Institutional innovations for improved water security in smallholder irrigation schemes in KwaZulu-Natal and Eastern Cape Provinces, South Africa
- Authors: Phakathi, Sandile
- Date: 2022-04-06
- Subjects: Water security South Africa , Rural development projects South Africa , Institutional cooperation South Africa , Irrigation farming South Africa , Food security South Africa , Agricultural innovations South Africa , Irrigation Technological innovations South Africa , Smallholder irrigation schemes
- Language: English
- Type: Doctoral thesis , text
- Identifier: http://hdl.handle.net/10962/232341 , vital:49983 , DOI 10.21504/10962/232341
- Description: Smallholder irrigation schemes are regarded as a key strategy to eliminate poverty and increase food security in rural areas in South Africa. While the South African government has invested heavily in rural development schemes, most irrigation schemes face a myriad of challenges, including deficient infrastructure, weak institutional arrangements and water insecurity. Weak institutions have been identified as a major bottleneck in the performance of smallholder irrigation schemes in developing countries, including South Africa. Two main reasons have been identified for this challenge. Firstly, the agency of the irrigators was ignored during the design of the schemes. Treating farmers as passive rather than active agents resulted in institutional arrangements that were not context-specific, as well as weak farmer commitment to the ownership and management of the schemes, leading to system breakdown. Despite being noble in intention or design, institutions designed by outsiders often fail due to a lack of legitimacy. Secondly, institutions have failed to evolve to cope with dynamic challenges and opportunities in the sector. Stability over a reasonable period is required for institutions to effectively perform their crucial role of establishing reasonable expectations in dealings among people. Institutional innovations are required to keep up with the changing nature of development. In particular, farmer-led institutional innovations have been touted as key to improving the management of water resources in irrigation schemes. Farmer-led institutional innovation refers to a process, in which farmers themselves initiate, establish, and improve institutions based on their context-specific challenges or opportunities. Farmers’ groups are regarded as an important institutional arrangement to reduce transaction costs, improve social networks, and increase livelihood outcomes. However, little is known about the internal dynamics of these farmer groups, how they operate, and whether or not they are inclusive and innovative, as well as what makes certain groups more successful than others. Furthermore, there is a paucity of research on whether these farmer groups embrace institutional innovations to improve water security and strengthen their design principles that are crucial for collective action. It is against this background that this study aimed to examine the internal group dynamics within the farmer groups; determine whether smallholder farmers are capable of implementing institutional innovations that are novel, useful and legitimate; determine the nature of these innovations (incremental or radical) and their role in improving water security. The main theories that underpinned the study were induced institutional innovation theory, collective action theory, random utility theory and Ostrom’s eight design principles. Multistage sampling was used to collect data from 28 farmer groups and 401 irrigators in smallholder irrigation schemes in KwaZulu-Natal (Tugela Ferry and Mooi River) and the Eastern Cape (Qamata and Zanyokwe). Data were gathered by means of focus group discussions, key informant interviews and household surveys. Several empirical tools were employed to analyse the data (descriptive statistics, thematic analysis, logit model, propensity score matching, PCA and OLS). The study found that group membership was associated with higher levels of water access, adoption of inorganic fertiliser, incomes and assets. Group members had an additional four days’ access to water in a month and applied at least 130 kg/ha more inorganic fertiliser than non-group members. Group members also had a higher household income per capita and more assets than non-group members. However, the results revealed a heterogeneous effect among group members, with the benefits varying according to members’ socio-economic characteristics as well as internal group dynamics. The results suggest that organising farmers into groups should be promoted to improve farmers’ access to productive assets such as water, technology adoption and welfare outcomes. However, the study findings also indicate that smaller groups should be promoted, programmes targeted at empowering women should be prioritised, and that it is imperative to invest in improving farmers’ human capital through various training initiatives. The results indicated that farmers could develop and implement institutional innovations that are novel, useful and legitimate. Of the 28 groups, 21 (75%) had implemented institutional innovations in the past three years. Examples of innovations include, among others, the introduction of a secret voting system to improve marginalised people’s participation in decision-making processes, designing daily rotation rosters to reduce conflict, using an attendance register for participation in group activities, and rewarding members according to their participation levels. Most of these innovations were designed to improve the graduated sanction mechanism (22.2%), enhance the penalty system for non-compliance; improve collective action arrangements (27.8%); monitor attendance of group meetings (18.5%); democratise decision making; and ensure equitable water distribution. However, they mainly focused on addressing challenges rather than exploiting opportunities and were largely incremental (94%), involving an adjustment or reinterpretation of rules and regulations. Furthermore, the innovative groups were small in size and were dominated by male farmers. Based on these results, it is recommended that the government should build on the irrigators’ agency to improve the effectiveness and legitimacy of institutional arrangements in irrigation schemes. The findings also suggest that small groups should be actively promoted, while tailored training should be offered based on the groups’ specific needs to improve institutional innovations in the smallholder irrigation sector in South Africa. A positive association was established between belonging to an innovative group and water security, highlighting the importance of institutional innovations in water security. The propensity score matching indicated that water secure irrigators produced an additional 569-622 kg of maize and earned additional income of R2 037.81. The study’s findings suggest that organising farmers into groups is a promising strategy to improve farmers livelihoods and water security. The government and private donors should thus continue to promote the formation and organisation of farmers into groups. The innovative agency of the irrigators should be acknowledged and harnessed to strengthen institutional innovations. The focus should be on strengthening the institutions designed by farmers themselves, as these are locally contextualised and socially embedded, and hence legitimate. It is recommended that small groups should be actively promoted, while tailored training should be offered based on groups’ specific needs to improve institutional innovations in the smallholder irrigation sector in South Africa. , Thesis (PhD) -- Faculty of Commerce, Economics and Economic History, 2022
- Full Text:
- Date Issued: 2022-04-06
- Authors: Phakathi, Sandile
- Date: 2022-04-06
- Subjects: Water security South Africa , Rural development projects South Africa , Institutional cooperation South Africa , Irrigation farming South Africa , Food security South Africa , Agricultural innovations South Africa , Irrigation Technological innovations South Africa , Smallholder irrigation schemes
- Language: English
- Type: Doctoral thesis , text
- Identifier: http://hdl.handle.net/10962/232341 , vital:49983 , DOI 10.21504/10962/232341
- Description: Smallholder irrigation schemes are regarded as a key strategy to eliminate poverty and increase food security in rural areas in South Africa. While the South African government has invested heavily in rural development schemes, most irrigation schemes face a myriad of challenges, including deficient infrastructure, weak institutional arrangements and water insecurity. Weak institutions have been identified as a major bottleneck in the performance of smallholder irrigation schemes in developing countries, including South Africa. Two main reasons have been identified for this challenge. Firstly, the agency of the irrigators was ignored during the design of the schemes. Treating farmers as passive rather than active agents resulted in institutional arrangements that were not context-specific, as well as weak farmer commitment to the ownership and management of the schemes, leading to system breakdown. Despite being noble in intention or design, institutions designed by outsiders often fail due to a lack of legitimacy. Secondly, institutions have failed to evolve to cope with dynamic challenges and opportunities in the sector. Stability over a reasonable period is required for institutions to effectively perform their crucial role of establishing reasonable expectations in dealings among people. Institutional innovations are required to keep up with the changing nature of development. In particular, farmer-led institutional innovations have been touted as key to improving the management of water resources in irrigation schemes. Farmer-led institutional innovation refers to a process, in which farmers themselves initiate, establish, and improve institutions based on their context-specific challenges or opportunities. Farmers’ groups are regarded as an important institutional arrangement to reduce transaction costs, improve social networks, and increase livelihood outcomes. However, little is known about the internal dynamics of these farmer groups, how they operate, and whether or not they are inclusive and innovative, as well as what makes certain groups more successful than others. Furthermore, there is a paucity of research on whether these farmer groups embrace institutional innovations to improve water security and strengthen their design principles that are crucial for collective action. It is against this background that this study aimed to examine the internal group dynamics within the farmer groups; determine whether smallholder farmers are capable of implementing institutional innovations that are novel, useful and legitimate; determine the nature of these innovations (incremental or radical) and their role in improving water security. The main theories that underpinned the study were induced institutional innovation theory, collective action theory, random utility theory and Ostrom’s eight design principles. Multistage sampling was used to collect data from 28 farmer groups and 401 irrigators in smallholder irrigation schemes in KwaZulu-Natal (Tugela Ferry and Mooi River) and the Eastern Cape (Qamata and Zanyokwe). Data were gathered by means of focus group discussions, key informant interviews and household surveys. Several empirical tools were employed to analyse the data (descriptive statistics, thematic analysis, logit model, propensity score matching, PCA and OLS). The study found that group membership was associated with higher levels of water access, adoption of inorganic fertiliser, incomes and assets. Group members had an additional four days’ access to water in a month and applied at least 130 kg/ha more inorganic fertiliser than non-group members. Group members also had a higher household income per capita and more assets than non-group members. However, the results revealed a heterogeneous effect among group members, with the benefits varying according to members’ socio-economic characteristics as well as internal group dynamics. The results suggest that organising farmers into groups should be promoted to improve farmers’ access to productive assets such as water, technology adoption and welfare outcomes. However, the study findings also indicate that smaller groups should be promoted, programmes targeted at empowering women should be prioritised, and that it is imperative to invest in improving farmers’ human capital through various training initiatives. The results indicated that farmers could develop and implement institutional innovations that are novel, useful and legitimate. Of the 28 groups, 21 (75%) had implemented institutional innovations in the past three years. Examples of innovations include, among others, the introduction of a secret voting system to improve marginalised people’s participation in decision-making processes, designing daily rotation rosters to reduce conflict, using an attendance register for participation in group activities, and rewarding members according to their participation levels. Most of these innovations were designed to improve the graduated sanction mechanism (22.2%), enhance the penalty system for non-compliance; improve collective action arrangements (27.8%); monitor attendance of group meetings (18.5%); democratise decision making; and ensure equitable water distribution. However, they mainly focused on addressing challenges rather than exploiting opportunities and were largely incremental (94%), involving an adjustment or reinterpretation of rules and regulations. Furthermore, the innovative groups were small in size and were dominated by male farmers. Based on these results, it is recommended that the government should build on the irrigators’ agency to improve the effectiveness and legitimacy of institutional arrangements in irrigation schemes. The findings also suggest that small groups should be actively promoted, while tailored training should be offered based on the groups’ specific needs to improve institutional innovations in the smallholder irrigation sector in South Africa. A positive association was established between belonging to an innovative group and water security, highlighting the importance of institutional innovations in water security. The propensity score matching indicated that water secure irrigators produced an additional 569-622 kg of maize and earned additional income of R2 037.81. The study’s findings suggest that organising farmers into groups is a promising strategy to improve farmers livelihoods and water security. The government and private donors should thus continue to promote the formation and organisation of farmers into groups. The innovative agency of the irrigators should be acknowledged and harnessed to strengthen institutional innovations. The focus should be on strengthening the institutions designed by farmers themselves, as these are locally contextualised and socially embedded, and hence legitimate. It is recommended that small groups should be actively promoted, while tailored training should be offered based on groups’ specific needs to improve institutional innovations in the smallholder irrigation sector in South Africa. , Thesis (PhD) -- Faculty of Commerce, Economics and Economic History, 2022
- Full Text:
- Date Issued: 2022-04-06
Ecological infrastructure importance for drought mitigation in rural South African catchments: the Cacadu Catchment case example
- Authors: Xoxo, Beauten Sinetemba
- Date: 2021-10
- Subjects: Sustainable Development Goals , Water security South Africa , Remote sensing , Watershed restoration South Africa , Restoration ecology South Africa , Ecosystem services South Africa , SDG 15.3.1
- Language: English
- Type: Master's theses , text
- Identifier: http://hdl.handle.net/10962/191203 , vital:45070
- Description: Water scarcity is recognised as one of the significant challenges facing many countries, including South Africa. The threat of water scarcity is exacerbated by the coupled impacts of climate and anthropogenic drivers. Ongoing droughts and continued land cover change and degradation influence the ability of catchments to partition rainwater runoff, thereby affecting streamflow returns. However, quantifying land degradation accurately remains a challenge. This thesis used the theoretical lens of investing in ecological infrastructure to improve the drought mitigation function in rural catchments. This theoretical framework allows for a social-ecological systems approach to understand and facilitate science-based strategies for promoting ecosystem recovery. Specifically, this study aimed to explore the role and benefit of ecological infrastructure for improving drought mitigation, and consequently, water security for rural communities. Thus, this study sought to assess the consequences of human actions to catchment health status using the 15th Sustainable Development Goal indicator for the proportion of degraded land over the total land area as a surrogate. Secondly, hydrological modelling was used to describe how different land covers influence catchment hydrology, which related to how ecological infrastructure enables drought risk-reduction for mitigation regulation. Finally, this study developed a spatial prioritisation plan for restoration to improve drought mitigation for four focal ecological infrastructure (EI) categories (i.e. wetlands, riparian margins, abandoned agricultural fields and grasslands). The focal EI categories were selected for their importance in delivering water-related ecosystem services when sustainably managed. Chapter 1 sets the scene (i.e. provides the study background) and Chapter 2 provides a review of the literature. In Chapter 3, the recently released global GIS toolbox (TRENDS.EARTH) was used for tracking land change and for assessing the SDG 15.3.1 degradation indicator of i.e. Cacadu catchment over 15 years at a 300 m resolution. The results showed a declining trend in biomass productivity within the Cacadu catchment led to moderate degradation, with 16.79% of the total landscape degraded, which was determined by the pugin using the one-out, all-out rule. The incidence of degradation was detected in middle reaches of the catchment (i.e. S10F-J), while some improvement was detected in upper reaches (S10A-C) and lower reaches (S10J). In Chapter 4, a GIS-based Analytic Hierarchical Process (AHP) based on community stakeholder priorities, open-access spatial datasets and expert opinions, was used to identify EI focal areas that are best suitable for restoration to increase the drought mitigation capacity of the Cacadu catchment. The collected datasets provided three broad criteria (ecosystem health, water provision and social benefit) for establishing the AHP model using 12 spatial attributes. Prioritisation results show that up to 89% of the Cacadu catchment is suitable for restoration to improve drought mitigation. Catchments S10B-D, and S10F, S10G and S10J were highly prioritised while S10A, S10E and S10H received low priority, due to improving environmental conditions and low hydrological potential. Areas that were prioritised with consideration for local livelihoods overlap the areas for drought mitigation and form a network of villages from the middle to lower catchment reaches. Prioritised restoration areas with a consideration of societal benefit made up 0.56% of wetlands, 4.27% of riparian margins, 92.06% of abandoned croplands, and 51.86% of grasslands. Chapter 5 reports on use of the Pitman groundwater model to help understand the influence of land modification on catchment hydrology, and highlight the role of restoration interventions. The Cacadu catchment is ungauged, therefore the neighbouring Indwe catchment was used for parameter transfer through a spatial regionalisation technique. Results suggest that degradation increases surface runoff and aggravates recharge reduction, thereby reducing streamflow during low flow periods. In areas where there is natural land cover recovery, the Pitman Model simulated similar dry season streamflow to the natural land cover. Combining the outcomes from the three assessments allowed the study to highlight the role and benefits of ecological infrastructure in terms of drought mitigation. Study findings were interpreted to make recommendations for the role and benefit of ecological infrastructure for drought mitigation at a landscape scale and tertiary catchment level, within the context of available management options. The results support the notion that multiple science data sources can promote investments in ecological infrastructure. However, better spatial and temporal resolution datasets at a national level are still needed to improve the accuracy of studies such as the one outlined in this thesis. The study recommends adopting better ecosystem protection approaches and collaborative governance at multiple levels to reduce the vulnerability of rural communities to drought impacts. , Thesis (MSc) -- Faculty of Science, Institute for Water Research, 2021
- Full Text:
- Date Issued: 2021-10
- Authors: Xoxo, Beauten Sinetemba
- Date: 2021-10
- Subjects: Sustainable Development Goals , Water security South Africa , Remote sensing , Watershed restoration South Africa , Restoration ecology South Africa , Ecosystem services South Africa , SDG 15.3.1
- Language: English
- Type: Master's theses , text
- Identifier: http://hdl.handle.net/10962/191203 , vital:45070
- Description: Water scarcity is recognised as one of the significant challenges facing many countries, including South Africa. The threat of water scarcity is exacerbated by the coupled impacts of climate and anthropogenic drivers. Ongoing droughts and continued land cover change and degradation influence the ability of catchments to partition rainwater runoff, thereby affecting streamflow returns. However, quantifying land degradation accurately remains a challenge. This thesis used the theoretical lens of investing in ecological infrastructure to improve the drought mitigation function in rural catchments. This theoretical framework allows for a social-ecological systems approach to understand and facilitate science-based strategies for promoting ecosystem recovery. Specifically, this study aimed to explore the role and benefit of ecological infrastructure for improving drought mitigation, and consequently, water security for rural communities. Thus, this study sought to assess the consequences of human actions to catchment health status using the 15th Sustainable Development Goal indicator for the proportion of degraded land over the total land area as a surrogate. Secondly, hydrological modelling was used to describe how different land covers influence catchment hydrology, which related to how ecological infrastructure enables drought risk-reduction for mitigation regulation. Finally, this study developed a spatial prioritisation plan for restoration to improve drought mitigation for four focal ecological infrastructure (EI) categories (i.e. wetlands, riparian margins, abandoned agricultural fields and grasslands). The focal EI categories were selected for their importance in delivering water-related ecosystem services when sustainably managed. Chapter 1 sets the scene (i.e. provides the study background) and Chapter 2 provides a review of the literature. In Chapter 3, the recently released global GIS toolbox (TRENDS.EARTH) was used for tracking land change and for assessing the SDG 15.3.1 degradation indicator of i.e. Cacadu catchment over 15 years at a 300 m resolution. The results showed a declining trend in biomass productivity within the Cacadu catchment led to moderate degradation, with 16.79% of the total landscape degraded, which was determined by the pugin using the one-out, all-out rule. The incidence of degradation was detected in middle reaches of the catchment (i.e. S10F-J), while some improvement was detected in upper reaches (S10A-C) and lower reaches (S10J). In Chapter 4, a GIS-based Analytic Hierarchical Process (AHP) based on community stakeholder priorities, open-access spatial datasets and expert opinions, was used to identify EI focal areas that are best suitable for restoration to increase the drought mitigation capacity of the Cacadu catchment. The collected datasets provided three broad criteria (ecosystem health, water provision and social benefit) for establishing the AHP model using 12 spatial attributes. Prioritisation results show that up to 89% of the Cacadu catchment is suitable for restoration to improve drought mitigation. Catchments S10B-D, and S10F, S10G and S10J were highly prioritised while S10A, S10E and S10H received low priority, due to improving environmental conditions and low hydrological potential. Areas that were prioritised with consideration for local livelihoods overlap the areas for drought mitigation and form a network of villages from the middle to lower catchment reaches. Prioritised restoration areas with a consideration of societal benefit made up 0.56% of wetlands, 4.27% of riparian margins, 92.06% of abandoned croplands, and 51.86% of grasslands. Chapter 5 reports on use of the Pitman groundwater model to help understand the influence of land modification on catchment hydrology, and highlight the role of restoration interventions. The Cacadu catchment is ungauged, therefore the neighbouring Indwe catchment was used for parameter transfer through a spatial regionalisation technique. Results suggest that degradation increases surface runoff and aggravates recharge reduction, thereby reducing streamflow during low flow periods. In areas where there is natural land cover recovery, the Pitman Model simulated similar dry season streamflow to the natural land cover. Combining the outcomes from the three assessments allowed the study to highlight the role and benefits of ecological infrastructure in terms of drought mitigation. Study findings were interpreted to make recommendations for the role and benefit of ecological infrastructure for drought mitigation at a landscape scale and tertiary catchment level, within the context of available management options. The results support the notion that multiple science data sources can promote investments in ecological infrastructure. However, better spatial and temporal resolution datasets at a national level are still needed to improve the accuracy of studies such as the one outlined in this thesis. The study recommends adopting better ecosystem protection approaches and collaborative governance at multiple levels to reduce the vulnerability of rural communities to drought impacts. , Thesis (MSc) -- Faculty of Science, Institute for Water Research, 2021
- Full Text:
- Date Issued: 2021-10
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