Chapter Will Address a Review of the Literature Most Relevant to This Study, Followed by by a Description of the General Methodology Applied in This Case Study
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Evaluating the impact of institutional factors and stakeholder capabilities on performance of decentralized water resources management regimes in Mozambique: the case of Limpopo river basin by Manuel Pedro Matsinhe Submitted in partial fulfilment of the requirements for the degree of MSc in Agricultural Economics Department of Agricultural Economics, Extension and Rural Development Faculty of Natural and Agricultural Sciences University of Pretoria South Africa February 2012 © University of Pretoria DECLARATION I, Manuel Pedro Matsinhe, hereby declare that the work presented in this dissertation is my own work and has never been submitted for any award in any other institution. Proper citation and referencing has been done where information from other sources has been used. Signature _____________________________ (Manuel Pedro Matsinhe) Date: _________________________________ i DEDICATION This thesis is dedicated to my sons Bruno Matsinhe and Cynthia Matsinhe, to my wife Natália Helena Magaua, and to my mother Halena Machava. ii ACKNOWLEDGEMENTS This study would have not been possible without the support of the Water Research Commission (WRC) in South Africa, and the International Centre for Water Economics and Governance in Africa (IWEGA) located at the Eduardo Mondlane University in Mozambique. I am indebted to African Economic Research Consortium (AERC) for funding my M.Sc. study at the University of Pretoria, and the Water Research Commission in South Africa (WRC), the World Bank, and the International Centre for Water Economics and Governance in Africa (IWEGA), for funding the research that produced this thesis. I would like to express special thanks to my supervisor, Dr. Eric Mungatana of CEEPA, University of Pretoria, for providing helpful suggestions to the study and consistently guiding and encouraging me during the course of writing this research thesis, and Dr. Emilio Tostão that have also provided some support to the study. To my lovely family, who played and continue to play a special role in my life, I say thank you iii TABLE OF CONTENTS 1 INTRODUCTION ............................................................................................................... 1 1.1 BACKGROUND TO THE STUDY .............................................................................................................. 1 1.2 PROBLEM STATEMENT ........................................................................................................................... 3 1.3 OBJECTIVES OF THE STUDY ................................................................................................................. 4 1.4 IMPORTANCE AND BENEFITS OF THE STUDY .................................................................................... 4 1.5 ASSUMPTIONS ADOPTED IN THE STUDY ............................................................................................ 5 1.6 DEFINITION OF KEY TERMS ................................................................................................................... 5 1.7 ORGANISATION OF THE STUDY ............................................................................................................ 6 2 LITERATURE REVIEW ON DECENTRALIZATION AND ITS IMPACTS ON WATER RESOURCES MANAGEMENT ................................................................................................ 7 2.1 ECONOMIC CHARACTERISTICS OF WATER RESOURCES ................................................................ 7 2.2 DECENTRALIZATION OF RIVER BASIN MANAGEMENT ..................................................................... 8 2.3 DECENTRALIZATION AND LOCAL GOVERNANCE ............................................................................ 10 2.3.1 Effects of prevailing conditions and contextual factors on the performance of the decentralization process .............................................................................................................................................................. 12 2.3.2 Characteristics of the decentralization process on the performance of the decentralized process ..... 13 2.3.3 Recognition of basin communities of interest and incorporation of community level governance arrangements in the decentralization process .................................................................................................. 14 2.4 INSTITUTIONAL ARRANGEMENTS IN A DECENTRALISED RIVER BASIN MANAGEMENT .......... 15 2.4.1 Basin-level institutional arrangements under decentralized basin management ................................. 17 2.4.1.1 Presence of basin-level governance institutions ......................................................................... 17 2.4.1.2 Mechanisms for conflict resolution and prevention and the collective action which facilitate basin management efforts ...................................................................................................................................... 18 iv 2.4.1.3 Characteristics of the water rights systems in place which facilitate or hinder basin management decentralization efforts .................................................................................................................................. 20 2.4.2 Central and local relationships and capacities ..................................................................................... 21 2.5 INCENTIVES AND ABILITIES OF STAKEHOLDERS TO PARTICIPATE IN A DECENTRALIZED RIVER BASIN MANAGEMENT ............................................................................................................................ 23 2.5.1 Determinants of stakeholder participation in a decentralized river basin management ...................... 24 2.5.2 Relationship between the style of leadership and the level of participation ........................................ 26 3 RESEARCH AND INSTRUMENT DESIGN, SURVEY IMPLEMENTATION, AND DESCRIPTION OF THE STUDY AREA ................................................................................. 28 3.1 INTRODUCTION ...................................................................................................................................... 28 3.2 SURVEY INSTRUMENT IMPLEMENTATION AND BROAD RESEARCH DESIGN ............................. 28 3.2.1 Survey design ....................................................................................................................................... 28 3.2.2 Sampling .............................................................................................................................................. 29 3.3 DATA COLLECTION ............................................................................................................................... 30 3.3.1 Collection of primary data .................................................................................................................... 31 3.3.2 Collection of secondary data ................................................................................................................ 32 3.3.3 Challenges faced during data collection ............................................................................................. 33 3.4 VARIABLE DESCRIPTION ...................................................................................................................... 33 3.5 DATA ANALYSIS .................................................................................................................................... 36 3.6 CHARACTERISTICS OF THE SAMPLE INSTITUTIONS ....................................................................... 37 3.7 ASSESSING AND DEMONSTRATING THE QUALITY AND RIGOUR OF THE STUDY ...................... 38 3.8 ETHICAL CONSIDERATIONS ................................................................................................................ 39 3.9 STUDY AREA .......................................................................................................................................... 41 3.9.1 Location and situation .......................................................................................................................... 41 3.9.2 Local conditions.................................................................................................................................... 42 3.9.2.1 Climatic conditions ....................................................................................................................... 42 3.9.2.2 Soils ............................................................................................................................................. 42 3.9.2.3 Vegetation ................................................................................................................................... 43 3.9.3 Social and economic characteristics .................................................................................................... 43 v 3.9.4 Floods and drought problems .............................................................................................................. 47 3.9.5 Water quality issues ............................................................................................................................. 48 4 RESULTS AND DISCUSSION ........................................................................................ 51 4.1 INITIAL CONDITIONS AND CONTEXTUAL FACTORS ASSOCIATED WITH THE DECENTRALIZATION PROCESS ....................................................................................................................... 51 4.2 CHARACTERISTICS OF THE