Water use in the Laurentian Great Lakes Basin (GLB) has long been governed by a framework of binational agreements between the United States and Canada, policies and decision-making standards of multilevel governments, and court rulings. Though groundwater quantity is not comprehensively monitored and groundwater insecurity is not widely reported throughout the Basin, in the context of rising regional populations increasing groundwater demand in high-use hotspots and climate change impacts simultaneously reducing aquifer recharge, this dissertation proactively examines the multi-scale interactions between multilevel governance and groundwater resources that can reduce sub-watershed scale groundwater storage (GWS) in high use and/or drought prone locales. Grounded on sustainable aquifer yield, adaptive governance and subsidiarity theories, and considered within the social-ecological system framework, the dissertation assesses the suitability of the governance framework to sustain GWS in high-groundwater-stress local contexts and provides governance reform recommendations. Chapter 1 provides the theoretical background and analytical framing necessary to contextualize the three original manuscripts of the dissertation that are presented in Chapters 2, 3 and 4. Chapter 2 highlights multilevel governance gaps undermining groundwater security in vulnerable situations. Chapter 3 collates reported cases of sub-watershed scale GWS vulnerabilities and conducts retrospective analysis to trace the origins of present-day groundwater governance weaknesses in the GLB. Chapter 4 is a case study of the City of Guelph that applies statistical methods to confirm the causal relationship between governance and GWS. Given the City’s unique governance approach, which has allowed it to maintain groundwater availability despite being wholly groundwater dependent and in a drought-prone region, the findings demonstrate the potential effectiveness of governance approaches featuring subsidiarity and adaptiveness in addressing groundwater insecurity in similarly vulnerable communities. Chapter 5 concludes the research, summarizing the dissertation’s core contributions and recommending further research relevant to maintaining GWS. The dissertation closes with a meta-analysis of Chapters 2, 3 and 4 collating their main findings into a conceptual whole to propose a novel framework of good governance principles to better sustain GWS in the Basin’s high-stress locales. / Thesis / Doctor of Philosophy (PhD) / Water use in the Laurentian Great Lakes Basin (GLB), the world’s largest freshwater store, has historically been subject to binational agreements between the United States and Canada, multilevel government statutes in both nations and court rulings. While persistent, sub-watershed scale groundwater storage (GWS) decline is not a widely reported issue in the GLB, places where they are observed are commonly in drought-prone and/or groundwater-dependent GLB communities. With growing human demand and climate stressors, this thesis adopts a proactive stance on addressing this emerging issue. As governance lies at the heart of maintaining GWS in social-ecological systems such as the GLB, this dissertation applies multidisciplinary methods to assess governance characteristics underlying growing groundwater insecurity in high-groundwater-stress situational contexts of the Basin. Findings highlight that the top-down GWS governance approach insufficiently leverages the strengths of local institutions to prevent groundwater insecurity. Findings also show that groundwater use and conservation standards have not been sufficiently based on the unique physical-environmental sustainability requirements of aquifers to maintain GWS, as they continue to be based on relatively limited 19th-century scientific understanding of groundwater flow systems. Largely unchanged over time, contemporary governance instead generally applies the same water use and conservation standards, originally developed to sustain surface water, to govern surface water and groundwater use. These conclusions inform recommendations for sustaining GWS in vulnerable locations, considering growing populations and climate uncertainties.

Water protection proves to be a difficult task, whether it is dealt with through legislation or the implementation of a process to reduce further pollution. This study considers how the issue of water pollution from nitrates in agricultural practices has become better understood through the reforms of the common agriculture policy (CAP) and the enactment of various regulations and directives by EU. The implementation of the EC Nitrate Directive is a main focus of this study because it was a major movement towards protecting water against pollution from agriculture, and an important step in implementing the Water Framework Directive. The implementation process is analyzed from both a formal and practical perspective, along with a discussion of the difficulties that arose in the implementation phase. There is a focus on the implementation of the Nitrate Directive in UK, with an emphasis on England as a case study. The study finds that if the distribution of responsibilities (planning, regulating, implementing, and reporting) is shared between national, regional and local bodies, the compliance with political regulations becomes easier. It is also concluded that rearrangements of the existing institutions are necessary to reduce costs, exchange new ideas that could translate to regulative ideas, and create an atmosphere of trust between regulators and implementers. It can be concluded from this study that, despite the traditional centralization of governments, England has taken several steps towards integrating institutions and has tried to be open and responsive to the local communities. Finally, there are several lessons that can be learned from the UK’s approach to control nitrate pollution, which are discussed and outlined in the conclusion of this study. / Water protection proves to be a difficult task, whether it is dealt with through legislation or the implementation of a process to reduce further pollution. This study considers how the issue of water pollution from nitrates in agricultural practices has become better understood through the reforms of the common agriculture policy (CAP) and the enactment of various regulations and directives by EU. The implementation of the EC Nitrate Directive is a main focus of this study because it was a major movement towards protecting water against pollution from agriculture, and an important step in implementing the Water Framework Directive. The implementation process is analyzed from both a formal and practical perspective, along with a discussion of the difficulties that arose in the implementation phase. There is a focus on the implementation of the Nitrate Directive in UK, with an emphasis on England as a case study. The study finds that if the distribution of responsibilities (planning, regulating, implementing, and reporting) is shared between national, regional and local bodies, the compliance with political regulations becomes easier. It is also concluded that rearrangements of the existing institutions are necessary to reduce costs, exchange new ideas that could translate to regulative ideas, and create an atmosphere of trust between regulators and implementers. It can be concluded from this study that, despite the traditional centralization of governments, England has taken several steps towards integrating institutions and has tried to be open and responsive to the local communities. Finally, there are several lessons that can be learned from the UK’s approach to control nitrate pollution, which are discussed and outlined in the conclusion of this study. / kungsmarksv'gen 105 371 44 karlskrona sweden

Wars fought over oil have characterized the latter half of the past century, the repercussions of which have been felt in every corner of the globe. Although war remains a constant, attention is transitioning away from oil to another natural resource. As we move through the 21st century, water wars are now at the forefront of global conflicts. Fighting over access to this vital resource is nothing new. Allen Snitow, a documentary filmmaker and journalist claims: “For thousands of years, the conflicts between towns and countries have been defined by the battle over who gets to use the stream. The word rival and river have the same root.”1 Disputes over access to water have been inevitable because of human’s dependence on this natural resource for sustenance. The lack of a substitution for water makes the world water crisis a threat requiring immediate attention and innovative solutions. The assumed responsibility of the government to provide sustainable solutions has proven ineffective in its failure to protect the human right to water. As a world water crisis, there is a need for a more cohesive management approach. Identifying and implementing effective and equitable approaches to water management is a highly debated subject across many disciplines. A common approach to combating issues of access to potable water involves the private sector and its reliance on the market. Alternatively, some advocate for treating water as a public or community good to avoid the commodification of an essential resource. Through various examples and a fleshed out case study, I illustrate how solutions to the water crisis are not determined by theoretical frameworks, but are shaped by the viability of the approaches in a given region. The factors that influence the feasibility of an approach include: the availability of water resources and other geographical or environmental circumstances; the political stability or corruption within the government; the degree of established infrastructure; determination of who the government is responsible for providing water services to; and the specific cultural needs of different groups. By analyzing the aforementioned theoretical perspectives on water management through a lens that considers each of these factors, I attempt to identify and analyze the context for which these approaches are appropriate and effective in providing equitable access to clean water. The political, economic, cultural and geographical contexts of a region are critical in considering how to best alleviate issues of access to potable water. In addition, I argue that across all of these diverse contexts in which we identify water access issues, it is invariably necessary to treat water as a public good in order to protect the human right to water. 1 Alan Snitow, Deborah Kaufman, and Michael Fox, Thirst: Fighting the corporate theft of our water, (San Francisco: Jossey-Bass, 2007), 3.

The Water Framework Directive (Directive 2000/60/EC) is an innovative piece of legislation aimed at harmonizing Water Policy among the 27 Member States. This Directive, the reading of which may appear quasi-revolutionary due to its territorial and material scope, is a new policy instrument with, as of yet, still ongoing implementation. The final deadline for the complete implementation of the Water Framework Directive is 2015, when the good ecological status of the water bodies in the European Union should have been achieved. The purpose of this study is to analyze the development of the implementation on three essential aspects of the Directive: the transposition, the creation of the administrative authorities, and the public participation in the elaboration of the River Basin Management Plans. My thesis has two main research questions: 1) Have France and Spain implemented the WFD correctly? 2) Does the pervasive theory of the Mediterranean Syndrome apply to my study cases? In order to answer the first question, I use the scoreboard method to assess of the correctness of implementation of the three essential aspects of the Directive mentioned above, complemented by an examination of the domestic dynamics that shaped the implementation categorized into different modes of governance. To address the second question the two case studies I have chosen will test the doctrine of the northern leaders and southern laggards as based on institutional culture. The doctrine of the Southern Laggards (also known as the Mediterranean Syndrome doctrine) advocates that the Southern/Mediterranean states are doomed to fail implementing EU environmental policy. In my thesis, I address this doctrine by using a practical case study: the comparison of the implementation of the Water Framework Directive between France and Spain. The essence of these arguments is rooted in the mainstream doctrine of the goodness of fit. That is, a Directive is more likely to be correctly implemented where there is a matching institutional framework. In order to use this theory as a departure point to examine the hypothesis of likeliness of correct implementation of the WFD by France and Spain, I selected three main institutional features that are hallmarks in France and Spain and also practically opposed: political centralization versus decentralization, democracy and participation versus totalitarianism, and the status of economic development of each EU Member. I use them as indicators to determine the degree of fit of France and Spain´s institutional frameworks with the purpose, the policy style and the institutions required by the WFD. I conclude with highlighting the importance of this study for the contribution that it may make to two contemporary issues: the current Eastern/Western divide in the EU (can the doctrine of the Northern/Southern states usefully be extrapolated to the Western/Eastern Members?) and the thorny economic situation of the EU today. At the time of finishing writing this thesis, all the fingers point to Greece, immersed in a striking public debt that has shaken the rest of the Mediterranean countries: is the Mediterranean Syndrome attacking again? / Graduate

5 pp. / As one of Arizona’s principal surface water systems, the Gila River has and will continue to be a valuable and highly sought after water source. The river, its tributaries, and underlying groundwater reserves have enabled a robust farming, ranching, and mining heritage, while providing a rich and diverse riparian landscape in an arid region. However, as much as these water resources have shaped the history of the watershed, a variety of legal, economic, and climatic uncertainties will undoubtedly – and potentially drastically – influence future water supplies. An understanding of the area’s water limits and a broad-based effort to more efficiently manage water usage are critically needed to cope with these uncertainties and maintain a secure water supply to support community health and preserve the rural lifestyle so central to the region. This document summarizes the legal system for water in the Upper Gila Watershed and a conceptual water budget analysis to quantify the region’s available supply, relative to current and projected future demand.

<p>  </p> <p>Irrigation water is crucial for agricultural production and farmers’ livelihoods in many regions of the world. Water scarcity, however, due in part to extended droughts and groundwater depletion, is putting ever-increasing pressure on regulatory agencies to implement water conservation policies, possibly hampering farmers’ livelihoods and food supply. It is therefore imperative to implement policies that allocate scarce water resources in the most efficient way, while allowing water buyers and sellers to benefit from trading. In this dissertation, I study the design of water policies that are in use for agricultural water management in many dry regions: markets, quotas, and water pricing. A key distinction among them is that water markets constitute a decentralized allocation mechanism, while the other policies are centralized. </p> <p>In my first two essays, I compare two prominent market designs, namely once-a-year trading (i.e., non-recursive design) and year-round trading (i.e., recursive design). I examine the effect of these competing market designs on efficiency and distributional outcomes. I do so by accounting for two unique characteristics of irrigation water markets: 1) farmers differ in the marginal valuation of water, and 2) water is thinly traded. In my first essay, I theoretically develop a 3-seller and 3-buyer trading model and show that a recursive design can hinder efficiency when traders differ substantially in their water valuations. This is because sellers greatly increase markups, which strengthens trading frictions. </p> <p>Theoretical predictions from essay 1 rest on rather strong behavioral assumptions – sellers and buyers are able to identify and play a rather complicated subgame perfect Nash equilibrium. But human subjects may deviate from these due to many reasons, including bounded rationality and off-equilibrium beliefs, among others. In my second essay, I conduct a laboratory experiment with human subjects to examine the extent to which they follow theoretical predictions, and the effects of their behavior on the relative performance of competing market designs. Experimental evidence shows that subjects do deviate from predicted equilibrium, particularly when agents are highly heterogeneous. As a result, I find that some of my theoretical predictions are reversed in the laboratory. In particular, the recursive design outperforms the non-recursive design because experimental agents behave much more competitively under the recursive design than predicted by my subgame perfect Nash equilibrium.</p> <p>In my third essay, I empirically compare the performance of quantity and price policies, as well as a hybrid to conserve water, using observational data from Mexican farmers. A fixed cap (the policy chosen by Mexican regulators) effectively limits water consumption, but the rigidity of the cap results in substantial welfare losses due to volatile weather patterns that induce drastic fluctuations in water demand. Consequently, I study two counterfactual policies, a price policy and a hybrid that combines quantity and price policies. I find that the hybrid policy performs very well relative to its pure counterparts because it provides an intermediate level of flexibility in water consumption, preventing large losses under anomalous weather. </p>

Understanding the influence of interest groups in the public policy process is vital to comprehending how public policy is created and implemented. This dissertation analyzes the influence of interest groups on the states that were involved with the negotiations of two river basin interstate compacts in the Southeastern United States. The compacts originated when the downstream states of Alabama and Florida became concerned about the amount of water the metropolitan area of Atlanta was withdrawing from the Chattahoochee River. This study considers which interest groups were most influential in formulating each state?s position during the negotiation process. While literature exists in the study of river basin interstate compacts in the western states, a gap in the literature concerning water policy in the Southeastern United States is filled by this study. This dissertation considers the Western compacts and explores the similarities and differences between the compacts negotiated in the Southeast within the context of the public policy process. Federalism is explored not only with the states but with agencies from the federal government and their role in the compact negotiation process. The relationship between the federal agencies and the states sets the stage in which the policy process is conducted. The data were collected using a mixed methods approach of in-depth interviews and a survey. The interview subjects included individuals intimately involved with the negotiation process. The survey respondents were individuals who possessed at least a passing awareness of the compacts and how they would affect their jobs, organizations, or constituents. Final analysis concludes that several interest groups were able to wield enough power to influence not only their state, but also the entire negotiation process. The influence exerted by some of the interest groups prevented the compacts from existing beyond the negotiation period. As a result, the compacts expired and the states have resorted to the federal courts in search of a ruling on allocating water. The lack of formal federal involvement as well as involvement of a neutral party in the negotiation process are also vital to explaining why the compacts expired.

The US-Mexico border divides the communities of Palomas, Chihuahua and Columbus, New Mexico, but they remain intimately linked. Both communities suffer from inadequate social services, poor public infrastructure, high unemployment and high poverty rates. To confront these challenges, Palomas and Columbus work together, sharing resources like hospitals, firefighters, and even schools. Palomas and Columbus also share another vital resource—groundwater. In the parched Chihuahuan desert, the communities depend on this groundwater as their sole water supply source, yet their aquifer is contaminated with arsenic and fluoride. Local governments acknowledged this contamination as early as the 1970s, but it was not until the 2000s that they received the needed reverse osmosis technology and water/wastewater infrastructure to ameliorate household exposure to water contamination. This thesis compares how Columbus and Palomas have addressed water insecurity over a twenty-year period from 1996-2016, using a 1996 study as the baseline (Tanski et al. 1998). New data include a household survey of 152 households, 60 semi-structured interviews, and participant observations of water practices collected during two months of fieldwork in the summer of 2016. The central research questions of this thesis are Q1) What causes household water insecurity on the US-Mexico border? and Q2) How can water policymakers and providers more equitably provide users with access to clean, reliable, and affordable drinking water? From a human development perspective, water security is defined as having an adequate supply of reliable and affordable water for a healthy life. This thesis uses a political ecological lens to more critically examine how water security connects to socio-political processes of water governance and power imbalances. Following Jepson (2014), this thesis argues that water (in)security is produced by problems in water access, water quality, and water affect (or water distress) and unfolds within a complex, hydrosocial landscape. Applying Jepson’s (2014) water security typology to Columbus and Palomas revealed that each local water utility adopted a distinct approach to addressing groundwater contamination, predicated on their financial and social resources, and structured by national and bi-national water policies as well as their institutional parameters. The survey found household water security has improved in terms of water access and reliability. But, centralized water filtration technology increased costs and reduced affordability in Columbus, while decentralized water filtration technology inadequately resolved household water supply contamination in Palomas. Thus, despite the technological improvements, households remain unevenly exposed to water contamination and costs. This raises concern about approaches to water security, which should be more finely attuned to water equity. Water equity means the rights to access clean water are more equitably distributed within the communities, and there is greater recognition/participation of community members in decision making on water management.

To capture the ‘real world’ experience of institutions and policy within the Zambezi rural basin, the study highlights differences in perceptions of the policy and institutions of the water sector between those involved in management of the water sector and those using water for their livelihoods. The study is situated within the qualitative paradigm; its unit of analysis is the participants (members of households, policy makers and members of the Village Water Committee). The study has applied a grounded theory methodology (semi-structured interviews). Forty participants were interviewed in the Zambezi rural basin. The research highlights that, the National Water Supply and Sanitation Council as a national regulatory institution has not yet fully provided support in terms of regulatory framework that would enable the rural water sector to sustain the demand of the Zambezi rural basin of Zambia. Despite this, the National Water Supply and Sanitation Council have made some key progress in developing the suitable guidelines within the regulatory framework significant in the management of water sector. The study indicates that institutions such as the Village Water Committee are considered to be crucial for strengthening the water sector in the Zambezi rural basin if given a suitable legal status for its operational water activities. Furthermore, water supply and demand disparity among households in the Zambezi rural basin remains a challenge to be addressed. The study further highlights policy and institutions in terms of their effects on the quality of water and health status of households remain a major concern for the citizens.

This thesis is a participant observer case study that examined how three primary intervening variables (resources, trust, and risk communication) influenced the amplification and attenuation of perceived risk during a regulatory permitting process. The objective was to better understand the role of risk perception in a water policy decision, the issuance of a permit by the Texas Commission on Environmental Quality to the Waco Metropolitan Regional Sewerage System permitting them to discharge 1.5 million gallons of waste water effluent a day into Bull Hide Creek. The study took place between March 2008 and October 2009. The plant, designed to serve the sewer needs of distant cities, was planned without the participation of the residents of the creek community. After being notified of the permit application, they organized to protest the issuance of the permit which they felt presented a serious risk to their community. It is the conclusion of this researcher that risk perception played a key role delaying the issuance of the permit and construction of the plant. When perceived risk attenuated to a mutually acceptable level for all stakeholders, the permit was issued. It is postulated that if risk perception is recognized as a significant factor in potentially controversial urban and regional planning and policy decisions, implementation may be less difficult. The validity of this conclusion is constrained due to the fact this was a single case study and generalization is limited.