(2) Stakeholder Participation

1
Nuffic/NICHE 027
Training in Policy Relevant Solution Oriented
Research

• (2) Stakeholder Participation
• in Policy Relevant Solution Oriented Research

2
The RAPID framework
external influencesSocio-economic and cultural
influences, donor policies
political context
Politics and policy making
Research, learning thinking
Media, advocacy, networking
evidence
links
3
Political context
Understand the stakeholders What you need to do How to do it
Who? Demand for new ideas? Resistance? Process? Opportunities? Timing? Know them, and their agendas! Identify supporters and opponents! Understanding politics Prepare for opportunities and keep an eye on the process for windows of opportunities Work with them Seek assignments Line up research programs with policy events Seek opportunities to meet Reserve resources for windows of opportunity
4
Debate on stakeholder participation

• Two opposing views
• Broad stakeholder participation is extremely good
  for policy relevant solution-oriented research?
• Broad stakeholder participation has a negative
  influence of policy relevant solution-oriented
  research?

5
Why enhance participation?

• Participation results in policies in line with
  the needs of the beneficiaries
• Participation results in technology that is
  suitable and relevant to the local conditions
• Participation enables you to use knowledge and
  experiences of stakeholders
• Participation enhances prospects of ownership and
  sustainability

6
Reluctance to enhance participation

• Difficult to organise and invite the right people
  
• People do not know what they want anyhow!
• Raising false expectations which cannot be met
• Not scientific, but often highly political
• Fears it will reduce the scientific quality of
  research

7
Definitions

• Stakeholders
• Any individuals, groups of people, organisations
  or institutions that may have a particular
  interest in the success or failure of a policy
  issue, including the undecided

8
Definitions

• Primary stakeholders
• Those ultimately targeted by, affected by and
  with a primary interest in the outcomes and
  implementation of the research
  (positively/negatively)
• Secondary stakeholders
• Implementing agency, government reps, service
  providers, local organisations, contractors,
  consultants, business people. Not ultimate
  beneficiaries but perhaps with other specific
  interests at stake

9
Participation ladder
5 Self mobilisation 4
Collaboration 3 Consultation 2 Asking
Information 1 Receiving information
10
Degree of participation and empowerment Degree of participation and empowerment Degree of participation and empowerment Degree of participation and empowerment
Stages Description Decision making power Decision making power
No information Farmers are not told beforehand on what the Ministry will do. Ministry Users
Passive information Farmers, or local leaders are informed that Ministry will undertake a specific action
Interactive information Farmers are informed on what the Ministry is planning to do and for what reason. Opportunity to give reactions and suggestions
Involvement and influence in decision making process Ideas, plans and implementation processes are discussed with farmers, who will have the prerogative to demand necessary amendments
Shared responsibility Decision making and implementation processes are a joint undertaking
Full responsibility Farmers organisations take over the responsibility work plans, budgets and OM of water infrastructure Ministry will verify the quality of works, according to norms and standards for IWRM activities
Custodian of infrastructure Water User Organisations become custodian and manage the water management infrastructure. Ministry has an advisory and normative role
11
Complementary Roles
Ministry Role
Stakeholder Role
Increasing role
Decreasing role
12
Summary

• Real stakeholder participation means giving up
  some authority in exchange for better informed
  research outcomes/policies with greater ownership
• Stakeholder participation does not mean handing
  over all decision making power
• It is also not without challenges and needs to be
  carefully planned as one moves along

13
Mapping the stakeholder system

• Institutional stakeholder diagram
• How would you be able to establish an overview of
  all relevant stakeholders?
• How would you be able to describe the different
  relationships between stakeholders?
• What do you think you can use stakeholder
  information for?

14
Example from Egypt Institutional Strengthening
for Private Agriculture (ISPA)
Ministry. of Agr.
Credit Co-ops
Agricultural Producers
Commercial Banks
ISPA
Middlemen
Farm Associations
Dairy industries
Shops and outlets
Against reform
Delivery products and services Communication/coord
ination Political ties/influence
Consumers???
Supportive of reform
15

• Mapping the stakeholder system
• - One step at a time

16
1 Delivery products and services
Ministry. of Agr.
Credit Co-ops
Agricultural Producers
Commercial Banks
ISPA
Middlemen
Farm Associations
Dairy industries
Shops and outlets
Against reform
Delivery products and services
Supportive of reform
17
2 Communication and coordination
Ministry. of Agr.
Credit Co-ops
Agricultural Producers
Commercial Banks
ISPA
Middlemen
Farm Associations
Dairy industries
Shops and outlets
Against reform
Delivery products and services Communication and
coordination
Supportive of reform
18
3 Political ties and influence
Ministry. of Agr.
Credit Co-ops
Agricultural Producers
Commercial Banks
ISPA
Middlemen
Farm Associations
Dairy industries
Shops and outlets
Against reform
Delivery products and services Communication/coord
ination Political ties and influence
Consumers???
Supportive of reform
19
Conducting a stakeholder analysis

• Step
• 1. Identify all relevant stakeholders (primary,
  secondary)
• 2. Develop stakeholder interest matrix
• 3. Develop importance and influence matrix
• 4. Note conflicting interests and identify
  options to address them

20
1. Identify all relevant stakeholders

• Primary stakeholders those ultimately affected
  by and with a primary interest in outcomes
  (positive/negative)
• Secondary stakeholders people not directly
  benefiting, but with other long term strategic
  interests (positive/negative)
• Power stakeholders those who are able to and
  likely to exert influence over planning and
  implementation processes

21
2. Stakeholder interest matrix
Likely policy effect on interest /-
Describe interests in intervention
List stakeholders
-/
Reliable irrigation water supply Low water
salinity Water table control
A. Traditional Farmers
- -
Free Rights to groundwater exploitation
B. Agri-business Estates
-/
Reliable delivery of drinking water Sanitation
services
C. Town and village inhabitants
22
3. Importance and influence

• Importance indicates how important the policy
  intervention may be to satisfy key stakeholders'
  needs and interests
• Influence denotes the power or voice of
  particular stakeholders to exercise influence
  over the policy process and, ultimately, the
  expected outcomes

23
Importance-influence matrix
Special initiatives needed to protect
stakeholder interests
High degree of attention, good working
relationships must be created and maintained
HIGH
Influence

• No direct involvement
• low priority

Potential source of risk, need for careful
monitoring and management

• Importance

LOW
HIGH
24
Importance-influence matrix Examples
Private water utilities Agro-businesses Joint
sectoral entities
Rural farmers Urban slum dwellers Isolated poor
population
HIGH
Influence
Key ministers Industry leaders Business lobby
groups
Bedouin communities Seasonal workers Tourism

• Importance

LOW
HIGH
25
4. Conflicting interests?

• Are any of the interests you have uncovered
  likely to lead to conflict between stakeholders
  in your field of research?
• What do you think may be possible reasons for
  these conflicts?
• What are the options you may consider in
  addressing potentially conflicting interests and
  to accommodate these in your research?

26
Initiating multi-stakeholder dialoguehow
difficult can it be?
27
Consultation checklist

• Why consult Why does a particular individual,
  department or group need to be consulted? What
  type of exchange is one hoping to have, e.g.
  gather information, obtain feedback/reaction,
  keeping informed, disseminating information?
• What to consult on Subject matter topics, issue
  identification, the range of options, the
  preferred options, the assumptions, the
  principles, the outcomes, etc.?
• Whom to consult Other departments, the minister,
  other ministers, other levels of government,
  other jurisdictions, committees of cabinet,
  various external client/stakeholder groups,
  sub-groupings of clients/stakeholders general
  public?

28
Consultation checklist (cont.)

• When to consult Timing of initiating and ending
  consultations. At which stages, some or all?
  Should specific groups be consulted at specific
  stages in the process and others consulted at
  other phases?
• Where to consult Locations of consultation may
  be politically sensitive, yet important to
  recognize. Are some individuals/groups best
  consulted with at certain locations. Should
  sub-groupings of clients/stakeholders be brought
  together for consultations
• How to consult Using workshops, round table
  discussions, public meetings, internet for
  information dissemination and as a way to solicit
  feedback, release of discussion paper for
  comment?
• Resource requirements Cost is often a
  consideration in such choices and decision, who
  contributes, in cash or kind, ownership of
  consultation process etc. Other resource
  requirements include staffing, required
  expertise, what is available in-house and what
  must be outsourced?

29
Tips

• As a general rule, consultations within the
  organization should precede external
  consultations.
• Failure to consult internally at the outset can
  often cause resistance and other difficulties in
  the policy development process.
• In particular, do not overlook inter-departmental
  consultations on problems/ issues that cut across
  more than one department
• Part of consultation is also about informing
  people what you are doing
• How it may possibly impact them.

30
Tips (cont.)

• Follow-up your consultations with a thank you
  letter that tells them that you will advise them
  of the outcome of their input
• Letting clients/stakeholders know how their input
  was used
• Also include an explanation of why their
  suggestions were perhaps not implemented to
  foster positive on-going relations with them in
  future

31
Risks of not getting it right

• The risks associated with not undertaking
  consultations, limited consultations or a poor
  consultation process are
• Limited understanding of the problems/issues
  leading to poor policy solutions
• Negative back-lash from client/stakeholder in
  reaction to a policy
• Lack of policy co-ordination and
• Potential misdirection of funds.

32
Different types of change resistance
BEHAVIOUR Open Hidden
Active Disagreeing with process, not direction Lobbying for alternatives Requesting more clarity Go on strike Forming opposing groups/ coalitions Too busy Not completing assignments committed to Sabotage Rumour mongering Boycotting changes
Passive Not coming to meetings, being late Denial of positive effects of change Sticking to the old ways Business as usual Verbal support but no supportive activities Silence for now Waiting till the storm is over Resignation Illness
33
Exercise

• Situation
• You are about to start your MSc research with the
  ultimate goal to get your MSc in IWRM from
  WEC/Sanaa University
• Questions
• Who would be the likely stakeholders and why?
• Categorise them into primary, secondary and power
  stakeholders and explain why?

34
Exercise (cont.)

• 3. At what level of the participation ladder are
  these stakeholders?
• Why do you think this is the case and would you
  like to see it change?
• What seems to be the greatest difficulty from
  your positions point of view?
• Discuss your own experiences with concrete
  examples.