Participation in water governance: a comparative study of two smallholder outgrower schemes in the Zambian sugar industry

This thesis investigates the development of smallholders’ capacity to participate in water governance within their smallholder outgrower schemes in the Zambian sugar industry. Participation in water governance consists of processes that allow stakeholders to exercise “voice and vote”. This allows them to influence and share control of decisions and allocation of resources that affect their water security. Sugarcane is a water intensive crop and therefore water use and water quality are important in the management of social and environmental risks. Smallholders own small plots of land, rely almost exclusively on family labour, and have limited resources in comparison to commercial farmers and other large scale operators. Outgrower schemes enable smallholders to pool their resources and be more attractive, as outgrowers, to processing firms like Zambia Sugar Plc. Smallholders in outgrower schemes often share water resources. The issue that arises is whether the smallholders within these outgrower schemes are able to participate in the governance of these resources on which their livelihoods depend. Lack of capacity is identified as one of the constraining factors that deter smallholders from participating in water governance. Building smallholders’ capacity can be used to engage them in water governance and promote more responsible and sustainable water use. This study makes a comparison between smallholders from two smallholder outgrower schemes (Kaleya and Manyonyo smallholder outgrower schemes) with different origins, organisational structures, ways of carrying out business, and organisational cultures. Five indicators are used to assess in what context smallholders’ capacity to participate exists: capability to adapt and self-renew, to relate; to balance diversity and coherence, to commit and engage and to carry out technical service and delivery and logistical tasks. The study shows that the context within which smallholders operate greatly affects their capacity to participate. The organisational and management context within which smallholders’ operate can either constrain or enable the development of their capacity to participate in water governance. A qualitative approach is employed to collect and analyse data. In-depth interviews and documentary analysis are used during field research. Prior to this a literature review of theories relating to participation and capacity development is done. Content analysis of the data collected is made, using themes derived from Baser and Morgan’s (2008) work on capabilities and their contribution to capacity. Although the study is initially focused on capabilities as the most important contributing factors to smallholders’ capacity development, the results point to context as a more significant factor. Context is discussed in relation to the case studies. Suggestions for future research include a more in-depth focus on context and its part in enabling smallholders’ capacity to participate in water governance.