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Oates, Naomi; Mwathunga, Evance
Research Report A political economy analysis of Malawi's rural water supply sector
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Suggested Citation: Oates, Naomi; Mwathunga, Evance (2018) : A political economy analysis of Malawi's rural water supply sector, ODI Report, Overseas Development Institute (ODI), London
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https://creativecommons.org/licenses/by-nc/4.0/ www.econstor.eu Report
A political economy analysis of Malawi’s rural water supply sector
Naomi Oates and Evance Mwathunga October 2018 Readers are encouraged to reproduce material from ODI publications for their own outputs, as long as they are not being sold commercially. As copyright holder, ODI requests due acknowledgement and a copy of the publication. For online use, we ask readers to link to the original resource on the ODI website. The views presented in this paper are those of the author(s) and do not necessarily represent the views of ODI.
© Overseas Development Institute 2018. This work is licensed under CC BY-NC 4.0.
Cover photo: Drillers are contracted by an NGO to install new water points in a drought prone area of Balaka District, Malawi. Credit: Naomi Oates/ODI, 2018. Acknowledgements
We would like to thank our interviewees for generously sharing their experiences, knowledge and time. All responses have been anonymised to maintain confidentiality. Thanks are also due to Annie Msosa and Sella Jumbo at WaterAid Malawi for their peer review comments. This work is part of the ‘UpGro Hidden Crisis: unravelling past failures for future success in rural water supply’ project within the UPGro research programme – co-funded by the UK Department for International Development (DFID), the Natural Environment Research Council (NERC) and the Economic and Social Research Council (ESRC). This report was compiled with full involvement and participation of the Ministry of Agriculture, Irrigation and Water Development of the Government of the Republic of Malawi. The project team involves an interdisciplinary consortium of established researchers in physical and social sciences from:
•• British Geological Survey •• Sheffield University •• Overseas Development Institute •• Flinders University, Australia •• Addis Ababa University, Ethiopia •• Makerere University, Uganda •• University of Malawi •• WaterAid UK and country programmes (Ethiopia, Uganda and Malawi)
All findings, conclusions and errors are the authors’ own.
3 Contents
Acknowledgements 3
List of boxes, tables and figures 5
Acronyms 6
Executive summary 7
1 Introduction 9 1.1 Background 9 1.2 Research aim and objectives 9 1.3 Data collection 10 1.4 This report 11
2 Structural factors affecting rural water services 13 2.1 Partial decentralisation of service delivery 13 2.2 Capacity challenges 15
3 Actors’ interests, incentives and strategies 20 3.1 Central government 20 3.2 Donors 22 3.3 District government 23 3.4 NGOs 24 3.5 Private sector 26 3.6 Area mechanics 27 3.7 Communities and their representatives 28
4 Conclusions and recommendations 29 4.1 Summary of findings 29 4.2 Recommendations for government and development partners 30 4.3 Recommendations for UpGro Hidden Crisis 31 4.4 Areas for further research 31
References 34
4 List of boxes, tables and figures
Boxes
Box 1 What is political economy analysis? 10
Box 2 Progress on rural water supply in Malawi 12
Box 3 DWDO funding sources 16
Box 4 Groundwater monitoring 17
Box 5 Coordinating investments in rural water supply 23
Tables
Table 1 Key components of the service delivery chain 11
Table 2 Staffing levels for groundwater supplies in Lilongwe Rural and Balaka districts at the time of fieldwork 15
Table 3 Comparing donor models for the delivery of their water programmes 24
Table 4 Recommendations for research engagement and dissemination of findings from UpGro Hidden Crisis 33
Figures
Figure 1 A layered approach to political economy analysis 9
Figure 2 A matrix to map actors’ influence on, and interest in, a given outcome or project objective 11
Figure 3 Linking structural factors to service delivery bottlenecks 14
Figure 4 Results from the actor mapping exercise 21
5 Acronyms
ADC Area Development Committee AEC Area Executive Committee AfDB African Development Bank AM area mechanic CBM community-based management CDF Community Development Fund DCT District Coordination Team DDF District Development Fund DEC District Executive Committee DFID UK Department for International Development DWDO District Water Development Office GW groundwater INGO international non-governmental organisation JSR Joint Sector Review KII key informant interview LDF Local Development Fund MP member of parliament MoAIWD Ministry of Agriculture, Irrigation and Water Development (Malawi) MoFEPD Ministry of Finance, Economic Planning and Development (Malawi) NCIC National Construction Industry Council NGO non-governmental organisation NWDP National Water Development Programme PEA political economy analysis RWS rural water supply SSA sub-Saharan Africa SWAp Sector Wide Approach UNICEF United Nations International Children’s Emergency Fund VDC Village Development Committee WASH water, sanitation and hygiene WESNET Water and Environmental Sanitation Network WMA Water Monitoring Assistant (extension agent) WPC Water Point Committee WSWG Water, Sanitation and Irrigation Sector Working Group
6 Executive summary
Many rural communities in sub-Saharan Africa still Water Development has limited direct control over the lack clean water for basic needs such as drinking and devolution of finances and functions to districts. washing. Even where water points have been constructed, The result is that actors on the frontline of service many break down prematurely or provide inadequate, delivery have considerable responsibility for ensuring seasonal or poor quality water supplies. While techno- the sustainability of water services, but little influence on managerial factors are relevant in explaining these decision-making and very few resources ‘to get the job problems, attention is needed to the institutional and done’. In fact, the water sector as a whole suffers from a political-economic dynamics shaping policy outcomes on shortage of human and financial capacity as compared to the ground. other sectors, which are given higher priority by politicians. This report presents the findings from a political This gap is only partially filled by development partners. economy study of Malawi’s rural water supply sector. Our research indicates several interesting coping Combining a review of the literature with in-country strategies and innovations (formal and informal) interviews at national- and district-level, the analysis that have emerged in the face of the abovementioned identifies the underlying causes of bottlenecks in the constraints, which could be useful entry points through service delivery chain, which undermine sustainability and which to support positive change. These strategies functionality of water points. These relate to structural include the development of extension worker networks factors (i.e. the political, economic and institutional on the ground, which work closely together and often context) and actors’ practices, influence and incentives. support one another’s activities, helping to overcome As in many African countries, the water governance resource constraints and institutional fragmentation. landscape in Malawi is highly complex, involving a Where such coordination mechanisms exist, they should wide variety of institutions and individuals, operating be encouraged and strengthened as much as possible. within and outside government, and at different levels of The training and formalisation of area mechanics as decision-making. Not only are policies and regulations part of the service delivery chain is also addressing the incoherent, but institutions ‘on paper’ inevitably differ notable gap between Water Point Committees and Water from the reality on the ground. As such, roles and Monitoring Assistants. Increasing the coverage of area responsibilities for delivering water services are blurred, mechanics is a priority for government to improve the and it is often unclear who is accountable for what, or maintenance and hence sustainability of water points, to whom. This is compounded by significant gaps in and more resources are needed in this crucial area of communication and coordination, and weak regulation post-construction support. and monitoring. This makes it difficult to determine the The increasing collaboration between donors and causes of non-functionality and therefore to improve NGOs, and with government, is another positive service sustainability. sign, and there appears to be growing support from Many of the challenges Malawi’s water sector development partners for district governments. But faces are systemic. The political and economic these efforts must go further to address deep-seated context is characterised by competitive clientelism, institutional constraints, finding arrangements that where the maintenance of patronage networks takes work – and work better – in the local context, whether precedence over fulfilling the formal functions of they resemble formal decentralised structures ‘on paper’ the state and hinders the ability of officials to make or not. Meanwhile, donors such as UNICEF are making (and implement) policies in the public interest. These concerted efforts to improve the quality of water point relationships are not unique to the water sector and construction through the contracting and monitoring of permeate both government and non-governmental drilling operations, helping to ensure the right incentives (including private sector) spheres of activity. Not only are in place for companies to do a good job. Work has are investment decisions influenced by (often short- also been undertaken to map water points, which is term) political interests but, as the decentralisation helping to improve the targeting of investments and process demonstrates, there is little incentive for mitigate political influence on resource allocations. those in power to relinquish control over resources. Building the capacity of government to collect, manage Moreover, the Ministry of Agriculture, Irrigation and and use data continues to be a priority in this regard.
7 We recommend that central government departments and Our key informants recommend that the UpGro Hidden development partners engaged in water service delivery: Crisis project:
•• give greater recognition and support to District Councils •• involves stakeholders (particularly government) and District Water Development Offices, as their role is early on during project planning and shares crucial to delivering sustainable water services preliminary findings •• adhere to basic good practices in developing and •• engages district-level actors and not only Ministry implementing programme experts in planning and undertaking the research •• increase attention and funding to neglected areas of •• shares findings with politicians, as well as technical the service delivery chain, namely post-construction experts and development partners support and monitoring activities •• produces accessible written outputs (e.g. reports and •• avoid ideological approaches to decentralised service briefings) and disseminates these widely delivery, and focus instead on context-specific •• hosts multi-stakeholder workshops or forums in solutions, including support to successful innovations which to discuss the research findings and their •• provide spaces to critique dominant approaches to implications for policy and practice. service delivery, as part of an adaptive learning process.
8 1 Introduction
1.1 Background and dynamics that shape an environment in which failure is more or less likely (i.e. factors beyond the control of Achieving ‘water for all’ while ensuring the sustainable communities). This suggests that a study of water points management of water resources is a global priority and their users should be complemented by a diagnosis under the Sustainable Development Goals (SDG 6), and of the wider political economy of water service delivery. increasingly urgent in the context of rapid population Political economy analysis explores the workings of various growth and climate change. Despite significant progress governance arrangements and institutions operating at made to date, many communities in rural sub-Saharan multiple scales and the distribution of power and resources Africa (SSA) still lack clean water for the most basic of among key actors, which affect service outcomes (Jones, needs, such as drinking and washing (WHO/UNICEF, 2015; Franks and Cleaver, 2007; Mollinga, 2008; Harris et 2015). Even where water points have been constructed, al., 2011; Pahl-Wostl et al., 2011). many break down prematurely or provide inadequate, This report presents preliminary findings from one seasonal or poor-quality water supply (e.g. Bonsor et such political economy analysis, led by the Overseas al., 2014; Haysom, 2006; Rietveld et al., 2009; RWSN, Development Institute (ODI) in Malawi as part of the 2009; MoEWR, 2012).1 UpGro Hidden Crisis project. Although necessarily light- Building on research undertaken in Uganda under a touch due to the limited time available for fieldwork, the catalyst grant (Bonsor et al., 2014), the UpGro Hidden analysis usefully reveals some of the informal processes Crisis project seeks to strengthen the evidence base on the and power dynamics at play in Malawi’s rural water sustainability of rural water services in Ethiopia, Malawi supply (RWS) sector that work alongside (and sometimes and Uganda. Focusing on the most prevalent technology, counter to) formal policies and institutions. namely boreholes (deep wells) with handpumps, the project aims improve understanding of the complex, multi-faceted causes of water point failure (or success). 1.2 Research aim and objectives One major gap in current understanding is the ability to identify the extent to which service failures are attributable The political economy research component of UpGro to local institutional arrangements (e.g. Water Point Hidden Crisis aims to contribute to an understanding of Committees), as opposed to the broader societal structures the underlying factors that influence water point (non-) functionality, specifically those factors pertaining to the Figure 1 A layered approach to political wider political, institutional and social context of service economy analysis delivery. Key to this is understanding the motivations and strategies of the actors involved, and the constraints they face in ‘getting the job done’ (Long, 2001). The research includes investigation of both formal institutions (their mandates and actions) and informal arrangements or Room for interactions that are present in shaping decisions and manoeu re determining outcomes. ecision ma in Opportunities for reform (or to support reform); We follow a ‘problem-driven’ approach to political lo ics entry points to introduce Decision-making logics new ideas and economy analysis (PEA), meaning that the research (rationale) of relevant innovations; dynamic focuses on a specific issue, or set of issues, to identify ystemic actors; factors influencing aspects of change their choices or processes ways in which these might be addressed, rather than factors behaviours; relationships Constraints and potentials between actors providing a general analysis of the sector. In the PEA arising from the political, economic, geographical or framework adopted, the problem is conceptualised historical context; formal and analysed according to three layers: structural and informal institutions or 'rules of the game' factors; actors’ decision-making logics; and ‘room for manoeuvre’ (Figure 1) (see Booth and Golooba-Mutebi, Source: Mosello et al. (2017) 2009; Harris, 2013).
1 Current evidence, albeit patchy and fragmented, suggests more than 30% of new groundwater-based supplies are non-functional within a few years of construction (RWSN, 2009).
9 Box 1 What is political economy analysis? The acknowledgement that politics matters has been one of the trademarks of international development thinking and practice over the last decade. Several authors have argued that political and economic factors intrinsically influence whether and how reforms happen, and that poor performance cannot be explained by technical or managerial factors alone (Fritz et al., 2009; Hudson and Leftwich, 2014). With regard to the water sector, Molle (2009) maintains that the development and management of resources is inherently a political process, characterised by shifting political alignments and contestations. Social and political structures, and differentials in access to various forms of capital, shape power relations, interests and positions and therefore decisions, stakes and claims to water resources (Cabral, 1998; Madison, 2007). Political economy analysis (PEA) has emerged as a useful approach to understanding the dynamics surrounding national and sectoral policy-making and implementation, and has usefully been applied to the water supply and sanitation sector in a number of contexts (e.g. Harris et al., 2011). PEA provides: A systematic approach to analysing relationships between key structural factors (such as historical processes and environmental issues), institutions (formal and informal rules, norms and arrangements) and actors in a given country or sector context (Jones, 2015; see also Landell-Mills et al., 2007; Booth, 2012; Duncan and Williams, 2012). Such analysis can be used to support more politically and culturally feasible development strategies, helping to set realistic expectations of what can be achieved and identifying potential entry points for intervention (Booth and Golooba-Mutebi, 2009).
Source: Matoso (2016, unpublished).
In line with this conceptual framing, the UpGro •• make recommendations to the UpGro Hidden Hidden Crisis political economy research is guided by Crisis team regarding in-country project engagement the following questions: and communication.
1. What are the systemic constraints – that is, constraints arising from historical legacies, institutions (formal or 1.3 Data collection informal) or other contextual factors (e.g. geography) – that actors face in delivering sustainable RWS services? Data on Malawi’s RWS sector was collected from 2. What power and influence do different actors have primary and secondary sources, combining a review of on the policy-making and implementation process, research papers and policy documents with in-country and what are their incentives and motivations? interviews and stakeholder mapping. What strategies do different actors employ to ‘get the Literature review: A rapid desk-based review of the job done’? general and country-specific literature was undertaken. 3. What are the outcomes of points two and three for This enabled us to identify key actors, governance issues RWS sustainability and what opportunities exist to and sector bottlenecks (secondary evidence) and, more support better ones? specifically, to collate evidence, such that exists, on the political economy of decision-making in Malawi. The objective of the fieldwork undertaken in Malawi in Fieldwork: Interviews were conducted in-country over 2016 (described in section 1.3) was to interview a range a two-week period between May and June 2016. The of key stakeholders in the rural water supply sector, at research team was based primarily in Lilongwe, where the national and district levels, to: government ministries’ head offices, development partner organisations and NGOs, as well as several drilling •• better understand the nature of bottlenecks in the companies and private consultancies, are located. The service delivery chain, from the enabling environment Lilongwe Rural District Council’s offices are also in the (policies, planning and budgeting, monitoring) to capital. Two days were spent in Balaka meeting with development of water points (targeting of investments, stakeholders from the District Water Development Office siting, and construction) and their subsequent (DWDO) and local representatives of NGOs active in management (community institutions, backstopping the district. support, supply chains) (see Table 1) Interviews: Individual interviews were the principal •• begin to unpick the underlying reasons as to why method by which we collected qualitative data, targeting bottlenecks arise, looking at the stakeholders key actors in the sector and using a semi-structured format involved (their capacities, motivations, constraints), to allow flexibility to explore interesting issues as they institutional structures and processes (formal or arose. Interviewees were selected based on their current informal), and the broader political and economic role, knowledge and experience, and willingness to grant context that has a bearing on RWS service delivery us a meeting. They included representatives from:
10 Table 1 Key components of the service delivery chain
Enabling environment Developing services Sustaining services Policy and legislation Targeting of investments Water point management, operation and maintenance
Planning and budgeting The siting process External support/backstopping Monitoring and regulation Water point construction Supply chains for spare parts
Source: adapted from the AMCOW country status overviews (e.g. World Bank, 2011).
•• the Ministry of Agriculture, Irrigation and Water of the service delivery chain, and subtly probing to Development (MoAIWD) understand the political economy dynamics at hand. We •• District Water Development Offices (Lilongwe Rural paid particular interest to how participants perceived and Balaka) problems and their own role in addressing them, as well •• development partners either funding or implementing as the ways in which actors ‘get the job done’ despite RWS development various constraints. Each interview was concluded by •• major NGOs in the water, sanitation and hygiene asking the participant three questions: how the UpGro (WASH) sector based in Lilongwe and Balaka Hidden Crisis research might be useful to their work; •• private-sector players, including drilling companies, which other stakeholders the project should be targeting; consultancies and spare-parts suppliers. and recommended forums or formats for engagement and dissemination. We also conducted a focus group discussion with three Stakeholder mapping: The team undertook a area mechanics in Balaka. In total, 21 interviewees stakeholder mapping exercise at the end of the fieldwork. participated in the research. This exercise helped us to reflect on our findings and We tailored questions to each interviewee depending to visualise the relationships between actors in terms on their area of expertise, covering specific aspects of their relative influence and interest in the long-term functionality of RWS. We hope that the results of this Figure 2 A matrix to map actors’ influence on, and exercise can in turn inform project engagement strategies interest in, a given outcome or project objective with different actors (Figure 2).