Large dams within the sustainable development framework

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CHAPTER 2 LITERATURE REVIEW

 Introduction

Chapter 1 gave an introduction to the construction of large dams, including the times in which large dams were established and how many were established since their evolution. The previous chapter also described how many dams are yet to be constructed; the concerns and misconceptions about the construction of large dams worldwide. In this chapter, the focus is on describing, in detail, theories that have emerged, due to the construction of large dams since the concept of development, large dams within a sustainable development framework, the gap existing in large dam theories, as well as an empirical literature review, including positive impacts associated with the construction of large dams, and the negative environmental impacts associated with large dam construction.

Theoretical foundation

A literature review helps the researcher to learn about the topic under investigation, and to connect it with past studies, in order to gain knowledge (Neuman, 2006:111). This view is supported by Taylor and Procter (2008:1-2), who posited that the literature review helps to connect what is known to unknown in the field of study. In addition, the literature review helps with methods employed previously, the results obtained, and what was done with such results. It is therefore very important that the study under investigation be connected to the literature review, to support it (Rocco & Plakhotnik, 2009:129-130). By exploring a literature review in this study, the researcher was able to clarify his own thoughts about theories on the construction of large dams, and established a framework within which to present and analyse the findings obtained.

History of large dams and development

The development and running of large dams in the African continent were politically influenced. Chavez, Nadolnyak and Sarania (2013:21) state that large dams were used in Africa ever since the Colonial period, for social and economic development. Since the 1950s, when many countries in Africa and Asia obtained their freedom, they accelerated their national development processes of people, by improving it. They therefore opted for the construction of large dams. The World Commission on Dams highlights the following:
The end of any dam project must be the sustainable improvement of human welfare. This means a significant advance of human development on a basis that is economically viable, socially equitable and environmentally sustainable. The issues all relate to what the dam will do to river flow, to rights of access to water and river resources, to whether it will uproot existing human settlements, disrupt the culture and sources of livelihood of local communities; deplete and degrade environmental resources (World Commission on Dams, 2000:2).
Subsequently, building of large dams brought theories as people bring development. Hawi (2005:2) stated that, during this time, development was taken to mean one thing with economic growth. Todaro and Smith (2006:15) stated that ‘it is not easy to give out the definition of development since it has a lot’. In the same vein, the definition of development by Edwards (1993:80), is the way people live in society, to improve themselves. Similarly, Ninsin (1991:84) considered the definition of development to mean maximising the production of society, so as to raise people’s living standards and rectify unemployment, inequality and poverty. Todaro (1994:670) gave a more comprehensive definition by stating that people’s way of living can be developed by raising their income, food consumption and medical services, and, secondly, by creating conditions necessary for the growth of people, that can be enhanced through the formation of social, political and economic systems and institutions that promote human dignity.
In a similar notion, Burkey (1993:35-39) defined development as focusing on social, human, political and economic aspects. These are elaborated on below, as cited by Burkey:
Social development: A process of gradual change in which people increase their awareness of their own capabilities and common interests. They use this knowledge to analyse their needs, decide on solutions, organise themselves for cooperative efforts, and mobilise their own human, financial and natural resources to improve, establish and maintain their own social services within the context of their own culture and political system.
Human development: A process whereby an individual develops self-respect, becomes more self-confident, self-reliant, cooperative and tolerant towards others through an awareness of their own shortcomings. All the above can be enhanced through working with others, acquiring new skills, knowledge, participating actively in the economic, social and political development of the community.
Political development: A process of gradual change over time, in which people increase their awareness of their own capabilities, rights and responsibilities. They use their knowledge to organise themselves to acquire real political power to participate in decision-making at local level, and to choose their own leaders and representatives at higher levels of government who are accountable to the people. They plan and share power democratically and to create and allocate communal resources fairly and efficiently among individual groups.
Economic development: A process in which people, through their joint efforts, boost production for subsistence and commercial activities. This requires people to analyse their problems, identify the causes, set their priorities and acquire new knowledge.
Todaro and Smith (2012:23) and Korten (1990:67) state that development is contained as part of major changes in social structure and administration, together with the customs, attitudes and beliefs. For this reason, development cannot be set in advance on long-term goals and arrangements (Swanepoel, 2000:72). All the definitions view development as being people-centered, as all humans can reach their potential. Likewise, the definitions put individuals as agents of change, who can be empowered to make their own choices.
According to Agbyoko (2010:23), development is defined as the way people try to satisfy their needs with natural resources from the environment, through exploiting them. Concurring with the preceding stance, Rodney (2005:1-2) pointed out that development comes about when people have a battle with the environment and dominate it. Development in this way is perceived as spiritual. Esteva (1992:10-11) indicated how Bonnet, in the eighteenth century, linked development to God, and stated that development cannot be separated from growth, evolution and maturation.
On the other hand, Todaro and Smith (2006:16) emphasised that if development does not increase the economy of the people and their standards of living, something is unjust. The state and society had to play a peculiar role in all the processes of development (Elakhe, 2014:73), to administer people’s actions on the environment. However, governments in developing countries have tried in all their capacities to take part in development, but their standing and ability did not help them to perform well.
Many dams in Africa and in Lesotho have been built in terms of set national goals. Development as a transformation of both natural and built environment through large projects like dams, roads, pipelines, for example. These large-scale development projects brings benefit to the general public while there are some who suffer the costs that the projects bring to them. Explored literature review on development will help with the perceptions that participants at Ha Seesios village in Maseru may have regarding the construction of Metolong projects and development.

Concluding remarks on history of large dams and development

The above definitions completely cover development involving human, economic, political, social and spiritual elements. The definitions suggest development is to do with the reduction of poverty, improvement in the quality of human lives, improvement of the living standards of people, expansion of their choices, and improvement in the care for one another and their environment. When people mobilise one another and organise themselves to establish cooperative efforts that deal with them, that is the beginning of development. This process empowers people and leads them to sustainability.

 Large dam theories and justification

As stated above, development deals with issues such as poverty, unemployment, oppression and inequality, and enables people to realise that they can do something about their situation without destroying their environment. Development takes place when the income of people increases so that their economic environment promotes growth. With this understanding of development, an attempt will be made to analyse the development theories of large dams. Stacks and Salwen (2009:4) explain the significance of theory as collecting and bring people’s ideas together when exploring an unknown area of knowledge. Different theories have existed since World War II. These include reconstruction and development, economic development, the growth theory, modernisation (and its new variant–neo-liberal development), post-modern development and sustainable development (Long, 1990:16; Preston, 1996:154; Simon, 1997:184-185). Thorbecke (2006:3) stated that development theories behind large dam development originate from development thinking from the 1950s, when the modernisation theory emerged. The study explores modernisation and sustainable development within the context of large dam development.

Modernisation theory

Modernisation was born of American social scientists, and gained its strength around the 1960s (Preston, 1996:170-171). Modernisation was perceived by Du Pisani (1980:67) as the process involving change in social structures, changing people’s behaviour, and leading people to a new sense of what should be done while development is still ongoing. However, modernisation requires a change in the values, attitude and norms of people, while people are transformed from a traditional society into a modern society. From the point of view of Myers (1999:12, 119), when people have changed, they recognise their true identity as children of God, and have a relationship with a triune God and the environment on which they depend for food, water and air.

Chapter 1: Introduction and background to the study 
1.1. Introduction of the study
1.2. Construction of large dams
1.3. Background to the Kingdom of Lesotho
1.4. Research objective
1.5. Research problem
1.6. The main research questions
1.7. Reasons for choosing the topic
1.8. Ethical considerations and demarcation
1.9. Research design and methodology
1.10. Literature review
1.11. Research results and analysis
1.12. Conclusions and recommendations
1.13. Technical aspects
1.13.1. Referencing
1.13.2. Technical care
1.14. Originality of the study and contribution of the research
1.15. Assumptions
1.16. Scope and limitation of the study
1.17. Structure of chapters to follow
Chapter 2: Literature review 
2.1. Introduction
2.2. Theoretical foundation
2.3. Large dams within the sustainable development framework
2.4. Gap existing in large dam theories
2.5. Empirical literature review sections
2.6. Positive impacts associated with construction of large dams
2.7. Negative environmental impacts of large dams
2.8. Summary
Chapter 3: International reactions and responses to construction of large dams 
3.1. Introduction
3.2. International reactions and responses to construction of large dams
3.3. Declarations dealing with the sustainable use of water resources
3.4. The Hague Ministerial Declaration of 2000
3.5. United Nations Declaration on the Right to Development of 1986
3.6. The Universal Declaration of Human Rights of 1948
3.7. The Curitiba Declaration of 1997
3.8. The World Summit on Sustainable Development of 2002
3.9. The Manibeli Declaration of 1994
3.10. San Franscisco Declaration of 1998
3.11. The Rasi Salai Declaration of 2003
3.12. Conventions and protocols that deal with the sustainable use of water resources
3.13. International treaties on shared water systems
3.14. Summary
Chapter 4: Lesotho Highlands Water Project and other international case studies in water projects management 
4.1. Introduction
4.2. Environmental impacts of large dams on international level
4.3. Lesotho Highlands Water Project
4.4. Dams in the Lesotho Highlands Water Project
4.5. Phases of the Lesotho Highlands Water Project
4.6. Phase 1A of the Lesotho Highlands Water Project
4.7. Phase II of the Lesotho Highlands Water Project
4.8. Management structure of the Lesotho Highlands Water Project
4.9. How LHWP recipients perceive and experience the new development
4.10. Impacts of Lesotho Highlands Water Project
4.11. Summary
Chapter 5: Research methodology and design 
5.1. Introduction
5.2 Empirical study
5.3. Research methodology and design
5.4. Research population
5.5. Sampling procedure
5.6. Sampling size
5.7. Researcher’s team
5.8. Target sample
5.9. Piloting the study
5.10. Data collection
5.10.1. Semi-structured interviews
5.11. Measures to ensure trustworthiness
5.12. Transferability
5.13. Dependability
5.14. Confirmability
5.15. Ethical consideration
5.16. Data analysis
5.17. Problems encountered during data collection
5.18. Summary
Chapter 6: Empirical analysis and discussion 
6.1. Introduction
6.2. Reviewed and analysed documents
6.3. Collected data from the study area
6.4. Summary
Chapter 7: Summary, conclusions, recommendations and a new model 
7.1. Introduction
7.2. Methodology and instruments validation criteria
7.3. Research findings
7.4. Participants perception of Metolong socio-environmental impacts
7.5. Conclusion of the research findings
7.6. Grounded theory methodology
7.7. A new proposed model
7.8. New model and its aid in the future
7.9. Recommendations
7.10. Production of an article
7.11. Suggestions for future research
7.12. Summary
References 
Appendices
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