Virginia Commonwealth University VCU Scholars Compass Theses and Dissertations Graduate School 2009 A 'Seat at the Table': Exploring the relationship between pluralist structures and involvement in decision-making—The Case of the Nile Basin Initiative Simon Okoth Virginia Commonwealth University Follow this and additional works at: https://scholarscompass.vcu.edu/etd Part of the Public Affairs, Public Policy and Public Administration Commons © The Author Downloaded from https://scholarscompass.vcu.edu/etd/1963 This Dissertation is brought to you for free and open access by the Graduate School at VCU Scholars Compass. It has been accepted for inclusion in Theses and Dissertations by an authorized administrator of VCU Scholars Compass. For more information, please contact [email protected]. © Simon Humphreys Randiga Okoth, 2009 All Rights Reserved A ‘SEAT AT THE TABLE’: EXPLORING THE RELATIONSHIP BETWEEN PLURALIST STRUCTURES AND INVOLVEMENT IN DECISION-MAKING—THE CASE OF THE NILE BASIN INITIATIVE A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy at Virginia Commonwealth University. by Simon Humphreys Randiga Okoth B.A., Berea College, 1980 M.P.A., Murray State University, 1984 Director: Susan T. Gooden, Ph.D. Professor, Public Policy and Administration L. Douglas Wilder School of Government and Public Affairs Virginia Commonwealth University Richmond, Virginia November, 2009 iii ACKNOWLEDGEMENT I ventured into an expedition with a fair knowledge of where the destination was and how I would get there. However, it turned out to be daunting. At most, the mission required appropriate tools, courage, patience and persistence, reflexivity, energy, and support. In an attempt to conquer the River Nile, French General Napoleon Bonaparte marshaled the help of soldiers but still failed. On my expedition to uncover the unknown about involvement by nongovernmental stakeholders in the decision-making process of the Nile Basin Initiative in Ethiopia, I did not have any soldiers but relied incessantly on the support of my trusted team of academic advisors, friends and family. It is through their guidance and support that I was finally able to document what I found at the end of that long journey and how I got there. Foremost, I would like to thank my dissertation chair and mentor Dr. Susan Gooden for providing me with the navigation tools and ensuring that I stayed on course up to the end. Dr. Gooden’s superb mentorship progressively built my confidence about how to portage the rapids and to successfully thrive in the vast and rough waters of academic life. Dr. Clifford Fox patiently explained the intricacies and how to navigate a river such as the one I was dreading. I also learned from him that this daunting task required tested and working radar in the form of a theory. The theory he suggested served as my radar to trace the route and to validate whether I had reached the destination or not. I will cherish his intellect and patience. Dr. Avrum Shriar’s knowledge taught me patience, how to ask the right questions, structure, and prepare a report on a complex iv expedition such as this one. I am indebted to you. I am also grateful to Professor Blue Wooldridge for cracking the floating nutshell in which I had been protected and buoyed. Because of his experience of the territory, I learned to welcome the “other” and to accommodate the small truths about what is here and there. I will cherish Dr. Richard Huff’s advice that at times one needs to portage the rapids to stay on course, and that treading carefully can ensure a successful voyage. To my friends Paul Lewis and Diane Rodill for their constant reminders to remain focused despite intermittent turbulence en route, thank you. I must also extend my appreciation to Dr. Judith Bradford for her support and ensuring that I had some means to refuel during the long safari. The courage, the patience and support that I received from my wife Elizabeth is immeasurable. I was also fortunate to have Amy, a daughter who believed in me; sons Jona and Jesse who both inspired me by constantly asking about my estimated date of arrival at the pier. To my late parents, mother Kilmetina Min-Simi and father Joram Okoth, for the dignified way in which they raised me—in a land not far from the source of the Nile. To my brothers Job, Richard and the late James for sacrificing their incomes to support my earlier education; that is one thing that successfully works in our land. Finally, I am grateful to the research participants in Addis Ababa, Ethiopia, and to the Nile Basin Initiative Secretariat staff in Entebbe, Uganda. The navigation, the portaging of the rapids, the sailing, and reaching the dock couldn’t have been possible without all these wonderful people. Thank you God! v TABLE OF CONTENTS LIST OF TABLES ........................................................................................................vii LIST OF FIGURES........................................................................................................ix LIST OF ABBREVIATIONS..........................................................................................x ABSTRACT...................................................................................................................xi CHAPTER 1: INTRODUCTION, BACKGROUND AND OVERVIEW ........................1 Introduction.................................................................................................................1 Background and Overview ..........................................................................................8 The Nile Basin Initiative.........................................................................................33 Ethiopia..................................................................................................................52 Terminology..............................................................................................................63 CHAPTER 2: THEORETICAL FRAMEWORK...........................................................66 Pluralism: An Introduction ........................................................................................65 Relevance of Pluralist Theory to the Study ................................................................94 Involvement: Philosophy and Rationale.....................................................................95 Theoretical and Practical Lessons ............................................................................103 Pluralism and International Water Compacts ...........................................................110 Description of Variables ..........................................................................................119 CHAPTER 3: METHOD.............................................................................................125 Introduction.............................................................................................................125 Research Method.....................................................................................................125 Data Collection Strategies .......................................................................................131 Data Analysis Strategies ..........................................................................................145 Research Rigor ........................................................................................................155 Methodology Limitations ........................................................................................156 CHAPTER 4: FINDINGS ...........................................................................................157 Introduction.............................................................................................................157 Pluralism in Ethiopia ...............................................................................................161 The NBI and its Activities in Ethiopia .....................................................................161 Findings Concerning NGO Participation..................................................................161 CHAPTER 5: SUMMARY, CONCLUSIONS AND RECOMMENDATIONS ..........203 Introduction.............................................................................................................203 Concluding Summary..............................................................................................204 Implications ............................................................................................................220 vi Recommendations ...................................................................................................224 LIST OF REFERENCES.............................................................................................230 APPENDICES Appendix A - University IRB Approval Letter ............................................................255 Appendix B - Recruitment Letter - Panel of “Judges”..................................................256 Appendix C - Basic List of Prospective Key Informants - Uganda...............................258 Appendix D - Basic List of Prospective Key Informants - Ethiopia..............................259 Appendix E - Recruitment Letter - Key Informants .....................................................260 Appendix F - Email Follow-Up Script for “Judges”.....................................................262 Appendix G - Email Follow-Up Script for Key Informants..........................................263