The focus of the water and irrigation sector management capacity building activities is on the development of capable institutions for sustainable water resources and irrigation management. In Indonesia, this is a logical consequence of the decentralization and management transfer policies of the government. These activities involve:
Socializing the concepts and consequences of the decentralization and regional autonomy policies, water sector reforms that entail basin-level management of water resources by newly-established or soon-to-be-established river basin organizations, and the transfer of management authority of irrigation systems to the WUAs.
Redefinition of new roles, responsibilities and tasks of relevant government organizations in water resource management towards service oriented entities and establishment of new stakeholder-based coordination mechanisms.
Strengthening of the organizations to enable the effective implementation of their new roles. This includes the introduction of and establishment of accountability mechanisms and tools for the decentralized government organizations and the empowerment (including transfer of management authority) of the WUAs.
The reform and decentralization of the Indonesian water sector requires capacity building of all new and reorganized agencies and institutions in order to enable them to take up their responsibilities and tasks in the new water resources and irrigation management paradigm. The development of the required capacity is partially tested out under several national and regional irrigation and water resources projects. The concept of proposed capacity building activities will build on these experiences and elaborate further in new areas.
The objective of the capacity building activities is to establish an institutional capability to manage water resources and irrigation systems in a sustainable manner. This requires capable institutions for management, capable individuals within the various organizations, and an external environment that enables the institutions and individuals to perform according to expectations. Thus, the capacity building activities focus on: (i) individuals working within the organizations; (ii) the structure, processes and resources of the organizations themselves; and (iii) the enabling external management environment of the organizations (Figure 10).
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Paul van Hofwegen |
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FIGURE 10
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Organizations can only perform where:
an external environment is created for the organization to deliver expected services;
governments and society at large facilitate the creation of the necessary Skills national and local policies, legislation and organizational frameworks;
organizations in the Indonesian water resources sector are provided with a clear mission, clear responsibilities and external accountability procedures;
these tasks and responsibilities are translated into a clear organizational structure, tasks and internal procedures;
adequate resources and infrastructure are available;
human resources within the organization have the required knowledge, skills and attitude;
organizations provide the internal (positive and negative) incentives to elicit the desired behaviour of individuals.
Under the sector reform programme, new policies and legislation have been formulated and are currently being issued. This includes the definition of mission, responsibilities and tasks of the organizations involved in water resources management. Once the regulation and procedures for planning, budgeting and accountability are clear, a detailed definition of responsibilities and tasks, structure and procedures of each of the organizations can be made. This will serve as the basis of the human, financial and infrastructural resource development plan for each organization. These plans are indispensable in the development of a capacity building support capacity. Long-term views have to be taken to accommodate the needs of the water resources managing agencies in order to arrive at sustainability. Key actions to accommodate the short-, medium- and long-term needs of the sector agencies are: competence and task-oriented training; the development of such local training capacity; and adaptation of formal and informal educational programmes in local institutes and universities. Proper procedures, incentives and continuous coaching are necessary in order to direct the individuals in the organizations to effective and efficient service delivery and, consequently, enhanced water sector performance (Figure 11).
A main element of capacity building is the development, introduction and acceptance of accountability mechanisms and tools. In the context of water resource and irrigation and drainage management organizations, three domains of accountability can be identified (van Hofwegen, 1996):
operational accountability, which involves the mechanisms for monitoring, evaluating, controlling and enforcing the implementation of the service agreement.
strategic accountability, which relates to the mechanism that allows users to control the formulation services and its costs, for example, by the right to approve or reject working plans and budget proposals.
constitutional accountability, which relates to the mechanism that allows users to influence the strategic decision-making process by, for example, establishment of assemblies, adoption of statutes and by-laws, and election of representatives in governing and coordinating bodies.
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Figure 11
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The application of these concepts for the water resources sector in Indonesia will be elaborated further based generic management functions within the organizations and the interaction between different organizations in the sector. It includes the tools that can be developed and introduced in order to enhance the operational, strategic and constitutional accountability related to service delivery and its associated costs and price.
Traditionally, water resource management and irrigation and drainage agencies have operated in an environment where the level of expenditure on infrastructure and management bears no relation to the water delivery service that they are expected to provide. Until now agencies have seldom defined clearly their level of service and the costs associated with it, mainly because of supply-oriented budgeting systems. Under the Water Sector Management Programme (WSMP), a service-oriented management approach is adopted that entails an output-driven approach. To achieve this, management needs to know what is an acceptable standard of service and, consequently, the management of resources must be consistent with management goals. A quality assurance system for all activities within the organizations and related out-contracted activities is an effective accountability tool.
A key element in planning is the ability to ascertain the financial and human resources and infrastructure needed to deliver the agreed service based on agreement, transparent processes and accountability, and all subject to a quality assurance system. Clear and unambiguous water rights including their conditionalities are elementary for water allocation, distribution and delivery, and they form an essential tool for operational and strategic accountability on service delivery. Figure 12 provides a generic framework for management functions and the associated accountability tools that will be used as the basis for the WSMP capacity building component. Basic principles applied are public consultation, agreement, transparency and accountability integrated in a quality assurance system.
The cost of service provision is related directly to the level of service provided. The higher the level of service, the more management or infrastructure is needed, hence a higher cost is incurred. An asset management plan is a plan for the creation, acquisition, maintenance, operation, replacement, modernization and disposal of fixed assets in order to provide an agreed level of service in the most cost-effective and sustainable manner (Malano and van Hofwegen, 1999). Asset management plans are effective and transparent tools to determine the present and the future level of costs associated with the agreed level of service. In situations where customers pay the full or partial cost of service provision, the level of service must be balanced against their willingness to pay for the service through a process of consultation. The result of the consultation is then reflected in a service agreement between the organization and its customers.
A service agreement consists of two main parts: transactions and accountability mechanism to be applied on the transaction. In water resources management the transactions are a certain payment against the delivery of water at an agreed rate, time, place and of a certain quality. The accountability part describes the monitoring procedures to verify whether the transactions are met, the liabilities of both parties in the event that the obligations are not met, what party to address in case of conflict, and what procedure to use to review and update the agreement. (Malano and van Hofwegen, 1999). Various multitier service relations can be identified: farmer WUA federation of water users associations (WUAF) basin management authority; WUAF district and/or provincial public services; WUAF public and private enterprises and institutes; etc.
Asset management plans also provide information for budget-dependent service providers on the real need for budgeting and the consequences of not meeting budgetary requirements.
Cost allocation procedures must be introduced in agencies providing more than one type of service or services to different client or client groups. Cost accounting systems provide a transparent administration and accountability tool to allow service clients to gain insight into the composition of the cost of service they are paying for.
Full or partial cost recovery requires decisions on tariffs and charges. The basis of fixing tariffs, service charges and cross-subsidies must be available in the form of regulations for setting tariffs and charges, and should include the process and procedures involved, including approval by the governing boards. An independent body to prevent political gain at the cost of system sustainability must audit its application. Asset management plans are again an important tool in this process for predicting future expenditures on infrastructure.
Tariffs are often fixed, or the government sets ceilings. Where these are insufficient to cover the actual cost of service provision, subsidies are required to sustain the service provision at the agreed levels. For the WUAF and the International Association of Water Users (WUAI), these subsidies in the form of matching funds are foreseen in the District Irrigation Improvement Funds. The basin management authorities will, for the time being, depend to a larger extent on subsidies. However, in due course, they may also obtain income from charges on bulk water supply, hydrological service provision, and water quality management. Clear subsidy arrangements including rules for eligibility based on performance and urgency of the requested subsidies have to be available. Again, an asset management plan can be an effective tool for indicating the urgency and cost of the required interventions, and the risk and cost in the event of functional failure of the asset.
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FIGURE 12
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The service charges can be collected directly from clients and employed for the organization itself where the organization has financial autonomy. Clear terms and conditions for payment, including penalties for non-payment, must be made explicit. These in general can be part of the service agreement. Otherwise, charges are collected and reverted into general government revenues. In this case, clear guidelines must exist to guarantee that funds are reallocated to the managing organization in order to ensure the adequate provision of the agreed level of service.
Budget allocation is to be based on a set of integrated plans, which may include plans for development, asset management plans, human resources development plans, etc. Because strategic plans are dynamic in nature, financial planning usually results in multiyear rolling plans, which may forecast activities for a period ahead, generally 3-5 years. This process involves annual updating based on a review of the previous year’s performance and analysis of future needs on service development and associated infrastructural and management adjustments. In case of budget shortfall, asset management plans provide information on the priority of interventions.
Each of the management activities has its own set of accountability mechanisms and tools, as described above and in Table 1.
The introduction of new working relationships and new tasks in the water sector requires major capacity building efforts at the national, provincial, river basin, district and WUA/WUAF/WUAI levels. Given the restrictions on human and financial resources, a multitier capacity building programme is to be developed and implemented. In this multitier approach, the following groups can be distinguished:
The ultimate target groups being those groups that have the tasks and responsibility to manage water resources.
TABLE 1
Accountability mechanisms and tools in
water resources and irrigation management
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Accountability level |
Accountability mechanisms |
Accountability tool |
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Operational |
Users and service provider agree on the monitoring of delivery of a specified service and consequences for non-fulfilment. |
Service agreement which includes explicit: |
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Strategic |
Users approve work plan, budget and associated fees and charges through their assembly or representation in governing bodies |
Work plan |
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Constitutional |
Users exercise their voice to influence the process of strategic decision-making |
Governance system |
Temporary (in project) assigned capacity builders who are assigned to train and coach the ultimate target groups in exercising their tasks and responsibilities.
Temporary (in project) assigned capacity builders and building institutions that are responsible for the training and guidance of the capacity builders above.
Ultimate postproject capacity builders who will remain available for the ultimate target group to provide on a demand basis continuous training, guidance and assistance after programme completion.
An independent agency that monitors and certifies capacity builders, and flags distortions to provide timely correction as needed.
The groups and organizations directly responsible for water management are:
The WUA/WUAF/WUAI responsible for: (i) water acquisition; (ii) water allocation and distribution among their members; (iii) drainage in their area of jurisdiction; and (iv) maintenance of infrastructure under their jurisdiction.
The river basin management unit generally responsible for: (i) the day-to-day planning and implementation of water allocation and delivery to the various users in the basin including the WUA-I, based upon an agreed water resources management plan with clear and explicit water rights; (ii) collection and primary processing of hydrological, meteorological and water quality data; (iii) licensing of abstractions and discharge of effluents; (iv) controlling the destructive power of water (floods, landslides, lahar flows, etc.); and (v) O&M of infrastructure under their jurisdiction.
The district water resources management service responsible for: (i) guidance of and financial and technical assistance to WUAFs within their area of jurisdiction; (ii) guidance of and assistance to basin authorities within their area of jurisdiction; (iii) O&M of infrastructure under their jurisdiction; and (iv) development of new infrastructure in cooperation with users in their area of jurisdiction.
Other district services responsible for coordination and planning of activities related to or affected by water and water resource management, such as the planning and coordination service, the environmental monitoring service, and the agriculture service.
Coordinating bodies at district level, such as: (i) the irrigation commission for coordination and communication among irrigation schemes; (ii) the irrigation forum for consultation and communication among different uses in one irrigation scheme; and (iii) the district-level commission on water resources planning and management.
Provincial water resources management service for: (i) guidance of and financial and technical assistance to WUAFs within their area of jurisdiction; (ii) guidance of and assistance to basin authorities within their area of jurisdiction; (iii) development and management of the hydrological, meteorological and water quality survey network and processing and dissemination of data for use of long-,medium- and short-term water resources planning and management; (iv) preparation of long- and medium-term river basin development and management plans in basins under their jurisdiction; (v) O&M of infrastructure under their jurisdiction; and (vi) development of new infrastructure in cooperation with users in their area of jurisdiction.
Provincial-level and basin-level water resources councils responsible for coordination in water resources management (WRM), which includes: (i) establishment of WRM priorities; (ii) regulating WRM including water conservation, water allocation, water use and water hazard control; (iii) regulation of relevant development; and (iv) conflict resolution related to use and management of water resources.
Central Water Resources Planning Unit (CWRU) responsible for: (i) preparation and development of the long-term national water resources policy and planning in cooperation with other agencies; (ii) development and dissemination of water quality and quantity standards for planning and management of water resources; and (iii) guidance of and assistance to provincial water resources planning units.
National Hydrological Survey (NHS) is to be established to take care of the development, implementation and guidance of a national hydrological programme. The NHS could be responsible for: (i) planning, development and implementation of national hydrological surveys; (ii) development and dissemination of standards for collection, processing and reporting of hydrological, meteorological and water quality data; (iii) preparation of annual data reports; and (iv) ensuring public access to data for water resource planning and management purposes.
National Water Council, with a secretariat responsible for coordination and development of the national water resources policy and associated legislation with standing working groups to address national policy, national planning, water sector financing and hydrology/decision-support system data banks.
The in-project capacity builders are those institutions that provide direct capacity building services to the ultimate target group on a temporary basis in the project context. Output of the support process should be an operational target group within developed accountability mechanism and tools. The in-project capacity builders are:
Community organizers (COs), the support group of district services that provide training, coaching and technical assistance to the WUAF in management, communication, technical administrative and financial matters during the process of irrigation management transfer from the government to the WUAs.
Provincial water resources planning and hydrology units, through the basin coach and consultants and universities, provide the day-to-day, on-the-job training and coaching to the basin authority.
Research institutes and universities provide classical hydrology, water resources planning and operational management training to basin authority staff.
Management training institutes provide training in service-oriented management and communication skills for the basin authority, district and provincial water resources and other relevant services.
Central water resources planning and hydrology units provide, through the Provincial Water Resources Management Unit (PWRU), coaching and, assisted by consultants, day-to-day guidance, on the job training and coaching to the Provincial Hydrology Unit (PHU) and the PWRU.
National and international education institutes provide education and training programmes in water resources management and hydrology, asset management, etc. National universities could be identified in order to develop centres of excellence dedicated to capacity building functions for water resources and irrigation management.
provincial task forces assisted by the national secretariat of the council and consultants who provide guidance for the establishment and operationalization of the provincial and river basin water resources management councils (DPSAs).
The National task Force assisted by consultants who provide guidance to establishment and operationalization of the National Water Council.
The in-project capacity-building builders (ToCBs) are responsible for the training and guidance of the capacity builders and the development of supporting materials to be used. These comprise:
Water users training programme responsible for training of trainers programmes.
NGO - university - consultant combinations provide training for the COs.
Management training institutes and NGOs provide all direct capacity builders with the right attitude and with relevant communication and management skills.
National and international education institutes and consultants provide curriculum development and staff training for education and training programmes in water resources management and hydrology.
For a sustainable situation in a development environment, a continuous demand for education, training and support will occur. This demand has to be satisfied by a structural - non-project linked capability in the public and private sectors. These institutions will act on a "commercial" basis to secure their existence. By allowing a variety of institutions to offer education and training services, and by allowing the water resources and irrigation management agencies to select their own programmes and provider, the quality of these services will improve and the cost may fall. Such institutions may also be in-house department training institutes under the Human Resources Development Board with their regional offices, private and public universities and polytechnics, management training institutes, etc.
In addition to the training and education capacity, there is a need for a permanent coaching system for the different management entities, which will allow the introduction of new management, technological and financial systems within the water resource and irrigation management institutions. The establishment of a structural coaching system is encouraged.
Training of the ultimate target groups and the direct capacity builders is to be oriented on their tasks and duties, which for an important part consist of managerial and social skills. The introduction and operation of accountability tools requires a good insight into their purpose and use. Therefore, competence-based training is essential for the development of effective accountability mechanisms and efficient management operations.
The limited availability of capacity in the field of water resources management on provincial and kabupaten (subprovincial) level requires an in-depth investment in graduate and postgraduate education in water resources management and hydrology at national or international training and education institutes. This programme needs to be accompanied by the strengthening of national private or public universities in the provision of water resources and hydrology courses in line with the requirements of the new paradigm.
Identical to the above, similar programmes have to be developed for irrigation management where the focus of service orientation and the required management, technical and financial subjects are being included in the programme curricula.
The success of the WSMP programme depends to a large extent on the quality and motivation of the individual persons contributing to the programme. Much of the quality and motivation aspects can be accommodated in high quality training and education. In order to enhance the quality of education and training delivery and the motivation of providers of these services to deliver quality training, a quality assurance system needs to be introduced and strengthened.
A quality assurance system has already been introduced by the National Accreditation Board for higher education programmes where they audit and certify the providers. A similar system is required for non-degree training and education institutions. Such an accreditation board should be an independent NGO financed from accreditation fees.
Certification of the institutes, their courses and the trainees would be a prerequisite for participation in the programme. Standards and procedures need to be developed.
In order to develop a sustainable, human resources capacity building process for water resources and irrigation management, it is necessary to reorient higher education programmes towards multidisciplinary and integrated approaches and to strengthen the economic and social sciences in the sector. IWRM is understood to notably include water management aspects pertaining to aquatic ecology and biodiversity.
A national capacity building network under the National Council for Water Resources could be established in order to match demand and supply of capacity building, education and training services and to exchange information and experiences on the water resources sector reform programme. An operational network requires the establishment of a network secretariat to manage the business of the network and network nodes on provincial and kabupaten level at designated agencies.
In order to exchange the necessary information, the development of a Web-based database (where demand for and supply of capacity building services can be brought together) is encouraged. All types of providers of training and education services with their specific services and programmes, their duration and costs relevant for capacity building for water resources and irrigation management should be available. In this way, different organizations looking for training and education services can select from among the providers what they consider most appropriate. On the other hand, the capacity building education and training providers can search the database for demand for their services. The database must be publicly accessible through the Internet for suppliers and potential users of capacity building services.
The responsibility of educational programme development is and will remain with the educational institutions under supervision of the National Accreditation Board. These institutions, based on their own initiative and interest, will carry out the process of curriculum development through networking. A national water sector capacity building network with links to international networks will be established and developed in order to facilitate the process of reorientation and continuous curriculum development through the exchange of experience and knowledge among national institutions of higher education and the sector. This should result in updated needs assessments, modules in regular educational programmes, and short courses and training programmes for the water resources and irrigation management institutions.
The further development and intensification of the exchange of experience and knowledge among national and institutions of higher education and the sector is encouraged. This can be promoted through the establishment and development of a national water sector capacity building network with links to international networks to facilitate this process of reorientation and continuous curriculum development.
