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The poor performance of rural water supplies has been a persistent problem over the last forty years. Many studies look at the issue from a single disciplinary perspective. More recently, there has been an attempt to consider the issues within a systems dynamic framework which brings together social and physical data, often based on large n studies with a broad focus and at large scale. In the Hidden Crisis project that took place in Ethiopia, Uganda and Malawi between 2016 and 2022 we examined rural handpump (HP) borehole performance using both a broad assessment of functionality (n = 600) and a deep dive into the underlying social and physical factors that determine a range of performance (downtime, failure) and response (repair) outcomes (n = 150). Our studies were interdisciplinary and involved teams of physical and social scientists working together to understand how physical (e.g. hydrogeology, climate), technical (e.g. materials, construction) and social (e.g. community dynamics, maintenance, leadership) factors combine to determine performance outcomes. Firstly, we developed a functionality framework which considered both yield and downtime of HP and used this framework to assess the physical functionality of 200 HP boreholes. We also assessed the status of water committees across the three countries using a random stratified sampling approach. Next, we conducted an in-depth investigation the hydrogeology, HP components, borehole, and community dynamics. This second phase involved detailed hydrogeological assessment (e.g. pumping tests), technical assessment (e.g. corrosion, pump condition) and the use of social science methods (e.g. focus groups, interviews). We will present the results of this work which demonstrate the importance of hydrogeology and the complexity of the relationship between physical and social factors. We will reflect on the challenges of this type of interdisciplinary study and consider the implications for rural water supply in Africa.

Around 25% of handpumped-boreholes (HPB) in sub-Saharan Africa (SSA) are non‐functional at any time (Foster et al., 2019). The UPGro Hidden Crisis project conducted interdisciplinary assessment of factors that control HPB functionality in SSA. The project developed a tiered approach to define and measure functionality (Bonsor et al. 2018). The approach was used to select 150 HPBs on which to conduct forensic assessments in Ethiopia, Malawi and Uganda to unravel the factors governing HPB failure and success. Here we present preliminary analysis of the survey 2 dataset (UPGro, 2022), finding that hydrogeology, rising main condition, borehole (BH) design and hand-pump (HP) cylinder placement all play a role in functionality outcomes.

Despite cogent critiques and limited successes, community-based management (CBM) remains central to policies for natural resource management and service delivery. Various approaches have been suggested to strengthen CBM by ‘working with the grain’ of existing social arrangements and relationships. For advocates, such approaches ensure that management arrangements are rooted in local realities and are therefore more likely to be effective. Implementing this approach is, however, methodologically, empirically, and operationally challenging. In this paper, we centre these challenges through a study of community-managed water in rural Ethiopia, Malawi, and Uganda. We examine water management arrangements by undertaking an in-depth social survey of 150 communities in the three countries. We also undertake yearlong studies in 12 communities in Malawi and Uganda involving 30 diary keepers. This focus on the local is complemented by country-level political economy analyses and district-level sustainability assessments. Our multi-country extensive-intensive research design uncovers the flesh and bones of CBM, and provides explanations for our findings. In Ethiopia, water management arrangements are more likely to be fleshed out – fully formed committees often working in conjunction with other institutions. In Malawi and Uganda, water management arrangements tend to be skeleton crews of key individuals. The position we adopt is located between advocacy and critique. We recognise the potential of working with the grain. We also recognise the considerable challenges of operationalising this approach without reducing it to another standardised checklist or toolbox. In an attempt to reconcile this tension, we identify practical entry points and sketch out requirements for a more socially informed, reflexive, and effective approach to working with the grain. Whether this can be operationalised within the logics of mainstream development, and whether it can ‘save’ the CBM model, re

This report communicates the findings generated from one of the project surveys – deconstruction and forensic analysis of 50 individual water points in Ethiopia. The report presents the new data generated to Ethiopia’s groundwater resource potential; the nature and condition of hand-pump borehole installations; and the significance of both of these factors to service performance. Based on the evidence collected, the survey results indicate the main physical factors most likely to affect functionality performance within the Ethiopian Highlands are the relatively deep depth to groundwater and the poor condition of handpump components. The impact of these factors to functionality performance can be mitigated through appropriate pump technology choice (e.g. use of deeper handpump boreholes (HPB) lift design), handpump construction, and adequate accessibility to repairs and maintenance capacity with breakdowns. These factors should not, however, be considered to be the only driving forces of functionality outcomes in these regions of Ethiopia, and the results of this survey need to be examined alongside the wider project findings. Wider institutional arrangements, resources and dynamics, are likely to play a significant role in the implementation of appropriate borehole construction, siting and design; procurement processes; and the management capacity available for water points at national to local levels.

This report communicates the findings generated from one of the project surveys – deconstruction and forensic analysis of 50 individual water points in Malawi. The report presents the new data generated to Malawi’s groundwater resource potential; the nature and condition of hand-pump borehole installations; and the significance of both of these factors to service performance. Based on the evidence collected, the main physical factor affecting functionality performance within Malawi is shown to be the poor condition of handpump components. Functionality of handpumps is considerably higher than in the other study countries, Ethiopia and Uganda, and the resource potential, depth to groundwater and recharge are generally favourable. Improved systems for rapid maintenance and repair would help increase functionality further. This finding should not, however, be considered to be the only driving force of functionality outcomes in these regions of Malawi, and the results of this survey need to be examined alongside the wider project findings. Wider institutional arrangements, resources and dynamics, are likely to play a significant role in the implementation of appropriate borehole construction, siting and design; procurement processes; and the management capacity available for water points at national to local levels.

This report communicates the findings generated from one of the project surveys – deconstruction and forensic analysis of 50 individual water points in Uganda. The report presents the new data generated to Uganda’s groundwater resource potential; the nature and condition of hand-pump borehole installations; and the significance of both of these factors to service performance. Based on the evidence collected, the main physical factors affecting functionality performance within Uganda are the poor condition of handpump components, and the complex aquifer resource. The impact of these factors can be mitigated through appropriate material choice for handpump components (non GI), increased investment in borehole siting and testing, and adequate accessibility to repairs and maintenance capacity with breakdowns. These factors should not be considered to be the only driving forces of functionality outcomes in these regions of Uganda, however, and the results of this survey need to be examined alongside the wider project findings. Wider institutional arrangements, resources and dynamics, are likely to play a significant role in the implementation of appropriate borehole construction, siting and design; procurement processes; and the management capacity available for water points at national to local levels.

This technical brief is aimed at sharing the learning and approaches developed by the UPGro Hidden Crisis Research Project to look at how the functionality and performance levels of boreholes equipped with handpumps (HPBs), can be assessed using a common set of definitions and methods. A tiered approach to defining and measuring functionality is found to be useful to examining functionality for different scales and purposes of monitoring. This report is aimed at national and regional actors involved in the provision and monitoring of rural water supply functionality. The brief sets out the tiered functionality definitions, and accompanying survey methods, which were developed by the project and have been applied in functionality surveys across Ethiopia, Uganda and Malawi [5-7]. The brief provides a summary of: • The tiered approach to defining and measuring the functionality and performance levels of boreholes equipped with handpumps (HPBs). • A series of survey methods which were found to be useful by the Hidden Crisis project to collect sufficient data to assess HPB functionality across the tiered definition approach. • A series of guidelines which could form core criteria for assessing functionality and performance levels of water points . This summary should be read in conjunction with the appendices which provide details of the methods and approaches described.

Statistics on the functionality of water points from the Hidden Crisis project in Ethiopia are presented. The survey, undertaken in 2016, was focussed on boreholes equipped with handpumps (HPBs) within igneous volcanic rocks in the Ethiopian Highlands (covering approximately 400 Woredas). A stratified two-stage sampling strategy was adopted, and a tiered definition of functionality developed which enabled more nuanced definitions to be reported. The results from the survey indicate: • 82% of HPBs were working on the day of the survey (similar to national statistics) • 59% of HPBs passed the design yield of 10 litres per minute • 45% passed the design yield and also experienced < 1 month downtime within a year. • 28% of HPB’s which passed the design yield and reliability, also passed WHO standards of water quality indicators (TTCs and inorganic chemistry). The results of the survey indicate the utility of carrying out more detailed assessments of functionality to help unpack national statistics. A linked survey of the performance of the water management arrangements at water points showed that for 85% of the sites water management arrangements were judged to be functional or highly functional. The Hidden Crisis project is a 4 year (2015-19) research project aimed at developing a robust evidence base and understanding of the complex and multi-faceted causes which underlie the current high failure rates of many new groundwater supplies in Africa, so that future WASH investments can be more sustainable. The project is being undertaken by an interdisciplinary team of established researchers in physical and social sciences from the UK, Ethiopia, Uganda, Malawi and Australia, led by the British Geological Survey.

Statistics on the functionality of water points from the Hidden Crisis project in Malawi are presented. The survey, undertaken in 2016, was focussed on boreholes equipped with handpumps (HPBs) within sedimentary and basement rock in Malawi across 5 districts. A stratified two-stage sampling strategy was adopted, and a tiered definition of functionality developed which enabled more nuanced definitions to be reported. The results from the survey indicate: • 74% of HPBs were working on the day of the survey (similar to national statistics) • 67% of HPBs passed the design yield of 10 litres per minute • 58% passed the design yield and also experienced < 1 month downtime within a year. • 41% of HPB’s passed the design yield and reliability and also passed WHO standards of water quality indicators (TTCs and inorganic chemistry). These figures provide a more detailed examination/understanding of the national functionality figures (MoWDI 2012 ). Both approaches show, that at any one point in time approximately 74% of HPBs in Malawi are working. The results from the more detailed Hidden Crisis survey across a sub-sample of HPBs across Malawi, indicate that 42% of the working HPB’s do not provide sufficient yield or reliability. This highlights the utility of carrying out more detailed assessments of functionality to help unpack national statistics. A linked survey of the performance of the water management arrangements at water points showed that for 86% of the survey sites water management arrangements were judged to be functional or highly functional.

Statistics on the functionality of water points from the Hidden Crisis project in Uganda are presented. The survey, undertaken in 2016, was focussed on boreholes equipped with handpumps (HPBs) within the 112 districts of Uganda. A stratified two stage random sampling approach was adopted and 10 districts identified to sample. A tiered definition of functionality was applied, and all which enabled more nuanced definitions to be reported: The results from the survey indicate: • 55% of HPBs were working on the day of the survey (compared to national figure of 86% for rural water supply ) • 34% of HPBs passed the design yield of 10 litres per minute • 23% passed the design yield and also experienced < 1 month downtime within a year. • 18% passed the design yield and reliability criteria and also water quality criteria The results of the survey indicate the utility of carrying out more detailed assessments of functionality to help unpack national statistics. A linked survey of the performance of the water management arrangements at water points showed that for 70% of the sites water management arrangements were judged to be weak.

The new Sustainable Development Goals (SDGs) set a much stronger focus on sustainability and performance of water services, and have highly ambitious goals to achieve universal access to safe and reliable water for all by 2030 (UN 2013 ). Poor functionality of water points threatens to undermine progress, and a lack of knowledge for the reasons behind this make it difficult to recommend improvements and take corrective action. As a first step it is necessary to be able to reliably monitor current rates of functionality and to have a clear benchmark as to what constitutes a functional water point. Currently, there is no single accepted definition for functionality, although organisations are working towards this as a means of tracking progress towards the SDGs. This report sets out the initial work by the Hidden Crisis project to develop a framework approach to assess functionality in terms of different levels of performance, and a set of standard indicators which can be used to assess functionality. The report presents the results of a literature review examining the following questions: (1) what are the current approaches to defining functionality of hand-pump boreholes; and (2) what are the robust standards by which the functionality of a HPB, or population of HPB’s, can be assessed. From analyses of the literature we have developed preliminary guidelines and applied these to develop a preliminary framework.