L.M. Hermans
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1
Policy analysis for transformations in water governance
Exploring the case of water allocation and rights in Indonesia
This article examines how policy analysis can support transformations in water governance and management, especially under contested situations. Transformations aim to achieve deep and widespread change toward a more sustainable future. In response to pressing water challenges, transformations may be required within water allocation and rights systems, which are practiced in diverse frameworks across the globe. However, processes of transformation can be highly contested due to the varying knowledge, values, interests, and power relations that exist among involved actors. Research on navigating these contested transformations is limited; however, the field of policy analysis has long developed concepts and tools for addressing contested problems. Accordingly, we propose a framework comprising policy analysis activities to support navigating contestations across transformation approaches. We illustrate the usefulness of this framework through a case study of water allocation and rights in Indonesia. This analysis highlights that a diverse range of policy analysis activities have been undertaken across the three different transformation approaches, each of which exhibits contestation. However, policy analysis activities that support community-led transformations appear more limited, suggesting an important area of untapped potential in this and other water transformation contexts.
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This article examines how policy analysis can support transformations in water governance and management, especially under contested situations. Transformations aim to achieve deep and widespread change toward a more sustainable future. In response to pressing water challenges, transformations may be required within water allocation and rights systems, which are practiced in diverse frameworks across the globe. However, processes of transformation can be highly contested due to the varying knowledge, values, interests, and power relations that exist among involved actors. Research on navigating these contested transformations is limited; however, the field of policy analysis has long developed concepts and tools for addressing contested problems. Accordingly, we propose a framework comprising policy analysis activities to support navigating contestations across transformation approaches. We illustrate the usefulness of this framework through a case study of water allocation and rights in Indonesia. This analysis highlights that a diverse range of policy analysis activities have been undertaken across the three different transformation approaches, each of which exhibits contestation. However, policy analysis activities that support community-led transformations appear more limited, suggesting an important area of untapped potential in this and other water transformation contexts.
Adaptive Governance in Practice
Towards Climate Resilient Water Management in Dutch Coastal Agriculture
This study investigates the practical merits and limitations of adaptive governance, an approach aimed at guiding the intricacies of climate adaptation in complex socio-technical ecological systems. Despite its recognition as a key strategy, questions persist regarding the potential of adaptive governance as a vehicle for meaningful adaptive change. To address this gap, this paper investigates the governance context of the water-adaptation process to drought and salinity in The Netherlands, with a focus on coastal agriculture in the northern Netherlands. Using an interpretative science approach, the study delves into the experiences and subjectivities of stakeholders engaged in adaptation initiatives combating water-related challenges through semi-structured and conversational interviews. The study presents an exploration of central adaptive governance elements (polycentricity; knowledge and learning; leadership; flexibility and variety; and communication) in theory and relates these to the reality of involved actors. The findings reveal how the aspired polycentric and flexible nature of adaptive governance negatively affects the other elements in practice by affecting collaboration and motivation for adaptation, and observes that (perceived) central leadership is much less influential than expected. The findings contribute to our understanding of the governance of lasting adaptivity, highlighting that the adaptive governance paradigm, although it remains useful, must be re-evaluated for contemporary use. Opportunities for the field are discussed.
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This study investigates the practical merits and limitations of adaptive governance, an approach aimed at guiding the intricacies of climate adaptation in complex socio-technical ecological systems. Despite its recognition as a key strategy, questions persist regarding the potential of adaptive governance as a vehicle for meaningful adaptive change. To address this gap, this paper investigates the governance context of the water-adaptation process to drought and salinity in The Netherlands, with a focus on coastal agriculture in the northern Netherlands. Using an interpretative science approach, the study delves into the experiences and subjectivities of stakeholders engaged in adaptation initiatives combating water-related challenges through semi-structured and conversational interviews. The study presents an exploration of central adaptive governance elements (polycentricity; knowledge and learning; leadership; flexibility and variety; and communication) in theory and relates these to the reality of involved actors. The findings reveal how the aspired polycentric and flexible nature of adaptive governance negatively affects the other elements in practice by affecting collaboration and motivation for adaptation, and observes that (perceived) central leadership is much less influential than expected. The findings contribute to our understanding of the governance of lasting adaptivity, highlighting that the adaptive governance paradigm, although it remains useful, must be re-evaluated for contemporary use. Opportunities for the field are discussed.
Co-creating water knowledge
A community perspective
Journal article
(2025)
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Giulio Castelli, Ben C. Howard, Luna Bharati, Liduin Bos-Burgering, Leon Hermans, Bich Ngoc Tran, More Authors..., Tanveer M. Adyel, Amir AghaKouchak, Afnan Agramont, Hafzullah Aksoy, Rossella Alba, Pedro H.L. Alencar, Amobichukwu C. Amanambu, Hasnat Aslam
Navigating the complexities of global and local water resources challenges requires collaboration and mutual learning among diverse knowledge systems and disciplines. However, Western philosophical approaches to generating knowledge have prevailed in water management and hydrology, often overlooking community priorities, practices and perspectives, and power asymmetries - including gender inequalities, racism, and colonial injustices. In this perspective paper, we explore the co-creation of water knowledge (CCWK) concept to value multiple and diverse forms of knowledge. We identify four overarching principles (inclusivity, openness, legitimacy, and actionability), highlighting the importance of establishing relationships and collaborative leadership, adopting key tools and techniques, and integrating knowledge for water resources management. Furthermore, we argue that prioritizing epistemic justice is essential for effective CCWK. To address these, we advocate for more interdisciplinary and reflexive research practices that challenge and disrupt Western scientific traditions shaped by functionalist and colonial legacies.
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Navigating the complexities of global and local water resources challenges requires collaboration and mutual learning among diverse knowledge systems and disciplines. However, Western philosophical approaches to generating knowledge have prevailed in water management and hydrology, often overlooking community priorities, practices and perspectives, and power asymmetries - including gender inequalities, racism, and colonial injustices. In this perspective paper, we explore the co-creation of water knowledge (CCWK) concept to value multiple and diverse forms of knowledge. We identify four overarching principles (inclusivity, openness, legitimacy, and actionability), highlighting the importance of establishing relationships and collaborative leadership, adopting key tools and techniques, and integrating knowledge for water resources management. Furthermore, we argue that prioritizing epistemic justice is essential for effective CCWK. To address these, we advocate for more interdisciplinary and reflexive research practices that challenge and disrupt Western scientific traditions shaped by functionalist and colonial legacies.
Co-creation is seen as instrumental in bridging the gap between scientific innovation in climate services and their use in decision-making. However, there has been limited engagement with the different types of co-creation approaches that exist in practice, how they are executed, how they bridge the usability gap, and in what situations they would be most effective. This study aims to characterise climate service co-creation in practice, and develop typologies to explore how they bridge the usability gap. We conducted Thematic and Ideal Type Analyses of 33 case studies developed from Key Informant Interviews and Content Analysis of co-creation process documents. We show that i) co-creation approaches place a strong emphasis on the climate information (its usability and usefulness) to improve use of climate services, ii) co-creation in practice deviates from the theoretical approach, and iii) in addition to other contextual factors, the mode (research and commissioned) of co-creation has a strong influence on the execution of co-creation processes. We develop three typologies of climate service co-creation in practice; i) information-intensive (n = 21), concerned with producing useful information; ii) functional-use intensive (n = 5), concerned with the usability of the co-created information in decision-making; and, iii) innovation-oriented (n = 7), concerned with embedding new insights into innovative climate services. This study benefits researchers and practitioners implementing co-creation in the field of climate services to understand the types of co-creation that exist, the risks associated with each type, and the level to which each type may influence the use of climate services.
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Co-creation is seen as instrumental in bridging the gap between scientific innovation in climate services and their use in decision-making. However, there has been limited engagement with the different types of co-creation approaches that exist in practice, how they are executed, how they bridge the usability gap, and in what situations they would be most effective. This study aims to characterise climate service co-creation in practice, and develop typologies to explore how they bridge the usability gap. We conducted Thematic and Ideal Type Analyses of 33 case studies developed from Key Informant Interviews and Content Analysis of co-creation process documents. We show that i) co-creation approaches place a strong emphasis on the climate information (its usability and usefulness) to improve use of climate services, ii) co-creation in practice deviates from the theoretical approach, and iii) in addition to other contextual factors, the mode (research and commissioned) of co-creation has a strong influence on the execution of co-creation processes. We develop three typologies of climate service co-creation in practice; i) information-intensive (n = 21), concerned with producing useful information; ii) functional-use intensive (n = 5), concerned with the usability of the co-created information in decision-making; and, iii) innovation-oriented (n = 7), concerned with embedding new insights into innovative climate services. This study benefits researchers and practitioners implementing co-creation in the field of climate services to understand the types of co-creation that exist, the risks associated with each type, and the level to which each type may influence the use of climate services.
Groundwater management is a complex task that includes a multitude of actors. It is even more complicated in water scarce countries with less well-established formal water governance structures. In these settings, local government officers have been recognised for their essential role in groundwater management. Often, their role is described as problematic, with officers being under-resourced, under-motivated and, at times, corrupt. In this paper we zoom in on these street-level bureaucrats in Azraq, one of the most depleted groundwater basins in Jordan. Based on inputs from officers, farmers, and sector experts, we collate and analyse information on how the settings in which local officers work influence their day-to-day implementation of policies. We observe that officers in Azraq are heavily influenced by the context in which they operate. This context is characterised by the physical scarcity of groundwater, the formal policy setting, and the presence of the shadow state. The context shapes local officers’ relationships with farmers, their own personal beliefs and subjectivities, and their capacity and resources. As a result, their divergent actions arguably become the groundwater management policy. Based on these findings, we argue that a deeper understanding is needed of the underlying factors and drivers that shape local groundwater management if we are to arrive at better groundwater policy for a more sustainable future.
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Groundwater management is a complex task that includes a multitude of actors. It is even more complicated in water scarce countries with less well-established formal water governance structures. In these settings, local government officers have been recognised for their essential role in groundwater management. Often, their role is described as problematic, with officers being under-resourced, under-motivated and, at times, corrupt. In this paper we zoom in on these street-level bureaucrats in Azraq, one of the most depleted groundwater basins in Jordan. Based on inputs from officers, farmers, and sector experts, we collate and analyse information on how the settings in which local officers work influence their day-to-day implementation of policies. We observe that officers in Azraq are heavily influenced by the context in which they operate. This context is characterised by the physical scarcity of groundwater, the formal policy setting, and the presence of the shadow state. The context shapes local officers’ relationships with farmers, their own personal beliefs and subjectivities, and their capacity and resources. As a result, their divergent actions arguably become the groundwater management policy. Based on these findings, we argue that a deeper understanding is needed of the underlying factors and drivers that shape local groundwater management if we are to arrive at better groundwater policy for a more sustainable future.
Journal article
(2023)
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Sharlene L. Gomes, Leon M. Hermans, Shreya Chakraborty, Sarah Luft, Carsten Butsch, Partha Sarathi Banerjee
Peri-urban transformations in emerging economies like India demand scientific attention given their impact on global environmental change processes. Some studies examine past or ongoing peri-urban adaptation processes, but insight into future adaptation needs and aspirations of peri-urban communities is lacking. Also, it is unknown how the high degree of informality that characterizes peri-urban areas, interacts with formal institutions to shape or enable more sustainable adaptation pathways. This study addresses these scientific gaps, using an existing typology of adaptation processes to investigate plausible future adaptation pathways in three peri-urban villages in India, near Pune, Hyderabad, and Kolkata cities. On-site field research followed by a Delphi-study were used to develop normative adaptation pathways for livelihood and household water use with local actors. The pathways represent development trajectories and adaptation strategies over the next 15 years in the livelihood and household water sectors. Pathways data was thereafter analyzed and compared in terms of drivers of vulnerability and opportunity, adaptation processes, and formal and informal institutions. Our ex-ante study identifies general and context specific drivers of vulnerability and opportunity shaping different peri-urban transformations. Results reveal similarities in future drivers, whose impact on peri-urban livelihoods and household water is context dependent. This comparative analysis contributes a deeper understanding of future adaptation needs by highlighting patterns in locally preferred adaptation processes for different drivers and water-use sectors. This normative understanding reveals preferences of local communities who are otherwise marginalized from decision-making arenas. A combination of adaptation processes will be needed to respond to the various drivers, only some of which are achievable through informal institutions. Formal government intervention will be essential for stimulating innovation, intensification, and revitalization forms of adaptation. Institutional adjustments will be key to shaping local agency and future adaptive capacity away from a business-as-usual trajectory.
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Peri-urban transformations in emerging economies like India demand scientific attention given their impact on global environmental change processes. Some studies examine past or ongoing peri-urban adaptation processes, but insight into future adaptation needs and aspirations of peri-urban communities is lacking. Also, it is unknown how the high degree of informality that characterizes peri-urban areas, interacts with formal institutions to shape or enable more sustainable adaptation pathways. This study addresses these scientific gaps, using an existing typology of adaptation processes to investigate plausible future adaptation pathways in three peri-urban villages in India, near Pune, Hyderabad, and Kolkata cities. On-site field research followed by a Delphi-study were used to develop normative adaptation pathways for livelihood and household water use with local actors. The pathways represent development trajectories and adaptation strategies over the next 15 years in the livelihood and household water sectors. Pathways data was thereafter analyzed and compared in terms of drivers of vulnerability and opportunity, adaptation processes, and formal and informal institutions. Our ex-ante study identifies general and context specific drivers of vulnerability and opportunity shaping different peri-urban transformations. Results reveal similarities in future drivers, whose impact on peri-urban livelihoods and household water is context dependent. This comparative analysis contributes a deeper understanding of future adaptation needs by highlighting patterns in locally preferred adaptation processes for different drivers and water-use sectors. This normative understanding reveals preferences of local communities who are otherwise marginalized from decision-making arenas. A combination of adaptation processes will be needed to respond to the various drivers, only some of which are achievable through informal institutions. Formal government intervention will be essential for stimulating innovation, intensification, and revitalization forms of adaptation. Institutional adjustments will be key to shaping local agency and future adaptive capacity away from a business-as-usual trajectory.
A Delphi-based methodology for participatory adaptation pathways building with local stakeholders
Methodological considerations and an illustrative application in peri-urban India
Journal article
(2023)
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Sharlene L. Gomes, Leon M. Hermans, Carsten Butsch, Partha Sarathi Banerjee, Sarah Luft, Shreya Chakraborty
Adaptation pathways is a planning approach used to design flexible, long-term strategies for dealing with future uncertainty. However, emphasis on how to discuss pathways elements with stakeholders during the pathways building process is under-represented in the existing pathways literature. This paper presents a participatory methodology for building normative adaptation pathways with local stakeholders. Iterative discussions are facilitated using a Delphi study that is designed to explicitly consider institutional, and multi-actor dimensions in the formulation of future adaptive strategies. This leads to adaptation pathways that are more inclusive of local needs. This paper describes the steps for iteratively designing adaptation pathways in a multi-actor setting through a Delphi study. A pilot application of this Delphi-based adaptation pathway approach is illustrated with local actors in peri-urban Kolkata (India) for future water management. It demonstrates how this methodology offers a structured way to introduce pathways thinking to local stakeholders and helps build consensus about future preferences and adaptation options. Moreover, it stimulates discussions about normative differences across and within stakeholder groups through the underlying values that define future pathways as well as the institutional adjustments needed to successfully activate adaptations strategies over time. Future work may be directed towards to strengthening discussions around uncertainty, connecting pathways to a broader set of future scenarios, and comparing this facilitation method against other existing ones.
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Adaptation pathways is a planning approach used to design flexible, long-term strategies for dealing with future uncertainty. However, emphasis on how to discuss pathways elements with stakeholders during the pathways building process is under-represented in the existing pathways literature. This paper presents a participatory methodology for building normative adaptation pathways with local stakeholders. Iterative discussions are facilitated using a Delphi study that is designed to explicitly consider institutional, and multi-actor dimensions in the formulation of future adaptive strategies. This leads to adaptation pathways that are more inclusive of local needs. This paper describes the steps for iteratively designing adaptation pathways in a multi-actor setting through a Delphi study. A pilot application of this Delphi-based adaptation pathway approach is illustrated with local actors in peri-urban Kolkata (India) for future water management. It demonstrates how this methodology offers a structured way to introduce pathways thinking to local stakeholders and helps build consensus about future preferences and adaptation options. Moreover, it stimulates discussions about normative differences across and within stakeholder groups through the underlying values that define future pathways as well as the institutional adjustments needed to successfully activate adaptations strategies over time. Future work may be directed towards to strengthening discussions around uncertainty, connecting pathways to a broader set of future scenarios, and comparing this facilitation method against other existing ones.
Policy integration by implementation
Lessons from frontline staff policy practices around small-scale gold mining in Liberia
Environmental policy integration is needed to ensure environmental policy goals are being realized, given their cross-sectoral nature. Most of the published research has focused on integration and coherence of (inter)national policies, plans, and programs. The implementation practices for these policies, however, are at least as important. This paper therefore looks at policy implementation for the case of artisanal gold mining in Liberia. This is studied through a lens of frontline staff (street-level bureaucrats) who operate in networks of local government agencies, civil society organizations, and communities. Results of interviews and field observations in Grand Gedeh county show how the policy context and local realities create specific dilemmas, resulting from the combination of limited resources of local frontline staff, low-income security for local communities and traditional local practices around protected forest areas. In response local frontline bureaucrats use their discretionary power and network to mobilize support, pool resources, combine mandates, and find creative solutions to both regulate and support community residents. Although these implementation strategies are neither necessarily sufficient to realize the official policy goals, nor are guaranteed to have the desired effects, they do show how local frontline staff act as de facto policymakers. Recognizing frontline staff as environmental policy integrators therefore is a crucial element toward more successful policies for sustainable development.
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Environmental policy integration is needed to ensure environmental policy goals are being realized, given their cross-sectoral nature. Most of the published research has focused on integration and coherence of (inter)national policies, plans, and programs. The implementation practices for these policies, however, are at least as important. This paper therefore looks at policy implementation for the case of artisanal gold mining in Liberia. This is studied through a lens of frontline staff (street-level bureaucrats) who operate in networks of local government agencies, civil society organizations, and communities. Results of interviews and field observations in Grand Gedeh county show how the policy context and local realities create specific dilemmas, resulting from the combination of limited resources of local frontline staff, low-income security for local communities and traditional local practices around protected forest areas. In response local frontline bureaucrats use their discretionary power and network to mobilize support, pool resources, combine mandates, and find creative solutions to both regulate and support community residents. Although these implementation strategies are neither necessarily sufficient to realize the official policy goals, nor are guaranteed to have the desired effects, they do show how local frontline staff act as de facto policymakers. Recognizing frontline staff as environmental policy integrators therefore is a crucial element toward more successful policies for sustainable development.
Cooperating for added value
Using participatory game theory in implementing nature-based flood defences
The increasingly active role of stakeholders in the development of innovative nature-based solutions calls for appropriate instruments to support and realise added value from their involvement. In this paper we apply a newly developed instrument “Cooperation for Added Value” (Co-Add) to a study area on the Dutch coast. The instrument draws on participatory game theory and policy analysis to provide a theoretically sound structure for facilitating interactions aimed at identifying shared opportunities and potential coalitions for cooperation. The application in the case study Noard-Fryslân Bûtendyks affirmed that the Co-Add instrument systematically facilitated stakeholders in exploring potentially promising opportunities and gaining insight in the added value of engaging in diverse cooperations. Stakeholders came to understand which solutions were more achievable than others and what was needed to enable implementation in terms of collaboration, including the role of their own organization. Furthermore, social dilemmas in which a particular nature-based solution is attractive to a coalition of stakeholders but is not the most beneficial solution for a particular individual stakeholder, became clear. This represents a practical contribution to the range of participatory instruments that can be applied in societally challenging complex problems that require collaboration for their resolution.
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The increasingly active role of stakeholders in the development of innovative nature-based solutions calls for appropriate instruments to support and realise added value from their involvement. In this paper we apply a newly developed instrument “Cooperation for Added Value” (Co-Add) to a study area on the Dutch coast. The instrument draws on participatory game theory and policy analysis to provide a theoretically sound structure for facilitating interactions aimed at identifying shared opportunities and potential coalitions for cooperation. The application in the case study Noard-Fryslân Bûtendyks affirmed that the Co-Add instrument systematically facilitated stakeholders in exploring potentially promising opportunities and gaining insight in the added value of engaging in diverse cooperations. Stakeholders came to understand which solutions were more achievable than others and what was needed to enable implementation in terms of collaboration, including the role of their own organization. Furthermore, social dilemmas in which a particular nature-based solution is attractive to a coalition of stakeholders but is not the most beneficial solution for a particular individual stakeholder, became clear. This represents a practical contribution to the range of participatory instruments that can be applied in societally challenging complex problems that require collaboration for their resolution.
Power and empowerment in transdisciplinary research
A negotiated approach for peri-urban groundwater problems in the Ganges Delta
Journal article
(2022)
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L.M. Hermans, Vishal Narain, Remi Kempers, S.L. Gomes, Poulomi Banerjee, Rezaul Hasan, ATM Zakir Hossain, Partha Sarathi Banerjee, W.A.H. Thissen, More authors...
The co-creation of knowledge through a process of mutual learning between scientists and societal actors is an important avenue to advance science and resolve complex problems in society. While the value and principles for such transdisciplinary water research have been well established, the power and empowerment dimensions continue to pose a challenge, even more so in international processes that bring together participants from the Global North and Global South. We build on earlier research to combine known phases, activities, and principles for transdisciplinary water research with a negotiated approach to stakeholder empowerment. Combining these elements, we unpack the power and empowerment dimension in transdisciplinary research for peri-urban groundwater management in the Ganges Delta. Our case experiences show that a negotiated approach offers a useful and needed complement to existing transdisciplinary guidelines. Based on the results, we identify responses to the power and empowerment challenges, which add to existing strategies for transdisciplinary research. A resulting overarching recommendation is to engage with power and politics more explicitly and to do so already from the inception of transdisciplinary activities as a key input for problem framing and research agenda setting.
...
The co-creation of knowledge through a process of mutual learning between scientists and societal actors is an important avenue to advance science and resolve complex problems in society. While the value and principles for such transdisciplinary water research have been well established, the power and empowerment dimensions continue to pose a challenge, even more so in international processes that bring together participants from the Global North and Global South. We build on earlier research to combine known phases, activities, and principles for transdisciplinary water research with a negotiated approach to stakeholder empowerment. Combining these elements, we unpack the power and empowerment dimension in transdisciplinary research for peri-urban groundwater management in the Ganges Delta. Our case experiences show that a negotiated approach offers a useful and needed complement to existing transdisciplinary guidelines. Based on the results, we identify responses to the power and empowerment challenges, which add to existing strategies for transdisciplinary research. A resulting overarching recommendation is to engage with power and politics more explicitly and to do so already from the inception of transdisciplinary activities as a key input for problem framing and research agenda setting.
Assessing the societal adoptability of participatory water management
An application of the Motivation and Ability (MOTA) framework
Journal article
(2022)
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Md Shibly Sadik, Leon M. Hermans, Jaap Evers, Hong Quan Nguyen, Malik Fida A. Khan, Sadiq Ahmed
Exploring whether society is sufficiently equipped and motivated to adopt planned interventions is vital for modern plan development trajectories. The Motivation and Ability (MOTA) framework offers a tool to assess the societal adoptability of plans by exploring stakeholders' motivations and abilities. It was originally developed to assess plan implementation feasibility for structural measures of flood management in the Mekong Delta. Further development is necessary before applying the tool in other contexts and for other types of planning interventions. Institutional measures like participatory water management (PWM) have long been recognized as essential elements for water management, but have so far also remained out of the reach of conventional planning assessment tools such as cost-benefit or cost-effectiveness analyses. This research, therefore, aims at extending the MOTA tool in the context of PWM reforms in Bangladesh. It does this by, first, further detailing the MOTA components and identifying indicators for quantification and, second, an expert validation and application of this framework for coastal communities in Bangladesh. Our results suggest that the MOTA framework is capable of informing policymakers and implementing agencies about how to enhance the stakeholders' motivation and ability to ensure an enduring implementation of PWM reforms.
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Exploring whether society is sufficiently equipped and motivated to adopt planned interventions is vital for modern plan development trajectories. The Motivation and Ability (MOTA) framework offers a tool to assess the societal adoptability of plans by exploring stakeholders' motivations and abilities. It was originally developed to assess plan implementation feasibility for structural measures of flood management in the Mekong Delta. Further development is necessary before applying the tool in other contexts and for other types of planning interventions. Institutional measures like participatory water management (PWM) have long been recognized as essential elements for water management, but have so far also remained out of the reach of conventional planning assessment tools such as cost-benefit or cost-effectiveness analyses. This research, therefore, aims at extending the MOTA tool in the context of PWM reforms in Bangladesh. It does this by, first, further detailing the MOTA components and identifying indicators for quantification and, second, an expert validation and application of this framework for coastal communities in Bangladesh. Our results suggest that the MOTA framework is capable of informing policymakers and implementing agencies about how to enhance the stakeholders' motivation and ability to ensure an enduring implementation of PWM reforms.
Policy Analysis of Multi-Actor Systems
Second edition
Book
(2022)
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B. Enserink, P.W.G. Bots, C. van Daalen, L.M. Hermans, L.J. Kortmann, Joop Koppenjan, J.H. Kwakkel, M.P.M. Ruijgh-van der Ploeg, J Slinger, W.A.H. Thissen
Policy of Multi-Actor Systems is an introduction into the art of craft of problem exploration and problem structuring. It positions policy analysis as a scientific discipline focused on systems analysis in a multi-actor context to support better informed decision-making. The approach presented in this book is considered to be the cornerstone of the curricula of the Faculty of Technology, Policy and Management of Delft University of Technology and underlies the research on (the governance of) socio-technical systems. Systems thinking applied in a multi-actor environment and its inherent multi-disciplinary character is what makes this work stand out from traditional hard- and soft systems approaches. The core of the book is dedicated to systems analysis, actor- or stakeholder-analysis and discusses methods for dealing with uncertainty. These analytical activities combined lead to a rich problem description and to plans for further research. Due to the stepwise approach this book serves as a basis for any problem analysis both for our bachelor and master students, our alumni worldwide and any interested practitioners.
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Policy of Multi-Actor Systems is an introduction into the art of craft of problem exploration and problem structuring. It positions policy analysis as a scientific discipline focused on systems analysis in a multi-actor context to support better informed decision-making. The approach presented in this book is considered to be the cornerstone of the curricula of the Faculty of Technology, Policy and Management of Delft University of Technology and underlies the research on (the governance of) socio-technical systems. Systems thinking applied in a multi-actor environment and its inherent multi-disciplinary character is what makes this work stand out from traditional hard- and soft systems approaches. The core of the book is dedicated to systems analysis, actor- or stakeholder-analysis and discusses methods for dealing with uncertainty. These analytical activities combined lead to a rich problem description and to plans for further research. Due to the stepwise approach this book serves as a basis for any problem analysis both for our bachelor and master students, our alumni worldwide and any interested practitioners.
Socio-hydrological approach for farmer adaptability to hydrological changes
A case study in salinity-controlled areas of the Vietnamese Mekong Delta
Journal article
(2022)
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Luan Dang Manh Hong Pham, Juan David Patiño Guerra, Hong Quan Nguyen, Dorien Korbee, Duc Dung Tran, Loc Huu Ho, Quang Hung Do, Tang Luu, Timothy Gorman, Leon Hermans
The Vietnamese Mekong Delta (VMD) is an example of a complex dynamic socio-hydrological system in which societies and hydrology interact and co-evolve. The dominant engineering approach in the VMD has enhanced the dynamics of society and hydrology. This study looks at the implications of socio-hydrological dynamics in the coastal VMD where saline water is controlled by various infrastructures. In the first phase, key informant interviews and focus group discussions were used to explore socio-hydrological dynamics in the study area. The results show divergence in livelihood strategies inside the freshwater-projected area, shaping a heterogeneous agricultural landscape of fresh- and brackish-water livelihoods manifested by four socio-hydrological groups. Next, the Motivation and Ability (MOTA) framework and household surveys were used to assess the adaptability in the agricultural development pathway advocated by the freshwater policy. The result revealed differentiations among these socio-hydrological groups. The findings suggest other practices may be required to help the area navigate towards future adaptations to socio-hydrological changes.
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The Vietnamese Mekong Delta (VMD) is an example of a complex dynamic socio-hydrological system in which societies and hydrology interact and co-evolve. The dominant engineering approach in the VMD has enhanced the dynamics of society and hydrology. This study looks at the implications of socio-hydrological dynamics in the coastal VMD where saline water is controlled by various infrastructures. In the first phase, key informant interviews and focus group discussions were used to explore socio-hydrological dynamics in the study area. The results show divergence in livelihood strategies inside the freshwater-projected area, shaping a heterogeneous agricultural landscape of fresh- and brackish-water livelihoods manifested by four socio-hydrological groups. Next, the Motivation and Ability (MOTA) framework and household surveys were used to assess the adaptability in the agricultural development pathway advocated by the freshwater policy. The result revealed differentiations among these socio-hydrological groups. The findings suggest other practices may be required to help the area navigate towards future adaptations to socio-hydrological changes.
Journal article
(2022)
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David J. Yu, Melissa Haeffner, Hanseok Jeong, Saket Pande, Juliane Dame, Giuliano Di Baldassarre, Glenda Garcia-Santos, Leon Hermans, Rachata Muneepeerakul, More authors...
Socio-hydrology has expanded and been effective in exposing the hydrological community to ideas and approaches from other scientific disciplines, and social sciences in particular. Yet it still has much to explore regarding how to capture human agency and how to combine different methods and disciplinary views from both the hydrological and the social sciences to develop knowledge. A useful starting ground is noting that the complexity of human–water relations is due to interactions not only across spatial and temporal scales but also across different organizational levels of social systems. This calls for consideration of another analytical scale, the human organizational scale, and interdisciplinarity in study methods. Based on the papers published in this journal’s Special Issue Advancing Socio-hydrology over 2019–2022, this paper illuminates how the understanding of coupled human–water systems can be strengthened by capturing the multi-level nature of human decision making and by applying an interdisciplinary multi-method approach.
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Socio-hydrology has expanded and been effective in exposing the hydrological community to ideas and approaches from other scientific disciplines, and social sciences in particular. Yet it still has much to explore regarding how to capture human agency and how to combine different methods and disciplinary views from both the hydrological and the social sciences to develop knowledge. A useful starting ground is noting that the complexity of human–water relations is due to interactions not only across spatial and temporal scales but also across different organizational levels of social systems. This calls for consideration of another analytical scale, the human organizational scale, and interdisciplinarity in study methods. Based on the papers published in this journal’s Special Issue Advancing Socio-hydrology over 2019–2022, this paper illuminates how the understanding of coupled human–water systems can be strengthened by capturing the multi-level nature of human decision making and by applying an interdisciplinary multi-method approach.
Corrigendum
Planning for livelihoods under hydrosocial uncertainty in periurban Pune(Front. Water, (2022), 4, (831464), 10.3389/frwa.2022.831464)
Journal article
(2022)
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Sarah Luft, Sharlene L. Gomes, Shreya Chakraborty, Leon M. Hermans, Carsten Butsch
In the published article, there was an error in the author list, and authors “Sharlene L. Gomes, Shreya Chakraborty, and Leon M. Hermans” were erroneously excluded. The corrected author list appears below. “Sarah Luft Faculty of Mathematics and Natural Sciences, Institute for Geography, University of Cologne, Cologne, Germany Sharlene L. Gomes Faculty of Governance and Global Affairs, Institute of Public Administration, Leiden University, The Hague, Netherlands Shreya Chakraborty South Asia Consortium for Interdisciplinary Water Resources Studies, Hyderabad, India Leon M. Hermans Faculty of Technology, Policy, and Management, Delft University of Technology, Delft, Netherlands and Land andWaterManagement Department, IHE Delft Institute forWater Education, Delft, Netherlands.
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In the published article, there was an error in the author list, and authors “Sharlene L. Gomes, Shreya Chakraborty, and Leon M. Hermans” were erroneously excluded. The corrected author list appears below. “Sarah Luft Faculty of Mathematics and Natural Sciences, Institute for Geography, University of Cologne, Cologne, Germany Sharlene L. Gomes Faculty of Governance and Global Affairs, Institute of Public Administration, Leiden University, The Hague, Netherlands Shreya Chakraborty South Asia Consortium for Interdisciplinary Water Resources Studies, Hyderabad, India Leon M. Hermans Faculty of Technology, Policy, and Management, Delft University of Technology, Delft, Netherlands and Land andWaterManagement Department, IHE Delft Institute forWater Education, Delft, Netherlands.
Most climate adaptation plans expect stakeholders to change their behavior as part of building resilience. Given its long-term and complex nature, monitoring and evaluation is a key requisite for climate adaptation planning. So far, behavioral aspects have received only limited attention in the evaluation approaches for climate adaptation planning. This article proposes a theory-based evaluation approach based on the theory of planned behavior, for the evaluation of climate adaptation. A local climate adaptation programme for watershed development in rural India provides an illustrative case for this approach. For this case, the approach helped to uncover important factors that influence behavioral intentions, which were different for different groups in the farming community. Additionally, it helped to put behavioral change in a longer-term perspective. The illustrative case also suggests certain improvements for evaluations based on the theory of planned behavior.
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Most climate adaptation plans expect stakeholders to change their behavior as part of building resilience. Given its long-term and complex nature, monitoring and evaluation is a key requisite for climate adaptation planning. So far, behavioral aspects have received only limited attention in the evaluation approaches for climate adaptation planning. This article proposes a theory-based evaluation approach based on the theory of planned behavior, for the evaluation of climate adaptation. A local climate adaptation programme for watershed development in rural India provides an illustrative case for this approach. For this case, the approach helped to uncover important factors that influence behavioral intentions, which were different for different groups in the farming community. Additionally, it helped to put behavioral change in a longer-term perspective. The illustrative case also suggests certain improvements for evaluations based on the theory of planned behavior.
Adaptive Planning, Monitoring, and Evaluation for Long-Term Impact
Insights From a Water Supply Case in Bangladesh
Most water and development interventions aim to contribute to long-term sustainable impacts. Given the uncertainties involved in these longer-term water development projects, adaptive planning approaches hold promise to connect planning, implementation and evaluation. Recent innovations report promising results, but find limited wide-spread practice due to a relatively large distance from current operational realities. Therefore, in this article we set out to investigate the real-world benefits and barriers for adaptive planning, monitoring and evaluation as a tool for water development interventions. To do so, we have stripped the advanced theoretic adaptive planning approach to its essentials, for exploration in an ongoing water development project. Application of the resulting three essential adaptive planning steps to a water development project in Khulna, Bangladesh shows that these steps are feasible and can support a more adaptive planning and management. In particular, they have helped to surface critical assumptions and uncertainties, as well as associated adaptation actions for the case. These were related to spatial development, water quality, finance, and management capacity. However, results also show that the actual use of the proposed steps is likely to be hindered by strategic misrepresentation. Our findings suggest this as an additional and more fundamental barrier to the widespread use of adaptive planning practices. We reflect on this barrier of strategic misrepresentation and on possible mechanisms to counter it, in order to enable water development actors to make their planning and evaluation arrangements more adaptive.
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Most water and development interventions aim to contribute to long-term sustainable impacts. Given the uncertainties involved in these longer-term water development projects, adaptive planning approaches hold promise to connect planning, implementation and evaluation. Recent innovations report promising results, but find limited wide-spread practice due to a relatively large distance from current operational realities. Therefore, in this article we set out to investigate the real-world benefits and barriers for adaptive planning, monitoring and evaluation as a tool for water development interventions. To do so, we have stripped the advanced theoretic adaptive planning approach to its essentials, for exploration in an ongoing water development project. Application of the resulting three essential adaptive planning steps to a water development project in Khulna, Bangladesh shows that these steps are feasible and can support a more adaptive planning and management. In particular, they have helped to surface critical assumptions and uncertainties, as well as associated adaptation actions for the case. These were related to spatial development, water quality, finance, and management capacity. However, results also show that the actual use of the proposed steps is likely to be hindered by strategic misrepresentation. Our findings suggest this as an additional and more fundamental barrier to the widespread use of adaptive planning practices. We reflect on this barrier of strategic misrepresentation and on possible mechanisms to counter it, in order to enable water development actors to make their planning and evaluation arrangements more adaptive.
Journal article
(2021)
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Carsten Butsch, Shreya Chakraborty, Sharlene L. Gomes, Shamita Kumar, Leon M. Hermans
India’s urbanisation results in the physical and societal transformation of the areas sur-rounding cities. These periurban interfaces are spaces of flows, shaped by an exchange of matter, people and ideas between urban and rural spaces—and currently they are zones in transition. Periur-banisation processes result inter alia in changing water demands and changing relations between water and society. In this paper the concept of the hydrosocial cycle is applied to interpret the transformation of the waterscapes of six periurban villages in the fringe areas of Pune, Hyderabad and Kolkata. In doing so, three specific aspects will be investigated: (1) the institutions shaping the hydro-social cycle, (2) the interplay between water as a livelihood-base and the waterscape, (3) the interplay between the waterscape and water as a consumption good. This approach opens new views on periurban interfaces as emerging mosaic of unique waterscapes. The meaning of water, the rights to access water and the water related infrastructure are constantly renegotiated, as permanently new water demands emerge and new actors enter the scene. Especially this process-based understanding links the theoretical lens of the hydrosocial cycle with the object of investigation, the periurban space.
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India’s urbanisation results in the physical and societal transformation of the areas sur-rounding cities. These periurban interfaces are spaces of flows, shaped by an exchange of matter, people and ideas between urban and rural spaces—and currently they are zones in transition. Periur-banisation processes result inter alia in changing water demands and changing relations between water and society. In this paper the concept of the hydrosocial cycle is applied to interpret the transformation of the waterscapes of six periurban villages in the fringe areas of Pune, Hyderabad and Kolkata. In doing so, three specific aspects will be investigated: (1) the institutions shaping the hydro-social cycle, (2) the interplay between water as a livelihood-base and the waterscape, (3) the interplay between the waterscape and water as a consumption good. This approach opens new views on periurban interfaces as emerging mosaic of unique waterscapes. The meaning of water, the rights to access water and the water related infrastructure are constantly renegotiated, as permanently new water demands emerge and new actors enter the scene. Especially this process-based understanding links the theoretical lens of the hydrosocial cycle with the object of investigation, the periurban space.
On the nature based flood defence dilemma and its resolution
A game theory based analysis
Nature-based flood defence is an innovative design alternative for achieving protection against flooding. Despite significant advancements in science, models and concepts, routine implementation beyond pilot projects remains limited. To better understand why, we have looked into the complexities of nature-based flood defence implementation and its resolutions, modelling decision-making situations using game theory in three nature-based flood defence cases: The Markermeer Dikes, the Afsluitdijk Dam and the Sand Engine. We observe that nature-based flood defence games are of a multi-level and nested nature. While the decision of whether to employ a nature-based flood defence is seemingly made at the project level, this can only happen when it is coherent with the institutional context that is determined at the policy level. A social dilemma is apparent: while a multi-functional nature-based solution is attractive to a coalition of actors, it is not the most beneficial option for individual actors. Hence, they are faced with the dilemma of opting for their maximum benefit or opting for the greater societal benefit which is less favorable to them. This social dilemma can be tackled by making ‘smart moves’, as inspired by the Sand Engine case. The nested nature of the problem requires structural change in the institutional context to enable favourable conditions for nature-based flood defence implementations.
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Nature-based flood defence is an innovative design alternative for achieving protection against flooding. Despite significant advancements in science, models and concepts, routine implementation beyond pilot projects remains limited. To better understand why, we have looked into the complexities of nature-based flood defence implementation and its resolutions, modelling decision-making situations using game theory in three nature-based flood defence cases: The Markermeer Dikes, the Afsluitdijk Dam and the Sand Engine. We observe that nature-based flood defence games are of a multi-level and nested nature. While the decision of whether to employ a nature-based flood defence is seemingly made at the project level, this can only happen when it is coherent with the institutional context that is determined at the policy level. A social dilemma is apparent: while a multi-functional nature-based solution is attractive to a coalition of actors, it is not the most beneficial option for individual actors. Hence, they are faced with the dilemma of opting for their maximum benefit or opting for the greater societal benefit which is less favorable to them. This social dilemma can be tackled by making ‘smart moves’, as inspired by the Sand Engine case. The nested nature of the problem requires structural change in the institutional context to enable favourable conditions for nature-based flood defence implementations.