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A Framework for Stakeholder Analysis and Stakeholder Involvement

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International Water Management Course IWMC A Sharing Solutions initiative by Swiss Re Swiss Federal Institute for Environmental Science and Technology International Water Management Course Sept. 28 – Oct. 1 2004, Rüschlikon-Zürich, Switzerland Lecture A framework for stakeholder analysis and stakeholder involvement Hans-Joachim Mosler 1 Until still quite recently, governmental authorities and organizations simply implemented projects without any consideration of the people affected. In the
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  1 International WaterManagement CourseIWMC   A Sharing Solutions initiativeby Swiss ReSwiss Federal Institutefor Environmental Scienceand Technology International Water Management Course Sept. 28 – Oct. 1 2004, Rüschlikon-Zürich, Switzerland Lecture A framework for stakeholder analysisand stakeholder involvement Hans-Joachim Mosler  2Until still quite recently, governmental authorities and organizations simply implementedprojects without any consideration of the people affected. In the meantime, however, explicitimportance is being attached to the recognition that this way of proceeding results frequentlyin rejection of the project or even resistance on the part of affected people and groups. For thisreason, increasing value is being placed on involving stakeholders. In particular, in their aidand development work, aid organizations are making local stakeholder involvement a decisivecondition for project funding. The requirement is now that, whenever possible, projects mustplace more weight on participation (a form of involvement) and that this should be connectedwith stakeholders having influence and sharing control over decisions that are made. It isactually quite accurate to say that participation has become the new paradigm, as shown bythe change in strategy of the World Bank (1996, p. xi), for example. Why is participationbeing promoted so strongly? For one, it is certainly because of the many failures experiencedby development aid in the past. For another, ethical considerations have led to the change inviews. The UK government Department for International Development (DFID) writes thatparticipation is a question of both principle and practice (DFID, 1995a). The principle is thatpeople should be fully involved in issues concerning themselves, and practically,effectiveness and sustainability of projects depend, in part, on stakeholder participation.Participation contributes to chances of aid being effective and sustainable for these reasons: ã   It is more effective because, in drawing on a wide range of interested parties, the prospectsfor appropriate project design and commitment to achieving objectives is likely to bemaximized. ã   It is more sustainable because people are more likely to be committed to carrying on theactivity after aid stops, and more able to do so given that participation itself helps developskills and confidence (DFID, 1995a).Participation has something to do with empowering people. Capacities are developed thatmake people more independent and help them to make decisions on what they must do inorder to improve their own life situations. Empowerment is connected with democratization,good governance, social justice, and human rights (Soma, 2003, p. 48).Stakeholder Involvement (SI) also has disadvantages, of course. Additional resources (money,personnel, time) and thus costs must be allocated, while at the same time, the projectorganization must be willing to hand over control or to share control. Also, conflicts can ariseif (too) many stakeholders having conflicting interests are involved. This can greatly delay aproject or even doom it to failure. It is also not easy to manage to create a good design for SI.It requires social (and cultural) competency as well as technical planning work.SI at all costs cannot be the ideal solution, for it costs resources, time, and know-how. Broadparticipation of the population, for example, costs large expenditures. As the availableresources are always limited, every project team has to ask itself what resources it is willing to  3subtract from actual project realization and invest in SI. This question can only be approachedstarting out from the goals of the project. If the project has wide objectives and the goals canbe achieved only with the cooperation of people and organizations that are not involved in theproject, then SI is essential. If the project goal is very restricted and achievable without theparticipation or permission of other persons, probably little or no investment in SI is needed.However, those are only very rough criteria; what is needed are guidelines for selecting theappropriate form and degree of SI for project realization. In the following, the present paperwill develop initial recommendations for such guidelines.First, the steps required for successful implementation of SI are given in a brief overview (seeFigure 1):1.   The purposes for which SI processes will be used must be clarified.2.   Key stakeholders must be identified.3.   Characteristics of stakeholders’ stance and attitudes towards the project must bedefined.4.   The social network and relationships among the stakeholders must be identified.5.   Steps 2 to 4 above make up stakeholder analysis (SA). The results of SA must beverified and, if necessary, modified, on the basis of an evaluation by the stakeholders(SH) themselves.6.   On the basis of the results of SA, a participatory technique (or method or approach) isselected, which must be adapted to the given framework conditions.7.   The SI process is initiated and implemented through repeated participatory meetingsand events.8.   The SI process must be repeatedly evaluated throughout the project cycle andimplementation modified, based on the evaluation results.9.   Successful realization of the project must be evaluated according to sustainabilitycriteria.  4 Clarifying thePurposesIdentifyingStakeholdersUnderstandingStakeholders’CharacteristicsIdentifying Patternsof InteractionSummarizing &VerificationSelecting theStakeholderInvolvementTechniqueInitiating &Implementing theInvolvementProcessContinuous &FormativeEvaluationEvaluatingAccording toSustainabilityCriteria   Figure 1: Steps of the whole stakeholder involvement process. Each step is then described in detail. The descriptions and explanation are based in part on The   World Bank Participation Sourcebook  (1996) and the DFID technical and guidance noteson stakeholder participation (1995a-c). 1. Clarifying the purposes of SI Once agreement has been reached on the goals of the project, from there the purposes forwhich SI processes will be used can be defined. The following are conceivable purposes:
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