OECD Survey on Water Governance ( )

Transcription

1 OECD Survey on Water Governance ( ) Survey Respondent Country Name Title Organisation Telephone OECD Contact To fill in the questionnaire electronically, please contact Please return the survey and any accompanying documents to of the Regional Competitiveness and Governance Division, Public Governance and Territorial Development Directorate. For additional questions, do not hesitate to contact Aziza AKHMOUCH by or by phone: (0) Background information In 2007, the OECD launched a vast horizontal project on water resources and services ( The first phase of this programme ( ) produced strong results and guiding principles. The implementation of this phase faces important difficulties given the high degree of fragmentation that exists in the allocation of responsibilities across ministries and levels of government, as well as the limited competences of some key actors, especially at the sub-national level. This survey is a key step of OECD current work on policy coherence and multilevel governance in the water sector, which aims to identify good governance practices for managing mutual interdependencies between the different actors and agencies responsible for decision-making in the water sector, in order to enhance an integrated water-policy approach. This work will produce several case studies, experts meetings, as well as a synthesis report on Water governance across levels of government, a contribution on institutional mechanisms to improve policy coherence in water management, and guidelines for the sustainability of water resources and services. Objectives of the questionnaire The actors targeted by this questionnaire are policy-makers at central, regional, local government levels or agencies. Your responses will be used to develop OECD-wide comparisons as well as identify governance practices that could be the subject of more in depth OECD work. The objectives of this survey are threefold: Identify the allocation of responsibilities for water management at the central government level and across levels of government to elaborate a water institutional mapping in countries; Identify key co-ordination challenges for the governance of water, and governance mechanisms developed by public administrations to tackle them; 1

2 Based on the obtained preliminary information, a series of national, regional and/or city-level in depth case studies in OECD and non-oecd countries will be prepared. The questionnaire is organised around 4 sections: 1. Institutional mapping of roles and responsibilities at central government level 2. Institutional mapping of actors and stakeholders at regional and local level 3. Building relevant knowledge and investment capacity at the territorial level 4. Opinions about governance challenges in water policy-making Some definitions For the purposes of this survey, the following definitions are used: Water Governance is distinct from water management, which refers to operational, on-theground activities to align water resources, supply, consumption and recycling. Water governance means rules and practices for decision-making about water policy and their implementation, i.e. the range of political, institutional, and administrative processes through which stakeholders articulate their interests, their concerns are considered, decisions are taken and implemented, and decisionmakers are held accountable in the development and management of water resources and delivery of water services. Multi-level Governance: This term is used to characterise the relationship between public actors situated at different administrative and territorial levels. This creates layers of actors who interact with each other: 1) across different levels of government (vertically); 2) among relevant actors at the same level (horizontally at central or at subnational level); or 3) in a networked manner. This relationship exists regardless of constitutional system (federal or unitary) and impacts the implementation of public policy responsibilities. Supranational: formal legal authority, decision-making power, soft law (guidelines, recommendations etc.) or conditional transfers from an institution (e.g. European Commission) or international body (World Trade Organisation, OECD, World Bank etc.) to member states. National or Central : central or federal government Regional : state, region, province, canton, or autonomous community government Local : mainly municipalities 2

3 1. Institutional mapping of roles and responsibilities at central government level Q1: At central government level, how are water policy design and implementation roles and responsibilities allocated across ministries and/or public agencies? Please fill the following tables with the names of the ministries and/or public agencies in charge. One answer at least is expected per box, there can be several ministries/agencies per box and the same agencies/ministries can be cited in multiple boxes. Roles Areas Strategy, priority setting, & planning (including infrastructure) Policy-making & implementation Information, monitoring & Evaluation Stakeholders engagement (Citizens awareness etc.) WATER RESOURCES Water Supply WATER SERVICES Domestic Agriculture Industry Wastewater Treatment Q2: Institutional mapping for quality standards and regulation Q2A: In your country, are there legislations on compulsory service delivery commitment, and water quality and quantity standards? If yes, which one(s)? Q2B: At central government level, how are regulatory powers allocated across ministries and/or public agencies? Please fill in the following table with the suggested regulatory bodies. One answer at least per box is expected. There can be several bodies per box and the same bodies can be cited in multiple boxes: - Ministerial department (which one(s)?) - Ministerial agency (which one(s)?) - Independent Advisory body (which one(s)?) - Independent regulatory authority (which one(s)?) - 3

4 Roles Areas Allocation of uses Quality standards Compliance of service delivery commitment Economic regulation (Tariffs etc.) WATER RESOURCES Water Supply WATER SERVICES Domestic Agriculture Industry Wastewater Treatmen Environmental regulation (Enforcement of norms etc.) Q2C: Has your country has set up specific regulatory agency(ies) in the water sector? If not go directly to Q3 If yes, please answer the following questions (tick the appropriate box and specify where needed): - Name, website and contact detail of the water regulatory agency: - Political independence from the executive power - Selection of the board of directors or top management: Elected Appointed Other - Economic and financial autonomy: Q3: How are central government roles and responsibilities in water policy-making defined? Please check all that apply (several possible answers) and specify when necessary: By Constitution? By Law? If yes, please specify which law(s): Ad hoc: Other? Please describe: 4

5 Q4: Beyond the ministries and agencies previously mentioned, are there other actors responsible for the design, implementation and regulation of water policies at central government level? If yes, please specify their names and functions: Q5: If your country is member of or in cooperation with the European Union, please answer the following questions, if not go directly to Q6 Q5A: Which ministry(ies), public agency(ies) or coordinating body(ies) is/are in charge of the implementation of the EU Water Framework Directive? Please insert their names (in the left column) and specify their role (in the right column) Name of the ministry/agency/coordination body Role in implementing the EU Water Framework Directive Etc. Q5B: Has the EU Water Framework Directive led to new governance arrangements in your country (e.g. citizens participation, river basin organisation)? If yes, please provide more details (10-15 lines) Q6: How are the actions of these different ministries and agencies co-ordinated at central government level? Q6A: Please specify how by ticking the appropriate box and providing for details: Existing co-ordination mechanism across ministries / public agencies A ministry of water A line ministry A central agency for water related issues? An ad hoc high level structure (National Council etc?) An inter-ministerial body? (Committee, commission etc.) An inter-agency programme? A coordination group of experts? An inter-ministerial mechanism for addressing territorial water concerns? Other (please specify) specific coordination mechanism YES NO DETAILS (Name, website, contact detail, description, examples etc.) Q6B. Please select two main or innovative mechanisms above-mentioned and provide for more in depth information (10-15 lines) 5

6 Mechanism 1: Mechanism 2: Q6C: Are there efforts to specifically coordinate water and energy policies at central government level? If yes, please give some examples: Example 1 (5-10 lines): Example 2 (5-10 lines): Q6D: Are there efforts to specifically coordinate water and agricultural policies at central government level? If yes, please give some examples: Example 1 (5-10 lines): Example 2 (5-10 lines): Q6E: Are there efforts to coordinate water, spatial planning and broader regional policies at central government level? If yes, please give some examples: Example 1 (5-10 lines): Example 2 (5-10 lines): Q7. At central government level, what are the most frequent obstacles to effective coordination between different administrative bodies in charge of water? Q7A: Identification and evaluation of obstacles Please tick the appropriate box (1= not important, 2= somewhat important, 3= very important, N/A= not applicable) and give some examples: Obstacles to effective co-ordination at central government level Overlapping, unclear, non existing allocation of responsibilities Intensive competition between different ministries (political rivalries etc.) Interference of lobbies Absence of common information and frame of reference for policymakers Lack of high political commitment and leadership in water policy Lack of staff and time Lack of institutional incentives for co-operation (objectives, indicators etc) Lack of technical capacities Difficult implementation of central government decisions at local and regional level N/A Examples (2-3 lines) 6

7 Mismatch between ministerial funding and administrative responsibilities Absence of strategic planning and sequencing decisions Absence of monitoring & evaluation of the outcomes of national water policies Difficulties related to implementation/adaptation to recent reforms Contradiction between national organisation and supranational recommendations/directives Lack of citizens concern on water policy Q7B: Please select two of the most prominent obstacles among the above-mentioned and provide for more in depth description (10-15 lines) Obstacle 1 (10-15 lines): Obstacle 2 (10-15 lines): Q7C: Please evaluate these obstacles in the energy, agriculture and regional development areas Please tick the appropriate box (1= not important, 2= somewhat important, 3= very important, N/A= not applicable) Obstacles to effective co-ordination between water and other policy areas Overlapping, unclear, non existing allocation of responsibilities Intensive competition between different ministries (political rivalries etc.) Interference of lobbies Absence of common information and frame of reference for policymakers Lack of high political commitment in water policy Lack of staff and time Lack of institutional incentives for co-operation (objectives, indicators etc) Lack of technical capacities Difficult implementation of central government decisions at local and regional level Absence of strategic planning and sequencing decisions Absence of monitoring & evaluation of the outcomes of national water policies Difficulties related to implementation/adaptation to recent reforms Contradiction between national organisation and supranational recommendations/directives Water and Regional development Water and Energy Water and Agriculture N/A N/A N/A 7

8 2. Institutional mapping of actors/stakeholders at subnational level (local and regional) Q8: How are water roles and responsibilities allocated at territorial level? Q8A: At subnational level, who is in charge of design and implementation of water policies? Please check all that apply: Actors at Subnational level Areas WATER RESOURCES Water Supply WATER SERVICES Domestic Agriculture Industry Wastewater Treatment Municipalities Regions (provinces, states in federal countries, autonomous regions, cantons etc.) Inter-municipal bodies Water specific bodies (e.g. elected Waterboards etc.) River basin organisations Q8B: At subnational level, who is in charge of regulation (rules production and enforcement) in the following areas? Please fill the following boxes with suggested options. One answer at least is expected per box, there can be several answers per box and the same actor can be cited in multiple boxes. - Municipalities, - Regions, - Inter-municipal bodies, - Water specific bodies, - River basin organisations, -. Areas WATER RESOURCES WATER SERVICES Roles Allocation of uses Quality standards Compliance of service delivery commitment Economic regulation (Tariffs etc.) Environmental regulation (Enforcement of norms etc.) Control at subnational level of national regulations enforcement Water Supply Domestic Agriculture Industry Wastewater Treatment Q9: How are subnational governments water roles and responsibilities defined? 8

9 Please tick the appropriate box (several possible answers) and specify where needed: By Constitution? By Law? If yes, please specify which one(s): Ad hoc: Informally Historical / ancestral heritage (e.g. water courts in Spain etc.) If yes, please specify which one(s): Please specify : Q10. Regarding territorial specificities Q10A: Are there specific rules for specific territories? If yes, please specify which one(s): Q10B: Is the allocation of responsibilities for water-policy design, implementation and regulation at subnational level the same throughout the country? Q10C: Are specific territorial areas taken into account in water policy allocation of responsibilities? Q10D: If yes, please fill in the following table. Please list the specific rules and responsibilities in these territories and evaluate the territorial challenges, and tick the appropriate box (1= not important, 2= somewhat important, 3= very important, N/A= not applicable) Specific territorial areas Existence of specific rules Specific allocation of responsibilities Metropolitan and urban areas Territorial challenges N/A Rural areas Cross-boundary areas Coastal areas Areas located across basins Mountains Islands Agriculture dominated areas Industry dominated areas 9

10 Q11: At subnational level, who is (are) responsible for implementing central government s water policies? Please tick the appropriate boxes and specify where needed: Central services of line ministry(ies) in regions (deconcentrated bodies) If yes, please specify which one(s): Coordinated body of central services of line ministry(ies) in regions (deconcentrated body) If yes, please specify which one(s): State Territorial Representatives (e.g. Prefects) Basin agencies If yes, please specify which one(s): Regional development agencies If yes, please specify which one(s): Regional, municipal and inter-municipal authorities If yes, please specify which one(s): Please specify : Q12: In terms of budget related to water policies (current spending and investment spending), who are the main actors? Please tick the appropriate box and provide figures and details when possible: Central government Details : Subnational government Details : River basin organisations Details : 10

11 Regional agencies Details : : Please specify : Q13: Beyond official allocation of water responsibilities, are some Water Users Associations involved in the decision-making of water policy? If no, go directly to Q14. If yes, please answer the following questions: Q13A: Please specify which one(s) and provide more information (website, contact details etc.): Q13B: Are these leading groups: Widespread in the country? Active in some specific places? Please give examples of their contribution to design, planning and management of water and how they address water users conflicts : (10-15 lines) Q14: What are the existing mechanisms used for co-ordination between central and subnational governments in water policy-making? Q14A: Identification of mechanisms Please tick the appropriate box (NA= not applicable) and specify (several possible answers) Existing mechanism for vertical coordination and territorial effectiveness in water policy River basin organisations / agencies Regulations for sharing roles between actors Co-ordination agency or commission Contractual arrangements (between central and local governments, central and regional governments, regional and local governments) Intermediate bodies or actors (e.g. state territorial representatives) Financial transfers or incentives Performance indicators Shared databases Sectoral conferences between central and subnational water players Multi-sectoral conferences Consultation of private stakeholders (profit and non-profit actors) YES NO N/A Details (contact information, website, etc.) 11

12 Q14B: Please select two of these mechanisms that proved to be successful in your country and provide a few lines of explanation of how they function and what they achieved (10-15 lines) Mechanism 1 Mechanism 2 Q15A: Does your country have basin agencies? If not, please go directly to Q16 Q15B: What are their constituencies? Please tick the appropriate box and specify where needed. Several answers are possible. Central government ministries or public agencies If yes, which ministries/public agencies? Local and regional authorities If yes, which subnational authorities? Private companies If yes, which ones? Citizens and NGOs If yes, which ones? : Please specify : Q15C: What are their missions? Please tick the appropriate box and specify. Several answers are possible (N/A = not applicable) Mission of water agencies YES NO N/A Details (contact information, website, etc.) Monitoring Co-ordination Regulation Data collection Pollution prevention 12

13 Harmonisation of water policies at basin level Allocation of uses Planning Financing Infrastructure construction Please give more details, including in terms of knowledge transfer (10-15 lines) Q15D: Who is in charge of monitoring their activities? Please give details and if possible contact and website reference (10-15 lines) Q15E. How are these water agencies financed? Please tick the appropriate box and specify where needed. Several answers are possible: Autonomous budget If yes, specify the origin of financing: Grants from central government If yes, specify the amount if possible: Grants from subnational governments If yes, specify the amount if possible: : Please specify : Q16. What are still the most frequent obstacles for effective vertical co-ordination across different levels of government? Please tick the appropriate box (1= not important, 2= somewhat important, 3= very important, N/A= not applicable) Main vertical coordination challenges In general Metropolitan and urban areas Rural areas N/A N/A N/A Asymmetries of information between central and subnational governments in policy making Impact at subnational level of sectoral fragmentation in central government Unstable or insufficient revenues of subnational governments to effectively implement water policies 13

14 Insufficient scientific/technical knowledge and inappropriate infrastructure undermining implementation capacities of local actors Insufficient evaluation of subnational practices and of central government policy and regulation Insufficient evaluation of central government enforcement policy and regulation at territorial level Others (specify) Please give more details on selected specific examples : 3. Building relevant knowledge and investment capacity Q17: In your country, what are the co-ordination and capacity challenges at territorial level in terms of knowledge, infrastructure and investment? Please tick the appropriate box (1= not important, 2= somewhat important, 3= very important, N/A= not applicable) Co-ordination and capacity challenges at territorial level Mismatch between hydrological and administrative boundaries Over-fragmentation of subnational responsibilities In general Metropolitan and urban areas Rural areas N/A N/A N/A Insufficient funding Insufficient knowledge capacity Lack of synergies between policy fields at local level Lack of relevant scale for investment Different rules from one territory to another Different incentives from one territory to another Others (specify) Please give more details on selected specific examples : Q18: Which specific tools have been adopted to manage the interface between the different actors at subnational level? Please tick the appropriate box (N/A= not applicable) and specify (several possible answers): Existing mechanisms for co-ordination across different water actors at subnational level Inter-municipal collaboration Inter-municipal specific body Specific incentives from central/regional government (in terms of rules, rewards and sanction mechanisms, budget allocation etc.) YES NO N/A Details (name, example, contact information, website, capacity issues addressed etc.) 14

15 Historical rules and traditions Specific mechanisms for conflict resolution Informal co-operation around projects Joint financing Metropolitan or regional water districts Q19: Which mechanisms have been adopted to build capacity at subnational level and/or adjust it to new challenges? Please tick the appropriate box (N/A= not applicable) and specify (several possible answers): Type of mechanism YES NO N/A Details (name, example, contact information, website, capacity issues addressed etc.) Collaboration with the private sector (know-how transfer, concession contracts, BOTs etc.) Financial incentives (specify from whom and for what) Performance indicators and targets holding local governments accountable Citizens participation Involvement of civil society organisations Databases (sharing information) Historical arrangements (water courts etc.) BROAD GOVERNANCE MECHANISMS Training Workshops Conferences Specific performance monitoring mechanism for staff (teams or individuals) MANAGEMENT MECHANISMS Q20: Are there some water-policy experimentations at territorial level? If yes, please precise the place, purpose, evaluation and to what extent good practices from such experimentations have been implemented elsewhere (10-15 lines) Q21: Monitoring and enforcement of water policies at subnational level Q21A. Are there tools to measure progress in water policy implementation at a subnational level? If yes, specify which one(s) : Q21B. Are monitoring systems standardised across basins? If yes, specify how: 15

16 Q21C: Is this information used for benchmarking subnational bodies in charge of water? If yes, specify how: Q21D: Is this information made public? (e.g. to water users and NGOs) If yes, specify how: 4. Opinions about governance challenges in water policy-making Q22: In your country, what are the main governance challenges in water policy-making? Please tick the appropriate box (1= not important, 2= somewhat important, 3= very important, N/A= not applicable) Challenges N/A Examples (2-3 lines) Mismatch between hydrological and administrative boundaries Allocation of water resources across uses (residential, industrial, agriculture) Local and regional governments capacity to design/implement water policies Enforcement of environmental norms Economic regulation (tariffs, private sector participation etc.) Limited citizen participation Horizontal co-ordination across ministries Vertical co-ordination between levels of government Horizontal coordination between subnational actors Managing the specificity of rural areas Managing the specificity of urban/metropolitan areas Managing geographically specific areas (islands, mountains etc.) Q23: Water governance and Transboundary issues Q23A: Is your country or region sharing water resources (basin, lakes, rivers etc.) or areas (sea etc.) with neighbouring countries? If no please go directly to Q24. If yes, please answer the following questions. Q23B: Which ministry(ies)/public agency(ies) is(are) in charge of transboundary water issues? - - Q23C: What are the main governance challenges linked to transboundary water issues? 16

17 Please give examples (10-15 lines) Q23D: Have specific mechanisms been adopted to adjust these challenges? Q23E: How do these mechanisms perform? (10-15 lines) Please give examples (10-15 lines) Q24: Water governance and risk management Q24A: Does your country face governance challenges linked to risk management (floods, droughts, fires etc.)? If no please go directly to Q25. If yes, please answer the following questions. Q24B: Have arrangements, regulations or reforms been experimented to tackle these challenges? Please give examples (10-15 lines) Q25. Water governance and Climate change Q25A. Has climate change entailed an evolution of water governance in your country (e.g. new stakeholders, establishment of performance indicators, new allocation of responsibilities etc.)? If no please go directly to Q26. If yes, please answer the following questions. Q25B. Have arrangements, regulations or reforms been experimented to tackle these challenges? Please give examples (5-10 lines) Q26. Generally speaking, has your country recently experienced innovative practices in water governance in any of the following areas or intends to do so in the near future? Please tick the appropriate box and give examples where needed. Q26A. New design of water policies Please give examples (5-10 lines) Q26B. New design of legislative and regulatory framework 17

18 Please give examples (5-10 lines) Q26C. Co-ordination reforms: Among local and regional actors Between subnational and central governments Between central government actors Vis-à-vis non public stakeholders Q26D. Innovative delivery of water services (desalinisation, social engineering, recycling used water etc.): Please give examples (5-10 lines) Q26E. : Please give examples (5-10 lines) Q27. Which subnational case study or specific mechanism adopted by your country could be relevant for a more in depth analysis? Please give contact details, references and website: Q28. Which example from another country would you be interested in to be developed? Please give contact details, references and website: Thank you for having taken the necessary time to answer this questionnaire. 18