S !as .fees,
c!arges, goernment transfers, loans, etc#/ could t!en be paid into t!is Fund# $!e Fund
can t!en be used by 238S to pay for its e0penditures# 4en t!oug! 238S !as set-up
- Performance and Capacity of River Basin Organizations -
2E
.
suc! a fund but actual use of t!e Fund for 238SAs operations !as not been implemented
yet# 238S is currently still being financed by t!e State $reasury t!roug! an annual
budget approed by t!e State <oernment# 8ll reenue collected by 238S from t!e
licensing of water abstractions from ground and surface water sources are paid directly
into t!e State $reasury# 8s suc!, t!e opportunities to allow 238S to collect and operate
its own reenue stream using its own fund !ae not been utili&ed#
8lso, t!e $ana-(R)8 is still limited in t!e leies it can c!arge as ga&&eting water rules
and regulation t!at will allow t!e aut!ority to ley fees on t!e full range of users and
practitioners is still pending# )oreoer, t!e $ana-(R)8 is not able to retain t!e reenue
it collects as t!ese flow to t!e national goernment, meaning t!at t!e $ana-(R)8 is
dependent on t!e central goernment .and on donors/ for financing its budget#
For t!e two basins in t!e 2erma-C!apala-Santiago basin t!e lac- of financial resources
!as been a constant element t!at !as !ampered t!e design of effectie mec!anisms, -
especially for enironmental protection# $!e e0ception, again, appears to be t!e )8S2,
w!ic!, in t!e past, did not appear to !ae any ma9or financial constraints#
G#2#C =olitical 'nfluence
4ac! of t!e cases mentions political influence at some point as being detrimental to t!e
functioning of t!e RBO# $!e Board of t!e $ana-(R)8 is appointed by t!e political
leaders!ip# 'n 238S, t!e Board of *irectors is dominated by representaties of
goernment#
8not!er similarity of all cases is t!at in eac! case general understanding and awareness
of '(R) in t!e policy enironment remains low and a big constraint to better
implementation of '(R)# Specifically politicians and goernment officials are found to
lac- understanding of '(R) and t!e re"uirements t!at are needed for implementing it#
G#2#G 3se of =erformance 'ndicators
'n two of t!e basins, t!e RBOs use performance indicators to measure t!eir performance#
'n )e0ico t!e CO,8<38 uses a set of :0 indicators to measure t!e efficiency of its
functioning# $!e indicators are used at a national leel and as suc! are not applied at t!e
leel of t!e 2erma-C!apala-Santiago basin#
'n 1enya, t!e (R)8 !as a set of performance indicators called t!e @<olden indicatorsA#
$!ese @goldenA indicators relate to effectieness of water resources management
regulation, water "uantity, water "uality and water resources monitoring#
9#2 EFFECTIVENESS OF THE RBO!
8ssessing t!e effectieness of t!e organi&ations is done in two steps# First t!e official
ob9ecties of t!e RBOs are presented .$able G#: below/# (it! t!e e0ception of )8S2,
!oweer, t!e organi&ations are not able to ac!iee t!ese ob9ecties .w!ic! reflect an
'(R) approac!/# 'n t!e second section, t!erefore, t!e roles and responsibilities of t!e
RBOs are lin-ed to t!e most acute problems facing t!at basin#
- Performance and Capacity of River Basin Organizations -
2D
.
Table 9#"& Ob:e,*/e! of .e RBO!
RBO O=>ectives
238S $o ensure t!at t!e water resources and natural enironment in t!e state of Selangor are
protected and consered so as to support t!e sustainable socio-economic deelopment of
t!e state#
$o fulfill t!e functions of integrated planning, streamlining, co-ordinating,
implementing and regulating t!e deelopment and management of t!e stateAs water
resources and natural enironment#
$o create an enironment t!at will encourage t!e actie participation of t!e ciil serice
and priate sector in t!e deelopment, use and management of water resources and t!e
natural enironment, ta-ing into account t!e interest of t!e public and t!e state
<oernment#
$o create awareness among t!e public and encourage t!eir participation on t!e
importance of water resources and t!e need to collectiely protect, consere and
en!ance its "uality#
)8S2 =lan and 'mplementation of t!e )a!aweli *eelopment =rogramme - Construction,
operation and maintenance multi-purpose reseroirs, canals !eadwor- and ot!er
structures, and management of immediate enironment of *am suc! as reserations for
*am safety#
*eelopment of water resources in )a!aweli and ad9acent basins
'ntegrated deelopment F Optimi&e agriculture productiity and employment potential,
maintained p!ysical enironment in any special area, waters!ed management and soil
erosion control, welfare and cultural progress of t!e community in special area,
settlement of persons on lands, farms, manage farms and engage in farming, agricultural
and !orticultural actiities F proide adisory and farmer training, implementation of
agriculture plans, manage and operate credit to farmers, proide agricultural inputs,
promote agro-based industries, mar-eting serices, women deelopment#
(ater allocation for irrigation, !ydropower and drin-ing
Follow participatory approac!es for decision ma-ing and real time management of
water resources in )a!aweli areas#
)onitor sedimentation leels in t!e reseroirs#
$ana-(R)8 =lanning, management, protection and conseration of water resources#
=lanning, allocation, apportionment, assessment and monitoring of water resources#
'ssuance of water permits#
(ater rig!ts and enforcement of permit conditions#
Regulation of conseration and abstraction structures#
Catc!ment and water "uality management#
Regulation and control of water use
Coordination of t!e '(R) =lan#
2erma-C!apala
Santiago Basin
$o promote t!e efficient use of water for agricultural production
$o promote a widening coerage and improement in t!e "uality of serices for water
supply, sewerage, and basic sanitation
$o ac!iee integrated and sustainable management of water in basins and a"uifers
$o promote t!e tec!nical, administratie, and financial deelopment of t!e water sector
$o consolidate t!e participation of users and organi&ed society in water management
and to promote a culture for a proper use of t!is resource
$o diminis! ris-s and attend to t!e effects of floods and droug!ts
8lt!oug! t!e ob9ecties of t!e organi&ations appear to steer t!e organi&ation towards an
!olistic approac! to water management, few of t!e studied RBOs are actually able to
ac!iee t!ese ambitious ob9ecties and ad!ere to a !olistic approac! to t!e planning and
management of water resources# $wo e0planations can be forwarded to e0plain t!is
diergence between t!e ob9ecties and t!e actual functioning of t!e RBOs# in roles and
- Performance and Capacity of River Basin Organizations -
2+
.
responsibilities of t!e RBOs# First of all, t!e difference in ob9ecties and t!e actiities of
t!e RBOs are related to t!e limited !uman, financial and institutional capacity of t!e
organi&ation# $!e limited capacity simply means t!at t!e organi&ation does not !ae t!e
re"uired resources to address all t!e water management tas-s t!at it would ideally
underta-e and w!ic! !ae been attributed to t!e organi&ation# 8s t!e organi&ation cannot
address all water management tas-s it must necessarily select priorities on w!ic! it
focuses#
$!e second e0planation is lin-ed to t!e capacity of t!e organi&ation and is related to t!e
main water uses in t!e basin and t!e main problems e0perienced in t!e basin# $!ese water
uses and t!e main problems e0perienced in t!e basins result in different priorities for t!e
RBOs# <ien t!e limited capacity t!at many of t!ese RBOs !ae, t!e RBO will
eentually decide to focus on t!e problems t!at are most acute or are gien t!e !ig!est
priority# Because t!e acute problems differ from one location to t!e ne0t t!e different
RBOs also !ae different water management priorities#
'n t!e case of 238S, t!e main focus is on managing water "uality in t!e rier basin .and
particularly controlling pollution/# $!e main reason for t!is focus on managing water
"uality seems to be t!e fact t!at t!e ma9or water use of t!e Sungai 2angat is for potable
water supply#
$!e )8S2, !aing been enacted to implement a large-scale deelopment pro9ect,
appears to operate more li-e a deelopment agency in w!ic! t!e main focus appears to be
on t!e integrated management of water "uantity and allocation of t!at water for socio-
economic deelopment# $!e nature of t!e )8S2 as deelopment agency is also isible in
actiities, w!ic! it underta-es w!ic! seem "uite far remoed from rier basin
management .suc! as t!e construction of roads, sc!ools, post offices and !ospitals/#
5aing been establis!ed in 200D, t!e $ana-(R)8 is still a relatiely young
organi&ation# 8s suc!, it is difficult to determine t!e degree to w!ic! t!e organi&ation is
able to implement a !olistic approac!# Recent reforms in t!e 1enyan water sector,
!oweer, do seem to represent a step forward wit! respect to t!e ability of t!e $ana-
(R)8 to deelop a !olistic approac!#
'n )e0ico, $!e (ater ,ational Commission .CO,8<38/ and t!e two Basin Councils
for t!e 2erma-C!apala-Santiago basin are mainly concerned wit! allocation and
distribution of water resources, reflecting t!e critical problem of water aailability in t!is
basin as well as t!e !istorical perspectie of iewing water resources management as a
way of deeloping productie actiities, particularly t!ose related to agriculture#
8lt!oug! t!ese councils could underta-e actiities related to enironmental protection
.suc! as addressing water pollution and soil erosion/ t!e aailable resources .and
autonomy, particularly for t!e Basin Councils/ appear to be insufficient to underta-e
t!ese actiities#

- Performance and Capacity of River Basin Organizations -
28
.
Table 9#%& C.allen-e!; Wae) U!e! an0 Role! of .e RBO!
River Basin Main pro=lems and
c?allenges
Main @ater uses Main role of t?e
RBO
)a!aweli (ater aailability
(ater pollution
*eforestation
2and degradation
'rrigation
5ydropower
(ater allocation
$ana (ater aailability
(ater "uality
Catc!ment degradation
'rrigation
5ydropower
(ater supply
(ater allocation
2erma-C!apala-
Santiago
(ater aailability
4nironmental
deterioration
(ater pollution
*eforestation
2and degradation
'rrigation
(ater Supply
2iestoc- and
'ndustry
(ater transfer to
)e0ico city
(ater allocation
Sungai 2angat (ater pollution
(ater aailability
*eforestation
(ater supply
8"uaculture
,aigation
(ater "uality
'n relation to t!e main problems facing t!e basin, t!e RBOs seem to be performing better#
8lt!oug! $ana (R)8 !as been in e0istence for only one year, t!e organisation !as
ac!ieed significantly by introducing an inclusie water resources management
framewor- wit!in t!e basin, establis!ing basic actions to regulate abstraction, en!ancing
public participation, restore water resources monitoring system, collection of water use
c!arge and more importantly in deelopment of t!e Catc!ment )anagement Strategy#
'n t!e 2erma-C!apala-Santiago basin councils promote and enable participation of users
and sta-e!olders and Cooperation between goernment agencies is enabled and leads to
results .suc! as t!e Surface (ater <ood 3se =lan/#
)8S2 !as sered as a management and deelopment agency proiding water serices to
t!e ma9ority of t!e water users located in ma9or irrigation systems, w!ile following
integrated approac!es for socioeconomic deelopment of t!e population# $!e )8S2
proides irrigation water, allocates water for !ydro-power generation, meets needs of
towns!ips, proides s!elter for large section of population, increases agricultural
production, generates employment opportunities, controls flood and operates and
maintains of large dams and reseroirs#
*espite t!e limited capacity 238S was able to put in place a management framewor-
t!at gets all t!e releant goernment agencies to wor- toget!er wit! =unca- ,iaga Sdn
B!d, to address t!e water pollution t!reat due to increased urbani&ation of t!e basin#
238S !as also been identified as being an efficient organi&ation since it is able to collect
enoug! money from its licensing actiities to pay for its annual operational oer!eads#
G#C#: Remaining C!allenges
8lt!oug! t!e aboe section notes t!e effectieness of t!e RBOs to address t!e main
c!allenges facing t!e basins, some issues remain# $!ese issues include wea-nesses of
monitoring and enforcement, an engineering-focused staff, w!ic! !ae more capacity in
deelopment of infrastructure rat!er t!an management,
- Performance and Capacity of River Basin Organizations -
2;
.
'n t!e $ana basin, for e0ample, t!e more serious c!allenges facing $ana (R)8 lie in t!e
!uman and tec!nology capacity to apply t!e management instruments for '(R)# $!e
organisation !as a small number of staff compared to t!e coerage area, and een t!ese
few lac- set of s-ills re"uired to fully implement '(R)# $!is in turn complicates t!e
process of reiing t!e water resources monitoring and assessment networ-# 3p until
now, t!e aailability of accurate water resources data is ery limited# $!e awareness for
'(R) remain low among water users, and alt!oug! (R38s !ae been establis!ed to
mobilises water users liing, t!ere is little deliberate action for awareness generally
targeting communities in liing in t!e catc!ment# $!is is iewed in t!e lig!t of t!e fact
t!at poerty !as been identified as -ey drier for catc!ment degradation, yet $ana
(R)8 is still to establis! a coordinated approac! wit! ot!er goernment agencies to
create alternatie ways of earning lieli!ood t!an t!ose causing destruction#
$!e list of aspects t!at re"uire improement in t!e 2erm-C!apala-Santiago basin include
aspects suc! as improing implementation of t!e water law .enforcement, application/,
deeloping organi&ational and participation aspects of '(R), incorporating perspecties
of enironmental management, increasing aailable financial resources and soling inter-
institutional conflicts deried from t!e unspecified functions of arious goernmental
leels#
'n t!e case of 238S, t!ere seems to be a consensus t!at t!ere is a need to increase t!e
indiidual competencies of 238S staff on t!e legal and enforcement aspects# $!e senior
officers of 238S also mentioned t!e need for t!e ot!er goernment agencies to recogni&e
238S role in implementing integrated rier basin and water resources management#
$!e biggest remaining c!allenge for )8S2 is t!e lac- of a national water policy for an
effectie functioning of t!e RBO# Structural reforms are needed to c!ange from
deelopment agency into fully fledged RBO in t!e present conte0t# 8lt!oug! )8S2 !as
!ig!er number of staff, t!ey are not e"uipped wit! t!e tools for implementing '(R)
effectiely# $!ere is also uncertainty about aailable financial resources as t!e State is
trying to reduce e0penditure in t!e sector# $!e dependency on donors for pro9ects for
improement is not a good sign for sustainability#
- Performance and Capacity of River Basin Organizations -
C0
.
9#9 INVOLVEMENT OF STA8EHOLDERS
$!e leel of sta-e!older participation differs mar-edly amongst t!e four cases# 'n two
cases eit!er mec!anisms e0ist for participatory goernance e0isted or t!e establis!ment
of t!e RBO improed t!e leel of sta-e!older participation#
'n t!e case of t!e )8S2, mec!anisms e0ist for participatory goernance# Specifically
participation of farmers for management of irrigation water is well-establis!ed and ta-es
place at t!ree leels# Sta-e!older participation ta-es place t!roug! a pre-cultiation
meeting attended by t!e Residential =ro9ect )anager, t!e *eputy Residential =ro9ect
)anagers, 'rrigation 4ngineers and Farmer Organi&ation representaties# 'n t!is meeting
water aailability, crop types, estimations on water re"uirements and repair and
maintenance of irrigation canals are discussed# *ecisions about water allocation are made
at t!e (ater =anel )eeting# $!is meeting is attended by a large number of sta-e!olders
from goernment and farmer representaties# 5oweer, water users from domestic and
ot!er sectors are not proportionately represented to influence t!e decisions in t!ese
meetings# $!e t!ird meeting concerns t!e cultiation-meeting during w!ic! farmers are
informed about water allocation decisions made during t!e (ater =anel )eeting# *uring
t!is final meeting decisions about crop types, crop periods and crop e0tents are finali&ed#
8lso in t!e $ana basin, t!e enactment of t!e $ana-(R)8 !as lead to significant
improement in public participation in water management# 'n t!e $ana-(R)8
sta-e!older participation is mainly ac!ieed t!roug! participatory water management
t!roug! (ater Resources 3ser 8ssociations .(R38s/ at t!e sub-catc!ment leel# $!e
(R38s are iewed as an important mec!anism to preent conflicts oer water# $!e
$ana-(R)8 !as played a proactie and facilitatie role in t!e establis!ment of (R38s#
'n addition Catc!ment 8disory Committees .C88C/ !ae been formed to adise t!e
$ana-(R)8 on matters of apportionment and conseration of water resources# $!e
members of t!e C88C come from goernment ministries, t!e $ana and 8t!i Rier
*eelopment 8ut!ority, farmers and pastoralist communities, business people and ,<Os#
$!e mandate of t!e C88C is only to adise t!e $ana-(R)8# )embers!ip of t!e C88C
is determined by t!e political leaders!ip and as a result some appointments may be
politically motiated#
8s mentioned, t!e legal framewor- under w!ic! 238S operates proides few
opportunities for t!e participation of sta-e!olders in t!e decision ma-ing of 238S# $!e
only way in w!ic! sta-e!olders can participate is by participating in ad-!oc Committees#
Currently, t!ree ad-!oc committees !ae been set up# $!ese are t!e Sungai 2angat Rier
Basin )anagement Committee, (or-ing <roup Committee for =ollution Control in t!e
Sungai 2angat Rier Basin, and t!e 4mergency Committee for =ollution of (ater
Resources and )onitoring of $reated (ater# $!e t!ree committees set up so far appear to
be !eaily dominated by goernment representaties, alt!oug! representaties suc! as
water utilities, sewerage treatment plant operators and solid waste disposal companies
!ae been inited to participate in t!e meetings of t!e 8d-!oc Committees# Organi&ations
and sta-e!olders from ciil society !ae no direct oice in influencing proposed
deelopments and use of t!e water resources in t!e basin#
8lso in t!e 2erma-C!apala-Santiago basin, sta-e!older participation s!ould ta-e place
t!roug! t!e basin councils as stipulated by law# 'n practice, !oweer, t!is participation is
limited# $!is limitation is not so muc! t!e result of t!e legal framewor- but rat!er
because of personal or community interests on t!e one !and, and because of lac- of
information and training of arious sta-e!olders w!ic! ma-e it difficult for t!ese
sta-e!olders to participate in decision-ma-ing# )oreoer, t!e legitimacy of t!e userAs
- Performance and Capacity of River Basin Organizations -
C:
.
representaties in t!e basin councils can be "uestioned as t!ese representaties are
appointed by t!e aut!orities t!emseles#
G#G#: Role of (omen
'n general no special mec!anisms seem to e0ist to inole women in t!e proision and
management of water in t!e arious basins# $!e only e0ception appears to be in 1enya,
w!ere t!e 1enyan goernment !as recently directed t!at at least C0H of all public
appointments be resered for women# 8lt!oug! t!is measure, w!ic! not only applies to
t!e water sector but coers all public appointments, will li-ely to lead to greater
inolement of women in decision-ma-ing wit! respect to water management, it is not
clear w!at t!e impact will be on t!e inolement of female sta-e!olders .non-
goernment/ in suc! decisions#
9#< FINANCING RBO ACTIVITIES
$!e $ana-(R)8, w!ic! !as an annual budget of about 3SI : million, is currently
financed by t!e central goernment .C2H/ and donors .D8H/# 'n t!e $ana rier basin a
reenue collection system based on water c!arges was deeloped# 5oweer, ga&ettement
of t!e water rules and regulations t!at will allow t!e $ana-(R)8 to ley fees on t!e full
range of users is pending# $!is means t!at a policy decision will be re"uired t!at will
allow $ana (R)8 to retain reenue collected from water c!arges wit!in t!e region .or
at least a portion of it/# $!e c!arges in t!e $ana basin are limited to users abstracting
aboe a certain t!res!old# 'n ot!er words, ulnerable sections of t!e society w!ic! do not
abstract sufficient water to ac!iee t!e t!res!old will not be c!arged for t!e water t!ey
use# Currently, c!arges collected at t!e basin are not retained t!ere but rat!er flow to t!e
central goernment#
For 238S in )alaysia, on paper possibilities e0ist to finance management of t!e rier
basin from licensing fees# $!e 238S 4nactment allows 238S to set up a fund to collect
fees from its regulatory actiities# $!ese fees could t!en be used for financing its
operations# 8lso t!e fees collected by 238S appear to be sufficient to finance its current
actiities# $!roug! its licensing of water abstraction by industrial consumers from ground
and surface water 238S generates a reenue stream of about 3SI E+0,000, w!ilst t!e
annual operational cost of 238S are limited to 3SIGC0,000# Currently, !oweer, no fund
for 238S !as been establis!ed .despite t!e possibility to do so/ and t!e reenue
generated by 238S flows to t!e State $reasury# 238S receies its complete annual
budget from t!e state goernment#
'n Sri 2an-a, t!e )8S2, w!ic! !ad a budget of about 3SI G0 million in 200E, is
financed primarily t!roug! goernment and donor agencies# $!e only contribution from
users .e0cluding water supply pro9ects/ concerns re!abilitation of irrigation wor-s of
w!ic! between :0H and 20H is financed by farmers .depending on t!e nature of t!e
wor- inoled/# Often water users contribute in -ind .labor/ in re!abilitation, operation
and maintenance of irrigation canals at t!e tertiary leel# $!e )8S2 does not c!arge for
water from farmers#
9#= CONCLUSION
$!e assessment of t!e arious basin organi&ations of t!eir performance s!ows
considerable ariation between t!e organi&ations# $!is is in itself not suc! a stri-ing
conclusion as t!e organi&ations face different conditions and c!allenges w!ilst operating
under limited capacity and are in different stages of deelopment# )oreoer, it is difficult
- Performance and Capacity of River Basin Organizations -
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.
to compare an organi&ation suc! as 238S, w!ic! !as an annual budget of about
3SIGC0,000 wit! an organi&ation suc! as )8S2 wit! an annual budget, w!ic! is almost
a !undred times larger#
,otewort!y is t!at for most of t!e categories of performance, t!e )8S2 appears to score
better t!an t!e ot!er RBOs# 8 number of possible e0planations can be forwarded for t!is
obseration# First of all, t!e )8S2 !as by far t!e largest annual budget# 't is also t!e
oldest of t!e RBOs and, as suc!, !as !ad more time to mature# )oreoer, t!e
organi&ation is a part of a pro9ect%deelopment programme, w!ic! may ensure a degree of
.political/ commitment and financial support, w!ic! t!e ot!er RBOs seem to be lac-ing
at t!is time#

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< CAPACITY BUILDING IN THE WATER
SECTOR
'n t!e oeriew on performance of four RBOs in t!e preious section, t!e impact of
capacity on t!e performance of t!e RBOs came to t!e forefront# 8part from reealing
itself in t!e case studies t!e importance of capacity .and t!us capacity building/ !as been
identified before by arious sector e0perts in t!e water sector# $!is c!apter will present
some of t!ese perspecties based on 3,4SCO-((8= .200D/
C
and 7aspers .200:/
G
# $!e
first section of t!is c!apter focuses on en!ancing local capacities# Secondly, t!e
importance of an en!anced -nowledge base is elaborated upon# $!e t!ird section of t!is
c!apter focuses on t!e process of capacity deelopment in practice# $!e final part of t!is
c!apter returns to t!e four cases and assesses w!at t!e capacity gaps for t!e four case
studies are#
<#" ENHANCING LOCAL CAPACITIES
'nstitutional arrangements are needed and being deeloped to enable decision ma-ers and
communities to depart from sectoral and isolated water management in order to reac! a
!ig!er leel of integration# 1ey-aspect in t!is process is t!e notion of t!e need to manage
rier basins as a w!ole and in an integrated way# $o ac!iee a !ig!er leel of sustainable
water deelopment and management far-going capacities are needed w!ic! are more
often t!an not initially wea- or een absent# Capacity building closely supports and !elps
to guide t!e re"uired institutional strengt!ening as well as t!e deelopment of reform
programmes t!at are needed to ma-e effectie integrated water resources management
operational#
Capacities can be seen as t!e -nowledge, s-ills and ot!er faculties, in indiiduals or
embedded in procedures and rules, inside and around sector organi&ations and
institutions# $!ese main capacity building components areB
$!e creation of an enabling enironment wit! appropriate policy and legal
framewor-s6
'nstitutional deelopment, including community participation .and of women in
particular/6 and
5uman resources deelopment and t!e strengt!ening of managerial systems#

<#% ENHANCING THE 8NOWLEDGE BASE
8n ade"uate -nowledge base must be aailable to t!e water sector worldwide# $!is
-nowledge base can be utili&ed to better analy&e and understand current c!anges in water
management# Better understanding of t!ese c!anges and t!e c!allenges t!at result from
C
3,4SCO-((8= .200D/, (ater a s!ared responsibilityB $!e united ,ations (orld (ater *eelopment
Report 2, 3,4SCO and Berg!a!n Boo-s, 200D#
G
7aspers .200:/, Capacity Building for 'ntegrated Rier Basin )anagement#
- Performance and Capacity of River Basin Organizations -
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t!em allows for better-targeted and more appropriate interention strategies# <enerating
t!is -nowledge base re"uires accurate data describing t!e state of water resources and
t!eir management#
8ccess to and s!aring of -nowledge by indiiduals and groups are critical to addressing
water-related problems# 'n many countries, !oweer, t!e accessibility of water resources
and serices -nowledge base !as often been limited due to budget constraints .t!e
emp!asis often being on deeloping new infrastructure/, a lac- of professional education
and language barriers, and iewing suc! -nowledge as strategic information, w!ic! is
better not s!ared wit! ot!er sta-e!olders# $!is results in decreased capacity to translate
aailable data into usable -nowledge for water management in an integrated manner# $!e
willingness to s!are information and t!e importance of building trust between parties is,
in t!is conte0t, critical in t!e deelopment of a s!ared ision for water management .3,,
200C/#
,etwor-s of all -inds, representing all sectors, suc! as professional associations, are
powerful tools for -nowledge s!aring and distribution# $!e adantages of networ-ing for
scaling up capacity building to reac! t!e )*<s are gaining recognition in t!e
international water community# $!e adantages are predominantly in proiding a more
co!erent and coordinated approac! to capacity-building, increased impact, releance and
sustainability from wor-ing wit! local institutions .w!ic! are better placed to e0press
local demands/, improed s!aring of -nowledge and e0pertise and a platform for cross-
disciplinary and cross-regional discussions#
<#2 THE PROCESS OF CAPACITY DEVELOPMENT IN PRACTICE
Capacity deelopment is t!e process by w!ic! indiiduals, organi&ations, institutions and
societies deelop abilities .indiidually and collectiely/ to perform functions, sole
problems and set and ac!iee ob9ecties .3,*=, :;;+6 2opes and $!eiso!n, 200C/# 8
countryAs capacity to address water-related issues is not 9ust t!e sum total of indiidual
capacities, but rat!er a broad !olistic iew of t!e central concerns of management,
namely !ow to resole conflict, manage c!ange and institutional pluralism, en!ance
coordination, foster communication, and ensure t!at data and information are collected,
analy&ed and s!ared# $!is inoles not only indiidual capacities .!uman resources/, but
also t!e effectieness, fle0ibility and adaptability of organi&ational processes
.institutional capacity/ and an enabling and stimulating management framewor- .t!e
enabling enironment/# Sustainable deelopment increasingly re"uires countries to !ae
t!e capacity to put in place effectie -nowledge generation and learning mec!anisms#
$!is capacity-to learn or @adaptie capacityA is t!e potential or capability of a system to
ad9ust or c!ange its c!aracteristics or be!aior, so as to better cope wit! e0isting and
future stresses .3,4SCO-((8=, 200D/#
$!e deelopment of institutional capacity is a ery comple0 process# 8t a certain moment
of time a sufficient .t!res!old/ leel of releant tec!nical, organi&ational, administratie,
social and financial capacity !as to be aailable to -ic--start and sustain t!e process of
integrated water resources management .cf# 8brams :;;D/# $!e capacity to implement
t!e necessary institutional arrangements in deeloping countries is !ig!ly ariable and
!ence t!e leel of implementation may differ substantially from one country to t!e ne0t#
For deeloping countries it is furt!er important to !ae access to initial funds to -ic--start
t!e process of implementation# Systems of cost recoery, crucial tools in integrated water
resources management, can only be successfully implemented w!en acceptable serice
leels are establis!ed and effectie administratie arrangements are in place# 'nestments
- Performance and Capacity of River Basin Organizations -
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!ae to be done and not all countries can afford t!at# 8boe all, a ma9or re"uirement for
implementation is t!e presence of sufficient !uman and institutional capacity at t!e rig!t
time and at t!e rig!t place# $!e deelopment of !uman capacity is a long-term effort,
comple0 in nature and ery resources demanding# 't is not enoug! to train e0perts in t!e
releant tec!nical disciplines only# $!ere is, increasingly, a need to train and foster
e0perts in integration#
<#9 WHERE DO THE CAPACITY GAPS FOR THE FOUR CASE
STUDIES LIE>
8s mentioned it is difficult to draw conclusions, w!ic! apply to all cases# $!is, as
e0plained aboe, is due to t!e fact t!at eac! case !as its own particular c!aracteristics as
a result of t!e particular circumstances in w!ic! it was set up, t!e mandate and
c!aracteristics of t!e RBO and t!e main problems t!at t!e basin faces# *espite t!ese
differences, !oweer, t!e section below tries to elaborate on t!e capacity gaps, w!ic!
!ae been identified in t!e four cases# 8not!er reason w!y it is difficult to draw general
conclusions is t!at apart from t!e )8S2, t!e RBOs !ae not been in e0istence for a ery
long time# )any !ae been founded only recently and are still in t!e process of starting
up# Below, t!e capacity gaps elaborated upon are distinguis!ed to t!e e0tent t!at relate to
t!e enabling enironment, institutional deelopment and !uman resources# 't is also clear,
!oweer, t!at t!ese dimensions of capacity are interrelated and, as suc!, cannot really be
seen in isolation# $!is means t!at some oerlap between t!e capacity gaps in t!e arious
dimensions is unaoidable#
E#G#: $!e 4nabling 4nironment
'n addition to t!e capacity gaps, additional gaps were identified, w!ic! go beyond t!e
RBO itself# 'n particular t!e need for creating broad awareness of '(R) and t!e need for
inter-agency coordination and cooperation were identified as capacity gaps#
<eneral awareness and -nowledge F <eneral -nowledge and awareness about
'(R) in t!e @enabling enironmentA .goernment institutions/ appears to be
limited# $o some e0tent t!is @capacity gapA is lin-ed to t!e limited financial
resources mentioned aboe# $!e idea being t!at wit! !eig!tened awareness of
politicians and goernment officers more funds will become aailable#
<oernance structures, w!ic! limit autonomy of t!e RBO F RBOs operate wit!in
t!e e0isting goernance structure of t!e country or basin# $!is goernance
structure greatly s!apes t!e leel of autonomy t!at t!e RBO !as# 'n some of t!e
case studied RBOs were on t!e one attributed a broad range of goals and
ob9ecties to be ac!ieed .often incorporating or reflecting '(R) principles/
w!ilst at t!e same time t!e goernance structure proided t!e RBO wit! ery
limited means to address t!ese goals and ob9ecties#
'nter-agency coordination and cooperation - 8lt!oug! RBOs can !ae a mandate
coering an entire basin, t!e management of water resources will continue to
inole numerous different agencies and organi&ations operating at arious leels
in t!e basin# For t!ese organi&ations to function effectiely t!ese organi&ations
need to coordinate t!eir arious contributions to water management in t!e basin#
Currently, t!is leel of coordination appears to be insufficient in most basins# $!is
means t!at capacity building will !ae to focus on ac"uiring a good understanding
- Performance and Capacity of River Basin Organizations -
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0
among t!e different agencies and organi&ations on t!eir fragmented and s!ared
responsibilities for effectie water resources management#
8ddressing t!e gaps can inole capacity building modalities targeted at different groups#
First of all, increasing general awareness about '(R) in t!e enabling enironment
re"uires s!ort capacity building actiities, in w!ic! t!e importance of '(R) and t!e
re"uirements for its implementation are pressed upon -ey decision-ma-ers wit!in
different leels of goernment and in a range of organi&ations# )ost li-ely t!e
commitment of t!e !ig!est goernment officials needs to be secured for suc! actiities to
be effectie# Secondly, increased awareness and -nowledge about '(R) and t!e
re"uirements for its implementation need to be translated in c!anges in t!e goernance
structure under w!ic! t!e RBO operates# 8s mentioned, t!is goernance structure greatly
impacts t!at leel of autonomy t!at RBO !as, and sufficient leels of organi&ational and
financial autonomy are a pre-re"uisite for t!e RBO to perform effectiely and efficiently#
)ost illustratie are t!e financing arrangements of some of t!e RBOs in t!e case studies#
)oney raised by t!e RBOs were transferred to general goernment budgets rat!er t!an
being aailable to t!e RBO for financing its actiities, creating a strong dependency of
t!e RBOs on goernment funding# $!irdly, t!e interagency coordination and cooperation
re"uires bot! capacity building in t!e enabling enironment as well as wit! respect to
!uman resources# 'n t!e enabling enironment, fora at arious leels need to be
establis!ed in w!ic! different agencies and organi&ations, representing a ariety of
sta-e!olders, are able to negotiate and decide upon issues of water management# $!e
nature of t!e issue to be decided upon is li-ely to determine nature of t!e forum, t!e leel
at w!ic! t!e forum is to located and t!e organi&ations t!at are inoled in t!at specific
forum# $!e re"uirements for !uman resources for coordination and cooperation are
elaborated upon in section E#G#C#
E#G#2 'nstitutional *eelopment
$!e cases broug!t to t!e forefront seeral capacity gaps related t!e institutional leel#
$!ese gaps include t!e lac- of organi&ational autonomy for t!e RBO, t!e lac- of financial
autonomy, t!e limited community inolement .and specifically inolement of women/
and limited institutional capacity to address tas-s suc! as monitoring and enforcement#
Organi&ational 8utonomy F $!e issue of organi&ational autonomy !as been
discussed briefly aboe as it is strongly lin-ed to t!e goernance structure under
w!ic! t!e RBO operates# 4ac! of t!e cases mentions political influence at some
point as being detrimental to t!e functioning of t!e RBO# )oreoer, two cases
mentioned a strong central control oer t!e organi&ation#
Financial autonomy F 8part from t!e )8S2, eac! RBO suffers from limited
financial autonomy# 'f t!e c!allenges of water resources management are to be
addressed in t!ese basin intensie capital inestment flows are re"uired and funds
must be aailable for operation and maintenance# 8s long as t!ese financial
resources do not materiali&e eac! RBO will set its own priorities# $!is in turn
means t!at most li-ely enironmental management will be lac-ing as water for
t!e enironment is often gien less priority t!an ot!er water uses# 8gain, t!e
increase in financial autonomy will depend strongly on t!e enabling enironment
.and t!e opportunities t!at it proides and t!e limits t!at it imposes/#
- Performance and Capacity of River Basin Organizations -
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Community participation F 'n most cases community inolement was ery
limited# Specifically, t!e role of women in decision-ma-ing and management of
water resources was not addressed by any of t!e RBOs# 8lt!oug! t!e legal
framewor-s under w!ic! t!e RBOs operate fre"uently mention t!e re"uirement of
community inolement, few RBOs !ae actually implemented structures and
mec!anisms to inole sta-e!olders#
8s mentioned in t!e discussion aboe, t!e issue of organi&ational autonomy and financial
autonomy are li-ely most effectiely addressed by addressing t!e @enabling
enironmentA# $!e issue of community participation and specifically t!e inolement of
women in water management, !oweer, is somet!ing t!at can be addressed at t!e
organi&ational leel# Specifically, t!is inoles t!e establis!ment of institutional
mec!anisms t!roug! w!ic! sta-e!olders are inoled in decision-ma-ing processes in t!e
organi&ation#
E#G#C 5uman resources
$!e capacity gaps concerning !uman resources can subdiided in, on t!e one !and, t!e
"uantity of staff aailable for t!e RBO to underta-e its tas-s and, on t!e ot!er !and, t!e
e0pertise and s-ills t!at t!e aailable staff possess#
:# $!e number of staff - Some of t!e RBOs studied !ad only a small number of staff
wit! w!ic! t!ey could not possibly underta-e t!e tas-s and responsibilities
attributed to t!em# )uc! in t!is sense depends on t!e type of RBO and w!at
actiities are e0pected of it# 'n case t!e RBOAs actiities are limited to policy
deelopment and coordination of actiities, w!ilst leaing actual implementation
to ot!er organi&ations, s small number of staff would seem reasonable# 5oweer,
in t!ese cases t!e RBOs also !ad to underta-e operational actiities, for w!ic!
t!ey were not e"uipped# $!e result is t!at t!e RBO simply did not !ae sufficient
staff to manage water resources in a !olistic manner, resulting in t!e need to focus
on particular pressing problems#
2# $!e e0pertise and s-ills of staff F $!e field of water management !as traditionally
been t!e field of .water/ engineers, in w!ic! t!e organi&ation !ad a strong focus
on deeloping water infrastructure# $!e principles of '(R) .wit! its emp!asis on
an !olistic approac! to water management, sta-e!older inolement,
decentrali&ation and water as an economic good/ re"uire staff wit! bac-grounds
in ariety of disciplines as t!e paradigm of water management moes from a
deelopment-oriented paradigm to more !olistic management paradigm# 'n ot!er
words, t!e build up of t!ese organi&ations needs to s!ift from a predominantly
engineering organi&ation to a multi-disciplinary one representing t!e arious
disciplines t!at are re"uired for t!e implementation of '(R)# 'n t!is conte0t,
t!ere appeared to be a s!ortage of staff w!o are speciali&ed inB
a# Social issues including participatory goernance, gender and community
inolement6
b# <oernance and legal aspects of water management including monitoring
and enforcement of releant legislation and licenses, demand
management, etc#6 and
c# 4conomic aspects of '(R) .water pricing, economic incenties for water
conseration, etc#/#
- Performance and Capacity of River Basin Organizations -
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$!e capacity gaps in !uman resources are for t!e "uantity part largely dependent on
aailable funds and as suc! are strongly lin-ed to t!e leel of financial autonomy# 8s for
t!e "uality part, capacity building actiities will re"uire a ariety of approac!es# First of
all, t!e criteria and procedure for recruitment of staff is important as many RBOs still
faor !iring engineers instead of staff wit! a bac-ground in social and administratie
sciences or economics# $!is means sensiti&ing staff of t!e organi&ation to t!e importance
of !aing staff wit! a multi-disciplinary bac-ground as well possibly reiewing
recruitment policies .and possibly adancement%promotion policies, w!ic! may also
faor staff wit! a traditional engineering bac-ground/# Secondly, it re"uires ad9usting
e0isting training and deelopment possibilities to ensure t!at t!ey not only coer matters
of tec!nical water management .w!ic!, of course, does remain an important component
of water management/, but also include capacity building actiities focused on t!e topics
mentioned aboe# $!irdly, it re"uires @newA capacity building actiities to be deeloped to
address t!e growing need for capacity building on topics suc! participatory goernance,
sta-e!older inolement, water goernance, and economic aspects of '(R)#
<#< PRINCIPLES FOR THE DEVELOPMENT OF CAPACITY
BUILDING ACTIVITIES
8lt!oug! t!e deelopment of a detailed capacity building plan to address t!ese capacity
gaps is beyond t!e scope of t!is report, some principles on t!e basis of w!ic! suc! a
capacity building plan .and t!e ensuing capacity building actiities/ can be !ig!lig!ted#
$!e principles are based on t!e idea t!at capacity building actiities s!ould reac! a large
number of organi&ations world-wide as well as lead to sustainable capacity building
initiaties .w!ic! are fle0ible enoug! to address t!e needs of a specific time and location/
$!e proposed principles areB
Cost-effectieness F Capacity building actiities s!ould ad!ere to t!e principle of
cost-effectieness in t!at e0pensie training courses and programmes w!ic! sere
only a limited number of organi&ations or people are to be aoided# $!is means,
for e0ample, t!at increasingly use of web-based capacity building actiities is
suggested .rat!er t!an relying solely on relatiely e0pensie face-to-face
actiities/# 'nternational trael is e0pensie, and as suc!, s!ould be minimi&ed to
-ey capacity building actiities#
2ocally-drien and @ownedA F $!e comparatie study of t!e RBOs !as s!own t!at
t!e actual organi&ations for rier basin management are ery dierse# Similarly
t!e specific capacity needs for t!ese organi&ations, t!e enironment in w!ic! t!ey
operate and t!e staff t!at wor- t!ere, are also going to be different# Successfully
addressing t!ese needs re"uires capacity building actiities to be mainly @carriedA
by local organi&ations# $!is is bot! li-ely to improe t!e matc! between supply of
capacity building serices wit! t!e demand for capacity building actiities as well
as create local owners!ip of t!ese actiities# $!is also means t!at inolement of
@internationalA capacity building organi&ations s!ould strongly focus on
transferring capacity building s-ills and -nowledge to local organi&ations and
networ-s#
3se of e0isting capacity building infrastructure F 8s muc! as possible e0isting
capacity building networ-s and organi&ations s!ould be used, rat!er t!an
duplicating e0isting networ-s and organi&ations# $!e idea is to build on w!at
e0ists rat!er t!an start from scratc!#
- Performance and Capacity of River Basin Organizations -
C;
0
$!e principle of openness and accessibility F 8s mentioned in t!e section E#2,
access to and s!aring of -nowledge by indiiduals and groups are critical to
addressing water-related problems# $!is means t!at capacity building actiities
s!ould be based on a principle of openness and accessibility, meaning t!at as
muc! as possible capacity building materials are to be made aailable in t!e
public domain# $!is, for e0ample, means ma-ing accessible ideo-taped lectures,
-ey-notes, etc# as well as ma-e freely aailable te0t-boo-s, lecture notes, training
manuals, etc# 8lso t!e capacity building actiities s!ould be open to @newA
partners wis!ing to participate in t!ese actiities#
- Performance and Capacity of River Basin Organizations -
G0
0
REFERENCES
*ia&-*elgado, C#, Jelasco-C!ilpa, 8#, )an&ano, S#R#, Jilc!is, F#K# and 4steller, )#J# .200+/,
"tudy on t!e Performance and Capacity of (ational River Basin Organizations6 Case
"tudy Lerma-C!apala-"antiago River Basin, 3npublis!ed Report#
Fol&, *# .200G/, @Serice Suality and Benc!mar-ing t!e =erformance of )unicipal SericesA,
=ublic 8dministration Reiew, DG.2/B 20;-220#
5ooper, B#=# .200D/, 3ey Performance %ndicators of River Basin Organizations,
!ttpB%%www#iwr#usace#army#mil%inside%products%pub%iwrreports%200D-JS=-0:#pdf#
7aspers F#<#(#, .200C/, @'nstitutional 8rrangements for 'ntegrated Rier Basin )anagementA,
)ater Policy7 E .200C/, ++-;0#
2ane, 7# .2000/, (ew Pu,lic 'anagement, 2ondonB Routledge#
2ee, 7# .200+/, "tudy on Performance and Capacity of "ungai Langat River Basin Organization7
'alaysia, 3npublis!ed Report#
)a-in, 'an (#, Konne =# =ar-s and (outer 2in-laen 8rriens, .200G/, "upporting t!e
-evelopment and fficient River Basin Organizations in Asia$ A -iscussion of t!e
Application of Organizational Benc!marking approac!es$ =repared for a ,8RBO
Consultation (or-s!op Batu-)alang, 'ndonesia, 'nternational (ater )anagement 'nstitute#
)ow9ood, )#'#)#, ,a9im, )#)#)#, 7ayasing!e, 7#8#S#8# and =rema-umara, 5#5#= .200+/, "tudy
on t!e Performance and Capacity of (ational River Basin Organizations6 'a!aweli
Aut!ority of "ri Lanka7 3npublis!ed Report#
)olle, F# .200C/, -evelopment #ra8ectories of River Basins6 A Conceptual Framework, Researc!
Report +2, ColomboB 'nternational (ater )anagement 'nstitute#
,dirangu, (# .200+/, "tudy on t!e Performance and Capacity of River Basin Organizations6
Case "tudy of #ana River Basin7 3enya, 3npublis!ed Report#
Radoseic!, <#4# and Olson, *# .:;;;/, +isting and merging Basin Arrangements in Asia6
'ekong River Commission Case "tudy, $!ird (or-s!op on Rier Basin 'nstitution
*eelopment 7une 2G, :;;;, (as!ington *#C#B (orld Ban-#
S!a!, $#, )a-in, '# and Sa-t!iadiel, R# .200:/, @2imits to 2eapfroggingB 'ssues in $ransposing
Successful Rier Basin )anagement 'nstitutions in t!e *eeloping (orldA, 'nB 8bernet!y,
C# .ed#/, %ntersectoral 'anagement of River Basins, ColomboB 'nternational (ater
)anagement 'nstitute#
Sendsen, )#, (ester, =# and )olle, F# .200E/, @)anaging Rier BasinsB an 'nstitutional
=erspectieA, 'nB Sendsen, )# .ed#/, %rrigation and River Basin 'anagement6 Options for
9overnance and %nstitutions, ColomboB C8B' =ublis!ing#
=ollitt, C# and Bouc-aert, <# .200G/, Pu,lic 'anagement Reform6 A Comparative Analysis,
O0fordB O0ford 3niersity =ress#
- Performance and Capacity of River Basin Organizations -
G:
= ANNE? "& MAHAWELI GANGA RIVER BASIN;
SRI LAN8A
=#" RIVER BASIN OVERVIEW
$!e )a!aweli <anga .Rier/ is t!e longest and largest Rier basin wit! t!e catc!ment
area of :0,GG8 -m
2
.:EH of t!e land area of t!e country/ and a total lengt! of CCE -m#
$!e annual flow of t!e )a!aweli <anga is :+,+:+ )C)# $!erefore, )a!aweli is
considered as t!e focal point for t!e deelopment of t!e country# $!e )a!aweli basin
coers land area across fie proinces, nine districts and fifty-seen diisional secretary
diisions wit! an aerage population of 2#8 million t!at represents :EH of t!e countryAs
population# 't is noted t!at any of t!e administratie boundaries are do not coincide wit!
t!e rier basin or sub basin boundaries# $!e )a!aweli also fed ad9acent rier basins
t!roug! tunnels and canals t!at !ae resoled ma9or water scarcity issues relating to
irrigation w!ile addressing domestic water supply demands to a limited e0tent# *ierted
water is temporarily stored in e0isting ancient reseroirs before distributed among
farmlands
$!e )a!aweli 8ut!ority of Sri 2an-a was establis!ed by 8ct no# 2C of =arliament in
:;+;# $!e main tas- of t!e )8S2 is t!e planning and implementation of t!e )a!aweli
*eelopment Sc!eme, w!ic! include construction, operation and maintenance of
reseroirs, dams, canals, and drainage systems and ot!er infrastructure#
(ater use in t!e basin is focussed strongly around irrigation and !ydropower generation#
$!e main water user group can t!erefore be found in farmers# 8s t!e main user group
farmers !ae united in so called Farmer Organi&ations .FOs/, w!ic! can be considered a
main sta-e!older in decisions made regarding t!e management of water resources#
- Performance and Capacity of River Basin Organizations -
G2
Catchment Area: 10,448 km
Population: 2,800,000
Population growth: -
Mean annual rainfall: 12502000 mm
RBO: MASL Mahaweli Authority of Sri Lanka
Main water use:
Irriation, !y"ro#$ower eneration, %ota&le
water 'u$$ly
2
D#:#: =roblems e0perienced in t!e basin
Below an oeriew of t!e general problems in t!e basin regions can be found#
'n t!e upper waters!ed areasB
'mproper deforestation and reforestation
2andslides
(ater pollution due to eutrop!ication resulting from agricultural practices
4ncroac!ment of rier reseration#
'n t!e lower waters!ed areas4
(ater s!ortages
'ne"uity of water supply
Salini&ation
*eforestation
=oor on farm and groundwater water management practices#
2and degradation and decrease in soil fertility#
40traction of water from irrigation diersions for ot!er purposes suc! as
domestic water supplies#
Cultiation of e0cessie e0tents of lands t!an permittedB 2ands encroac!ment
and cultiation leading to s!ortages of water for tail end farmers#
=olitical interention on decision ma-ing, implementation as well as on
farmer organi&ation actiities#
3ser specific and institution specific 8cts, Ordinances and By 2aws lead to
confusion between rules and regulations of different institutions dealing wit!
water recourse deelopment and management
=#% RIVER BASIN ORGANIZATION
$!e )a!aweli <anga *eelopment =rogramme .)<*=/, originally planned for t!e
implementation oer a C0-year period and a part of t!e plan was broug!t to acceleration
in :;+;# 't comprised fie ma9or reseroirs for irrigation and !ydropower, about E0,000
!a of new land and about 2E0,000 !a of e0isting paddy land under irrigated agriculture in
bot! )a!a and Kala seasons as a ma9or political decision of t!e goernment w!ic! came
to power in :;++, and completed t!e pro9ect wit!in :2 years# $!is was prompted toB
increase in agricultural production proiding irrigation facilities to dry &one,
increase in !ydro-power generation,
flood control,
generation of employment opportunities and
settlement of displaced and landless families
p!ysical and social infrastructure for !uman !abitation, mar-eting facilities
for agricultural produce and social facilities for educational, recreational,
!ealt!, cultural and religious purposes#
$o carry out t!ese tas-s t!e )a!aweli 8ut!ority of Sri 2an-a .)8S2/ was establis!ed#
- Performance and Capacity of River Basin Organizations -
GC
2
2
D#2#: )8S2
$!e )a!aweli 8u!ority of Sri 2an-a was establis!ed by 8ct no# 2C of =arliament in
:;+;, !encefort! -nown as t!e )a!aweli 8ct# $!e main tas- of t!e )8S2 is t!e
planning and implementation of t!e )a!aweli *eelopment Sc!eme, w!ic! include
construction, operation and maintenance of reseroirs, dams, canals, and drainage
systems and ot!er infrastructure#
$!e )8S2 act !as wide range of powers to ensure t!at t!e )<*= is implemented
wit!out any !indrance# $!e functions of t!e )8S2% )inistry of )a!aweli *eelopment
includeB
Formulation of policy framewor-
Formulation of a macro-organi&ational framewor-,
Ratification of policies at !ig!er leels,
4aluation of pro9ect proposals
4aluation and obtaining t!e approal of planning bodies and inter ministerial
bodies wit! regard to foreign funds or e0pertise
8ccountability to t!e parliament wit! regard to financial matters#
*eelopment of water and land resources in seeral special areas in t!e )a!aweli basin
and ad9acent basins !as been underta-en by )8S2# 't !as sered as a management and
deelopment agency catering to water deliery serices to ma9ority of t!e water users
located in ma9or irrigation systems, w!ile following integrated approac!es for
socioeconomic deelopment of t!e settler population#
)a9or responsibilities of t!e )8S2 areB
=lan and 'mplementation of t!e )a!aweli *eelopment Sc!emeB
*eelopment of water resources in )a!aweli and ad9acent basins
'ntegrated deelopment of amongst ot!ers t!e agricultural sector
(ater allocation for irrigation, !ydropower and drin-ing
Follow participatory approac!es for decision-ma-ing and real time
management of water resources in )a!aweli areas#
)onitor sedimentation leels in t!e reseroirs#
D#2#2 Sta-e!olders
$!e farmer participation in irrigation water management is carried out at t!ree leels,
field canal, * canal and bloc- leel# =re-cultiation meeting is attended by Residential
=ro9ect )anager .R=)/, *eputy Residential =ro9ect )anagers .*R=)/, 'rrigation
4ngineers, 8griculture Officers and Farmer Organi&ation representaties from eac!
bloc-# 'n t!is meeting, water aailability, crop types and e0tents to be cultiated,
estimate on water re"uirement and repair and maintenance wor-s of canals are discussed#
$!e water panel meeting is attended by many sta-e!olders# Out of ::: participants
attended 200D%200+ meeting, 2G were farmer representaties .22H/# 5oweer, t!e water
users from domestic and ot!er sectors are not represented in t!ese meetings# $!e second
!ig!est participation is R=)s .:+H/ w!o are ery closely dealing wit! farmers# $!irteen
institutions were participated in t!is meeting#
- Performance and Capacity of River Basin Organizations -
GG
$!e t!ird leel of sta-e!older participation is at t!e cultiation meeting w!ere t!e
decisions from water panel meeting are informed to farmers prior to cultiation# $!is
meeting is attended by Residential =ro9ect )anager, *eputy Residential =ro9ect
)anagers .*R=)/, 'rrigation 4ngineers, 8griculture Officers and Farmer Organi&ation
representaties from eac! bloc-# 'n t!is meeting, crop types, crop periods and crop
e0tents are finali&ed#
Current FO members are only a portion of t!e actual water users# 8lt!oug! some water
users cannot formally become members of t!e FO since t!ey are not landowners, t!ey do
attend FO meetings because information from t!ese meetings is needed for farming#
D#2#C Financing
$!e finances for water resources deelopment is mobili&ed mainly t!roug! goernment
and donor agencies w!ile operation and maintenance costs are borne by goernment as
well as t!e water users#
'n re!abilitation of irrigation programmes, a part of t!e costs up to :0H to 20H is borne
by t!e farmers, depending on t!e nature of t!e wor- inoled# 'n many instances water
users contribute in -ind .labour contribution/ in re!abilitation, operation and maintenance
of irrigation canals at tertiary leel#
$!e annual budget and e0penditures of t!e )8S2 from :;;0 to 200E, s!ow t!at annual
budgets !ae always fully coered annual e0penses# Capital e0penditure !as increased
from :;;8 to 200: w!ile t!e recurrent e0penditure is stable during t!e period#
=#2 PERFORMANCE
$!e )8S2 is mandated to deelop water resources in )a!aweli or any ot!er rier for
deelopment of special areas wit! ade"uate legal framewor-# $!e )8S2 can ta-e oer
all t!e responsibilities on water and land in any areas t!roug! ga&ette notification#
Coordinating mec!anism of )8S2 is super-imposed on t!e administratie mec!anisms
.local aut!orities/ to ac!iee t!e )<*= goals# 5oweer, at present conte0t, it is difficult
to implement t!e power ested on )8S2 due to amendments of t!e arious acts t!at
made confusion, duplication and inaction in enabling enironment for water resource
management in Sri 2an-a#
D#C#: =erformance of )8S2
$!e )8S2 does not c!arge for water from farmers under )8S2 systems# $!e )8S2
receies budgetary allocations for its pro9ect implementations, operations and
managements from t!e goernment# $!erefore, t!e direct economic efficiency of t!e
)8S2 cannot be ealuated# $!e oer all cost-benefit of t!e )a!aweli system up to 200E
is gien in $able D#: below# Considering t!e indirect benefits to t!e country as power
generation and yields from paddy and ot!er field crops from t!e )a!aweli pro9ect areas
t!e total benefit is about C times !ig!er t!an t!e capital inestment# $!e non-alued
benefits are not included in t!e table#
- Performance and Capacity of River Basin Organizations -
GE
2
2
Table =#"& Co! an0 bene@! +( o en0 of %AA<
Category Cost or Benefit
;Rs. Billion<
Investments
Capital .including (alawe pro9ect/ 8D
Benefits
$otal 282
=ower :C:
=addy :0E
OFC GD
=#9 CONCLUSION
Based on t!e aboe t!e most urgent capacity needs for '(R) across t!e )a!aweli
<anga rier basin can be summari&ed as followsB
5uman resources and funding for facilitating and coordinating for t!e
formulation of a national water policy
5uman resources and funding for improed cooperation between agencies and
sta-e!olders
5uman resources to strengt!en and implement t!e institutional framewor-
<reater awareness and training on different aspects of '(R) amongst t!e
)8S2 staff
<reater awareness and training on different aspects of '(R) amongst
politicians and goernment officials
$raining and greater awareness amongst water users .in particular farmers and
t!e public/
- Performance and Capacity of River Basin Organizations -
GD
B ANNE? %& SUNGAI LANGAT RIVER BASIN;
MALAYSIA
B#" RIVER BASIN OVERVIEW
$!e Sungai 2angat Rier Basin, located in t!e state of Selangor, )alaysia !as a
catc!ment area of about 2CE0 s"#-m and is about 200 -m long# 8bout :8EG s"# -m of t!e
basin occupies t!e sout!ern parts of Selangor and about GE0 s"# -m of t!e basin lies in t!e
- Performance and Capacity of River Basin Organizations -
Catchment Area: 2(50 km
Population: )51800 *e't+,
Population growth: -+.5/
Mean annual rainfall: 1800#
(000 mm
RBO: L0AS # Lem&aa 0ru' Air
Selanor 1 2he Selanor 3ater'
Manaement Authority
Main water use: $ota&le water
'u$$ly *$rimary,,
tran'$ort1na4iation 5
a6ua7ulture *'e7on"ary,
G+
7
western parts of ,egeri Sembilan, wit! G: s"#-m coering =utra9aya and E s"# -m
coering 1uala 2umpur#
't is t!e primary source of water supply for t!e residents in t!e basin# 8s a result of
serious droug!t in :;;8 t!e state recognised t!e importance of '(R) and t!us enacted
t!e Selangor (ater )anagement 8ut!ority 4nactment in :;;;# $!is aut!ority locally
-nown as 238S .2embaga 3rus 8ir Selangor/ !as wide ranging powers to protect,
regulate and manage t!e water resources in a rier basin and ensure its efficient
utilisation#
$!e Sungai 2angat Rier Basin coers t!ree important administratie units# $!ey are t!e
State of Selangor, t!e State of ,egeri Sembilan and t!e Federal $erritory of =utra9aya# 't
is one of t!e four ma9or rier systems in Selangor# *ue to t!e location of bot! t!e
commercial capital .1uala 2umpur/ and t!e federal administratie capital .=utra9aya/
wit!in t!e catc!ment area, t!e e0periences and problems related to water management in
t!e basin area in particular, and Selangor in general, can be considered a !arbinger of
w!at t!e ot!er rier basins in t!e country will e0perience as t!e country deelops#
(ater use of t!e Sungai 2angat consists primarily of t!e proision of drin-ing water for
t!e population of t!e basin area, 1uala 2umpur and t!e ad9acent rier basins# *rin-ing
water is primarily abstracted from surface water6 !oweer a small amount of water from
a"uifers is supplemented to support supply for drin-ing water and industry# *emand for
drin-ing water amounts to appro0imately :+H of t!e daily aailable amount of rier
water aailable for abstraction# 4ig!t water treatment plants in t!e region owned by 2
drin-ing water companies proide t!e re"uired serices# =unca- ,iaga Sdn B!d owns +
of t!e 8 drin-ing water treatment plants and can be considered t!e main water user in t!e
basin# Ot!er forms of water use can be found in naigation, a"uaculture actiities at t!e
rier mout!, and industry#
+#:#: =roblems e0perienced in t!e basin
8 200G study conducted by t!e )alaysian *epartment of 'rrigation and *rainage
identified t!e following ma9or rier basin management issues in t!e Sungai 2angat rier
basin#
Rapid increase in basin population
'ntensie land deelopment
Rapid loss of forests
$!reat to biodiersity
'ncreased pollution and deterioration of rier water "uality
'ncreased fre"uency of floods
2imited water resources
'ncreased catc!ment erosion
$!reats to riparian lands
'nade"uate enironmental flows
- Performance and Capacity of River Basin Organizations -
G8
7
B#% RIVER BASIN ORGANIZATION
8bout +8H of t!e Sungai 2angat rier basin lies in t!e state of Selangor wit! about :;H
in t!e state of ,egri Sembilan# $!e Federal Constitution !as gien eac! state t!e rig!t to
manage t!eir land and water resources wit!in it# $!is ma-es t!e Sungai 2angat rier
basin a transboundary rier basin and t!ere is a need for t!e 2 states and t!e federal
goernment to wor- toget!er to manage t!e rier basin and its water resources#
Because of t!is t!ere is a need for policies and laws t!at coer bot! states at t!e basin
leel# $!ese are not present at t!e moment# 5oweer, wit!in t!e state of Selangor, t!e
Selangor (aters )anagement 8ut!ority .S()8/ 4nactment .:;;;/ !as been establis!ed
to support '(R) and rier basin management# $!e S()8 4nactment is t!e main legal
e!icle t!at goerns t!e implementation of '(R) for t!e basin# $!e 4nactment !as been
enforced and t!e 8ut!ority, locally -nown as 238S, !as been created# 'ts 9urisdiction
only coers t!e ma9or part of t!e basin t!at lies wit!in t!e state of Selangor#
+#2#: 238S
Formally created in :;;;, 238S .2embaga 3rus 8ir Selangor/ became operational on
8ugust :
st
2000 as t!e result of seere droug!t problems in :;;8# 238S currently
employs a total staff of CE6 only :8H percent of t!e pro9ected 200 re"uired to be fully
operational# $!e agency is a state statutory body, goerned by a board of directors c!aired
by t!e C!ief )inister of Selangor w!o superise a director and deputy director# $!e
director superises t!e E main diisions and t!e deputy director superises t!e G regional
offices# 238S supports -and is supported by- arious goernment agencies in carrying
out its responsibilities#
+#2#2 Supporting organi&ations
$!e present administration of t!e areas wit!in t!e Sungai 2angat rier basin is
underta-en by arious agencies along t!e lines of administratie boundaries and t!ese
boundaries do not coincide wit! t!e boundaries of t!e rier basin# 8 "uic- oeriew can
be found below#
8llocation of water and monitoring of use - 238S
Rier management F responsi,ility by State *epartment of 'rrigation and
*rainage, enforcement by 238S
Control of rier pollution F responsi,ility by state *epartment of
4nironment .*O4/, enforcement by 238S and *O4, advised by (or-ing
<roup Committee for Controlling =ollution
<roundwater management F 238S, supported by State *epartment of
)inerals and <eoscience .*)</
2anduse planning F State *epartment of $own and Country =lanning
.*$C=/
8dditionally t!ree 8d-5oc committees !ae been set-up to assist 238S in basin
management particularly regarding t!e pollution problems t!e basin faces due to
increased urbani&ation in t!e basin#
Sungai 2angat Rier Basin )anagement committee
- Performance and Capacity of River Basin Organizations -
G;
7
(or-ing group committee for pollution control in t!e Sungai 2angat rier
basin
4mergency committee for pollution of water resources and monitoring of
treated water
*ue to t!e management structure presented aboe t!e political enironment !as a ery
strong influence on t!e organi&ations responsible for t!e management of t!e rier basin#
$!e appointments to t!e top management of all t!e state-leel organi&ations are made by
t!e state e0ecutie aut!orities, and in t!e case of t!e state branc!es of t!e federal
departments t!e endorsement of t!e state e0ecutie aut!orities is re"uired# *ue to t!e
strong state presence in water policy and planning, sta-e!older participation in decision-
ma-ing is limited#
+#2#C Sta-e!olders
Sta-e!older inolement in t!e management of t!e rier basin is limited# $!e two main
water usersB =unca- ,iaga Sdn B!d and 1onsortium 8B8SS, t!e two water treatment
companies in t!e area !ae representatie functions wit!in t!e t!ree supporting
committees# 8dditionally t!e following regulations are in place# $!eir effectieness in
allowing sta-e!olders to participate in decision-ma-ing procedures can !oweer be
disputed#
$!e *O4 re"uires 4nironmental 'mpact 8ssessment .4'8/ to be carried
out for prescribed pro9ects# 8s part of its 4'8 Study <uidelines t!e *O4
re"uires pro9ect proponents to conduct >some form? of public participation
as part of t!e 4'8 study# 5oweer, because t!e <uidelines do not specify t!e
appropriate mec!anism for t!e sta-e!older participation t!e <uidelines are
ineffectie in ensuring t!eir participation#
$!e *epartment of $own and Country =lanning deelops state structure and
district local landuse plans# 8s part of t!e deelopment process public
participation is re"uired in t!e form of public iewing and written comments
on t!e plans# $!e planning agency and ot!er related goernment agencies
may inite and !ear t!e persons giing suc! comments but t!ey !ae no
obligations to act beyond t!at#
+#2#G Financing
Currently, eac! of t!e sectoral organi&ations responsible for t!e management of t!e rier
basin gets its annual budget from t!eir respectie state and federal goernments# For state
departments t!at are branc!es of federal departments it is possible for federal funds to be
allocated for specific pro9ects in t!e state# $!e 238S 4nactment allows 238S to set-up a
fund to collect fees from its regulatory actiities to finance its operations# 238S !as set-
up suc! a fund but actual use of t!e Fund for 238SAs operations !as not been
implemented yet#
- Performance and Capacity of River Basin Organizations -
E0
7
B#2 PERFORMANCE ASSESSMENT
Regarding t!e performance of rier basin management at t!e Sungai 2angat basin leel
t!e following can be saidB
=ositie aspects
$!e management structure effectiely brings toget!er all releant sectoral
goernment agencies and t!e main water user in t!e basin .drin-ing water
proider/ to coordinate rier basin planning and policy implementation
8spects to be improedB
$!e current management structure is strongly formed around goernment
agencies .>goernment-centric?/ and t!us does not fully reflect t!e
principles of '(R)
=articipation of sta-e!olders is not institutionali&ed .not embedded in t!e
current committee structure/
$!e current management structure does not allow for direct sta-e!older
participation at t!e rier basin co-ordination leel
+#C#: =riority (ater )anagement Capacity ,eeds
Based on t!e aboe t!e most urgent capacity needs for '(R) across t!e Sungai 2angat
rier basin can be summari&ed as followsB
<reater awareness of t!e importance of t!e principles of '(R) among
politicians and goernment officials toB
o 4n!ance t!eir understanding of 238SA role in ac!ieing t!e
ob9ecties of '(R) and t!us increase t!e effectieness of t!eir
collaborations wit! 238S in ac!ieing t!e ob9ecties of '(R)#
o 4n!ance t!eir understanding regarding sta-e!older consultation in
decision-ma-ing processes and t!e oerall need for sta-e!older
participation#
Recruitment of enoug! 2egal and 4nforcement officers for 238S
2egal and enforcement training for 238S tec!nical officers so t!at t!ey
can assist in carrying out t!e enforcement duties more effectiely#
+#C#2 =erformance of 238S
$!e following factors constrain 238S to perform to t!e desired leelB
na,ling nvironment
*ue to budget constraints 238S is not yet fully operational# 8dditional funding is
re"uired to !ire consultants to deelop monitoring guidelines and enforcement rules as
re"uired by t!e 238S 4nactment# (it!in t!e limited financial and !uman resources
aailable, t!e 238S tries to address t!e problems in order of priority along t!e ma9or
water issue in t!e basin, i#e# water pollution#
%nstitutional Pro,lem
- Performance and Capacity of River Basin Organizations -
E:
7
238SA finances are currently not regulated as intended by t!e 238S enactment# $!e
238S enactment allows for t!e set-up and operation of an independent fund for 238S,
wit! a budget t!at is to be annually approed by t!e State <oernment# 5oweer at t!is
point, een t!oug! 238S !as set-up t!e fund, it is not allowed to operate it# 'nstead, it is
re"uired to operate wit! a state controlled annual budget and does not !ae access to
finances ac"uired from its licensing actiities# ,onet!eless, currently t!e total reenue
collected from its annual licensing actiities e0ceeds its annual operational budget#
"taff competency
$!e aerage staff e0perience is less t!an :0 years in t!e professional field# 40pertise
depends largely on a few !ig!ly trained senior professionals on loan from ot!er
goernment agencies# 4en t!oug! on-t!e-9ob training and training courses are offered
t!e relatiely young wor- force affects staff competency#
B#9 CONCLUSION
From t!e analysis of 238SA performance it can be concluded t!at 238S is partially
effectie due to t!e constraints of limited financial and !uman resources# 5oweer,
despite its limitations it was able to put in place a management framewor- t!at gets all
t!e releant goernment agencies to wor- toget!er wit! =unca- ,iaga Sdn B!d, to
address t!e water pollution t!reat due to increased urbanisation of t!e basin# 238S !as
also been identified to be "uite an efficient organisation since it is able to collect enoug!
money from its licensing actiities to pay for its annual operational oer!eads#
$o furt!er en!ance 'RB) practices in t!e Sungai 2angat rier basin t!e following policy
recommendations !ae been madeB
.a/ =olicy F $!e State <oernment s!ould address t!e financial and !uman resources
constraints t!at 238S is currently facing by allowing 238S to operate
independently wit! its own fund# 't s!ould allow 238S to collect t!e reenues
from t!e licensing of water abstractions by t!e C water treatment concessionaires
in t!e state and re"uire 238S to plan and operate an annual budget based on t!e
reenues t!at it collects in its Fund#
.b/ 'nstitutional F 238S s!ould address t!e ma9or wea-ness in its institutional
framewor-B t!e lac- of e0plicit participation from non-goernment and ciil
sta-e!olders in its management of t!e basin# $!is can be initiated, by initing
representaties from t!e enironmental ,<Os and resident associations to be
members of its Rier Basin )anagement and (or-ing <roup Committees#
.c/ 2egal F 'f after initiation t!e public participation in decision-ma-ing proes to be
effectie and improe oerall basin management, t!e 238S 4nactment s!ould be
amended in t!e future to ma-e t!e participation of t!e non-goernment and ciil
society sector e0plicit#
.d/ Capacity Building ,eeds F $!e most urgent capacity building needs !ae been
identified to be as followsB
- Performance and Capacity of River Basin Organizations -
E2
7
<reater awareness of t!e importance of t!e principles of '(R) among
politicians and goernment officers# $!is will en!ance t!eir understanding
of 238SN role in ac!ieing t!e ob9ecties of '(R) and t!us increase t!e
effectieness of t!eir collaborations wit! 238S in ac!ieing t!e
ob9ecties of '(R)#
2egal and enforcement training for 238S tec!nical officers so t!at t!ey
can assist in carrying out t!e enforcement duties t!at is now ery lac-ing#
.e/ $raining F $!e following training actiities !ae been proposed to increase t!e
performance capacity of 238S e0isting staff, t!e politicians and officers from t!e
related goernment agencies wor-ing wit! 238SB
<eneral '(R) 8wareness Seminars and Courses
(or-s!ops on 'mplementation of '(R) in Sungai 2angat Rier Basin
Seminars on t!e 2egal proisions in t!e 238S 4nactment .:;;;/
(or-s!ops on 'mplementation of 238S 4nactment .:;;;/
- Performance and Capacity of River Basin Organizations -
EC
C ANNE? 2& TANA RIVER BASIN; 8ENYA
C#" RIVER BASIN OVERVIEW
$!e $ana Rier drain from t!e Central 1enya !ig!lands t!roug! a dierse enironment
ranging alpine egetation in t!e mountainous upper catc!ment to semi-arid climate at
middle course and finally t!e mangroe and plains of t!e 1enyan coast before draining to
'ndian Ocean# 'n total, $ana Rier, t!e main rier in 1enya, is 800 -m long in a drainage
area of :2D,000 -m
2
and a population D#: million people and pro9ected to +#: million in
20:2# $!e Catc!ment 8rea -ey actiity designation include agriculturalist liing on t!e
upper parts of t!e region and t!e pastoralists liing on t!e lower parts of t!e region, but
t!e basin is !ost to seeral !ydro-electric power generating plants and irrigation pro9ects
and includes protected and ga&etted areas w!ic! include four ,ational =ar-s and eig!t
<ame Reseres# $!e ma9or ones being t!e 8berdares Forest, )t# 1enya Forest, )eru
,ational =ar-, $sao 4ast ,ational =ar-# $ana rier and its tributaries supplies domestic
and industrial water to seeral urban centres including t!e C million residents of ,airobi,
1enyaAs administratie and commercial capital#
$!e $ana Basin (ater Resources )anagement 8ut!ority is one of si0 catc!ment
organi&ations responsible for management allocation and protection of water resources in
1enya# $!e $ana (R)8 became operational in 7uly 200D and operates under t!e
national (ater Resources )anagement 8ut!ority, w!ic! became operational in 200E#
- Performance and Capacity of River Basin Organizations -
EG
Catchment Area: 12.,000 km
Population: .,100,000 *e't+,
Population growth: 1+)/
*e't+,
Mean annual rainfall: .-)mm
*a4erae, &ut minima of
(00mm
RBO: 2ana#38MA
Main water use: !y"ro$ower
eneration, Irriation, 9rinkin
water an" 'anitation
8
(ater aailability in t!e $ana catc!ment area !as been on t!e decline oer t!e years# $!is
!as been caused primarily by unmatc!ed population growt! to t!e water aailable# 'n
:;D2 t!e population in $ana was about :#E million6 in 200D t!e estimated population is
about D#: millions# $!e water aailability per capita today in $ana is estimated at D::
m
C
%capita# 8nd if t!e trend continues, t!is will furt!er decline to E20 m
C
%capita by 20:0,
far below t!e recommended alue of oer :000 m
C
per capita per annum# 2ocally, wit!in
t!e $ana catc!ment t!ere are wide disparities in time and space from t!e !ig!lands to t!e
lowlands#
1ey water users in t!is area include $ana and 8t!i Riers *eelopment 8ut!ority
.$8R*8/, 1enya 4lectricity <enerating Company .1en<en/, ,airobi water and
Sanitation Company, ,ational 'rrigation Board, ,airobi water and Sanitation Company,
*el )onte .priate irrigation/ and arious ot!er water serice proiders# $!e leading four
users account for appro0imately +EH of t!e abstraction in t!e basin#
8#:#: =roblems e0perienced in t!e basin
=roblems e0perienced in t!e $ana Rier Basin can be roug!ly bro-en down to t!ree
sections of t!e $ana Rier# $!e main issues may be summarised as below#
3pper $ana6
(ater "uality .fluoride too !ig!/ F !ealt! issue#
=otential oer-abstraction
Catc!ment degradation from land use c!anges t!at may affect rec!arge,
stream flow and water "uality deterioration#
Soil erosion
)iddle $ana6
(ater scarcity#
Seasonal ariation
(ater "uality including salinity
(ater resources conflict
2ower $ana
(ater scarcity#
(ater "uality in particular salinity#
Flooding#
2imited groundwater storage#
=ollution from sewerage and pit latrines
Ris- of oer-abstraction
4nironmental conseration
C#% RIVER BASIN ORGANIZATION
$!e water sector management in 1enya is diided into two6 t!e water resources
management and water serices management# $!e water serice proision in regulated by
t!e (ater Serices Regulatory Board .(SRB/ at t!e national leel, w!ile at t!e
catc!ments leel t!e responsibilities are delegated to t!e (ater Serice Boards, are
- Performance and Capacity of River Basin Organizations -
EE
8
mandated by law to deelopment of water serices infrastructure and proide water
serices t!roug! t!e direct serices proider or (ater Serices =roiders .(S=s/ as t!e
are legally -nown#
$!e (ater Resources )anagement 8ut!ority .(R)8/ is an autonomous body destined
to manage, protect and consere t!e water resources# $!e organi&ation operations are
decentralised to t!e catc!ments to en!ance resolution of water resources management
issues and public participation# (R)8 is c!arged wit! ensuring rational and e"uitable
allocation of water resources to reduce conflicts oer access to resources# 3nli-e t!e case
for water serice proision, t!e catc!ment organisations for water resources management
are not autonomous from t!e national office, but only e0ercise delegated mandate by t!e
management direction of t!e national office#
$!e ersatility of managing water along water drainages was realised early and in :;+G
t!e $ana Rier Basin *eelopment 8ut!ority was establis!ed as a regional deelopment
aut!ority wit! a mandate to regulate, allocate water resources but also to deelop and
e0ploit land and water resources# 2ater on t!e statutes creating t!is organisation was
amended to allow it to manage t!e ad9acent 8t!i rier basin and subse"uently it became
-nown as $ana and 8t!i Riers *eelopment 8ut!ority .$8R*8/# By t!e mid 80As t!e
regional deelopment aut!orities based on rier or la-e drainage areas !ad been
establis!ed to coer t!e w!ole country# $!ese organisations continue to operate to-date
albeit on reised mandate for water resources use and management#
8#2#: $ana-(R)8
$!e $ana Basin (ater Resources )anagement 8ut!ority .$ana (R)8/ is one of t!e si0
catc!ment organisations responsible for management, allocation and protection of water
resources in 1enya, eac! of t!em wit! a 9urisdiction based on t!e drainage pattern# $!e
$ana Basin (ater Resources )anagement 8ut!ority li-e all ot!er regional offices of
(R)8 !as an adisory body called Catc!ment 8reas 8disory Committees .C88Cs/,
constituted of representatie of users, goernment and ot!er ma9or water users, ciil
society and professional adisors# 't must be clarified t!at t!e C88C is not a decision-
ma-ing organ but an adisory body# $!e users of water in t!e basin are encouraged to
form (ater Resources 3sers 8ssociations .(R38s/ as a platform for participation and
dialogue between users and regulator# 'ndeed, (R)8 !as actiely facilitated t!e
formation of (R38s# By mid 200+, t!ere were GE registered (R38s in t!e $ana basin
mainly at t!e sub-catc!ment leel or lesser coerage areas
$!e $ana and 8t!i Rier deelopment 8ut!ority .$8R*8/ t!e most important and
significant water user wit!in t!e basin is establis!ed by an act of parliament to underta-e
deelopment and conseration t!e water resources and t!e rier catc!ment in general#
'nitially $8R*8 was responsible for a wide scope including water resources planning
and adising on allocation# 8t least t!e concept of integrating sector needs in water
resources planning and deelopment !ad been appreciated from a muc! earlier date# 't
may be considered t!at $8R*8 laid t!e conceptual basis of '(R) was laid alt!oug! t!e
understanding of t!e leel of play, wit! clarity of issues and re"uisite capacity to deal
wit! t!e planning and management remained elusie#
- Performance and Capacity of River Basin Organizations -
ED
8
$!e national (ater Resources )anagement 8ut!ority .(R)8/ office was establis!ed as
a corporate body in ,oember 200C pursuant to t!e (ater 8ct 2002 and became
operational in 7uly 200E under t!e direction of an independent board# 5oweer, t!e board
comprising of eleen members is appointed by t!e political leaders!ip# $!e mandates of
(R)8 includeB
=lanning, management, protection and conseration of water resources#
=lanning, allocation, apportionment, assessment and monitoring of water
resources#
'ssuance of water permits#
(ater rig!ts and enforcement of permit conditions#
Regulation of conseration and abstraction structures#
Catc!ment and water "uality management#
Regulation and control of water use
Coordination of t!e '(R) =lan#
8t t!e basin leel t!e e0ercise of t!is mandate delegated t!e regional offices at respectie
basins# $!e regional office for t!e $ana Rier basin become operational in 7uly 200D and
!ead"uartered at 4mbu town in t!e 3pper $ana Basin# $!e Fig E s!ows t!e coerage of
t!e $ana basin area is-T-is t!e ot!er regional areas for water resources management#
<enerally spea-ing, $ana-(R)8 is still at t!e infancy of t!eir establis!ment and a lot
t!erefore will be learnt also from e0amining t!e operations of $8R*8, w!ic! to some
e0tent can be describe as predecessor of $ana-(R)8#
8#2#2 Sta-e!olders
$!e participation of sta-e!older and t!e large public is proided for in t!e law# 'n t!is
regard, Catc!ment 8disory Committees .C88C/ !as been formed to adise t!e $ana
(R)8 on mater of apportionment and conseration of water resources# $!e C88C
draws representation from t!e line ministries, $8R*8, Coast *eelopment 8ut!ority
.C*8/, farmers and pastoralist communities, business people and ,<Os# 8lt!oug! t!e
C88C sere as a good point for negotiating t!e interest of t!e arious group and
mapping a common approac!, t!eir mandate is purely !as is purely adisory# 4idently,
t!e C88Cs members would rat!er t!eir mandate e0tended beyond t!e adisory role# $!is
latter iew !as been a cause of discomfort between t!e $ana (R)8 and C88C# $!e
ot!er s!ortcoming of C88C arising from t!e fact t!at t!e members!ip to t!e committee
is determined by political leaders!ip, as a result t!ere are instances w!en some, members
t!oug! wit! some roots to t!e basin, lie in a different locality, possibly limiting t!eir
ability to decip!er most pressing problems affecting t!e basin users#
8t t!e local leel (ater Resources 3ser 8ssociations .(R38s/ !ae been establis!ed to
ensure t!at water users participate in decision-ma-ing concerning management of water
resources in sub-catc!ment areas# $!e (R38s are iewed as important aenue for
preention of conflicts oer water# $ana (R)8 !as played a proactie and facilitatie
role in t!e establis!ment of (R38s# $!oug! t!ere are ot!er (R38s t!at !ae come up
by t!emseles or een in e0istence een before t!e formation of $ana (R)8#
- Performance and Capacity of River Basin Organizations -
E+
8
$!e (ater Resources )anagement 8ut!ority operates on performance contract wit!
central goernment# $!e performance contract is informed by t!e so-called @<olden
'ndicatorsA, w!ic! is a set of "uantifiable outputs in relation to water resources
management# 'n a nuts!ell, t!e $ana (R)8 is accountable to t!e goernment t!roug!
t!e national (R)8 offices and to t!e sta-e!olders t!roug! t!e C88C#
8#2#C Staff
$!e $ana (R)8 !as a total of 82 members of staff# Clearly t!e number is muc! less
t!an re"uired to coer t!e operations of t!e entire basin# C2 of t!em based at t!e regional
office and :0 eac! for t!e Sub-regional office# )a9ority of t!e staff members are in t!e
traditional disciplines mainly engineering and !ydrogeology# First, t!e e0isting staff !as
limited -nowledge on '(R) approac!es to (R), and alt!oug! significant efforts !ae
been made to improe t!e -nowledge, muc! more remain to be done especially for t!e
middle and lower leel of organi&ation structure# Secondly, t!ere is an urgent need to
bring on board ot!er s-ills t!at will deal wit! social mobilisation, water rig!ts, cost
recoery, etc# in t!e tec!nical areas# Finally, in t!e tec!nical areas, t!ere is a s!ortage of
re"uisite tools for assessment and measurement, it follows t!at een if t!e e"uipment is
made aailable in t!e future, staff capacity for t!eir use will be necessary and particularly
in emergent -nowledge suc! as <'S, modelling, economic instruments etc
8#2#G Financing
3ntil now t!e main sources of financing !ae been t!e goernment and donor funds# 'n
t!e year t!e organisation !as been in e0istence, t!e goernment contributed C2H of t!e
financing and t!e balance .D8H/ come from donor funding# 8s part of t!e reform
process, t!e (ater Serice $rust Fund .(S$F/ !as been establis!ed wit! a singular
mandate to mobilisation of funds towards t!e poorly sered areas to t!e reform,
5opefully (S$F will play a more central roles in financing (R) in 1enya in t!e future#
'n t!e last one year seeral water storage facilities wit! low to lower-middle capacity
been improed or constructed wit! funding from (S$F# <enerally spea-ing t!e water
resources management sector in emerging from many years of c!ronic under
inestment #$!e proposed Catc!ment )anagement strategy pro9ects to improe flow of
funds t!roug!B
Reenue raised from t!e organisation operations
<oernment funding
40ternal donor funding, and
=riate sector participation
$ana (R)8 is targeting compliance for water use c!arges and going by t!e records of
abstraction permits, t!e top E0 abstractors account for ;0H of all t!e uses# $!e focus of
t!e t!erefore is to ac!iee compliance wit! -ey abstractors# 3nfortunately, t!e reenue
collected at t!e basin is not presently retained but rat!er collected at t!e national office
for common planning#
C#2 PERFORMANCE ASSESSMENT
Regarding t!e performance of rier basin management at t!e $ana Rier basin leel t!e
following can be saidB
- Performance and Capacity of River Basin Organizations -
E8
8
=ositie aspects of t!e management structureB
$!e basin organisation manages t!e entire lengt! of t!e rier course and enables
incorporation of t!e upstream and downstream factors#
$!e )anagement 3nits are considered along tributary riers, !ence bring
toget!er areas and people affected similarly
$!e regional office and sub-regional !as eased interaction wit! t!e sta-e!olders
and public allowing increased efficiency and close monitoring# $!is !as been
e0emplified by t!e reduced in t!e time for issuance of abstraction permit#
$!e organisation in not encumbered wit! responsibilities re"uiring water use as
t!e case wit! $8R*8 before t!em# $!is allows t!e organisation to e0ecute t!eir
mandate of e"uitable s!aring of water resources impartially#
$!ere is strong public participation in t!e water resources management#
8spects of t!e management structure re"uiring improementB
$!e basin organisation lac- administratie and financial autonomy to manage t!e
basin affairs# 8t least reenue generated s!ould be retained for utilisation wit!in
t!e basin#
$!e C88C !as no real aut!ority to direct decisions since t!eir rile is adisory to
be incorporated at t!e $ana (R)8 discretion
Representation to C88C s!ould be deried from t!e (R38s to allow true
sta-e!older owners!ip
$!ere is danger 2arger users dominating (R38s and e0ert t!eir influences
unduly#
(R)8 is planning to financially facilitate (R38s to implement pro9ects in t!e
catc!ment, t!is may compromise t!e (R38s ability to ta-e an independent stand
from t!at of (R)8
=rogress of t!e management of water resources in t!e $ana Rier basin before and after
t!e creation of t!e $ana (R)8 can be seen in $able 8#: below
Table C#"& P)o-)e!! *n 'ana-e'en of Dae) )e!o+),e! *n .e
Tana R*/e) ba!*n
1ater Resources Pro=lems
in t?e Basin
Before creation of RBO fter creation of RBO
Oer abstraction )oderate Some improement
(ater scarcity Critical in middle and
lower basin
,o c!ange
Floods Critical in lower $ana ,o c!ange
4nironmental Suality )oderate ,o c!ange
2and degradation Critical in upper
catc!ment and costal &one
Significant improement
=ollution )oderate ,o c!ange
(ater Conflicts )oderate Some improement
Financing Seere Some improement
=articipatory goernance Seere Significant improement
- Performance and Capacity of River Basin Organizations -
E;
8
Reenue collection Seere Some improement
(ater assessment and
monitoring
Seere Some improement
8#C#: =riority (ater management capacity needs
8 set of priority capacity needs to improe t!e performance of RBO !as been identified
and is presented below for bot! t!e enabling enironment and t!e institutional settingB
4nabling enironment
financial means for long term financial sustainability for $ana (R)8
political interference at t!e basin leel is a nagging problem
limited autonomy of $ana (R)8
limited C88C aut!ority
'nstitutional and situational setting
lac- of data due to limited monitoring capacity .e"uipment and
e0pertise/ and lac- of s!aring amongst organisations
s!ortage of staff in t!e non-traditional s-ills .en!ancement for '(R)
for practitioner/
C#9 CONCLUSION
$!e $ana (R)8 is still an infant institution and critical gaps e0ist for combined s-ills
t!at would enable t!e organisation ma-e rational, informed and adantageous c!oices
depending on t!e priority deelopment needs# 4idently t!e deterioration of water
resources in t!e $ana Rier basin is lin-ed to poerty6 capacity initiaties for $ana
(R)8 will e0plore ways of e0panding water for productie uses as a way of combating
e0treme poerty, deelop tradeoffs in sustaining !ealt! ecosystem and reduce water
pollution#
Capacity building of !uman resources is re"uired to en!ance s-ills and understanding for
planning, water resources assessment, demand management, economics instruments,
information management and s!aring, social c!ange and conflict resolution, and because
t!e organisation is e0pected to outsource serices for deliery of its pro9ects, t!e
upgrading of '(R) s-ills, s!ould incorporate associated priate practitioners#
$!e -ey s-ills and tec!nological c!allenges in need of urgent address includeB
)anaging flood ris-s in t!e lower $ana
=rotecting water "uality and monitoring pollution
8ddressing water scarcity and competition for water particularly wit! special
regard to t!e more arid part of t!e basin by promoting demand drien
management, improing water use efficiency and tapping non-conectional
water resources
'nducting social c!ange and public education including local political
leaders!ip particularly on cost recoery and conseration, and en!ancing
- Performance and Capacity of River Basin Organizations -
D0
8
participation ensuring deepened inolement of women in decision-ma-ing
structures#
<at!ering water resources data, compre!ensie and con9unctie basin wide
planning of water resources and modelling of future scenario depending on
future allocations#
(ater pricing 4conomic incenties for water conseration
- Performance and Capacity of River Basin Organizations -
D:
E ANNE? 9& LERMA-CHAPALA-SANTIAGO
RIVER BASIN; ME?ICO
E#" RIVER BASIN OVERVIEW
$!e 2erma-C!apala-Santiago Basin .2-C5-S/ is located in t!e west part of Central
)e0ico, it is t!e second greatest basin of )e0ico
E
, and it !as some :features t!at allow
some of its regions to !ave an e+traordinary potential for !uman life$ Once its affluences
were e+tolled7 ,ut now its condition is considered critical and some people predict an
ecological disaster of great e+tent; .Bo!em et al#, :;;;#/
$!e 2erma-C!apala-Santiago Basin is one of t!e most important basins of t!e country, in
terms of economy, society, and enironment# 'ts water resources coer not only t!e :+#+D
million in!abitants of t!e basin, but also ;H of )e0ico CityAs demand t!roug! a water
transfer# *uring t!e last E2 years, t!e population !as increased by D times F!ence, some
resources, li-e water and soil, !ae undergone a constant, growing pressure .t!is increase
occurred wit!out t!e appropriate planning, distribution and protection of t!e basin
resources/, w!ic! !as arisen seere irreersible c!anges to its natural ecosystem#
$!e region meets ;H of t!e demand of )e0ico City t!roug! t!e 8lto 2erma well system#
$!e basin !as been witness of a strong urban, agricultural and industrial growt! .some
records mention t!at t!ere are an appro0imate of C,E00 different industries wit!in t!e
basin/ .Bertrab, et al 200E
D
/
E
>surpassed 8ust ,y t!at of t!e Bravo River?.Boe!m et al, :;;;/
D
Bertrab 4# J# y (ester =# .200E/ <obernabilidad del 8gua en )U0ico# 2a crisis de agua de <uadala9ara y
el destino del lago de C!apala#
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Catchment Area: 1((,1(. km
Population: 1-,-.0,000 *2002,
Population growth: -
Mean annual rainfall: .).mm
to -20mm
RBOs: :ational 3ater
;ommi''ion *;<:A=0A, an"
Lerma >a'in ;oun7il an"
Santiao >a'in ;oun7il
Main water use: Irriation,
%ota&le water 'u$$ly, Li4e'to7k
an" In"u'try
9
$!e 2-C5-S Basin represents nearly +H of t!e national territory wit! an appro0imate
area of :CC,000 s"uare -ilometers, coering :0 states in t!e country# 'ts basic
!ydrograp!y includes C: sub-basins and :G sub-streams, being t!e 2erma Rier, and t!e
Santiago Rier t!e main inflows#
8ccording to CO,8<38, in :;;+, C+H of t!e basin surface was used for agricultural
purposes .28H of seasonal crops and ;H of irrigated crops/# $!e surface of forest was
e"uialent to 2EH of t!e
By 2000, in t!e basin, t!ere were :+ million people, of w!ic! +DH were located in urban
towns, and t!e remaining 2GH in rural illages# $!e population density t!at year was :28
in!ab%-m
2
# By 2002, t!e population of t!e basin was :+#+D million in!abitants, -eeping
t!e proportion between t!e urban and t!e rural population .CO,8<38, 200Ea/
CO,8<38 is t!e (ater ,ational Commission of )e0ico, t!e federal organi&ation wit!
t!e power to ma-e decisions about t!e water in )e0ico and !as adopted as a unit of
management t!e form of t!e !ydrologic administratie region to facilitate t!e planning
and control of t!e water resource t!roug! t!e Regional )anagement, now called Basin
8gencies, w!ic!, in accordance wit! t!e reforms to t!e 28, in 8pril 200G, are t!e
tec!nical, legal and administratie units being t!e aut!orities in terms of autonomous
water, alt!oug! t!eir resources and budget still depend on CO,8<38#
$!e two basin councils in t!e 2erma-C!apala-Santiago basin are t!e 2erma Basin
Council and t!e Santiago Basin Council# $!ey are collegiate organi&ations of
sta-e!olders t!at !ae powers to perform t!e functions of monitoring t!e ac!ieement of
t!e goals planned for t!e rier basin#
'n 200C, CO,8<38 reported an e0ploited olume of D,;ED !m
C
%year of t!e surface
water in t!e 2-C5-S Basin .82#EH of it was used in agriculture, D#EH in liestoc-, :0#+H
in public-urban serices, and 0#CH in t!e industry/# Regarding underground water, t!e
e0ploited olume was of D,;CE !m
C
%year, from w!ic! t!e +E#2H was used in agriculture,
:;#;H in public serices, and G#;H in t!e industry#
;#:#: =roblems e0perienced in t!e basin
$!e problems e0perienced in t!e 2erma-C!apala-Santiago basin can be summari&ed as
followsB
=opulation growt!
8ailability of t!e water resources .s!ortages/
*eterioration of t!e 4nironment
Julnerability w!en facing !ydro-meteorological p!enomena .droug!t/
2ac- of 'nformation and 1nowledge
E#% RIVER BASIN ORGANIZATION
(ater )anagement in )e0ico !as a clear management structure in w!ic! arious
agencies at different administratie leels cooperate in a 9oint effort to manage t!e
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9
9
arious )e0ican rier basins# Below an oeriew of t!e most important actors in t!e
2erma-C!apala-Santiago basin will be gien#
CO(A9<A = (ational )ater Commission
$!e federal organi&ation wit! t!e power to ma-e decisions about t!e water in )e0ico !as
a total staff of G2C: and facilitates t!e planning and control of water resources t!roug!
t!e regional management in t!e form of Basin 8gencies# CO,8<38 !as t!e purpose of
acting as a regulatory body and an aut!ority wit! tec!nical capabilities, as well as a
promoter of social participation and enforcer of t!e goernment measures regarding
water management#
#!e Lerma- "antiago- Pac>fico Basin Agency &CO(A9<A*$
$!e Basin 8gency manage t!e tec!nical, legal and administratie units# Budget and
resources are still dependent on CO,8<38 but t!ey !ae t!e powers of application and
obseration of t!e policies, procedures, met!odology, systems, regulations, norms, rules,
manuals and !andboo-s, wor-ing sc!edules, indicators of management and goals6 to act
as speciali&ed tec!nical, operating, administratie and legal aut!orities in t!e !ydrologic-
administratie region of its district6 to be t!e aut!ority regarding t!e management of
water resources and t!e management and custody of national water and its in!erent
public goods in t!e region#
)ater consultative council
$!is council concerns a body of citi&ens t!at supports t!e (ater ,ational Commission in
its wor- of creating a new water culture for t!e )e0ican society# $!ere is 9ust one
Consultatie Council at a national leel#
"tate citizen2s Council for water
$!ere is a Citi&enAs Council for eac! state of t!e country# 'n t!e Basin of 2erma-C!apala-
Santiago, t!ere are D of t!em
;#2#: Sta-e!olders .#!e Lerma Basin Council and t!e "antiago Basin Council*
=ublic participation in decision-ma-ing regarding water management is ensured t!roug!
t!e basin councils# 5oweer, due to t!e lac- of autonomy of t!ese councils, t!e decision
ma-ing of t!ese councils is limited# 3ltimately t!e selection and implementation of
pro9ects are always determined by CO,8<38# 8dditionally, t!e election of sta-e!older-
representaties in t!e councils is fu&&y and sometimes "uestionable#
;#2#2 Financing
CO,8<38As main source of funds is t!e budget assigned by t!e 40ecutie, w!ic! is
annually aut!ori&ed by t!e Congress in t!e FederationAs 2aw of 40penses#
'n 200E, t!e budget assigned to CO,8<38 was of I:,+2E million 3S* .may-0+/, from
w!ic! t!e 8CH was allocated to material, supplies, serices, facilities, compensations,
public wor-s and related serices6 t!e remainder was assigned to personal serices#
CO,8<38 also acts as a collector in respect of arious items, related to t!e national
water and its currents# ,ear t!e 80H of t!is collection corresponds to t!e e0ploitation and
use of t!e national water# $!e table below indicates t!e collection corresponding to t!e
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5ydrological 8dministratie Region J''' 2erma Santiago =acific of CO,8<38 and t!e
national amounts#
Table E#"& Daa *n .o+!an0! of Me7*,an (e!o! o ,on!an
()*,e! of %AA<; "UFG"A Me7*,an (e!o!
,owadays, most of t!e inestment on water !as a mi0ed nature, including s!ares of t!e
States, made t!roug! t!e State Commissions and%or operatie agencies# Operating
organi&ations finance t!emseles mostly wit! own resources obtained t!roug! t!e
collection of c!arges for sewer system and ot!er water serices#
E#2 PERFORMANCE ASSESSMENT
$o measure performance :0 indicators are in place in t!e 2erma-C!apala-Santiago basin#
$!ese areB
irrigation efficiency
percentage of population access to drin-ing water
percentage of population access to sewage system
percentage of rural population access to drin-ing water
percentage water treatment .recycled waste water to total waste water/
percentage water wit!in accepted limits .water "uality/
amount of collection by concept of rig!ts, adantages, contribution of
improements and ta0es .million constant weig!ts of 200E/
adice of rier basin wor-ing wit! autonomy of tec!nical and administratie
management
tec!nical ground water committees wor-ing wit! autonomy of tec!nical and
administratie management
number of in!abitants protected against floods by means of t!e construction of
infrastructure
On eac! of t!ese points progression !as been boo-ed oer t!e last years# ,onet!eless not
all initial pro9ected goals !ae been ac!ieed# =articularly t!e on percentage water
treatment .recycled waste water to total waste water/ proed to score lower t!an initially
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pro9ected# Based on t!ese scores t!e organi&ation can be assessed as relatiely effectie
in reac!ing set goals#
;#C#: =erformance at t!e basin leel
Regarding t!e performance of rier basin management at t!e basin leel t!e following
can be saidB
=ositie aspectsB
basin councils promote and enable participation of users and sta-e!olders
institutional framewor- in form of t!e ,ational (ater 2aw is in place, w!ic!
considers t!e '(R) principles#
t!ere is a coordinated agreement aimed to t!e basin sanitation
cooperation between goernment agencies is enabled and leads to results .i#e# $!e
Surface (ater <ood 3se =lan/
8spects to be improedB
flawed implementation of t!e water law .enforcement, application/
organi&ational and participation aspects of '(R) are still underdeeloped
water management does not fully incorporate perspecties of enironmental
management
water management is not decentrali&ed in t!e political and administratie conte0t
legal, political and information limits impose barriers to t!e deelopment of
alternaties and t!e creation of proposals# $!ere are contradictory interests among
t!e sta-e!olders, w!ic! are worsen by a lac- of public resources and t!e e0istence
of bureaucracies full of passiity and interests#
public enironmental policy is not considered a priority# 8s a result it is still
incipient and does not determine t!e duties of t!e different sectors in t!e federal
goernment#
limited financial resources represent a significant obstacle for t!e implementation
of a full '(R) approac!
e0istence of inter-institutional conflicts deried from t!e unspecified functions of
arious goernmental leels, w!ic! implies a redistribution of aut!ority and
resources
E#9 CONCLUSION
$!e current status of t!e basin is s!owed as t!e result of a dynamic and comple0
interaction between its natural and !uman system, w!ic! grew disproportionately in t!e
area supported by t!e resources of t!e natural system, under an economic model t!at did
not proide a proper planning and wit! enironmental policies t!at were not aimed to
sustainability# $!is, wit! t!e time, !as proo-ed a critical situation c!aracteri&ed byB a
growing demand of t!e resources and t!e related serices6 an intense competition, full of
conflicts, for water aailability .w!ic! sometimes !ae represented a danger for t!e basin
goernability/6 a !ig! enironmental deterioration deried from t!e pollution of water
bodies in some parts of t!e basin6 an increasing ulnerability towards meteorological
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p!enomena6 and a systemati&ed lac- of information to face t!e need of a better
.integrated/ -nowledge of t!e basin problems#
3nder t!e conditions imposed by t!is conte0t, w!ic! combines t!e s!ortage wit! t!e
uncertainty, and a lac- of participation and social commitment wit! a inter-institutional
disconnection, t!e capability and scope of t!e system .federal, state, and local
institutions/ are surpassed, as well as t!e organi&ations created for t!e participation and
consensus of t!e users .Basin Councils, $ec!nical Committees on <round (ater, Basin
Commissions/# 'n t!e recent amendments to t!e ,ational (ater 2aw, it is recogni&ed t!e
need to implement an '(R)6 !oweer, its application implies a long and comple0
process t!at needs t!e transformation of all t!e current institutional and organi&ational
leels#
$o accomplis! t!is comple0 tas- is not acceptable to assign 9ust one institution or >super-
agency?, on t!e opposite, it is necessary to economi&e and optimi&e t!e institutional
system, as well as to e0tend and to emp!asi&e t!e social participation, generating a
common -nowledge w!ic! allows t!e connection and coordination of t!e sta-e!olders in
a recoery and welfare plan wit! medium and large-term benefits# $!e improements
made to t!e legal frame, as well as t!e agreements and consensus t!at !ae been reac!ed
regarding t!e distribution of t!e surface water wit!in t!e 2erma-C!apala Basin, represent
a significant brea-t!roug! for t!e region# $!is can generate a boost for t!e sustainable
deelopment of t!e basin, by means of t!e implementation of a strategic planning aimed
to a '(R) of t!e region#
;#G#: Recommended policy
From t!e analysis of t!e performance of '(R) in t!e 2erma-C!apala-Santiago Basin t!e
following recommendations can be made in regard to improing '(R) principles and
practices#
$!ere is an urgent need of contributing to t!e deelopment of capabilities
inoling and integrated management of t!e water resources, including t!e issues
about gender e"uity on decision ma-ing, not only wit!in t!e institutional system,
but also in t!e userAs organi&ations of t!e basin#
't is necessary to create a process of diffusion and analysis wit! regard to t!e
situation and perspecties of t!e basin problems, inoling all t!e sta-e!olders,
w!ic! is to consider not only specialists or aut!orities, but also t!e different types
of users#
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