The effectiveness of water use authorisation systems as a policy implementation instrument

PhD (Geography and Environmental Management), North-West University, Potchefstroom Campus

Since the 1960s many international governments have adopted policy-based implementation instruments in the form of water use authorisation (WUA) systems to regulate the use of water resources. The government in post-apartheid South Africa introduced similar systems for the protection, use, development, conservation, management, and control of water resources, the most notable system thereof being the water use licence application (WULA) system. However, since its introduction the WULA system has endured ongoing criticism regarding its effectiveness and efficiency, and it is therefore considered that the periodic evaluation of the system is a key component to ensure the achievement of its envisaged objectives. To this end, this research aimed to determine the effectiveness of the South African WULA system as a policy-based implementation instrument. This would be achieved through the application of a programme theory approach to evaluation, more specifically the Theory of Change (ToC). Through the application of the ToC approach to evaluation, the research identified 21 key underlying assumptions on which the system is currently implemented. These key underlying assumptions were tested through the evaluation of key performance indicators (KPIs), resulting in recommendations being made for the improvement of the South African WULA system. The key performance results of the WULA system evaluation indicated that it is currently being implemented on several flawed assumptions. For example, the WULA system is currently implemented on the flawed assumptions that sufficient skills and competencies are in place to implement the system and that the necessary decision-making entities are established and functioning as intended. Moreover, the WULA system is implemented on the flawed assumptions that resource classes, RQOs and the Reserve have been determined and that the benefits of undertaking the WULA outweigh the costs. Evaluation results also indicated that the WULA system is implemented on the flawed assumptions that pre-application enquiry meetings and site inspections are undertaken and that applications are processed within the stipulated timeframes. The WULA system is further implemented on the flawed assumptions that the technical reports are complete and of good quality and that the final decisions made are lawful, reasonable, and procedurally fair and that the WULA system realises the progressive realisation of our environmental and human rights. Considering the evaluation results, the South African WULA system is in many instances ineffective in conforming to established provisions and principles, supporting well-informed decision-making, delivering outcomes at the least cost and in the minimum time, and achieving its ideal purpose.

Doctoral