Theme 2 Conceptual Framework

The research in Theme 2 focuses on improving livelihoods and sustainability through better management of upstream-downstream interdependences created by the flow of water through the catchment. The key hydrological and social relationships that link stakeholders across scales in catchments are depicted in Figure 1 (for more detail on Theme 2 conceptual framework see here).

Fig. 1. Conceptual model of multiscale interactions in watershed units. Source: Swallow et al, 2006

Loosely following Molden et al. (2001), the watershed is divided into five hydronomic zones: headwater ecosystems, uplands, midlands, lowlands and lowland ecosystem. It is assumed that people live, interact and earn livelihoods in three of the zones- the upland, midland and lowland zones-while the other two zones are ecosystems that affect and are affected by water use in the other zones.

The way that water is managed by individuals and groups in a given zone directly affects welfare in that zone. Water management within a zone also influences livelihood options in lower zones indirectly through its affect on water transitions, defined as changes in the quantity, quality or timing of water flows between hydronomic zones/nodes. Water transitions depend on water use and the biophysical characteristics of the catchments, as well as on technology and management practices of people in upland nodes.

The water transition from an upper to a lower node may have impacts on downstream water users, which may be considered positive (positive externalities) or negative (negative externalities) by downstream users. Individuals, groups and public agencies representing the interests of downstream residents may then take action to try to reduce or mitigate some types of water transitions or increase others. For example, downstream residents can negotiate directly with upstream residents to change their actions or make investments in upstream areas that affect the way land and water are used. Alternatively they can pressure the government to change land or water use regulations, or to invest in water-management infrastructure upstream. These actions on the part of downstream residents in response to water transitions can, in a sense, reverse some of the impacts of flows back upstream. These reverse flows can take a variety of forms, involving economic, social or political resources. Direct flows can range from cooperation and negotiation among upstream and downstream stakeholders to conflict and use of force. Reverse flows can also be mediated by some public agency as in the case of regulations, subsidies, taxes or public investments in water infrastructure.

Besides the primary nodes of land and water users, the model also depicts secondary nodes that link the upland/midland and midland/lowland nodes. These secondary nodes represent arenas of negotiation, conflict and/or collective action among adjacent water users. Spanning these primary and secondary nodes are basin, national and international institutions governing water, land and forest management. These institutions condition the nature of activity within each node as well as the upward and downward flows between zones. Together, these interactions determine the level and distribution of welfare across individuals in the three zones, as well as the environmental outcomes in the headwater and lowland ecosystems.

Understanding, quantifying and modifying these relationships are the main activities in Theme 2 research projects. Stakeholder and institutional analysis, using surveys, participatory methods or other approaches, is conducted to identify and characterize the different watershed stakeholders and the economic, social, and institutional linkages between them. Hydrological relationships and water transitions are quantified at different scales via direct measurement (in experimental or natural settings) and modeling. Improvements in resource management are explored via analytical and scenario analysis, as well as through action research approaches, for example establishing and/or supporting payment for environmental services schemes or collaborative watershed management groups.

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