Learning Process
WUA Self-Assessment
Abstract: Monitoring can involve water users and implementing officials in a participatory learning process. Indicators and methods should be carefully chosen to support the project goals. Monitoring methods should optimize the flow of information. Opportunities lie in encouraging self-assessment by water users associations and strengthening monitoring methods so that government can provide technical assistance when needed on topics such as maintenance.
Turning over irrigation systems to water users associations is an innovative activity, which requires new skills and approaches. During the first Irrigation Subsector Project substantial progress has been made in developing the procedures and institutional capacity to implement turnover. By continuing to monitor the implementation of turnover and the performance of WUA at managing turned over systems much more can be learned about how to further refine the turnover process.
During earlier phases of the turnover project monitoring has been primarily the responsibility of external organizations. In the current phase the goal is to develop more participatory methods through which most monitoring can be done by the Public Works officials responsible for implementation and by the water users themselves.
This paper presents ideas concerning how to develop a more participatory approach to monitoring. The paper emphasizes monitoring to track project implementation, solve problems and improve implementation within the context of existing policies. Some of this information will also be relevant to evaluating impacts of the project and assessing the need to make more fundamental policy changes. Case studies can be relevant to such policy level questions. Special studies by university researchers or others outside the context of routine monitoring may also be useful.
However there are many opportunities to make use of information that implementers already possess or can easily gather and which they can use directly to improve activities. Monitoring only for remote decision-makers in the provincial or national capital is unlikely to be productive. Unless monitoring is useful for implementers information is unlikely to be collected in an accurate and timely way. The first section discusses some principles concerning how to make monitoring effective and efficient. The second section discusses the various levels at which monitoring can be carried out and issues relevant for each level.
Many of procedures used for turnover are based on methods tested and refined during earlier projects, including the High Performance Sederhana Irrigation Systems Project and the Madiun Project in East Java. These methods have been further revised and adapted for use in turnover. Underlying this evolution has been a learning process approach to project implementation. Ideas, assumptions, methods and other aspects of a project are modified during the course of implementation as new information become available and lessons are learned from experience.
Several methods have been used to facilitate this learning process. Attempts have been made to document conditions in the field, which often differ greatly from assumptions made during project design. Such field level information often reveals specific problems which need to be overcome so that agency procedures can support policy goals. Working groups in various forms have been used to bring together agency officials with staff from non-government organizations and researchers to discuss problems and explore solutions. A participatory approach to training is encouraged so that training is more consistent with the approach that TP4 are expected to use in working with farmers. Training has been divided into four separate sessions, so that trainees can practice new skills and return to discuss their experience and how to improve in the next phase.
... Ideas, assumptions, methods and other aspects of a project are modified during the course of implementation as new information become available and lessons are learned from experience. ...
The monitoring project can build on these methods and further increase the capacity of Public Works to learn about and solve problems. Thus the approach can continue to be one of a learning process which assumes that there is still much potential for further improving the process of turnover.
Perhaps the most fundamental question concerns what to monitor. The management saying is that "what gets measured is what gets done." If attention is restricted only to targets such as formal registration of water users associations then more important aspects may be neglected. The challenge is to create indicators which are simple and easy to use, but reflect the key goals which the project is intended to accomplish.
Turnover is one of a set of policy changes intended to strengthen irrigation operation and maintenance. Better operation and maintenance in turn should provide benefits in terms of improving the welfare of farmers and meeting national goals for food production.
So far, there has been a tendency only to look at the more immediate goals such as number of designs produced, sites constructed and area of systems turned over. Achieving these targets does not guarantee that more fundamental goals are being achieved. Indicators are also needed which reflect impacts on farmer welfare and agricultural production. For example, what changes occur in cropping intensity once water users associations are responsible for irrigation management.
... Indicators are also needed which reflect impacts on farmer welfare and agricultural production. ...
"Logical frameworks" offer one method for making explicit the hierarchy of project goals and the assumptions which influence their achievement. However this approach tends to be aimed at senior decision-makers rather than implementers. It is also often difficult to obtain agreement concerning targets, goals and indicators. The bias is often toward evaluation questions which are very demanding in terms of time and skills. The primary emphasis on this paper is on methods for monitoring which can be applied by implementers to support a process of learning and continuing improvement.
One of the major goals of turnover has been to increase farmer participation in the process of irrigation development. This is based on the argument that farmers are well informed about local irrigation conditions and motivated to manage irrigation systems well.
The project has also sought to enable implementing officials, including juru pengairan, to take an active, creative role in working with farmers, helping solve problems and achieve project goals within the context of local conditions.
This emphasis on participation in irrigation is part of a broader shift to more participatory approaches to development, to have those involved take a more active part in the process, contributing their own ideas and making decisions rather than just implementing centrally determined projects. This same emphasis on participation can be applied to the issue of monitoring.
There is often a tendency for monitoring to be assigned to a separate unit, with little clear understanding of how the results of monitoring will actually be used. Those most directly involved in implementation actually have far more information available, and usually a better understanding than someone from a specialized external unit. Many opportunities exist for enabling farmers and implementing officials to take a more active part in monitoring, analyzing and improving the process of turnover.
Monitoring activities of observation and analysis can occur as part of existing activities such as informal visits and conversation, routine meetings as well as more structured methods including rapid appraisal, sustainability analysis, participatory evaluation and farmer to farmer visits. Experience in the turnover project shows that within a bureaucratic agency such as Public Works sensitive topics can be dealt with much more openly and creatively in the context of informal conversation rather than formal meetings or written materials. Monitoring methods will need to recognize and support such informal mechanisms, rather than simply focusing on drafting forms to be filled in.
... Many opportunities exist for enabling farmers and implementing officials to take a more active part in monitoring, analyzing and improving the process of turnover. ...
Monitoring methods need to provide a valid picture of events. Attention has to be paid to making sure that monitoring is not biased by reports from a few unrepresentative model sites. Many other factors besides turnover can influence O&M, agricultural production and farmer welfare. To the extent possible, the impact of turnover has to be disentangled from these other factors. Monitoring methods need to generate information on problems and failures, not just successes.
Many methodologies have been developed to improve the validity of research. These include many different evaluation research methods and also approaches such as rapid appraisal. However most of these have been developed for more academic research. The challenge is to see which of these methods can be adapted for use within the context of participatory monitoring activities.
Simply accumulating as much information as possible is wasteful and ineffective. Information needs to be screened. Officials at different levels are responsible for different types of decisions. If things are running smoothly relatively little information may be needed, while if problems occur they may need to be analyzed in depth.
In practice the flow of information within an organization such as Public Works already reflects the hierarchy of different positions and different needs for information. However there is also much information collected which goes unused. Conversely some important information often goes unreported, especially if it would reflect badly on those reporting it. The goal in improving monitoring is not to maximize the flow of information but to optimize it. Avoiding excessive and unnecessary monitoring is probably as important as ensuring that key indicators are monitored. The question is how to make best use of the limited amount of time officials have to spend on turnover.
... The goal in improving monitoring is not to maximize the flow of information but to optimize it. ...
Turnover is intended to support a better pattern of cooperation, a better division of labor between farmers and government in irrigation management, which should lead to better operation and maintenance of small irrigation systems. The same principles of cooperation and division of labor apply to monitoring. For monitoring most aspects of operation and maintenance those best able to monitor are the farmers. Government can assist and support these efforts. Government can also carry out more specialized monitoring concerning technical issues and project implementation.
The Ministerial Ordinance on Implementing Guidelines for Turnover outlines procedures for registration of water users associations by Bupati. Hundreds of WUA have been registered. However besides the formalities of organization and registration there is still much potential for developing WUA capacity for O&M. This includes improving water distribution to tail end areas and ensuring that adequate maintenance is done to prevent major damage to irrigation system structures.
There are many methods which can be used for assessing the performance of water users associations. One tendency has been to focus on more easily measured administrative aspects, such as paperwork, meetings held and fees collected. However the links between these and actual performance in irrigation management are uncertain. Using administrative activities as indicators may lead to having forms filled out and meetings held while the more important goals of WUA are neglected.
There seems no escape from having to actually look at how well systems are operated and maintained through some kind of a walkthrough. WUA leaders, perhaps accompanied by juru pengairan or PPL, need to walk along the canals, observe structures, identify problems and discuss how management can be improved. Without periodically observing systems in the field it is hard to draw conclusions about performance. Problems are easily ignored unless they are observed directly. The great variety in local conditions makes a walkthrough even more crucial when officials are trying to assist WUA in improving irrigation management. The management priorities in water scarce systems are quite different from those in systems with abundant supplies of water.
The Gal Oya project in Sri Lanka formulated an approach for WUA self-evaluation. Rather than outside assessment the goal was to have farmers make their own assessment of how well the WUA was doing and what needed to be improved. In other areas there are similar efforts to enable greater participation in monitoring and evaluation of development. Participatory approaches to rapid appraisal have been developed in Kenya and India. The principle is to recognize that farmers are intelligent, able to analyze and have a strong interest in solving the problems they face. Rather than trying to impose uniform top down prescriptions it is better for outside intervention to enhance local problem solving efforts.
For operation of irrigation systems farmers have a direct interest in the results. In some cases outside assistance may be needed to resolve water conflicts or encourage more equitable distribution of water to tail areas. However generally farmers are already quite active in water distribution and usually capable of resolving the problems which occur.
... farmers are intelligent, able to analyze and have a strong interest in solving the problems they face. ...
The more difficult issues concern maintenance. At some sites before turnover these tasks were done by Public Works, particularly for diversion structures and main canals. There is also a general tendency, on the part of both individuals and bureaucratic agencies, to defer maintenance, often until it is too late and major problems occur Carrying out preventive maintenance is complicated for an organization such as a WUA which must obtain agreement from many people. Maintenance problems may be less visible. They may require more technical input for solution. As Michael Moore argues in his paper "Maintenance Before Management: A New Strategy for Small Scale Irrigation Tanks in Sri Lanka?" (ODI-IIMI Irrigation Management Network Paper 88/2e December 1988) maintenance is likely to be the area where there is more need for government technical assistance, and where the benefits of technical guidance are likely to be highest.
Juru pengairan are the front line workers in gathering information and providing services to water users. The turnover project has demonstrated that, with appropriate training and support, they are capable of carrying out a participatory approach to irrigation development. This is possible despite their often limited education. They are often also enthusiastic about this work which allows them to work more creatively and actively with farmers to solve problems and improve irrigation.
It should be similarly possible for juru pengairan to play an important role in monitoring and guidance of WUA irrigation management. For this they may need better tools for gathering information and analyzing problems. They also need to see providing technical guidance to WUA as part of their responsibility. There need to be procedures so that they receive recognition if they spend time providing technical assistance, or else they may neglect it in favor of more pressing demands.
... It should be similarly possible for juru pengairan to play an important role in monitoring and guidance of WUA irrigation management. ...
Juru pengairan have limitations in terms of knowledge and authority. The closest source of support is the ranting dinas office. The policy for turnover has been to use existing staff and lines of authority, rather than creating a separate project unit. However there was no general guidance on how Ranting Dinas should be involved, so that various provinces made different decisions about how to involve Ranting Dinas heads in turnover.
Discussion of the role of the Ranting Dinas can be linked to current discussions about creating a new irrigation extension position which might be based in the Ranting Dinas. At a minimum the head of the Ranting is the supervisor of the juru and responsible for ensuring that monitoring is carried out and providing essential assistance to juru in carrying out monitoring and other activities.
Coordinators based in the Cabang Dinas are responsible for supervising the implementation of turnover. They need to keep track of activities, and to know where there are problems which may require assistance to TP4 and WUA.
The provincial irrigation service officials have responsibility for managing the implementation of turnover. They manage planning, training, WUA development, design, construction and turnover. They have to deal with a large volume of information and cannot rely simply on informal communication. There is a need for both informal methods and systematic methods, qualitative and quantitative information. To make decisions, manage activities and help solve problems they also need some in depth understanding of how turnover works in the field. It is not feasible to visit every site but it is possible to visit some.
The information system currently used for tracking the status of turnover activities has relied on data collection and reporting by consultant staff. One of the goals of the next phase is to transfer this systematic quantitative monitoring to Public Works. For this to be successful the system will need to be adapted so that officials at the cabang dinas and provincial level are motivated to provide accurate and timely information.
The tendency is to not report information that might make a unit look bad. Instead no reports may be made until some accomplishments can be demonstrated. This lack of information about progress makes it very different for higher level units to manage turnover activities. However unless the information is useful to those reporting it, they will be unlikely to give a high priority to accurate and quick reporting.
... However unless the information is useful to those reporting it, they will be unlikely to give a high priority to accurate and quick reporting. ...
Turnover is a new policy which is being implemented with central guidance. However this change is taking place within the context of a process of decentralization. There is already great diversity between the various provinces, in organizational structure, in number and skills of staff and in how they apply policies. Decentralization will produce even more scope for variations, with more decisions made at the provincial and district level.
If the Directorate of Irrigation I in Jakarta is to provide effective policy and technical coordination then it will be important that information is available about what is actually happening in the field. Obviously many mechanisms for this already exist, through meetings, informal conversation, written reports and field visits. The need will be to identify which of these can be strengthened to provide more accurate and useful information which can help improve the coordination of policy.
Case studies can provide useful information on specific issues related to policy. One example is the question of how to turn over systems between 150 and 500 hectares in size. This will be important if turnover is to include these systems which require more complicated organizations.
Another issue is the legal status of WUA. It will be important to monitor the performance of WUA in managing irrigation systems, identify obstacles they face and possible solutions. Some WUA are already interested in or trying to open bank accounts, borrow money and enter into contracts. Monitoring can help show the extent to which these can be done within the current regulatory framework and where policy changes may be needed. One specific question is whether WUA can obtain sufficient legal status by the process involving notaris that private companies and foundations use.
If WUA are to fulfill their responsibilities for operating, maintaining and improving irrigation systems then in some cases they need legal status to be able to accomplish this. The need is not for all WUA to obtain legal status but for it to be an option open to those WUA who need to do such things as open bank accounts, enter into contracts or borrow money and otherwise act as autonomous organizations to carry out their responsibilities for operating, maintaining and improving irrigation systems.
Case studies can generate information on such policy issues which may require action at the national level. Compiling and comparing other monitoring information at the national level also provides an opportunity to identify common problems and facilitate exchange of information between provinces about ways to improve implementation.
Monitoring is needed to learn how to improve the process of turning over irrigation systems and how to support irrigation management by WUA after turnover. Indicators are needed which reflect the actual goals of maintaining and improving irrigation management. Water users organizations, juru pengairan and others responsible for implementation can play a key role in collecting information, analyzing problems and finding solutions. The need is not to increase the amount of information collected but to optimize the process, so that information is only collected if it is directly relevant and will influence decisions.
... Water users organizations, juru pengairan and others responsible for implementation can play a key role in collecting information, analyzing problems and finding solutions. ...
Water users associations should be given primary responsibility for assessing their own performance in managing irrigation systems. Juru pengairan need to support this self assessment by WUA and provide specific technical assistance in key areas such as maintenance. Officials at the cabang dinas and provincial level need to have information about progress of implementation and ensure that monitoring activities are carried out. More focused case studies and pilot activities can help officials in Jakarta and the provinces in developing policies and guidelines for further strengthening successful participatory irrigation development.
This paper was written as part of preparatory activities for LP3ES assistance to the Ministry of Public Works for monitoring of turnover of small irrigation systems to water users associations.
This paper draws on ideas which have been expressed during discussions about the Small Scale Irrigation Turnover Project which included staff of LP3ES, Directorate of Irrigation I and the Ford Foundation. I also benefited from comments by Dr. Kyi of the International Irrigation Management Institute, particularly on the importance of making sure that monitoring information will be useful for those collecting it. Statements in the paper do not necessarily reflect the official views of any of these organizations. Jakarta: Institute for Social and Economic Research, Education and Information (LP3ES).
June 14, 1991. Revised May 23, 1992. [html 97-11-30]
Comments and questions regarding this paper should be directed to Bryan Bruns at 39/1 Ban Daun Ngeun, A. Pong, Phayao 56140 Thailand, or BryanBruns@BryanBruns.com
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BryanBruns@BryanBruns.com
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