What are the institutional implications of co-production as a strategy for development? A Thesis Submitted to the University of Manchester for the Degree of Doctor of Philosophy in the Faculty of Humanities 2014 WAYNE JON SHAND SCHOOL OF ENVIRONMENT, EDUCATION AND DEVELOPMENT, FACULTY OF HUMANITIES CONTENTS Page List of Figures 5 List of Tables 5 Abbreviations 6 Shona Terms 7 Abstract 8 Declaration 9 Copyright Statement 9 Acknowledgement 10 The Author 11 1. Introduction 1.1 Introduction 12 1.2 Conceptual Framework 15 1.3 Research Approach 20 1.4 Key Concepts 21 1.4.1 Defining Co-production 22 1.4.2 Defining Institutions 25 1.4.3 Locating Institutional Change 29 1.4.4 Terminology Used 33 1.5 Thesis Structure 35 2. Co-production and the Conditions for Institutional Change 2.1 Introduction 37 2.2 Conceptualising Co-production 39 2.2.1 Creating Objects of Development 42 2.2.2 Generating Benefits for Citizens and the State 46 2.2.3 Mobilising Co-productive Inputs 48 2.2.4 Releasing Resources for Co-production 50 2.2.5 Sufficiency 52 2.3 Co-production and Institutional Change 54 2.3.1 Adaptive Institutional Change 56 2.3.2 Creating New Spaces for Dialogue 59 2.3.3 Co-production as Change Function 64 2.4 Conclusion 70 3. Researching Co-production and Institutional Change in Urban Zimbabwe 3.1 Introduction 73 3.2 Methodological Approach 73 3.3 Research Questions 77 3.4 Conceptual Challenges 78 3.5 Research Frame 81 3.6 Study Area and Approach 84 3.6.1 Primary Data Collection 86 3.6.2 Stakeholder Interviews 91 3.6.3 Community Interviews 93 3.7 Data Analysis 95 - 2 - 3.8 Research Ethics 96 3.9 Conclusion 97 4. Zimbabwe – Historical and Political Context 4.1 Introduction 99 4.2 Independent Nation 100 4.2.1 Combative Politics 102 4.2.2 Land Reform 106 4.2.3 Operation Murambatsvina 109 4.2.4 Economic Collapse 112 4.2.5 Global Political Agreement 115 4.3 Harare 118 4.3.1 Urbanisation 118 4.3.2 Relationships with Communities – Institutional Frameworks 121 4.3.3 Discursive Representation of Poverty 123 4.3.4 Political Relations – City and National Government 124 4.4 Changing Approaches to Informal Settlements 126 4.4.1 Shack / Slum Dwellers International 127 4.4.2 International Policy Priorities 130 4.5 Conclusion 132 5. Research Background to the Case Study Area and Communities 5.1 Introduction 134 5.2 Zimbabwe Homeless People’s Federation 135 5.2.1 Structure and Membership 136 5.2.2 Savings Schemes 140 5.3 City of Harare – Mapping Informal Settlements 142 5.3.1 Informal Settlements in Harare 142 5.4 Moments of Change 145 5.5 Formation of ZHPF and Dialogue 148 5.6 Mbare Toilets 150 5.7 Crowborough North 153 5.7.1 Development of Crowborough North 155 5.8 Dzivarasekwa Extension 159 5.8.1 In-situ Housing Development 161 5.8.2 Co-productive Approaches 165 5.9 Finance Facility 169 5.10 Conclusion 173 6. Communities Working Together Toward Co-production 6.1 Introduction 176 6.2 Defining Mobilisation 179 6.2.1 Collective Action Frames 180 6.2.2 Mobilisation Creating Social Infrastructure 182 6.3 Mobilising for Co-production 185 6.3.1 Building Scale 186 6.3.2 Reciprocity – Releasing Human Capacity 188 6.3.3 Creating Financial Resources 190 6.3.4 Mobilising for Delivery 192 - 3 - 6.4 Dealing with Collective Action Problems 193 6.4.1 Mobilisation and Maintaining Engagement of Communities 194 6.4.2 Free Riding 199 6.5 Conclusion 200 7. Governance and Governmentality 7.1 Introduction 203 7.2 Challenges of Urban Governance 207 7.2.1 Urban Governance in Context – Harare 209 7.3 ZHPF and Dialogue – Strategy of Engagement 213 7.4 City of Harare – Identifying Partners in Development 220 7.5 Urban Governance 224 7.5.1 Hybrid Governance 225 7.5.2 Funding Urban Infrastructure 228 7.6 Conclusion 229 8. Tracing the Processes of Institutional Change in Harare 8.1 Introduction 232 8.2 Discursive Representations of Low Income Communities 234 8.2.1 Representations of Poverty in Zimbabwe 235 8.2.2 Changing Discourse? 237 8.2.3 Wider Implications 242 8.3 Adapting Bureaucratic Processes 246 8.3.1 Housing Waiting Lists – Documenting Identity 247 8.3.2 Planning and Upgrading Settlements 248 8.3.3 MOU – Articulating Co-production 253 8.3.4 MOA – Financing Incremental Development 258 8.4 Conclusion 261 9. Conclusions and Policy Implications 9.1 Overview 264 9.2 Mobilisation – Creating the Conditions for Co-production 265 9.2.1 Limits to Mobilisation? 267 9.2.2 Mobilisation – Policy Implications 269 9.3 Urban Governance 270 9.3.1 Substantive Change? 271 9.3.2 Governance – Policy Implications 272 9.4 Institutional Change 273 9.4.1 Institutional Transition 275 9.4.2 Institutions – Policy Implications 277 9.5 Conclusions and Further Research 278 9.5.1 Further Research 280 References 283 Appendices Appendix 1 – Summary of Co-production Case Studies Analysed 314 Appendix 2 – Community Interview Schedules 325 Appendix 3 – Construction Costs for 2 Room House – Harare 327 WORD COUNT: 86,200 - 4 - FIGURES Title Page 1.1 Conceptual Framework 18 1.2 Williamson’s Institutional Hierarchy 28 2.1 Idealised Process of Engagement Leading to Institutional Change 62 2.2 Co-production and Williamson’s Institutional Hierarchy 64 2.3 Institutional Transition 66 3.1 Location Map of Crowborough North and Dzivarasekwa Extension 86 4.1 GDP and GDP per Capita, Zimbabwe 1980 – 2012 113 4.2 Percentage Urban Population, Zimbabwe 1980 – 2025 119 5.1 ZHPF – Cities and Towns with a Federation, Zimbabwe 136 5.2 Organisational Structure of ZHPF with Dialogue on Shelter Trust 139 5.3 Location Map of ‘Slum’ Settlements in Harare, 2013 144 5.4 Timeline of Key Events 146 5.5 Mbare Pay Toilets 152 5.6 Selected Images of Crowborough North 154 5.7 Selected Images of Dzivarasekwa Extension 160 5.8 Map of Dzivarasekwa Extension Development Site 162 5.9 Dzivarasekwa Extension, Showing Development of Stands 163 5.10 Incremental Housing Construction Process 164 5.11 Typology of Co-productive Inputs, Dzivarasekwa Extension 168 5.12 Signing of the Finance Facility MOA, 2 May 2014 170 8.1 Press Reports on Planned Demolition of Illegal Settlements 245 8.2 Procurement Processes for Formal and Informal Housing 252 8.3 Shared Principles Identified in the MOU 255 8.4 Spaces of Action: Contributions to Co-production 256 TABLES Title Page 1.1 New Institutionalist Theories 26 2.1 Co-production Articles Analysed 40 2.2 Necessary Conditions for Co-production 42 3.1 Interview Participant Groups 90 5.1 ZHPF National Savings Data by Region, 2012 141 5.2 Dzivarasekwa Extension - Meeting Necessary Conditions? 166 8.1 Dzivarasekwa Extension Project - Meetings, Attendance 239 8.2 MOU and MOA – Institutionalising Partnership Working 260 All photographs are taken by the author, unless otherwise credited. - 5 - ABBREVIATIONS AU Africa Union B&MGF Bill and Melinda Gates Foundation CABS Central Africa Building Society Dialogue Dialogue on Shelter Trust ESAP Economic Structural Adjustment Programme GDP Gross Domestic Product GNU Government of National Unity (Zimbabwe) GPA Global Political Agreement HSUFF Harare Slum Upgrading Finance Facility HSUP Harare Slum Upgrading Programme IIED International Institute for Environment and Development MDC Movement for Democratic Change MDG Millennium Development Goals MOA Memorandum of Agreement MOU Memorandum of Understanding NGO Non-Governmental Organisation NSDF National Slum Dwellers Federation (India) OGHK Operation Garikai / Hlalani Kuhle OPP Orangi Pilot Project PB Participatory Budgeting PMC Project Management Committee RSDF Railway Slum Dwellers Federation (India) SADC Southern Africa Development Community SDI Slum / Shack Dwellers International SPARC Society for the Promotion of Area Resource Centres (India) UCAZ Urban Councils Association of Zimbabwe UN United Nations WOZA Women of Zimbabwe Arise ZANU - PF Zimbabwe African National Union - Patriotic Front ZAPU Zimbabwe African People’s Union ZBS Zimbabwe Building Society ZCTU Zimbabwe Congress of Trade Unions ZHPF Zimbabwe Homeless People’s Federation ZIPRA Zimbabwe People’s Revolutionary Army - 6 - SHONA TERMS Chimurenga Liberation war – first being 1896-87; second refers to the 1970s war of liberation; it’s was also used as a political rallying call - the third Chimurenga to describe the land invasions. Dombo Stone. Refers to the practice used during hyperinflation of repaying loans in-kind: ‘dombo for dombo’. Dzivarasekwa Residential area 20km east of Harare City Centre. The word is Shona for ‘duck pond’. Garikai / Hlalani Operation ‘Live Well’ the proposed housing and infrastructure Kuhle construction programme to follow Murambatsvina. Gukurahundi Literally means the whirlwind / rains that cleanse the crop by blowing away the chaff. Refers to the Fifth Brigade massacres of Ndebele peoples in Matebeleland between 1983 and 1986. Gungano Name of the urban poor fund. The meaning in Shona is a ‘coming together of many people’. Jambanja Refers to land invasions also more literally means chaos or mayhem. Kukiya-kiya Refers to the growing informal economy and ‘making-do’ to meet basic needs. Kutamura Defined as ‘striving, a ZHPF savings group in Harare. Murambatsvina Refers to operation ‘restore order’ / ‘clean away the trash’. Musika Market area – used to refer to Mbare in Harare. Nhamoya Pera Defined as ‘poverty being alleviated / overcome, a ZHPF savings group in Harare. Pungwe Political gathering or celebration where nationalistic songs are sung and stories told. Shingi Rirai Defined as ‘perceiver’, a ZHPF savings group in Harare. Ta Fara Defined as ‘we are happy’, the name of a ZHPF savings group in Harare.