The political economy of water and sanitation in developing countries [Elektronische Ressource] : cross-country evidence and a case study on Colombia / vorgelegt von Matthias Krause
270 pages
Deutsch

The political economy of water and sanitation in developing countries [Elektronische Ressource] : cross-country evidence and a case study on Colombia / vorgelegt von Matthias Krause

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270 pages
Deutsch
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The political economy of water and sanitation in developing countries: Cross-country evidence and a case study on Colombia Dissertation zur Erlangung des Grades eines Doktors der Wirtschaftswissenschaften (Doctor rerum politicarum) des Fachbereichs Wirtschaftswissenschaften der Justus-Liebig-Universität Gießen Vorgelegt von Matthias Krause aus Tübingen Bonn, im Juni 2007 Ich erkläre an Eides statt: Ich habe die vorgelegte Dissertation selbständig, nur mit den Hilfen angefertigt, die ich in der Dissertation angegeben habe und ohne unerlaubte fremde Hilfe. Alle Textstellen, die wörtlich oder sinngemäß aus veröffentlichten oder nicht veröffentlichten Schriften entnommen sind, und alle Angaben, die auf mündlichen Auskünften beruhen, sind als solche kenntlich gemacht. Bei den von mir durchgeführten und in der Dissertation erwähnten Untersuchungen habe ich die Grundsätze guter wissenschaftlicher Praxis, wie sie in der Satzung der Justus-Liebig-Universität Gießen zur Sicherung guter wissenschaftlicher Praxis niedergelegt sind, eingehalten. Matthias Krause iTable of Contents Acronyms vii 1 Introduction 1 2 Normative and problem-oriented framework for assessing WS policies 7 2.1 Basic economic supply and demand characteristics of WS services 7 2.1.1 Supply 7 2.1.2 Demand 9 2.2 Key problems from an equity perspective 12 2.2.1 Equity and its relation to WS services 12 2.2.

Informations

Publié par
Publié le 01 janvier 2008
Nombre de lectures 19
Langue Deutsch
Poids de l'ouvrage 1 Mo

Extrait

The political economy of water and sanitation in developing countries:
Cross-country evidence and a case study on Colombia








Dissertation zur Erlangung des Grades eines Doktors der Wirtschaftswissenschaften
(Doctor rerum politicarum) des Fachbereichs Wirtschaftswissenschaften der
Justus-Liebig-Universität Gießen








Vorgelegt von
Matthias Krause
aus Tübingen


Bonn, im Juni 2007






Ich erkläre an Eides statt: Ich habe die vorgelegte Dissertation selbständig, nur mit den Hilfen
angefertigt, die ich in der Dissertation angegeben habe und ohne unerlaubte fremde Hilfe.
Alle Textstellen, die wörtlich oder sinngemäß aus veröffentlichten oder nicht veröffentlichten
Schriften entnommen sind, und alle Angaben, die auf mündlichen Auskünften beruhen, sind
als solche kenntlich gemacht. Bei den von mir durchgeführten und in der Dissertation
erwähnten Untersuchungen habe ich die Grundsätze guter wissenschaftlicher Praxis, wie sie
in der Satzung der Justus-Liebig-Universität Gießen zur Sicherung guter wissenschaftlicher
Praxis niedergelegt sind, eingehalten.


Matthias Krause i
Table of Contents
Acronyms vii
1 Introduction 1
2 Normative and problem-oriented framework for assessing WS policies 7
2.1 Basic economic supply and demand characteristics of WS services 7
2.1.1 Supply 7
2.1.2 Demand 9
2.2 Key problems from an equity perspective 12
2.2.1 Equity and its relation to WS services 12
2.2.2 Adequate WS services and coverage situation in developing countries 13
2.3 Key problems from an allocative efficiency perspective 18
2.3.1 Allocative efficiency, internal efficiency and their relation to equity 18
2.3.2 Allocative efficiency conditions 20
2.3.3 Natural monopoly characteristics 21
2.3.4 Externalities 25
2.4 Key problems from an internal efficiency perspective 27
2.4.1 Quasi-rents 28
2.4.2 Financial sustainability
2.4.3 Private versus public ownership of the provider 31
2.5 Conclusions 34
3 Political-economic framework for analysing the relation between
governance and the provision of WS services 36
3.1 Political-economic framework: definitions 37
3.1.1 Political economy 38
3.1.2 Institutions
3.1.3 Public decision making and policy making: actors, interactions and institutions 40
3.1.4 Governance 41
3.2 The relation between governance and the provision of WS services 43
3.2.1 WS sector roles: policy making, regulation and service delivery 44
3.2.2 The effects of political governance factors 45
3.2.2.1 Public-regardedness of policy: the role of democracy and of veto players 46
3.2.2.2 Ability to commit to a given policy: the role of veto players 50
3.2.3 The effects of WS governance factors 51
3.2.3.1 Horizontal and vertical articulation of roles and actors 52
3.2.3.2 Institutional design of regulation 55
3.2.3.3 Institutional design of service delivery 60
3.3 Conclusions 66 ii
4 Political governance and access to WS services: A cross-country
regression analysis 68
4.1 Review of the relevant econometric literature 69
4.1.1 Governance and economic growth 69
4.1.2 The effects of governance and PSP on utility services 72
4.1.3 Access to WS services and its relation to socio-economic and
environmental factors 74
4.2 Hypotheses, key variables and sample 75
4.2.1 Hypotheses 75
4.2.2 Coverage variables (COV) 76
4.2.3 Political governance variables (GOV) 77 j
4.2.4 Control variables (CON) 79 j
4.2.5 Sample 82
4.3 Regression analysis
4.3.1 Econometric model 82
4.3.2 Results and discussion 84
4.3.2.1 Political governance and coverage with water supply services 85
4.3.2.2 with sanitation services 88
4.3.2.3 Controlling for corruption, security of private property rights and PSP 92
4.3.2.4 Controlling for region-specific effects 94
4.4 Conclusions 95
5 The role of governance and PSP for the provision of
WS services: Case study on Colombia 96
5.1 Introduction 96
5.1.1 Motivation for performing a case study on Colombia
5.1.2 Overview of the overall WS service situation in Colombia 98
5.1.3 Procedure and methodology 101
5.2 Brief history and key features of political governance 103
5.2.1 Brief political and economic history 103
5.2.2 Key features of the policy-making process 106
5.3 Key features of WS governance 112
5.3.1 Horizontal articulation of roles and actors 113
5.3.2 Vertical articulation: user participation 116
5.3.3 Institutional design of regulation 119
5.3.4 Institutional design of service delivery and industry structure 123
5.4 Regulatory, subsidy and public investment policies 129
5.4.1 Tariff regulation 130
5.4.2 Cross-subsidy policy 134
5.4.3 Public investment policy 138
5.4.4 Control and sanctioning 143 iii
5.4.5 Conclusions 144
5.5 The influence of PSP on WS service provider performance:
a quantitative analysis 146
5.5.1 Data 147
5.5.2 Hypotheses
5.5.3 Comparison of average performance indicators for 1998 and 2003 149
5.5.4 Multivariate regression analysis 151
5.5.5 Conclusions 156
5.6 The influence of local governance on WS service provider performance:
a comparison of Manizales, Santa Marta, Tunja and Villavicencio 158
5.6.1 Selection of the four cases and procedure 158
5.6.2 WS service performance and system characteristics 161
5.6.3 Socio-economic conditions 169
5.6.4 Institutional design of service delivery and financing 171
5.6.5 Local governance factors 180
5.6.6 Conclusions 191
6 Summary and conclusions 193
6.1 Summary of the results 193
6.2 Conclusions 199
Literature 201
Annex 215
Tables
Table 2.1: Adequate essential WS services 14
Table 2.2: Dimensions of financial sustainability: The cash flow has to cover… 30
Table 3.1: Factors influencing independence and accountability of regulatory bodies 57
Table 3.2: Characteristics of public and PSP delivery models 62
Table 4.1: Summary statistics political governance variables 78
Table 4.2: Pairwise Spearman rank correlation selected political governance variables 79
Table 4.3: Results of regression estimates (base-line models):
dependent variable WATTOT02 87
Table 4.4: odels):
dependent variable SANTOT02 89
Table 4.5: ates (interaction POLRIGHTS and
GDPCAPLN): dependent variable SANTOT02 91
Table 5.1: Colombia – Coverage with water and sanitation services 1993-2003 98
Table 5.2: Horizontal articulation of roles and actors in the Colombian WS sector 114
Table 5.3: Structure of the WS industry: Corporate form of entities providing
water and / or sanitation services 125 iv
Table 5.4: Comparison of institutional characteristics of EICEs and ESPs 127
Table 5.5: Cross-subsidy scheme 133
Table 5.6: Public spending for WS, waste water treatment and solid waste disposal
stemming from the national budget (1998-2002) 141
Table 5.7: Coverage with piped water and sewerage for a sample of 30 service
providers (1998-2003) 149
Table 5.8: Internal efficiency indicators for a sample of 29 service providers
(1998-2003) 150
Table 5.9: Results of regression estimates: dependent variable UFW03 153
Table 5.10: ates: dependent variable CHWAT 154
Table 5.11: ates: dependent variable CHSEW 155
Table 5.12: Main indicators and characteristics of the four cases (information
given by enterprises) 163
Table 5.13: Socio-economic indicators (district level) 170
Table 5.14: ic indicators (provincial level) 171
Table 5.15: Institutional characteristics of service providers, tariffs and returns
on sales 172
Table 5.16: Security and risk of corruption indicators 184
Figures
Figure 2.1: Network supply of WS services: production stages 8
Figure 2.2: Exemplary individual water demand curve 10
Figure 2.3: Residential expenditures on piped water services 17
Figure 2.4: Decreasing average costs (AC) throughout the range of production
given by demand 22
Figure 3.1: Governance and the making of policies 41
Figure 3.2: Relation between governance and WS services 43
Figure 3.3: Horizontal and vertical articulations of roles and actors 52
Figure 4.1: Main factors affecting access to WS services considered in
the econometric analysis 68
Figure 5.1: Colombia – macroeconomic indicators 1980–2003 106
Figure 5.2: Total nominal tariff increases (2001-2004) by user classes 134
Figure 5.3: Total balance of tariff contributions, tariff subsidies and district
spending for WS (2001-2004) 137
Boxes
Box 2.1: Externalities associated with WS services 24
Box 4.1: Description of political governance variables 80

v
Annex: Tables / Figures / Map
Table A2.1: Network and on-site supply technologies 217
Table A2.2: Typical investment costs per capita for WS improvements 217
Table A2.3: Estimations for price and income elasticity of water demand 218
Table A2.4: Improved and unimproved WS technologies 218
Table A2.5: Coverage with improved WS services in developed and
developing countries 219
Table A2.6: Mo

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