The South African Polycentric Water Resource Governance- Management Nexus: Parlaying an Institutional Agent and Structured Social Engagement
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The South African polycentric water resource governance- management nexus: Parlaying an institutional agent and structured social engagement. Johann H. Boonzaaier 76149260 A research thesis submitted in partial fulfilment of the requirements for the degree of PhD in Technology Management in the GRADUATE SCHOOL OF TECHNOLOGY MANAGEMENT, FACULTY OF ENGINEERING, BUILT ENVIRONMENT AND INFORMATION TECHNOLOGY, UNIVERSITY OF PRETORIA Supervisor: Prof. Alan C. Brent 26 February 2018 i DECLARATION I, Johann Hendrik Boonzaaier, herewith declare that this study is my own original work, executed by myself under the guidance by Prof. A. C. Brent. It has not been submitted at another university. J. H. Boonzaaier 28 February 2018 ii ACKNOWLEDGEMENTS I wish to express my sincere gratitude and appreciation to the following people who contributed in many ways to the opportunity, insight and encouragement to embark on and execute this study; 1. First and foremost my wife Amanda, whose love, encouragement, support and trust carried me through the hard and good times of the combination of work, environmental projects and part time study, 2. The Board of the Impala Water Users Association, for their support to me in carrying out this study and their care for the environment, 3. Me Christine Colvin, Senior Manager, Freshwater Programmes of the WWF-SA, who realised the worth and value that Impala Water Users Association could contribute to protecting the water resources in this catchment, 4. Prof. Anthony Turton, inspired by his “furnace of energy”, the Trialogue model of Governance developed by him and his colleagues that formed the seeding foundation of the study and the many insightful discussions, 5. Prof. Mike Muller, former DG of DWS and very well-known within the water arena in South Africa as well as familiar with the circumstances at Impala Water Users Association, for sharing his deep and guiding insight into the world of water resource management, 6. Prof. Koos Malan, for his support and insight in the rational thinking realm of Administrative Justice and Public Law, 7. Dr. Michael Taljaardt, for his inspiration and valuable experience shared with me during his last days during his work in the same area. Rest in peace. 8. Mattie Beukes, colleague and friend who participated in the execution of the environmental project and was always prepared to take on any challenge posed to us and to do more than one asked for, 9. Derick Booyens, my dear friend who was the catalyst for the challenge of the study, 10. Andries Labuschagne, Chairman of SAAFWUA, Nic Knoetze, CEO of SAAFWUA, Louis Bruwer, CEO of the Central Brede River Water Users Association, and Willie Enright for their numerous discussions and debates in order to address the water resource challenges on local level, 11. My promoter, Prof. Alan Brent, for his support and guidance in the successful completion of this study. Lastly and most importantly, the blessing and grace from our Heavenly Father. He constituted earth, its resources and mankind to reign over and take care of the environment. I am very privileged to have had this opportunity to contribute in this very small and humble way to the knowledge base of such a complex but important resource. iii ABSTRACT Water resource concerns, coupled with subsequent intensive needs for energy and food production along with the greatest deterioration of ecosystems seen during the last 50 years were identified as a global crisis in the 20 th century. The World Economic Forum rated the world water supply crisis as the fourth most worrying global risk in terms of risk likelihood and risk impact. Natural water resources are seriously threatened by the growing population, outstripping the capacity of the earth to produce subsistence for human beings. South Africa is restricted as a water scarce country. Despite its progressive water laws and policies, a review undertaken for Africa Water Vision 2025, revealed many critical shortcomings and failures. Evidence reveal that critical constraints in the governance-management process of implementing environmental policies and WRM care lie in a lack of efficient trans-disciplinary dialogue between policymakers, scientists, water managers and users and governance structures. To address the governance and institutional void, the fundamental research question sought to determine whether a local institutional agent could be parlayed to bridge the fragmentation between multiple users and governmental institutional structures and levels. Through longitudinal action research, the unique case of a mature self-steering local water management institution, the Impala Water Users Association in the Pongola River catchment in northern KZN of South Africa was evaluated. The study examined engagement with local stake holders to execute water resource governance and management in a polycentric multi-stakeholder scenario in South Africa. It aimed to restore and protect the resilience of the natural environment that is critical for fresh water resources to ensure sustainable long term water security of the Pongola River catchment. A number of vulnerabilities and weak points of society as well as spheres of governmental authorities were identified. While South Africa experiences an era of institutional and governance uncertainty, it was demonstrated and is submitted that the well positioned water users’ associations in South Africa could fill the governance-management void left on a catchment scale. A polycentric approach to govern and manage water as a common pool resource was possible through the facilitation and structured engagement of a stable and suitable agent. While it is acknowledged that multi stakeholder engagement and water resource management is highly complex and taxing, it is argued that cooperative action among users can succeed in achieving many mutual water security goals and solving their immediate threats on the local scale. A polycentric institutional model is proposed by linking different role player clusters around a specific facilitating institutional agent. Key terms: Institutional agent, polycentric governance, water governance, water resource management. 1 THESIS SUMMARY In the modern era of the Anthropocene, humans created a paradoxical and concerning phenomenon. The natural water resources that sustain life on earth are seriously threatened by those who are totally dependent on it. As far back as 1798, Thomas Malthus realised that the power of a growing population was far superior to the capacity of the earth to produce subsistence for human beings. Water resource concerns escalated into a global crisis in the 20 th century because of increased competition for water due to an exploding world population coupled with subsequent intensive needs for energy and food production. The Millennium Ecosystems Assessment of 2003 reported that ecosystems had deteriorated during the last 50 years more than at any other time in history. More recently, the World Economic Forum rated the world water supply crisis as the fourth most worrying global risk in terms of risk likelihood and risk impact. The seriousness of declining freshwater quality and short supply could replace the need for oil as the major crisis on earth. South Africa is restricted as a water scarce country. Despite indications that South Africa has promulgated some of the best and most progressive water laws and policies, a review of key challenges and progress in water resource management (WRM) in South Africa, undertaken for Africa Water Vision 2025, revealed many critical shortcomings, failures and poor leadership. These are in accordance with the concerns of many South African researchers and practitioners that call for a more nuanced and practical approach to governance challenges in the water resource arena. Experience and evidence show that critical constraints in the governance-management process of implementing environmental policies and WRM care lie in a lack of efficient trans-disciplinary dialogue between policymakers, scientists, water managers and users and governance structures. To address the governance and institutional void, the fundamental research question sought to determine whether a local institutional agent can be parlayed to engage and bridge the fragmentation between multiple users and governmental institutional structures and levels. A qualitative theory building case study through longitudinal action research was conducted from 2014 to 2017. The research assessed whether a strategic positioned institutional agent can be parlayed to facilitate and execute water resource management on catchment level by engaging multiple stakeholders in a polycentric multi-stake holder setting. Through a critical realist approach a distinction was made between ex ante self-deterministic human behaviour in the realist realm, and ex post governance-management in the constructivist realm. A congruence analysis, including Toulmin’s method of argumentation analysis, was utilised. Using the “Trialogue model of governance” as the theoretical basis, a polycentric institutional model is proposed by linking different role player clusters around a specific facilitating institutional agent. 2 This study attempted to answer the fundamental research question by evaluating the unique case of a mature self-steering local water management institution, the Impala Water Users Association in the Pongola River catchment in northern KZN of South Africa. The said Association exploited conducive circumstances to execute WRM on a catchment basis. It aimed