Typical electrolyte parameters (pH / Conductivity, mS/m)
\\n\\n
Released this past November, the list is based on data collected from the Web of Science and highlights some of the world’s most influential scientific minds by naming the researchers whose publications over the previous decade have included a high number of Highly Cited Papers placing them among the top 1% most-cited.
\\n\\nWe wish to congratulate all of the researchers named and especially our authors on this amazing accomplishment! We are happy and proud to share in their success!
Note: Edited in March 2021
\\n"}]',published:!0,mainMedia:null},components:[{type:"htmlEditorComponent",content:'IntechOpen is proud to announce that 191 of our authors have made the Clarivate™ Highly Cited Researchers List for 2020, ranking them among the top 1% most-cited.
\n\nThroughout the years, the list has named a total of 261 IntechOpen authors as Highly Cited. Of those researchers, 69 have been featured on the list multiple times.
\n\n\n\nReleased this past November, the list is based on data collected from the Web of Science and highlights some of the world’s most influential scientific minds by naming the researchers whose publications over the previous decade have included a high number of Highly Cited Papers placing them among the top 1% most-cited.
\n\nWe wish to congratulate all of the researchers named and especially our authors on this amazing accomplishment! We are happy and proud to share in their success!
Note: Edited in March 2021
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Venkateswarlu",coverURL:"https://cdn.intechopen.com/books/images_new/371.jpg",editedByType:"Edited by",editors:[{id:"58592",title:"Dr.",name:"Arun",surname:"Shanker",slug:"arun-shanker",fullName:"Arun Shanker"}],productType:{id:"1",chapterContentType:"chapter",authoredCaption:"Edited by"}},{type:"book",id:"72",title:"Ionic Liquids",subtitle:"Theory, Properties, New Approaches",isOpenForSubmission:!1,hash:"d94ffa3cfa10505e3b1d676d46fcd3f5",slug:"ionic-liquids-theory-properties-new-approaches",bookSignature:"Alexander Kokorin",coverURL:"https://cdn.intechopen.com/books/images_new/72.jpg",editedByType:"Edited by",editors:[{id:"19816",title:"Prof.",name:"Alexander",surname:"Kokorin",slug:"alexander-kokorin",fullName:"Alexander Kokorin"}],productType:{id:"1",chapterContentType:"chapter",authoredCaption:"Edited by"}},{type:"book",id:"314",title:"Regenerative Medicine and Tissue Engineering",subtitle:"Cells and Biomaterials",isOpenForSubmission:!1,hash:"bb67e80e480c86bb8315458012d65686",slug:"regenerative-medicine-and-tissue-engineering-cells-and-biomaterials",bookSignature:"Daniel Eberli",coverURL:"https://cdn.intechopen.com/books/images_new/314.jpg",editedByType:"Edited by",editors:[{id:"6495",title:"Dr.",name:"Daniel",surname:"Eberli",slug:"daniel-eberli",fullName:"Daniel Eberli"}],productType:{id:"1",chapterContentType:"chapter",authoredCaption:"Edited by"}},{type:"book",id:"57",title:"Physics and Applications of Graphene",subtitle:"Experiments",isOpenForSubmission:!1,hash:"0e6622a71cf4f02f45bfdd5691e1189a",slug:"physics-and-applications-of-graphene-experiments",bookSignature:"Sergey Mikhailov",coverURL:"https://cdn.intechopen.com/books/images_new/57.jpg",editedByType:"Edited by",editors:[{id:"16042",title:"Dr.",name:"Sergey",surname:"Mikhailov",slug:"sergey-mikhailov",fullName:"Sergey Mikhailov"}],productType:{id:"1",chapterContentType:"chapter",authoredCaption:"Edited by"}},{type:"book",id:"1373",title:"Ionic Liquids",subtitle:"Applications and Perspectives",isOpenForSubmission:!1,hash:"5e9ae5ae9167cde4b344e499a792c41c",slug:"ionic-liquids-applications-and-perspectives",bookSignature:"Alexander Kokorin",coverURL:"https://cdn.intechopen.com/books/images_new/1373.jpg",editedByType:"Edited by",editors:[{id:"19816",title:"Prof.",name:"Alexander",surname:"Kokorin",slug:"alexander-kokorin",fullName:"Alexander Kokorin"}],productType:{id:"1",chapterContentType:"chapter",authoredCaption:"Edited by"}},{type:"book",id:"2270",title:"Fourier Transform",subtitle:"Materials Analysis",isOpenForSubmission:!1,hash:"5e094b066da527193e878e160b4772af",slug:"fourier-transform-materials-analysis",bookSignature:"Salih Mohammed Salih",coverURL:"https://cdn.intechopen.com/books/images_new/2270.jpg",editedByType:"Edited by",editors:[{id:"111691",title:"Dr.Ing.",name:"Salih",surname:"Salih",slug:"salih-salih",fullName:"Salih Salih"}],productType:{id:"1",chapterContentType:"chapter",authoredCaption:"Edited by"}}]},chapter:{item:{type:"chapter",id:"41307",title:"Plasma Electrolytic Oxidation of Valve Metals",doi:"10.5772/54827",slug:"plasma-electrolytic-oxidation-of-valve-metals",body:'Plasma electrolytic oxidation (PEO) is also known as micro-arc oxidation and spark anodizing is often regarded as a version of anodizing of valve metals (Mg, Al, Ti, and several others) and their alloys. Indeed, the essence of both anodizing and PEO is the production of oxide layers on a metal surface by the action of electricity in a convenient electrolyte. An oxide layer has a complex composition and includes various oxides of a base metal, alloy additives and species coming from the electrolyte. For both anodizing and PEO, an oxide layer forms due to electrochemical oxidation of the metal constituents and inclusion of some components of the electrolyte with possible further interactions in the vicinity of the electrode.
However, some features of PEO are clearly different than those of the anodizing. Normally, low-voltage direct currents are used for anodizing and the formation of the oxide layer occurs under a quiescent regime. The produced layer has relatively homogeneous structure with more or less evenly distributed blind pores. The thickness of an oxide layer is limited by ~ 20-50 μm for most cases, because the electrical conductivity of the oxide layer is low and the formation of the layer effectively breaks the electric circuit in the cell. It can be said that the formed layer “passivates” the metal surface in the course of anodizing and thus prevents its own further growth (Fig. 1, stages I - II). It deserves to be notes that sparking is considered undesirable for anodizing, because it is an indication of cracks and inhomogeneities in the formed layer.
For PEO, significantly higher voltages and (normally) alternating currents cause intense sparking due to micro-arc discharges that break down the oxide layer (Fig.1, stages I – III). Extreme temperatures and pressures [1] develop in the discharge channels and cause complex phase-transformation processes that result in the production of a compact, thick hard layer, which often has attractive abrasion and corrosion resistances. Although PEO layers have a relatively high porosity [2], they can effectively protect the base metal against corrosion because the pores formed by a discharge can subsequently “heal” by molten oxides due to high local temperatures in the vicinity of plasma discharge channels [3] and are therefore impermeable to corrosion media. The improved corrosion stability of PEO-treated metals as compared to bare metals has been reported for aluminum [4-8] and magnesium alloys (see, for instance, [9, 10]).
Main stages of an oxide layer formation in the processes of anodizing (stages I - II) and PEO (stages I – III)
Both direct and alternating current can be used for PEO. However, AC regime is preferable, because pores formed during a cathodic breakdown “heal” by molten oxides during the next anodic pulse [3], the electrolyte in the metal vicinity is refreshed and the produced oxide layers are more uniform. Industrial 50–60 Hz sine-wave AC voltages of 100–600V are most frequently used for the PEO processing. Due to the partial rectifying effect of the valve metal oxide, complex sew-like waves are observed in practice (Fig. 2).
Observed voltage profile of a typical PEO processing of an aluminium alloy in alkaline silicate electrolytes containing 10 g/L of Na2O SiO2 (solid line) or of Na2O 3SiO2 (dotted line). Industrial 50 Hz sine-wave voltage of 200V was supplied for both cases.
The detailed mechanism of the PEO process has not yet been revealed; however, most investigators (see, for example, [3, 11]) agree that during each AC period several principal steps occur: (1) a barrier oxide layer forms on the boundary between the metal and the electrolyte during the initial anodic semi-period; (2) the potential difference between the two sides of the dielectric oxide layer increases as the anodic semi-period advances until (3) dielectric breakdown takes place. The breakdowns through the oxide layer are accompanied by sparks, so that the process actually occurs in a mode of micro-arc discharges. Fresh portions of the electrolyte are injected into the bare metal surface during the breakdowns, and the process continues as long as the voltage is sufficient for new breakdowns which perforate the growing oxide layer. Relaxation of the metal and oxide and partial reduction of the oxidized species occur during cathodic semi-periods. Gas micro-phase formation (nucleation) and annihilation (cavitation) processes apparently contribute to formation of the oxide layer, but these processes have been scarcely studied because of obvious experimental difficulties.
The production of oxide layers by PEO was most often studied for aluminum and its alloys (for example, in [5-8], [12-17]), magnesium and its alloys ([9, 10] and others), titanium and its alloys (for example, in [18-19]). Studies of PEO on other metals (zirconium [20], zirconium alloys [21] and steel [22]) are scarce.
The various versions of PEO differ from each other with respect to the profile of the applied voltage and the composition of electrolyte. The oxide layer produced always consists of two sub-layers: an outer brittle sub-layer, which typically has a hardness of 500–1000 HV and a porosity of more than 15%, and an inner functional sub-layer, whose typical hardness is 900–2000 HV and whose typical porosity is 2–10%. The outer brittle sub-layer can be easily removed by polishing, and the inner harder sub-layer can be finished to a smooth marble surface.
Oxide layers can be produced in several types of electrolytes, whose action can differ (see the survey in [11]). Acidic and alkaline electrolytes dissolve moderately the base metal, phosphate and polymer electrolytes passivate it, and fluoride electrolytes interact with it in more complex and less understood ways.
The most frequently used electrolytes for the PEO processing of aluminum and aluminum alloys are aluminate [23, 24], phosphate [24, 25] and, most often, alkaline silicate solutions (for example, [7, 11]). Magnesium and its alloys are normally PEO processed in alkaline phosphate [26-28] or alkaline silicate electrolytes [10, 29, 30] often containing fluorides [27-30]. Aluminate, phosphate and silicate electrolytes are used for titanium and its alloys (cf. a comparative study in [31]).
Since silicate electrolytes are frequently used for the PEO processing of the valve metals, many aspects of their influence on the properties of produced oxide layers have been intensively studied. For example, it was established that the addition of silicates to the electrolytes stabilizes the oxide layer toward alkaline attacks [12], causes some increase in the thickness of the oxide layers, but reduces their hardness and wear resistance as compared to alkaline electrolytes without silicates [13].
Less information is available about the effect of various forms of “water glasses,” i.e., polymer silicates of various composition, on the structure and properties of PEO layers. Little or nothing is known about the difference between oxide layers obtained in silicate electrolytes having identical or close element composition, but containing silicates of different SiO2-to-Na2O ratios (silicate indexes).
Another point of interest is the influence of the fluoride additives on the structure and properties of the PEO oxide layers produced not on aluminum alloys only, but also on other base metals.
Here we try to summarize these two effects (the role of the silicate index and the influence of fluorides) in a comparative study of the PEO processing of a magnesium alloy and of an aluminum alloy.
Rectangular flat (3 x 15 x 30 mm) specimens of aluminum A5052 alloy (Al as the base and approximately 2.5% of Mg) and magnesium AZ9110D alloy (Mg as the base and 8.3-9.7% Al, 0.15% Mn min., 0.35-1.0% Zn, 0.10% Si max., 0.005% Fe max., 0.030% Cu max., 0.002% Ni max., 0.02% max. others) were cut, polished with #1200 grit SiC abrasive paper and rinsed in tap water prior to be PEO processed. The oxidation was performed in AC mode by the industrial 50 Hz sine voltage at the end current density 6.6 ± 0.2 A / dm2 for 30-60 minutes on a home-made 40 kVA PEO station with a water-cooled bath made of stainless steel, which served as the counter electrode. Potassium hydroxide KOH (Finkelman Chemicals, technical grade), KF (Merck, 99%), sodium silicate Na2O SiO2 5H2O (pentahydrate, Spectrum, practical grade), and water glass Na2O 3SiO2 (Spectrum, practical grade) having the silicate indexes n = 1 and n=3, respectively were used for the preparation of the electrolytes.
Conductivities and рН of the electrolytes were measured by a YK-2005WA pH/CD meter, the thickness of oxide layers was first roughly measured by a coating thickness gauge CM-8825 and then more exactly by SEM. The surface morphology, structure and composition were inspected on SEM JEOL JSM6510LV equipped with an NSS7 EDS analyzer (Correction Method Proza – Phi-Pho-Z was used for the quantitative analysis). Cross-section samples prepared according to standard metallographic protocols [32] were used for SEM, EDS, XRD and microhardness measurements. Microhardness was measured on Buehler Micromet 2100, HV25. X-ray Diffractometer (XRD) Panalytical X’Pert Pro with Cu Kα radiation (λ=0.154 nm) was used with the full pattern identification made by X\'Pert HighScore Plus software package, version 2.2e (2.2.5) by PANalytical B.V. Materials identification and analysis made by the PDF-2 Release 2009 (Powder Diffraction File). Phase analysis identification made by XRD, 40kV, 40mA. The XRD patterns were recorded in the GIXD geometry at a=1°and 5° in the range of 20-80º (step size 0.05º and time per step 2s).
Autolab12 Potentiostat with a standard corrosion cell was used for corrosion tests. Potentials were measured against Ag|AgCl reference electrode and then related to SHE.
Two sodium silicates were taken for the comparison. The first, Na2O SiO2 will be hereafter referred to as the “n=1 silicate” and the second, Na2O 3SiO2 will be referred to as the “n=3 silicate,” in accordance to their silicate index, that their SiO2-to-Na2O ratios. PEO processing was performed in the electrolytes containing 1 gr/L (17.9 mmol/L) KOH and various amounts of the silicates as specified in Table 1. Conductivities of the electrolytes were at least 4-5 mS/m and all the electrolytes had pH = 11-13 (see Table 1).
\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t
Na2O·SiO2 (n = 1) molarity | \n\t\t\t12.68 / 10.27 0.021 | \n\t\t\t12.74 / 15.5 0.041 | \n\t\t\t12.80 / 22.7 0.062 | \n\t\t
Na2O·3SiO2 (n = 3) molarity | \n\t\t\t11.08 / 4.53 0.024 | \n\t\t\t11.18 / 5.47 0.047 | \n\t\t\t11.24 / 6.52 0.071 | \n\t\t
Typical electrolyte parameters (pH / Conductivity, mS/m)
As seen from Table 1, both the basicity and the conductivity are strongly affected by the silicate index, which is not surprising because the molar fraction of sodium oxide is 0.5 for Na2O SiO2 and only 0.25 for Na2O 3SiO2. The values of pH of the electrolytes only weakly depend on the concentration of a given silicate, while their conductivities are roughly proportional to the concentration of Na2O SiO2 or Na2O 3SiO2. As one could expect, better conductivities of the “n=1 electrolytes” must facilitate the PEO process.
Typical voltage (U) and current density (j) amplitudes in the PEO process of an aluminium alloy in n=1 and n=3 electrolytes.
Indeed, lower current densities are needed for the plasma process initiation when
A SEM image (Secondary electron detector) of the morphology of an oxide layer produced by PEO of an aluminium alloy in an alkaline silicate electrolyte.
Oxide layers produced after 30-60 min of PEO have porous morphology with blind “crater-like” pores, which are the results of plasma discharges through the oxide (Fig. 4). No difference in morphology was observed for the two types of electrolytes.
The morphology and elemental composition of a pore obtained by the EDS are presented in Fig. 5 and Table 2. As follows from the data of the elemental analysis, the interior of a pore contains much less silicon and much more aluminum than the exterior close to the surface. This is not surprising, because aluminum comes from inside (from the metal substrate), while silicon is provided by the electrolyte and only with difficulties can penetrate to the depths of the oxide layer.
Morphology and elemental composition of a pore at two characteristic points: point 1 (pt1) on the surface of the specimen; point 2 (pt2) inside the pore.
\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t
Point 1 | \n\t\t\t5.9 | \n\t\t\t31.2 | \n\t\t\t60.3 | \n\t\t\t1.2 | \n\t\t\t0.3 | \n\t\t\t1.2 | \n\t\t
Point 2 | \n\t\t\t29.6 | \n\t\t\t15.2 | \n\t\t\t51.8 | \n\t\t\t1.2 | \n\t\t\t0.8 | \n\t\t\t0.9 | \n\t\t
Element composition of the oxide coating on the surface (point 1) and inside a pore (point 2)
The oxide layers, formed after 30 minutes of PEO, are 20-60 µm thick and consist of two clearly pronounced sublayers: a denser inner sublayer and a loose porous outer sublayer (Fig. 6).
The structure of oxide layers on cross-sections of specimens obtained by PEO in (left image) 0.05 mol/L n=1 and (right image) n=3 electrolytes: (1) non-oxidized base alloy, (2) inner denser oxidized sublayer, (3) outer loose sublayer, (4) resin wrapping. Back-Scattered Electron SEM image, x1,000.
XRD patterns for oxide layers on specimens obtained by PEO in 0.05 mol/L n=1 and n=3 electrolytes. Minor phases are not shown.
While the outer sublayer contains fewer pores, the pores in it are much larger than in the inner sublayer. The mean density of the outer sublayer is lower than of the inner sublayer. Both sublayers are considerably thicker for the “n=3 electrolytes”, but they contain 2-5 times as much silicon as for the “n=1 electrolytes”. XRD phase analysis (Fig. 7) shows that the oxide layer contains 60-70% of γ-alumina, 20-30% of η-alumina and about 1% of quartz for the “n=1 electrolytes.” For “n=3 electrolytes” the oxide layer consists mainly of mullite 3Al2O3 2SiO2 and varied (for different concentrations of the n=3 silicate in the electrolyte) amounts of amorphous silica, quartz and various types of alumina.
\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t|||
n=1 electrolyte, outer sublayer | \n\t\t\tn=1 electrolyte, inner sublayer | \n\t\t\tn=3 electrolyte, outer sublayer | \n\t\t\tn=3 electrolyte, inner sublayer | \n\t\t|
0.019 | \n\t\t\t840 | \n\t\t\t1100 | \n\t\t\t770 | \n\t\t\t1060 | \n\t\t
0.025 | \n\t\t\t1130 | \n\t\t\t1380 | \n\t\t\t1280 | \n\t\t\t1570 | \n\t\t
0.050 | \n\t\t\t890 | \n\t\t\t1050 | \n\t\t\t710 | \n\t\t\t980 | \n\t\t
0.075 | \n\t\t\t920 | \n\t\t\t1630 | \n\t\t\t700 | \n\t\t\t910 | \n\t\t
Mean hardness | \n\t\t\t945 | \n\t\t\t1290 | \n\t\t\t865 | \n\t\t\t1130 | \n\t\t
Microhardness of oxidized sublayers produced by PEO in electrolytes containing different concentrations of “n=1” and “n=3” silicates measured on cross-sectioned specimens perpendicularly to the section planes.)
Results of hardness measurements of oxide layers are presented in Table 3. Obviously, alumina-quartz layer formed in the “n=1 electrolytes” is harder than mullite layer formed in the “n=3 electrolytes.”
Corrosion tests were made after a specimen was masked by resin except for a square window having the area of 1 cm2 on the oxidized surface. Thus prepared specimen was held for 1 hour in 1% NaCl for the achievement of steady-state corrosion and then its voltammetric curve was measured using Linear Sweep Voltammetry (25 mV/sec). Broader potential range (normally, OCP ± 500 mV) was first studied for the determination of the corrosion potential. Narrower potential range of ± 50-70 mV relatively to the previously roughly determined corrosion potential was then measured and used for Tafel slope analysis. All potentials were measured against the Ag|AgCl reference electrode and then recalculated to the standard hydrogen electrode potentials.
The results of thus measured corrosion characteristics of “bare” Al5052 alloy and different PEO oxidized specimens are given in Table 4. As follows from Table 4, corrosion current densities measured on oxidized samples are at least 3-4 times lower than for the untreated alloy. Corrosion potentials for all the oxidized samples are considerably more positive than for the untreated alloy, which evidences the increase of anodic stability in the test solution. The most noble corrosion potentials are observed for lower concentrations of both n=1 and n=3 silicates and correlate with higher microhardness of oxide layers (Table 3) observed for these concentrations. We could carefully assume that the content of γ-alumina in an oxide layer plays the key role in the shift of corrosion potentials to the positive direction.
\n\t\t\t\t | \n\t\t\tn=1 electrolyte, Ecorr, V vs. SHE | \n\t\t\tn=1 electrolyte, icorr, A/cm2 x 106\n\t\t\t | \n\t\t\tn=3 electrolyte, Ecorr, V vs. SHE | \n\t\t\tn=3 electrolyte, icorr, A/cm2 x 106\n\t\t\t | \n\t\t
“bare” Al5052 | \n\t\t\t-1.126 | \n\t\t\t15.99 | \n\t\t\t\n\t\t\t | \n\t\t |
0.013 | \n\t\t\t\n\t\t\t | \n\t\t\t | -0.525 | \n\t\t\t0.08 | \n\t\t
0.025 | \n\t\t\t-0.497 | \n\t\t\t3.60 | \n\t\t\t-0.815 | \n\t\t\t2.66 | \n\t\t
0.050 | \n\t\t\t-0.796 | \n\t\t\t4.30 | \n\t\t\t-0.998 | \n\t\t\t0.98 | \n\t\t
0.075 | \n\t\t\t\n\t\t\t | \n\t\t\t | -0.972 | \n\t\t\t1.68 | \n\t\t
0.100 | \n\t\t\t-0.942 | \n\t\t\t1.93 | \n\t\t\t\n\t\t\t | \n\t\t |
0.150 | \n\t\t\t-0.995 | \n\t\t\t3.77 | \n\t\t\t\n\t\t\t | \n\t\t |
Corrosion current densities and potentials of Al5052 alloy oxidized in different electrolytes.
The results summarized in Table 4 are better than those obtained for anodizing [14], similar to those obtained for much more expensive protection methods and similar or batter than those obtained by PEO in other silicate electrolytes [6, 15-17]. All the measurements evidence that specimens treated in “n=3 electrolytes” have better corrosion protection than those treated in “n=1 electrolytes.” The microscopic inspection of cross-sections evidences (Fig. 4) that even though the outer sublayer produced in “n=3 electrolytes” contains large caverns and the inner sublayer looks more porosive than for the “n=1 electrolytes”, the larger thickness of the layer produced in the “n=3 electrolytes” presents a more difficult barrier for the diffusion of corrosive media and therefore forms better protection of the metal substrate. It deserves to be reminded that the oxide layers produced in the “n=1 electrolytes” only contain oxide phases (alumina and quartz), in contrast to the mullite layer produced in the “n=3 electrolytes.” Obviously, the milder mullite better fills pores in the oxide layer than harder oxides do. Somewhat similar results were obtained by another research group [7] for another Al alloy (2219) and also demonstrated that higher silicate contents in silicate-alkaline electrolytes increase the corrosion resistance of PEO coatings.
The surface of PEO layers produced on both the magnesium and the aluminum alloys is normal for PEO coatings and consists of “volcanic” pores chaotically distributed on a fused surface (Fig. 4).
Long PEO processing times (30-90 min) result in thick coatings for both alloys, but the initial stages demonstrate a clear difference between the two metal alloys. For the PEO treatment in the alkaline silicate electrolyte (0.08 mol /L KOH + 0.08 mol / L Na2SiO3) without the fluoride addition, the 15 minute process produces approximately 20 μm thick non-continuous oxide layer on the magnesium alloy and only about 5 μm thick non-continuous layer on the aluminum alloy (Fig. 8).
SEM images (x3000) with EDS linear scans of cross-sectioned PEO layers on (a) the magnesium and (b) aluminum alloys obtained after 15 minute oxidation. The black zone in the topmost parts is polymer tar fixing the specimen. The base metals are in the bottom part of each image. The element composition at points 1, 2, 3 of each image is specified in
Both on the magnesium and on the aluminum alloys the coating is porous, but the porous are blind. Element compositions at points 1, 2 and 3 along lines drawn from the pure base metal to the outer border of the coatings (Fig. 8) are given in Table 5.
\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t||
Point 1 | \n\t\t\tMg 82 at%, Al 8 at%, O 9 at%, Si 1 at% | \n\t\t\tPoint 1 | \n\t\t\tAl 94 at%, Mg 2 at%, O 4 at% | \n\t\t
Point 2 | \n\t\t\tMg 67 at%, Al 13 at%, O 17 at%, Si 3 at% | \n\t\t\tPoint 2 | \n\t\t\tAl 61 at%, Mg 3.5 at%, O 34 at%, Si 1.5 at% | \n\t\t
Point 3 | \n\t\t\tMg 60 at%, Al 9 at%, O 27 at%, Si 4 at% | \n\t\t\tPoint 3 | \n\t\t\tAl 70 at%, Mg 2.5 at%, O 15 at%, Si 9.5 at%, K 3 at% | \n\t\t
Element compositions at representative points 1, 2 and 3 as shown in Fig. 8.
As follows from Fig. 8 and Table 5, the oxidized layer on the magnesium alloy is not only thicker, but also more uniform than that on the aluminum alloy, for which large voids containing relatively high amounts of oxygen are formed between the base metal and the oxide layer. It deserves to be noted that the percentage of oxygen is lower than what should be expected according to the stoichiometry of magnesium and aluminum oxides (Mg : O = 1:1 and Al : O = 2 : 3). Therefore, the oxide layer never consists of the oxides only, but contains some excess metal atoms.
BSE SEM images (x3000) with EDS linear scans of cross-sectioned PEO coating on the magnesium alloy obtained after 15 minute oxidation in the electrolyte containing 0.01 mol/ L KF.
As KF has been added to the electrolytes, the situation with the oxidation of magnesium alloy becomes different. While the total thickness of the coating remains relatively the same (~ 20 μm after 15 minutes), its structure and composition are clearly distinguished from what was observed without the fluoride. Already for the lowest studied KF concentration (0.01 mol / L) the coating is continuous and consists of two very different sublayers (Fig. 9). The inner sublayer is only 2-3 μm thick and contains about 70 at% of Mg, 25 at% of O and 5 at% of Al. The outer sublayer is 15-18 μm thick, porous and contains large voids filled by light elements (darker sites in Fig. 9). The typical composition of the outer layer is 50-60 at% O, 35-40 at% Mg, 10 at% Si and 2-4 at% Al. As the content of KF in the electrolyte increases, the structure of the layers does not change, but significant amounts of fluorine are detected in the coating.
Element composition profiles (EDS linear scan) across the PEO coating on the magnesium alloy obtained after 15 minute oxidation in the electrolyte containing 0.2 mol/ L KF.
Small angle (1º) XRD pattern for the surface of the PEO coating on the magnesium alloy obtained after 15 minute oxidation in the electrolyte containing 0.02 mol/ L KF.
Interestingly, the maximal amount of fluoride was detected in the most inward part of the outer sub-layer (Fig. 10). According to small angles (1º-5º) XRD measurements, the surface consists of Periclase MgO (77%) and metal Mg (23%). Deeper layers of the coating demonstrate the increase of Mg at the expense of MgO. No fluorine-containing phases could be identified with confidence (Fig. 11).
BSE SEM images (x3000) with EDS linear scans of cross-sectioned PEO coating on the aluminum alloy obtained after 15 minute oxidation in the electrolyte containing 0.2 mol/ L KF.
Small angle (5º) XRD pattern for the surface of the PEO coating on the aluminum alloy obtained after 15 minute oxidation in the electrolyte containing 0.05 mol/ L KF.
The addition of KF to the electrolytes for the PEO processing of the aluminum alloy has another effect. While for lower concentrations of KF (<0.05 mol / L) only a very thin porous coating layer is formed, higher KF contents result in the formation of 5-10 µm oxide layer. As the thickness of the coating increases, two sublayers are revealed. As for the magnesium alloy, the thin inner sublayer is denser and the thicker outer one is more porous (Fig. 12). As evidenced by EDS, the outer sublayer contains 60 at% of O and 40 at% of Al. As much as 9% fluorine is found in the inward part of the outer sublayer. XRD measurements show that the surface (1º incident beam) consists of two crystal phases, whose composition is Al2MgO4 (56%) and MgO (44%). Deeper layers (5º incident beam) are formed by metal Al (78%) and MgO (22%). A sample of an XRD pattern is given in Fig. 13.
The most obvious observation, which can be made from the comparison of the PEO of the magnesium and of the aluminum alloys, is that magnesium is oxidized much more easily than aluminum. While for all the studied magnesium systems 20 µm coating was produced after 15 minutes of the PEO, only 5-10 µm coating on the aluminum alloy could be obtained for the same process time. An interesting issue is the ratio “Mg:Al” at different depth of the coatings (Table 6).
\n\t\t\t | \n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t\t\n\t\t\t\t | \n\t\t
Mg alloy | \n\t\t\t0 | \n\t\t\t10.3 | \n\t\t\t6.7* | \n\t\t|
0.01 | \n\t\t\t10.3 | \n\t\t\t14 | \n\t\t\t8.2 | \n\t\t|
0.1 | \n\t\t\t10.3 | \n\t\t\t15 | \n\t\t\t6.4 | \n\t\t|
Al alloy | \n\t\t\t0 | \n\t\t\t0.02 | \n\t\t\t0.06 | \n\t\t\t0.04 | \n\t\t
0.01 | \n\t\t\t0.02 | \n\t\t\t0.04 | \n\t\t\t0.06 | \n\t\t|
0.1 | \n\t\t\t0.02 | \n\t\t\t0.04 | \n\t\t\t0.05 | \n\t\t
“at% Mg : at% Al” ratio at different depths.
*No sublayers were observed for this PEO layer.
As follows from Table 6, magnesium content at the inner sublayer is always higher than in the base metal, except for the oxidation of the magnesium alloy in the electrolyte containing no fluoride, when no sublayers can be seen. The trend is less straightforward for the outer sublayer, which can be explained by the fact that the latter is thicker, more porous and much less uniform. XRD phase analysis confirms than the key role at the initial stage of the oxidation is played by magnesium oxide and only on the surface aluminum starts to be oxidized to form Al2MgO4. These can be explained by two facts: (1) that the amphoteric aluminum is readily dissolved by the alkaline electrolyte while magnesium is not; (2) that according to Ellingham diagrams [33] the oxidation of magnesium is thermodynamically more favorable than that for aluminum in the entire range of temperatures below 1500K.
Many authors report that they could not identify a fluoride containing phase in PEO coatings on aluminum or magnesium alloys obtained in alkaline fluoride-containing electrolytes (see, for instance [34-37]). This is consistent with our XRD observation; however we could clearly see the presence of fluoride on EDS cross-sectional profiles of the coatings (Fig. 4). This means that considerable amounts of amorphous fluorides are found in the coatings very close to the base metal. Summarizing, the action of fluoride additives can be assumed as follows: (1) fluoride anions are first chemisorbed to the metal surface and create on it barrier layer; (2) as the dielectric breakdown occurs, oxide layer is formed due to the exchange of fluorine by oxygen atoms from the electrolyte; (3) fluoride remains in the vicinity of the metal and takes part in the formation of an amorphous phase. This process is much more favorable for the magnesium alloy due to the easier breakdown of magnesium fluoride as compared to aluminum fluoride.
Plasma Electrolytic Oxidation in alkaline silicate electrolytes containing 0.013-0.150 mol/L of sodium silicates having silicate index n=1 or n=3, was performed on Al5052 aluminum alloy. For all the electrolytes studied, 20-90 µm thick oxide layer was obtained and its composition, structure and properties were studied. For each sample, the oxidized layer consists of a denser inner and looser outer sublayer. While for “n=1 electrolytes” the oxidized layer is mainly formed by several kinds of alumina, the principal constituent of the oxidized layer for “n=3 electrolytes” is mullite.
Measurements of microhardness evidenced that it is apparently not influenced by the kind of silicate (n=1 or n=3) and by its concentration in the electrolyte.
Electrolytes with silicate index n=3 ensure better corrosion protection than those with n=1. This might be caused by the milder and more plastic nature of the oxide layer produced in the “n=3 electrolutes” as compared to those produced in the “n=1 electrolytes.”
Corrosion protection parameters are significantly better for all PEO oxidized samples than for the untreated Al5052 alloy.
The formation of PEO coating on magnesium and aluminum alloys in the presence of fluoride starts with the fluorination of the metal surface and formation of a dielectric metal fluoride layer. Electric breakdowns destruct this layer and form oxide layers containing also amorphous fluorides.
The fluoride-supported PEO process proceeds more easily for the magnesium than for the aluminum alloys. This difference might be caused by the easier breakdown of the dielectric layer containing magnesium fluoride as compared to that containing aluminum fluoride. This is consistent with the values of dielectric permeability of magnesium fluoride (4.87) [38] and of aluminum fluoride (2.2) [39].
The external surface of the coating is enriched by magnesium as compared to the base metal.
In this chapter we explore the implications on land rights of a human rights-based approach (HRBA) to development, with a focus on African land rights and administration. We note that the modern trend towards
In this chapter, the idea of a HRBA to development of land is explored, with focus on Africa. We discuss tensions between the human rights tradition and cultural norms that may impact on land reform and land administration programmes. Following that, we present a pro-poor perspective on land and expound on the idea of democratic land governance [4, 5].
The fundamental principles of human rights are identified in Table 1. A distinction can be made between
Structural principles | Human rights apply to everyone, regardless of race, gender, religion, or any other means of classification, without exception. All people everywhere have human rights by virtue of being human [7, 8, 9]. | |
Human rights may not be taken away from anyone, although the enjoyment of some rights might be restricted for a time or purpose, usually for the greater good. [7, 8] | ||
All human rights have equal status and cannot be ordered hierarchically. The fulfilment of one right depends wholly or in part on the fulfilment of other rights, and the improvement of one right facilitates the advancement of other rights [7, 8, 9]. | ||
Whether economic, social, cultural, political, or civil, all human rights are inherent to the dignity of every person, and all human rights are interrelated and interdependent. [7, 8] | ||
Operational principles | Purposeful discrimination (e.g. apartheid) as well as the unintended consequences of policies and practices that may have a discriminatory effect are precluded. Non-discrimination is complemented by the principle of equality [7, 8, 9]. | |
People have the right to participate in how decisions are made regarding protection, enforcement and fulfilment of their rights. They also have the right to access information relating to the decision-making process. [7, 9] | ||
Governments should be held accountable if human rights are not enforced. It is not enough for rights to be recognised in law or policy – there must be real and practical means of checking that these obligations are being met. [7, 9] | ||
States should also comply with the legal norms and standards, both international and national, which ratify the protection and fulfilment of human rights. Aggrieved rights-holders should be able to seek compensation or appropriate redress in accordance with the rules and procedures provided by law. [7, 9] | ||
Governments should be open about decision-making processes and people should be able to know and understand how major decisions affecting their rights are made [9]. |
Human rights principles.
Human rights may be nationally or internationally framed in a Bill of Rights, which further elaborates on the principles and makes them relevant for a particular context. As an example, the Bill of Rights (‘the Bill’) as set forth in the Constitution of the Republic of South Africa, 1996 (‘the Constitution’) [10] may be compared to the Universal Declaration of Human Rights [3]. While the Articles of the Declaration and the Sections of the Bill overlap considerably, there are
The Declaration is supported by Covenants and Conventions. Two notable covenants are the International Covenants on Civil and Political Rights – CPRs [11] – and on Economic, Social, and Cultural Rights – ESCRs [12]. The CPRs include rights to life, the prohibition of slavery, freedom of movement, equality before the law, freedom of religion and expression, and the right to democratic governance. ESCRs include the right to employment and trade unions, social security, food, water, basic education, and health. These were initially intended to be equally promoted, following the principle of indivisibility, but this was met with resistance from some UN member nations [13]. So, while the United Nations recognises CPRs and ESCRs as equal, it is left to signatory states to decide how these Covenants are to be interpreted and applied in their specific contexts. This has led to “internal contradictions concerning both how to promote human rights and who should be endowed with equal human rights” [14]. It is worth noting that the Constitution includes aspects of both groups of rights in its Bill of Rights, suggesting that CPRs and ESCRs may be identified as equal, at least in South Africa.
One last distinction needs to be made, and that is between horizontal and vertical relationships with respect to rights, duties and obligations. Again, the Constitution is referred to as an example. Section 8 of the Constitution refers to the application of the Bill of Rights. In the first instance, the State is obligated to respect, protect, promote, and fulfil human rights (see also Section 7 (2)) – this is the vertical relationship between the State and rights-holders. In the second instance, rights-holders – be they natural or juristic persons – are equally obligated to uphold the rights as laid out in the Bill of Rights. This is the horizontal relationship.
A HRBA to development provides the conceptual and practical framework for realising human rights throughout the process of development [15] and puts human rights at the heart of development [16]. A rights-based approach to development puts power in the hands of the beneficiaries of development, as rights-holders, and obligates states to fulfil their duties and obligations towards citizens. This means “empowering marginalised groups, challenging oppression and exclusion, and changing power relations” [17]. But empowering causes power differentials and possibly also disempowerment - there are winners, but possibly also losers, in development processes. For example, an emphasis on gender
Notwithstanding the principle of universality, it is thus recognised that human rights principles are an
With cognisance taken of these concerns, the human rights tradition is presented hereafter along with the potential benefits and challenges of a HRBA to development. The concerns mentioned above are explored in more detail and the implications for land administration and land reform are then discussed.
According to the United Nations Common Understanding (UNCU) on a HRBA [6, 21], the following three requirements should be met in a HRBA:
Development programmes should further the realisation of human rights;
Every development initiative should be guided by human rights principles;
Development initiatives should contribute to improving the capacity of duty-bearers to uphold their obligations and rights-holders to claim their rights.
The idea of states being duty-bearers draws from the human rights tradition, which is summarised [22, 23] as follows:
People are not mere beneficiaries; they are
States are not only service providers, they are
States should be
Guaranteeing that all rights may be exercised without discrimination;
Taking steps towards the full realisation of ESCRs without undue delay;
Not taking any measures that would hinder the full realisation of ESCRs;
Using the maximum available resources to fulfil obligations;
Prioritising actions towards assisting the most vulnerable groups; and
Guaranteeing delivery on a minimum core obligation that satisfies the minimum essential levels of each right.
The extent to which rights are claimed, and obligations are fulfilled is a function of capacity, which we link to governance in a later section (see [25]). “A person can only be held accountable if that person feels that he/she
Responsibility: a person must accept that it is their responsibility to fulfil an obligation.
Authority: a person must possess the authority to carry out the obligation.
Resources: a person must have the necessary resources required to fulfil an obligation.
Practically, this means that if governments follow a HRBA to development, they will employ an accountable and participatory approach that includes stakeholders in the process. There will be a consequent shift from assessing the needs of beneficiaries of development, to empowering citizens to recognise and claim their rights while also ensuring that duty-bearers honour their responsibilities [15] – the vertical obligation. This shift from charity (the optional exercise of concern for the needy) to obligation [26] avoids the pitfall of failure to consult adequately, which leads to “imposed policies which lack popular support and understanding” [27]. But if the horizontal application of human rights is enabled, as in the Constitution, then communities are already empowered to take responsibility for the realisation of human rights. Their participation in the development process is hence more effective in terms of putting pressure on the State to fulfil its (vertical) obligations.
The following are potential benefits to following a HRBA to development [16]:
Adopting a HRBA to development is challenging [16]. The first challenge is putting it on the official agenda of governments; the next challenge is implementation [22]. The
Thus, for a HRBA to work effectively “it needs the very conditions it is there to create” [16]. Successful implementation of a HRBA requires developers to follow its core principles, take up the mantle of facilitation, and in so doing empower rights-holders to claim and exercise their rights effectively while ensuring that duty-bearers meet their obligations.
The final and more concerning challenge for adoption of a HRBA is the issue of universal acceptance of human rights. As mentioned above, not everyone accepts the notion of human rights as being internationally recognised and universally applicable. This challenge is presented in the next section.
The quotation above highlights the principle of universality, which is a fundamental notion of human rights: to enjoy human rights, all that is required is for you to be human. Yet the universality of human rights is contested:
Some authors contend that international human rights standards were built on Western values [14] without consideration of different value systems [31, 32]. “There seems to be some consensus … that the concept of human rights as generally understood is historically a
The tension, therefore, arises because international human rights treatises are grounded in liberal democracy, which is individualistically based [36], whereas the notion of
There is a tendency to dichotomise “the West and the Rest” [36], which Mutua [30] expounds on in his Savages, Victims, Saviours metaphor of human rights. Within the context of human rights, he claims that non-European or Third World culture that deviates from the human rights norm is the Savage. Human rights proponents claim that the Savage needs to be civilised. The Victims are people whose dignity and worth have been ‘violated’ by the Savage. Victims are generally portrayed in the media and human rights discourses as powerless, nameless, dispirited masses. But help is at hand: Victims can appeal to international organisations like the United Nations and NGOs or Western states for help. These institutions are not the Saviour, however, but merely the vehicle of salvation. The Saviour “is ultimately a set of culturally based norms and practices” that are aligned with the human rights norm [30]. This Savages, Victims, Saviours metaphor of human rights entrenches the Eurocentrism of the human rights tradition and is condescending towards non-Western cultures.
In response to such a damming metaphor, the qualities of African and Asian cultural norms are lauded as equal to, if not superior to, Western notions of human rights [26, 31, 32]. But Sewpaul [36] cautions against idealising communalism over individualism and asserts that, even in cultures that embrace the spirit of
But Nagengast [37] presents something of a silver lining, claiming that there has been a decrease in human rights violations in Africa over the past few decades. This is attributed to a general shift from communalism towards liberalism and good governance. This does not imply that Africans have discarded the notion of
What is important to note is that there is resistance to the adoption of human rights as applying universally and equally to everyone everywhere, and cultural norms must be taken into account. There are many cultures in the world in which some people – due to their position in society, gender, wealth, genetics, lineage, or some other inherent or acquired trait – are afforded more respect and more rights than others. This teaches us that, no matter how good the intentions are, caution should be exercised when applying Western notions in African contexts, because while some rights are fairly universally accepted (for example, the right to citizenship), others are contested (such as equality with respect to gender, or freedom of religion).
Land governance is fundamentally concerned with a government’s ability to make and administer the rules, mechanisms, policies, processes, and institutions by which land, property and natural resources are accessed, used, controlled, transferred, and managed [39, 40]. A critical dimension of governance is “a government’s ability to make and enforce rules, and to deliver services” [25]. When we consider land governance, the issue of state capacity is very important.
Land administration can be conceived of as the operational component of land governance in pursuance of national land policy goals, plans and strategies. It involves processes of determining, recording and disseminating information about the relationship between people and land [41, 42].
Land rights may be defined as rights to occupy, use and transact in land, including rights to exclude others from exercising such rights, and rights to enforce protection of the rights-holder. “A right refers to what the holder can do with the thing or what the holder can prevent others from doing” [43]. Thus, we say a land right determines
access, occupy, enjoy and use land and resources while restricting and/or excluding others from enjoying the same benefit;
deal in land through a land market as well as inherit and bequeath land;
develop or improve land and benefit from the associated improved land values or rental income.
Land rights
A HRBA to land rights draws attention away from the purely economic value of land and instead highlights the social and cultural importance of land (see e.g. [47]). In the development of a new conceptual model for the continuum of land rights [48], land (
Land tenure refers to
One of the goals of effective land administration is to provide land tenure security. The degree of tenure security may be an indicator of good land governance [54]. Benefits of secure tenure include sustainable development and improved livelihoods, dispute resolution, reduced land conflicts, improved land use planning, management of natural resources, and environmental protection. It also gives people more decision-making capacity and mobility. Land tenure security may be understood to reflect the certainty that land rights-holders will be able to uphold their rights to land in the face of challenges to those rights. In other words, tenure security is “the legal and practical ability to defend one’s ownership, occupation, use of and access to land from interference by others” [55]. Such challenges often come in the form of investment projects such as agri-businesses, mining ventures, wind farms and irrigation projects; or they may stem from increased urbanisation, population pressure and climate change. Without secure tenure, customary land rights-holders are easily displaced by powerful elites (see e.g. [56]).
From a civil legal perspective,
Several international treatises and instruments that are founded on human rights principles affirm the right to property, adequate housing, and food, all of which are relevant for land administration [63]. Land tenure security and adequate housing are given specific attention in the UN Committee on ESCR’s General Comment no. 4 [64]. The New Urban Agenda (NUA) [65], items 13a and 35, likewise support the provision of adequate housing and tenure security respectively. The acknowledgement of the importance of land rights for all appears in several of the Sustainable Development Goals (SDGs) [66] and associated targets and indicators, as summarised in Table 2. The
Goal 1 | Target 4 | Ensure that all men and women have access to ownership and control over land and other forms of property |
---|---|---|
Goal 2 | Target 3 | Double agricultural productivity and incomes of small-scale producers, including through secure and equal access to land |
Goal 5 | Target 5a | Give women access to ownership and control over land and other forms of property |
Goal 11 | Target 1 | Ensure access for all to adequate, safe and affordable housing |
Goal 15 | Target 9 | Integrate ecosystem and biodiversity values into national and local planning, development process, poverty reduction strategies and accounts |
Goal 16 | Target 3 | Promote the rule of law at the national and international levels and ensure equal access to justice for all. |
SDG targets that include a requirement for access to land for all.
These documents are all rooted in human rights principles that inform the guiding principles of national land policies and land administration systems. They thus draw on Western bias that may not be appropriate for the intended beneficiaries, especially in African customary contexts. Land policymakers and administrators should thus be cognisant of this potential conflict of principles when applying well-intended guidelines in diverse contexts. If interventions aimed at benefitting land rights-holders do not address their worldview or their understanding of land, they may lack significance for them and their sustainable success may be compromised [68].
To return to the question raised earlier: strict enforcement of human rights principles runs the risk of alienating cultures that do not accept these principles and may not do so in the foreseeable future. Their ‘right’ to enforce their own societal rules should be weighed against the requirement of human rights-based organisations to ensure non-violation of human rights. A potential remedy is an approach based on democratic land governance, as explained below.
Achieving pro-poor land policy, which is inherently cognisant of human rights to land, requires
Linking this model to a HRBA to development, the grassroots mobilisations reflect broad-based participation by citizens and communities in response to their specific land-based needs. It relates to their full, meaningful, and effective access to use and control land in a manner that is fitting for their cultural norms. The state’s top-down initiatives may relate to their obligations, as duty-bearers, towards the most vulnerable citizens as land rights-holders. The mutually reinforcing, democratically embedded interactions between the two reflect accountability, transparency, and mutually beneficial collaboration (see e.g. [58]).
Drawing from the preceding discussion, the pertinent elements of a HRBA to the development of land in an African customary setting are here identified. This starts with the human rights tradition [22] which identifies citizens and communities as rights-holders and states as duty-bound to respect, protect, promote, and fulfil their obligations in this regard. To achieve this, states are encouraged to draw on human rights as a set of
For any development process, the cultural context needs to be understood and respected if development is to be sustainable, successful, and significant. An understanding of context is also important for acknowledging the relative importance of land rights: while land rights are not internationally recognised as human rights [45, 50], for rural African cultures they have a profound social, cultural, and religious significance that cannot be overlooked [32, 69]. Land rights must therefore be understood cross-generationally through a socio-cultural lens, i.e. land is not merely a commodity to be bought or sold; it is part of the communal responsibility for governance of society and the environment [20, 31, 47]. Land is thus viewed as territory [23].
A new model for democratic land governance is thus derived – see Figure 1. In this model the state is illustrated as drawing from human rights as a set of normative principles guiding development, as instruments and indicators for evaluation of development, as a component of development, and as the underlying justification for development. Thus informed, the state is directed by the human rights tradition to fulfil its obligations to land rights-holders by initiating land administration processes in order to address human rights-related deficiencies in the current status quo. This is the top-down approach of the human rights tradition. The bottom-up approach sees people as individual citizens and communities of land rights-holders who draw on their understanding of land as territory – with corresponding horizontal obligations to one another and incorporating a multi-generational, socio-cultural, religious view of land – to claim their right to use and/or control land. (Horizontal obligations are illustrated in the figure by means of arrows on either side of the ‘Land as territory’ block.) This claim drives their desire for land administration/reform.
A new model for democratic land governance.
The two approaches meet and need to find mutual acceptance and understanding through a setting of collaborative governance. This is defined as [70]:
Ten propositions have been put forward for successful collaborative governance that crosses these boundaries (referred to by [70] as the collaborative governance regime, or CGR). These are summarised in Table 3.
1. Drivers | Strong leadership, pertinent incentives, necessary interdependence, and/or uncertainty are necessary for a CGR to be initiatied. |
2. Principled engagement | Interactive discovery of shared interests, concerns and values; definition to build shared meaning; deliberation between participants; and the construction of shared determinations are generators and sustainors of engagement. |
3. Shared Motivation | Repeated, quality engagements build trust, mutual understanding, legitimacy and commitment for further engagement. |
4. Virtuous cycle | Shared motivation enhances and sustains further principled engagement and vice versa. |
5. Joint action | Principled engagement and shared motivation stimulate the institutional arrangements required for generating and sustaining joint action. |
6. Capacity | Joint action requires the necessry procedural and institutional arrangements, strong leadership, shared knowledge, and resources. |
7. Collaborative dynamics | The quality and extent of collaboration depends on the interactions between principled engagement, shared motivation, and capacity for joint action. |
8. Collaborative action | Collaboration is more likely to result in action if a shared theory of action is explicitly identified and the collaborative dynamics function to generate the required capacity for joint action. |
9. Impacts | Impacts will better align with intended outcomes if they stem from a shared theory of action using collaborative dynamics. |
10. Adaptation | CGRs will be sustainable if they adapt to the impacts arising from their joint actions |
Propositions for initiating and sustaining a CGR (adapted from [70]).
Where cultural norms challenge human rights-based approaches to development, adherence to the propositions underscoring a CGR may assist relevant parties to find common ground. This may assist in ensuring the significance of the interventions for the land rights-holders, and hence the intervention’s sustainable success.
In this chapter, a human rights-based approach to development is defined as stemming from the human rights tradition. Following this tradition, citizens and communities are rights-holders who can hold states to account regarding the realisation of their rights, which is referred to here as their vertical obligation. States are obligated as duty-bearers to respect, protect, promote, and fulfil human rights. Adherence to a HRBA to development empowers the needy to claim their rights, promotes transparency of governance, and encourages active, free, and meaningful participation in development processes. But, following a HRBA to development is not without its challenges. Other than the implementation challenges, there is the challenge related to the universal acceptance of human rights: the “West and the Rest” debate. The issue of horizontal obligation – the obligation of rights-holders to uphold the rights of other rights-holders – may contribute to addressing this challenge, because the types of rights are then understood on an equal footing.
It is argued that the right to occupy and use land is not a recognised human right, though it may be a human rights
Adopting a human rights-based approach to land is acknowledged to be pro-poor. Poverty reduction should be at the forefront of development, especially developments involving land. Acknowledgement of the importance of land as a social, cultural, and even religious asset is imperative for land administration and land reform programmes that are sensitive to the needs and beliefs of customary land rights-holders in Africa. The model of democratic land governance is presented as a pro-poor, human rights-based approach to development of land, and is modified to accommodate the views presented above.
The authors acknowledge the financial support of the University of Cape Town and the International Federation of Surveyors’ Foundation. This chapter is based on a chapter in the first author’s PhD.
The authors declare no conflict of interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to publish the results.
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