Abstract

This dissertation focuses on common pool resource governance, addresses the theory debates about how the group characteristics affect the performance of self-governance, builts collective action model of self-governance which take the moral accountability as the center, promotes the knowledge development in self-governance theory. Self-governance is one main approach to small-scale irrigation system management, in which irrigation group is the important actor. Among these small-scale irrigation systems, there are different performances of self-governance. Some are successful and enduring, the others are very dissatisfied. With the same national policy background, similar economic incomemode, and the same management history, what factors affect the performance of small-scale irrigation's governance? To answer this question, this study focuses on the relationship between the irrigation group characteristics and the performance of self-governance.

Using a theoretical framework derived from institutional analysis and development（IAD）, I examine three self-governance irrigation systems, and discuss how the group characteristics affect the performance of self-governance. In each case study, I describe the feature of economic, interests, social culture of farmers, explain how village committee, irrigation association operate interactively with clan and religion group to affect irrigation management, address the effect of these characteristics on self-governance and outcome. Through the use of in-depth case studies, I further generate three types of irrigation group: irrigation community, solidary irrigational group and“divided”irrigational group.Irrigation community is homogeneous, closely cohesive, which has strong clan organization and collective sense. With shared moral obligation and moral standards, solidary irrigation group encompass all farmers in its jurisdiction, and village cadres embedded in irrigation groups. “Divided”irrigation group is a heterogeneous group, which has divided lineage and religious system, without village-level organization. Three irrigation groups indicate diverse outcome of self-governance. Irrigation community and solidary irrigation group have the ability for self-governing successfully, but“divided”irrigation group doesn't have. Because the formers have binding common norms, but the latter could not form common norms.

This reasearch has draw two conclusions. First, group characteristic is the key factor to cause the irrigation self-organization management success or failure. In the induced self-governance, homogeneity impels farmers become irrigation community with strong collective sense. In the administrative leading self-governance, homogeneity can form shared moral obligation and moral standards, and establishes solidary group, promotes the collective action. But in the heterogeneous group, heterogeneity divides the common interests and norms. Without the informal common norms, farmers lose the ability of self-governance. Second, self-governance is voluntary collective action driven by moral accountability. Homogeneous group is able to cooperate successfully, because groups have norms of trust, reciprocity and reputation. These cooperative norms can impel the leaders of irrigation association responsibility. In self-governance, democratic accountability is not effective incentive mechanism. Instead, informal moral reputation can motivate group elites devote themselves to group interests. Moral accountability is effective incentive mechanism of self-governance.

This research uses qualitative case study method. The conclusion from case study may be questioned because of small sample cases. So this research issues needs more cases to support the conclusion in the further study. There are many unanswered questions needed to be addressed in the governace of public pool resources, including how does institution nesting shape farmers incetive to organise collective action, what do farmers play games in the self- governance group, how do group attributes produce different pathways to self-organise.