Inclusive Cities: Learning from Medellín

IDB Cities Network

Annual Mayors Meeting and Seminar: “Inclusive Cities: Learning from Medellín” September 17th to 19th, 2018 Medellín, Colombia

Contact

Contact Information

Addresses

MARÍA CAMILA QUINTERO

HOTEL INTERCONTINENTAL MEDELLÍN

Banco Interamericano de Desarrollo

Calle 16 No. 28-51

mariaqui@iadb.org

Variante Las Palmas. Medellín, Antioquia

Tel. +57 3153924947

Tel. + 57 (4) 3194450

MARÍA ALEJANDRA SALEME

UNIVERSIDAD EAFIT

Agencia de Cooperación e Inversión de

Carrera 49 No. 7 sur-50

Medellín y el Área Metropolitana

Tel. +57 (4) 261950

msaleme@acimedellin.org Tel. +57 312 6706334

RESTAURANTE HATO VIEJO Calle 16 # 28-60

KEISGNER ALFARO Banco Interamericano de Desarrollo keisgnera@iadb.org Tel. +1 814 3212313 ERICK MARIN MULLER Banco Interamericano de Desarrollo erickm@iadb.org Tel. +1 216 9789488 MARÍA CAMILA ARIZA Banco Interamericano de Desarrollo mariza@iadb.org Tel. +57 3105749188

+57 (4) 2686811

Contents

Table of Contents 5

Welcome Remarks

IDB Cities Network

Annual Mayors Meeting and Seminar: “Inclusive Cities: Learning from Medellín”

About Medellín

Summarized Agenda

Detailed Program: September 16th and 17th

Detailed Program: September 18th

Detailed Program: September 19th

Technical Documents

University Industry State Committee (CUEE): A shared vision of the region ANA LUCÍA PÉREZ PATIÑO, LAURA VICTORIA SUESCÚN, JUAN FELIPE VALENCIA VALLEJO, SECRETARÍA TÉCNICA COMITÉ UNIVERSIDAD EMPRESA ESTADO

Citizen security in Latin America and the Caribbean citiesNATHALIE ALVARADO Y ROBERT MUGGAH

Sustainable, Resilient and Inclusive Mobility ROBERTO AGOSTA - EDITOR: ALEJANDRO TADDIA

112

Improvement of neighborhoods and housing in LAC toward greater inclusion PABLO ALLARD - EDITOR: VERONICA ADLER

134

Wait No More: Lessons for Local Governments ANGELA MARÍA REYES Y BENJAMIN ROSETH

156

How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management HUÁSCAR EGUINO (BID) Y CARLOS LEITE (UNIVERSIDADE PRESBITERIANA MACKENZIE)

Welcome Remarks

Welcome! The history of Medellín is, in the least, fascinating. What makes our present so wonderful is our past. We suffered like no other place in the world the horrors of violence, but at the same time we are a city that united in a determined way and managed to rebuild itself. By overcoming obstacles we became creative and resilient: that is why we say that our “eternal spring” refers not only to an ideal climate, but also to a social capacity to be reborn. Our city proudly receives this Annual Meeting of Mayors and Seminar: “Inclusive Cities: Learning from Medellín.” We believe in the need to transform realities from local surroundings. In this sense, this will be an encounter in which we will share our positive experiences, while we will have the opportunity to learn about the successes of other territories. Finally, if the history of Medellin teaches us anything, it is the importance of collaborative work to face adversities: together we go further. Enjoy our city beyond this event, fall in love with its mountains, its gastronomy and above all its people. Welcome to Medellín: this is your home.

Federico Gutiérrez Zuluaga MAYOR OF MEDELLÍN

IDB Cities Network

IDB Cities Network The IDB Network of Cities was created as part of the new Climate Change and Sustainable Development Sector within the Housing and Urban Development Division to share knowledge, lessons learned and good practices in environmental, economic and social sustainability. Currently, the Network incorporates more than 150 cities with a population of 160 million inhabitants, being mostly intermediate cities with a high growth rate. The Network provides support through meetings that promote innovation, good practices and exchange of knowledge with cities.

Annual Mayors Meeting and Seminar: “Inclusive Cities: Learning from Medellín” Cities are the main engine of economic and social development in Latin America and the Caribbean (LAC). 80% of the population of the region lives in cities. Given the growing importance of cities for the sustainable development of the region, the Bank is very committed to working with LAC cities in coordination with their national governments. The Mayors’ Meeting is an annual initiative of the Cities Network that brings together the Mayors of LAC with the objective of exchanging experiences and knowledge among the cities. Additionally, the 5th Seminar is held in collaboration with the Santander City Council, the University of Cantabria and the Menéndez Pelayo University on Tuesday and Wednesday. This will be the first time the event is held in a city of LAC. The main theme of the two events is social inclusion, one of the strategic priorities of the IDB Group, which is aligned with the Sustainable Development Goals (SDGs). During the conference, participants will discuss urban security, sustainable mobility, urban planning and tax management viewed from the perspective of inclusion.

About Medellín

About Medellín The city of Medellín, capital of the department of Antioquia, is located in the northwest of the Republic of Colombia, in South America. It has 2,464,000 inhabitants, who reside in 270 neighborhoods, integrated into 16 comunas and five corregimientos. Its average temperature is 24ºC and it is located at 1,475 meters above sea level; It has an extension of 105 square kilometers of urban land, 270 of rural land and 5.2 of land for expansion. It is part of the metropolitan area of the Aburrá Valley that brings together ten municipalities of which the nucleus is Medellín. The location of the city at an intermediate point between the center of the country and the Pacific and Caribbean regions, placing Medellín in a privileged position to develop economic investment programs for export purposes. This competitive advantage is reinforced by the fact that it is considered the Latin American capital with an excellent infrastructure of public services. On the other hand, Medellín has a business community very committed to the city that has participated not only in the development of successful companies but has been interested in the welfare of its city and region through organizations such as Proantioquia and the University Committee - Company - State. It is an innovative business that has closely followed the management of the city and participates for example in the Board of EPM “Empresas Públicas de Medellín”, a company that has managed to provide a high-quality service and efficiency to the city as well as generating resources for construction of high impact programs. EPM has become a Multilatin with projects in several countries of the continent. Citizens participate in various spaces, among which is the “Medellín Como Vamos” program, part of the experience initiated by the Corona Foundation, with its “Como Vamos” program. Through this mechanism, citizens follow closely the programs of the city and participate in technical and informed discussions about the big projects, challenges and advances of the city.

Summarized Agenda

Medellín · September 17th-19th, 2018

Sunday 16th 5:30pm Hato Viejo

Monday 17th 6:40-7:15am Intercontinental Hotel Lobby

Paisa Welcome Venue: Hato Viejo - Calle 16 # 28-60 Departure: 5:15pm from the lobby of the Intercontinental Hotel

Annual Mayors Meeting 6:40am ‒ Registry in the lobby of the Intercontinental Hotel 7:00am ‒ Meeting in the lobby of the Intercontinental Hotel 7:15 am ‒ Departure

7:45-8:00am Library stairs EAFIT University

8:00-8:15am EAFIT University Fundadores Auditorium

Instituional Photo Welcome Remarks Juan Luis Mejía Arango PRESIDENT OF EAFIT UNIVERSITY

Luis Alberto Moreno PRESIDENT OF THE INTER-AMERICAN DEVELOPMENT BANK, IDB

Federico Gutiérrez MAYOR OF MEDELLÍN

8:15-9:45am EAFIT University Fundadores Auditorium

9:45-11:00am EAFIT University Fundadores Auditorium

Medellín Transformation: Advances and Challenges of the City Towards Inclusion SPEAKER: Federico Gutiérrez

The secret ingredient? Role of the public, private sector and academia in Medellín FACILITATOR:

Ana Maria Rodríguez-Ortiz

VICE PRESIDENT FOR SECTORS A.I, IDB

11:00-11:30am

Coffee Break

11:30-1:00pm

Discussion Tables

EAFIT University Engineering Building Block 19- 415

Urban Security FACILITATOR:

Nathalie Alvarado

CITIZEN SECURITY PRINCIPAL SPECIALIST, IDB

Summarized Agenda

Social Inclusion In The Neighborhoods: Habitat And Housing FACILITATOR:

Tatiana Gallego-Lizón

DIVISION CHIEF OF HOUSING AND URBAN DEVELOPMENT, IDB

Sustainable and Resilient Mobility FACILITATOR: José Agustín Aguerre MANAGER OF THE INFRASTRUCTURE AND ENERGY SECTOR, IDB

1:00-2:30pm Parque los Guayabos EAFIT

Lunch and Discussion Table Conclusions

2:30-6:00pm

Field Visit: Central West Area

6:30-9:00pm

Welcome Cocktail Municipality of Medellín and IDB

MAMM- Museum of Modern Art of Medellín

Tuesday 18th 7:00-7:15am Intercontinental Hotel Lobby

8:00-8:30am University of EAFIT School of Humanities Block 38 - Auditorium 101

8:30-9:00am University of EAFIT School of Humanities Block 38 - Auditorium 101

Seminario”Ciudades Incluyentes: Aprendiendo de Medellín” Bus departure at 7:15 am sharp from the lobby of the Intercontinental Hotel

Registry

Inauguration: Seminar: “Inclusive Cities: Learning from Medellín” Juan Luis Mejía Arango PRESIDENT OF EAFIT UNIVERSITY

Juan Pablo Bonilla MANAGER OF THE CLIMATE CHANGE AND SUSTAINABLE DEVELOPMENT SECTOR, IDB

Gema Igual Ortiz MAYOR OF SANTANDER, SPAIN

Emilio Lora Tamayo PRESIDENT OF THE MENÉNDEZ PELAYO INTERNATIONAL UNIVERSITY

Preliminary Agenda

9:00-9:30am University of EAFIT School of Humanities Block 38 - Auditorium 101

Knowledge Management FACILITATOR: María Camila Uribe COORDINATOR OF IDB CITIES NETWORK SPEAKER: Federico Basañes MANAGER OF KNOWLEDGE, INNOVATION, AND COMMUNICATIONS SECTOR, IDB

9:30-10:45am University of EAFIT School of Humanities Block 38 - Auditorium 101

Ideas and Challenges in the Urban Transformation Process of Medellín: Strategies for Inclusion and Spatial justice, from the Local Government, Institutions and Relevant Actors FACILITATOR: Marcelo Cabrol MANAGER OF THE SOCIAL SECTOR, IDB

10:45-11:00am

Coffee Break

11:00-12:15pm

Innovative Responses Against Urban Crime

University of EAFIT School of Humanities Block 38 - Auditorium 101

12:15-1:30pm University of EAFIT School of Humanities Block 38 - Auditorium 101

1:30-2:30pm 2nd Floor Cafeteria, EAFIT University

2:30-6:00pm

6:30-9:00pm Claustro San Ignacio

Wednesday 19 7:30am Intercontinental Hotel Lobby

FACILITATOR: Nathalie Alvarado CITIZEN SECURITY PRINCIPAL SPECIALIST, IDB

Transportation and Urban Mobility FACILITATOR: Néstor H. Roa TRANSPORT DIVISION CHIEF, IDB

Lunch

Field Visit: Comuna 13 Proantioquia Cultural Event

Seminar: “Inclusive Cities: Learning from Medellín” Bus departure at 7:15 am sharp from the lobby of the Intercontinental Hotel

Preliminary Agenda

8:30-10:00am School of Humanities Block 38 - Auditorium 101

Social Inclusion in the Neighborhoods: Habitat and Housing FACILITATOR: Verónica Adler

LEAD SPECIALIST, HOUSING AND URBAN DEVELOPMENT DIVISION, IDB

10:00-10:15am

Coffee Break

10:15-11:45

Efficiency and Effectiveness of Fiscal Management

School of Humanities Block 38 - Auditorium 101

11:45-12:00pm School of Humanities Block 38 - Auditorium 101

FACILITATOR: Vicente Fretes Cibils DIVISION CHIEF OF FISCAL AND MUNICIPAL MANAGEMENT, IDB

IDB Cities Network - Closure Tatiana Gallego Lizón DIVISION CHIEF OF HOUSING AND URBAN DEVELOPMENT, IDB

María Camila Uribe COORDINATOR OF IDB CITIES NETWORK

12:00-1:00pm School of Humanities Block 38 - Auditorium 101

1:00-2:30pm EAFIT University Terrace Block 29

2:30-3:30pm EAFIT University Block 38 Classroom 110

Private Sector Solutions to the Challenges of Cities DISCUSSION

Lunch hosted by IDB Invest

The City as an Innovation Lab: Practical Solutions to Concrete Problems Andrés Blanco LEAD SPECIALIST IN URBAN DEVELOPMENT AND HOUSING, IDB

3:30-5:00pm EAFIT University Block 27 Classroom 404 and Block 15 Classroom 2

5:00-6:00pm EAFIT University Block 38 Classroom 110

6:00-8:00pm EAFIT University Terrace Block 29

Work Groups - Cities Lab Workshop Urban security and Social Inclusion in Neighborhoods Urban Mobility and Sustainable Transportation

Conclusions and Closure for the Cities Lab Workshop Cities Lab Cocktail

Detailed Program ; September 16th and 17th

Annual Mayors Meeting Sunday 16th and Monday 17th

Sunday 16th 5:30pm Hato Viejo

Paisa Welcome During the Paisa Welcome mayors and technical officials will have the opportunity to meet before the beginning of the event and start conversations about their experiences and challenges with regards to the subjects to be discussed during the Annual Mayors Meeting and Seminar. Opening remarks will be given by Juan Pablo Bonilla, Sector Manager of Climate Change and Sustainable Development of the IDB followed by discussion tables. Departure 5:15pm from the lobby of the Intercontinental Hotel

Lunes 17th 6:40-7:15am Intercontinental Hotel Lobby

7:45-8:00am Library Stairs EAFIT University

8:00-8:15am Universidad EAFIT Auditorio Fundadores

Reunión Anual de Alcaldes

6:40am ‒ Registry in the lobby of the Intercontinental Hotel 7:00am ‒ Meeting in the lobby of the Intercontinental Hotel 7:15 am ‒ Departure

Institutional Photo Welcome Remarks Juan Luis Mejía Arango PRESIDENT OF EAFIT UNIVERSITY Juan Luis Mejía Arango is a lawyer from the Universidad Pontificia Bolivariana of Medellín. Since his appointment as director of the Public Library of Medellín Pilot Project, his life has been linked to education and culture. In 1982 he obtained a grant from the Inter-American Development Bank to carry out studies in Cultural Project Administration at the Getulio Vargas Foundation, in Rio de Janeiro, Brazil. Upon his return to the country he was appointed director of the National Library of Colombia. In addition, he held the position of Deputy Director of Cultural Heritage of the Colombian Institute of Culture. In 1993, during the government of President César Gaviria Trujillo, he was appointed general director of the Colombian Institute of Culture. In 1999, during the administration of Mayor Juan Gómez Martínez, he served as Secretary of Education of Medellín. During the presidency of Andres Pastrana was appointed Minister of Culture. Later he was appointed Consul of Colombia in Seville, Spain and then was transferred to Madrid with the position of Plenipotentiary Minister of the Embassy of Colombia in Spain. In 2002 he returned to Colombia to dedicate himself to the Horizontes educational project, and since 2004 he has been the President of EAFIT University.

Luis Alberto Moreno PRESIDENT OF THE INTER-AMERICAN DEVELOPMENT BANK, IDB Luis Alberto Moreno is the President of the Inter-American Development Bank (IDB), the main source of longterm financing for Latin America and the Caribbean. In addition, he chairs the boards of IDB Invest - private sector arm of the IDB Group - and the Multilateral Investment Fund, an innovation laboratory for development. After assuming the presidency in 2005, Moreno led reforms to prioritize the achievement of results, achieving the largest capital increase in the history of the IDB and consolidating private sector operations under IDB Invest. Prior to the IDB, he was Ambassador of Colombia to the U.S. In the private sector, he was the executive producer of an award-winning journalist and strategic business advisor. A graduate in business administration and economics from Florida Atlantic University, he obtained an MBA from Thunderbird School. Moreno is a member of the Board of Directors of the World Economic Forum and the International Olympic Committee.

Detailed Program ; September 16th and 17th

Federico Gutiérrez MAYOR OF MEDELLÍN Federico Gutiérrez is a civil engineer from the University of Medellin and holds a specialization in senior management and political science from the Universidad Pontificia Bolivariana. Between 2004-2007, he was Councilor of Medellin and President of the First Commission. He was re-elected in 2008, but this time he acted as Council President. Between 2011-2014 he was a consultant in integrated urban security for the city of Buenos Aires, Argentina and Celaya, Mexico. In 2015, he (once again) ran as candidate for Mayor for the movement “Creemos”, which was created and led by him. The 25th of October of that same year he won the elections with 246.221 votes. He is passionate about Medellin, and throughout his entire life he has walked the streets listening to the concerns of people and working with them to improve their quality of life. During his government he has focused on integrated security, sustainable mobility, quality education, and citizenship culture.

8:15-9:45am EAFIT University Fundadores Auditorium

Transformación de Medellín: Avances y retos de la ciudad hacia la inclusión SPEAKER: FEDERICO GUTIÉRREZ

Mayor Federico Gutiérrez Zuluaga will explain how Medellín has incorporated the Sustainable Development Goals in its Development Plan and how, additionally, it has built the 2030 city agenda with the inclusion of external actors from the private and academic sectors. All the processes of the city - urban, social, educational, integral security, gender equity, citizen culture – are aligned towards achieving the goal of advancing in the fulfillment of that collective agenda that, ultimately, seeks to improve the quality of life of people.

9:45-11:00am EAFIT University Fundadores Auditorium

The secret ingredient? Role of the public, private sector and academia in Medellín Conversation with the representatives of the University-Private Entreprise-State Committee of Medellín. The Committee is a successful case of a strategic alliance between three main actors of the city; the public sector, the private sector and academia, to promote science, technology, entrepreneurship and innovation in Medellín. A model worth replicating in other cities of the region. FACILITADOR:

Ana Maria Rodríguez-Ortiz

VICE PRESIDENT FOR SECTORS A.I, IDB Ana Maria Rodriguez-Ortiz has been the Manager of the Institutions for Development Department at the IDB since February 2011. She previously served as Manager of the IDB’s Andean Country Group. Since joining the Bank in 1991, Ms. Rodriguez-Ortiz has occupied several positions, including Senior Advisor to the Office of the Presidency, the IDB’s Country Representative in Peru, as well as Chief Advisor to the Executive Vice President. She has also been Chief of the Finance and Basic Infrastructure Division of the Regional Operations of the Andean and Caribbean countries; Chief of the Country Division for Colombia, Ecuador, Peru and Venezuela; and Technical Advisor to the Bank’s Executive Vice President. Prior to working at the IDB, she served as Economic Advisor to the President of the National Banking Association in Colombia; worked at the Central Bank of Colombia and at Colombia’s Banco Central Hipotecario (Central Mortgage Bank). Ms. Rodriguez-Ortiz, a citizen of Colombia, holds a Master of Arts in Development Economics from Williams College in Massachusetts and a degree in Economics from Universidad de Los Andes in Bogotá, Colombia.

Detailed Program ; September 16th and 17th

Ana Lucía Pérez DIRECTOR OF INNOVATION AT THE UNIVERSITY OF ANTIOQUIA AND TECHNICAL SECRETARY OF THE UNIVERSITY-PRIVATE ENTERPRISE-STATE COMMITTEE OF MEDELLÍN Ana Lucía Perez holds a PhD in Engineering and is currently Director of Innovation at the University of Antioquia, where the Technology Transfer office and the Entrepreneurship Park are located. In addition, she is also the Technical Secretary of the University-Private Enterprise-State Committee. Since 2004, she has been lecturer in the Department of Systems Engineering at the University of Antioquia, and member of the Engineering and Software research group in the areas of technology prospective, innovation and knowledge-based entrepreneurship. She has carried out research projects and internships at the Universities of Alberta (Canada), Carlos III of Madrid, Bocconi (Italy) and Federico II (Italy), as well as multiple applied research projects.

Paula Zapata Galeano SUB SECRETARY OF CREATION AND BUSINESS STRENGTHENING OF THE ECONOMIC DEVELOPMENT SECRETARIAT IN THE MAYOR’S OFFICE OF MEDELLÍN Currently the Sub Secretary of Creation and Business Strengthening of the Economic Development Secretariat in the Mayor’s Office of Medellín. Engineer of the Universidad Pontificia Bolivariana, Specialist in Global Market Management of the EIA and pursuing a Master’s Degree in General Management at the European Graduate Institute, with extensive experience in the private sector in multinational companies in the development of commercial and marketing strategies for different sectors of the industry. Recently part of the leading team for the construction of the Public Policy of Economic Development of Medellín and is in charge of coordinating and leading the development of programs that strengthen the ecosystem of entrepreneurship and innovation and business development in the city.

John Jairo Arboleda PRESIDENT OF THE UNIVERSITY OF ANTIOQUIA President of the University of Antioquia. Holds a Master’s Degree in Sciences and is a Veterinary Doctor from the University of Antioquia. He has worked as a professor at the University, he was also Dean of the Faculty of Agricultural Sciences, General Vice-Rector and Regionalization Director. He has also served as a member of the Superior Council of the Technological University of Chocó, representing the Ministry of National Education. He has participated in national and international events as a speaker and is the author of articles published in different specialized journals. His main achievements during his trajectory by the University of Antioquia includes promoting the regionalization of the university, by installing headquarters in the nine sub regions of Antioquia, with supply of more than 50 academic programs and more than 8,000 graduated ones, being recognized in three occasions by the Ministry of National Education as the best regionalization strategy of higher education in the country.

Alexis Bonnett GENERAL MANAGER OF SUMICOL Chemical Engineer with a specialization in Management and in Marketing and Sales Management. Director of R & D of the company ERECOS for 11 years, Marketing and Sales Manager of the company ERECOS for 3 years, Marketing and Sales Manager of the company AMTEX for 5 years and Manager of Technology Management in SUMICOL for 4 years. Currently General Manager of Sumicol and member of the Advisory Board of the Committee-University-Company-State.

11:00-11:30am

Coffee Break

Detailed Program · 17 de septiembre

11:30-1:00pm EAFIT University. Engineering Building Block 19- 415

Discussion Tables The objective of the thematic roundtables is to promote a dialogue between the Mayors based on the challenges in social inclusion in neighborhoods, urban security, and sustainable and resilient mobility that have been identified in the technical documents. The moderator will use the technical document as a reference in order to lead the discussion inviting the Mayors to share their experiences.

Urban Security FACILITATOR: Nathalie Alvarado NATHALIE ALVARADO- CITIZEN SECURITY PRINCIPAL SPECIALIST, IDB Nathalie Alvarado is currently a Citizen Security Principal Specialist at the Inter-American Development Bank (IDB) where she is the Head of the Citizen Security and Justice Team. Mrs. Alvarado has twenty years of experience working in this field and since 2012 has overseen the design and implementation of more than 20 of the Bank’s operations. She has also been responsible for defining the IDB’s Citizen Security and Justice action strategy and knowledge agenda for Latin America and the Caribbean. Ms. Alvarado has contributed to integrating this sector as a main priority of the Bank’s development agenda and to position the IDB as a key partner of the region in this area. Her work on police reform, urban safety, and violence prevention has been published in books, international newspapers, and academic journals. Mrs. Alvarado holds a law degree from the University of Lausanne, Switzerland, and a Master degree in Economic Law from the University of Brussels, Belgium.

Social Inclusion in the Neighborhoods: Habitat and Housing FACILITADOR:

Tatiana Gallego-Lizón

DIVISION CHIEF OF HOUSING AND URBAN DEVELOPMENT, IDB Dr. Gallego is the Division Chief for Housing and Urban Development at the Climate Change and Sustainable Development Sector of the Inter-American Development Bank. Between 2015 and 2017, Dr. Gallego was the Director of the Urban Development and Water Division of the Southeast Asian Department at the Asian Development Bank (ADB), where she pioneered agendas on urban climate change resilience, cross-border economic zones, and corridor town development. Between 2002 and 2014, she led the development of businesses and the identification, formulation, processing and implementation of urban loans and non-credit assistance to several countries in Asia. Before 2002, Dr. Gallego worked in industry and research as a Senior Engineer. Dr. Gallego has a Ph.D. and a MEng in Environmental Engineering from Imperial College London and a PGD in Policy Studies from the School of African and Oriental Studies.

Sustainable and Resilient Mobility FACILITADOR: José Agustín Aguerre MANAGER OF THE INFRASTRUCTURE AND ENERGY SECTOR, IDB José Agustín Aguerre currently serves as Manager of the IDB’s Infrastructure and Energy Sector. Prior to his current appointment, he served as manager of the Haiti Country Department, as interim manager of the Infrastructure and Environment Sector and as chief of the Transport Division. A citizen of Uruguay, Aguerre joined the IDB in 2003 as a transportation and infrastructure specialist, focusing on Central America, the Dominican Republic and Haiti. Prior to his appointment at the IDB, he worked in both the private and public sectors in his native country, where he was chairman of the National Ports Administration, Undersecretary of State in the Ministry of Transportation and Public Works, director of the National Roads Agency and chairman of the Institute of Transportation and Infrastructure Planning. Aguerre holds a civil engineering degree from Uruguay’s Universidad de la República and a master of science in construction management, with honors, from the University of Reading, England.

Detailed Program· 17 de septiembre

1:00-2:30pm Parque los Guayabos EAFIT

2:30-6:00pm

Field Visit: Central West Area

Visita de Campo: zona centro oriental One of the most important sectors of Medellín is the city center, a place where 1,200,000 people pass through daily, and which has been key in the historical, social, commercial, industrial and cultural development of the city. Because of the importance of this zone, the Mayor of Medellin, Federico Gutiérrez Zuluaga, together with his team, set up the Integrated Plan of the Center, a prototype based on the connection and articulation of existing environmental resources with the ¨Friendly¨ infrastructure works. This design of public space intervention prioritizes the conservation and environmental sustainability over concrete or cement. For these works, the municipal government allocated $ 270,000 million Colombian pesos, approximately 90 million dollars. The Integrated City Center Plan prioritizes human mobility over motorized mobility. For this reason, in this part of the city, 11 kilometers of tracks will be laid out for friendly means of transport, such as bicycles, and preferential lanes for electric buses that will connect with Medellin metro stations, the Ayacucho tram and the metrocable H line. This benefits about 350 thousand people in the communes 8 Villa Hermosa, 9 Buenos Aires and 10 La Candelaria.

6:30-9:00pm MAMM- Museum of Modern Art of Medellín

Welcome Cocktail Municipality of Medellín and IDB The Museum of Modern Art of Medellín or MAMM is a museum dedicated to research, conservation and dissemination in the fields of modern and contemporary art, as well as the cultural development of the city.

Detailed Program ; September 18th

Seminar “Inclusive Cities: Learning from Medellín” September 18th 7:00-7:15am Intercontinental Hotel Lobby

8:00-8:30am University of EAFIT School of Humanities Block 38 - Auditorium 101

8:30-9:00am University of EAFIT School of Humanities Block 38 - Auditorium 101

Seminar “Inclusive Cities: Learning from Medellín” Bus departure at 7:15 am sharp from the lobby of the Intercontinental Hotel

Registry

Inauguration: Seminar “Inclusive Cities: Learning from Medellín” Welcome Remarks Juan Luis Mejía Arango PRESIDENT OF EAFIT UNIVERSITY Juan Luis Mejía Arango is a lawyer from the Universidad Pontificia Bolivariana of Medellín. Since his appointment as director of the Public Library of Medellín Pilot Project, his life has been linked to education and culture. In 1982 he obtained a grant from the Inter-American Development Bank to carry out studies in Cultural Project Administration at the Getulio Vargas Foundation, in Rio de Janeiro, Brazil. Upon his return to the country he was appointed director of the National Library of Colombia. In addition, he held the position of Deputy Director of Cultural Heritage of the Colombian Institute of Culture. In 1993, during the government of President César Gaviria Trujillo, he was appointed general director of the Colombian Institute of Culture. In 1999, during the administration of Mayor Juan Gómez Martínez, he served as Secretary of Education of Medellín. During the presidency of Andres Pastrana was appointed Minister of Culture. Later he was appointed Consul of Colombia in Seville, Spain and then was transferred to Madrid with the position of Plenipotentiary Minister of the Embassy of Colombia in Spain. In 2002 he returned to Colombia to dedicate himself to the Horizontes educational project, and since 2004 he has been the President of EAFIT University.

Juan Pablo Bonilla MANAGER OF THE CLIMATE CHANGE AND SUSTAINABLE DEVELOPMENT SECTOR, IDB Dr. Bonilla has worked on environmental sustainability, climate change, and energy for more than 20 years. At the IDB, before he was Chief of Staff to the Executive Vice President he led the IDB’s Sustainable Energy and Climate Change Initiative, a major strategic step for integrating climate change and sustainability as a priority for the Bank. Before joining the IDB, Dr. Bonilla worked as Senior Specialist at the World Bank and was a member of the United Nation’s CDM Executive Board. In Colombia, he was the principal advisor to the country’s Vice President, and he launched new initiatives such as the Climate Change Policy and the National Biotechnology Policy. Dr. Bonilla served as Deputy Minister of Environment, and acting Minister of Environment, Housing and Territorial Development. Dr. Bonilla has a M.Sc. in Engineering Management and Systems Engineering and a Ph.D. in Environmental and Energy Management from the George Washington University.

Detailed Program · 18 de septiembre

Gema Igual Ortiz MAYOR OF SANTANDER, SPAIN Gema Igual Ortiz studied teaching. She worked in the private sector and was manager of the Association of Young Entrepreneurs of Cantabria until her incorporation as councilor of the City of Santander in the areas of Tourism and Festivals in 2003. She has been Councilor for Tourism and Institutional Relations since 2007. In November of 2016, she became Mayor of Santander and since December of that year she is a member of the Governing Board of the Spanish Federation of Municipalities and Provinces (FEMP). She is the Vice President for Spain of the Atlantic Arc Cities Conference (CCAA) and is part of the Plenary of the Urban Initiatives Network on behalf of the FEMP.

Emilio Lora Tamayo PRESIDENT OF THE MENÉNDEZ PELAYO INTERNATIONAL UNIVERSITY Emilio Lora Tamayo graduated in Physical Sciences in 1972 and obtained the Diplôme d’Études Approfondies at L’Université Paul Sabatier de Toulouse. He also obtained a Doctorate in Physics from the Complutense University of Madrid in 1977. He is currently Professor of Electronics at the Autonomous University of Barcelona. Emilio has worked as a researcher at L’École Nationale Supérieure d’Aéronautique et de L’Espace and the Laboratoire d’Automatique et ses Aplications Spatiales, both institutions in Toulouse and the Laboratoire d’Electronique et de l’Informatique de Grenoble. In addition, he has been a visiting professor at the University of Berkeley (United States). He has also been director of the Microelectronics Institute of Barcelona-National Microelectronics Center and its associated ICTS. Emilio has also coordinated the Barcelona Cluster of Nanotechnology (BCN-b). Academic number of the Royal Academy of Sciences and Arts of Barcelona and corresponding Academician of the Royal Academy of Medicine and Surgery of Cádiz, of the Royal Academy of San Dionisio of Arts and Sciences of Jerez de la Frontera and of the Academy of Sciences in the Region of Murcia. He is in possession of the Commander of number of the Order of Civil Merit.

9:00-9:30am EAFIT University School of Humanities Block 38 - Auditorium 101

Knowledge Management FACILITATOR: María Camila Uribe IDB CITIES NETWORK COORDINATOR

The Inter-American Development Bank is committed to the promotion of open knowledge in Latin America and the Caribbean, for the recognition of its great value as a catalyst for innovation, the creation of new companies, a greater transparency of the rights of the private sector, also as a promoter of citizen participation in the public sphere and in the control of public policies. The promotion of open knowledge implies the elimination of technical, legal and technological barriers to access the use of data, publications and learning opportunities. In this session, we will reflect on the contributions of open knowledge and the possible opportunities that the IDB Cities Network could open through efforts to open and share knowledge in different formats.

María Camila Uribe IDB CITIES NETWORK COORDINATOR Maria Camila Uribe is Principal Technical Lead of the Housing and Urban Development Division, coordinating the Cities Network of the Inter-American Development Bank (IDB). Maria Camila served as Representative of the Bank in Chile, and later worked in the coordination of the Institutional Strategy of the IDB Group. Additionally, she served as Head of the Services Section for the Committees and the Executive Directors in the IDB Secretariat. Economist from the Universidad de Los Andes in Colombia, has a Master’s degree in Economics from the same university and a Master’s degree in Public Administration from Harvard University. Has over 18 years of experience in the Colombian public sector, having served as Secretary of Planning of Bogotá, Director of Cadaster and Tax Director of the same city, advisor to the Ministry of Finance of Colombia and to the National Planning Department. Local and urban fiscal matters stand out amongst her many specializations.

Detailed Program · 18 de septiembre

Federico Basañes MANAGER OF KNOWLEDGE, INNOVATION, AND COMMUNICATIONS SECTOR, IDB Federico Basañes, an Argentinean citizen, was appointed Manager of Knowledge, Innovation and Communication Sector, effective June 2018. Earlier, he served as Manager of Knowledge and Learning (20142018) and Chief of the IDB’s Water and Sanitation Division (2007-2013). During his 22-year career at the Bank, Mr. Basañes worked on issues related to infrastructure and led many operations in Latin America and the Caribbean. Mr. Basañes is the author of several articles and publications on infrastructure, mainly in the areas of water and sanitation, energy, and transportation. His areas of expertise also include private participation in the provision of public services, and regulation. Mr. Basañes is a graduate of the University of Buenos Aires in Argentina. He holds a M.A. in Public Policy from the Torcuato Di Tella Institute in Argentina; an M.S. in Economics and a Ph.D. in Economics both from the University of Illinois at Urbana-Champaign.

9:30-10:45am EAFIT University. School of Humanities Block 38 - Auditorium 101

The main objective of this panel is to get to know some of the main policies, programs and projects of the vision, planning and construction of Medellín and its metropolitan area that has made it a more inclusive city. This is a city that has suffered greatly due to drug trafficking and the armed groups that came to occupy important areas of the city creating a situation of great violence and insecurity in the late 90’s, making Medellín one of the most insecure cities in the world. In the last 15 years Medellín has been able not only to reduce violence but to generate trust and an environment of greater social and economic inclusion thanks to the vision and policies developed by its Mayors and public officials, business and citizens.It has ruled among its leaders the principle of “Building on the built” and advance in the realization of the shared vision of the city. This session will analyze the role of the public sector, the great benefits of corporate governance and the commitment of a generous business sector, academia and citizens in the construction of this exemplary city in many of its efforts.

Marcelo Cabrol MANAGER OF THE SOCIAL SECTOR, IDB Marcelo Cabrol, an Argentinian citizen, was appointed Manager of the Social Sector in August 2017. He leads a multidisciplinary team convinced that investing in people is the way to improve lives and overcome the development challenges in Latin America and the Caribbean. Under his direction, the sector supports the countries in the region to formulate public policy solutions to reduce poverty and improve the delivery of education, work, social protection, and health services. Prior to his appointment, he served as the External Relations Manager (EXR) of the IDB. Cabrol led the creation of Demand Solutions, a business model that draws on entrepreneurial thinking and creative approaches to tackle problems in sectors such as public health, mass transportation, energy and citizen security. Between 2007 and 2012, Cabrol was Chief of the IDB’s Education Division. In that role he promoted projects that employed cutting-edge technologies to expand the coverage and raise the quality of education in Latin America and the Caribbean. He forged groundbreaking partnerships with several Fortune 500 corporations, renowned non-profit organizations and academic institutions in more than 20 countries. Previously he served as principal advisor to the Executive Vice President of the IDB, providing quality and operational oversight of projects in the social sectors, state modernization, science and technology, and microenterprise. He joined the Bank in 1998 as a project specialist. Cabrol obtained a bachelor’s degree in economics and political science from Universidad del Salvador in Buenos Aires and a master’s degree in public policy from Georgetown University. He completed doctoral studies in government and public policy (ABD) at Georgetown.

Detailed Program · 18 de septiembre

SPEAKERS

Alejandro Echeverri DIRECTOR OF URBAM EAFIT Alejandro Echeverri is Co-founder and Director of URBAM, the Center for Urban and Environmental Studies of EAFIT University in Medellín. His experience combines the fields of architecture, urban planning, environmental projects and territorial planning. He is Loeb Fellow of the Graduate School of Design (GSD) at Harvard University and was awarded the Obayashi 2016 prize. Between the years 2004 and 2008 he served as director of the EDU, the Urban Development Company of the city of Medellín, and as director of urban projects in the city, he led the strategy of Social Urbanism, with the support and leadership of Mayor Sergio Fajardo; turning Medellín into a reference for other cities in extreme conditions. His work has been recognized with the National Architecture Award of the National Society of Architects of Colombia in 1996, the Urban Design Award of the Pan American Biennial in 2008, the Curry Stone Design Prize in 2009, the 10th Veronica Rudge Green Prize in Design Urban of the GSD of the University of Harvard. Today he is part of the international advisory board of RELIEF Center of University College of London and of the International Advisory Committee CIGIDEN (Research Center for Integrated Risk Management of Disasters) in Chile.

Piedad Patricia Restrepo DIRECTOR OF THE MEDELLÍN CÓMO VAMOS PROGRAM Piedad is an Economist from the University of Antioquia with a master’s degree in public policy from Universidad Torcuato di Tella. Piedad has been the Director of the Medellín Cómo Vamos Program since 2008. She has teaching experience from the University of Antioquia and EAFIT, and research experience at the Center for Economic Research at the University of Antioquia in the subjects of education economics, regulation of public services, and institutional and regional economics. Piedad´s work has been published in national journals of scientific dissemination and she has participated in national and international seminars on the aforementioned topics. Medellín Cómo Vamos is a private inter-institutional partnership that aims to evaluate and monitor the quality of life in the city. The program partners include Proantioquia, El Colombiano, EAFIT University, the Chamber of Commerce of Medellín for Antioquia, Comfama, Comfenalco, Casa Editorial El Tiempo, the Chamber of Commerce of Bogotá and Fundación Corona. These last three promote the Bo-

gotá Cómo Vamos program since 1998. Medellín Cómo Vamos seeks to promote an effective and transparent government; informed, responsible and participatory citizens; and encourage work in alliances around the quality of life in the city.

John Alberto Maya EXECUTIVE VICE PRESIDENT OF BUSINESS MANAGEMENT OF EMPRESAS PÚBLICAS DE MEDELLÍN (EPM) John Alberto Maya Salazar is an Electrical Engineer from the Universidad Pontificia Bolivariana and a Management Specialist with an emphasis in Marketing from the same university. For 29 years he has contributed to the growth and consolidation of EPM working as an engineer in Energy and Transmission, Chief Department of Energy, Chief Department of Networks and Lines, Gas Manager, Deputy Director of relations with Medellín and Antioquia, Deputy Director of Relations with Territories and is currently the Vice President of Executive Business Management. Worked for 8 years as Business Manager of Urban Development, Hydraulic Company Ituango S.A. and private companies.

10:45-11:00am

Coffee Break

11:00-12:15pm

Innovative Responses Against Urban Crime

EAFIT University. School of Humanities Block 38 - Auditorium 101

FACILITATOR: Nathalie

Alvarado

CITIZEN SECURITY PRINCIPAL SPECIALIST, IDB

Latin America has 8% of the world population yet 32% of the world’s crimes and homicides occur in this region. This problem costs society approximately 3.5% of the region’s GDP. Currently in Latin America criminal information is very limit-

Detailed Program · 18 de septiembre

ed and low quality. Preventing crime effectively requires a more detailed understanding of why it occurs. For this reason, the IDB has been promoting preventive policies based on the use of big data, which allows a deeper analysis of the causes of crime. The panel will analyze experiences of Andres Felipe Tobón in Medellín, Jairo García in Bogotá , Richard Aborn´s experience with juvenile criminality in New York, and the research of Laura Gallego of EAFIT. The objective is to analyze practical differences between cities to face the high crime rates to achieve inclusive spaces where young people, women, children and the elderly can live together and have a better quality of life. From the use of technology as a tool for analysis and the participation of the community in the construction of effective programs to reduce crime, equitable and affordable access can be achieved in the city for all.

SPEAKERS

Andrés Felipe Tobón Villada SECRETARY OF SECURITY OF MEDELLÍN Andres is a Political Scientist and has a Master´s Degree in Human Studies graduated with honors From EAFIT University. Andre´s thesis “Trust is Not Afraid” was published as a book. He is currently Secretary of Security in charge of the Municipality of Medellin as well as Undersecretary of Local Government and Coexistence. He completed his internship at the University of Murcia in Spain. He is expert in security issues and has a career as lecturer in the field. Andres has been a consultant of the Political Analysis Center of EAFIT University in projects that have to do with the public policy of security and coexistence of Medellín. He has been a professor of social capital and political ethics in the courses of promotion of seniors to colonels and of colonels to generals of the National Police with EAFIT University in Bogotá. In addition, he is the author of several publications.

Jairo García Guerrero SECRETARIO DE SEGURIDAD, CONVIVENCIA Y JUSTICIA DE BOGOTÁ Jairo García Guerrero es politólogo, especialista en Gobierno y Políticas Públicas de la Universidad de los Andes, con énfasis en gerencia de proyectos de cooperación público-privada para el desarrollo de política pública, en áreas de buen gobierno, seguridad ciudadana, convivencia y justicia. García se desempeñó como director de Seguridad Ciudadana en la Secretaría de Gobierno y fue director de Seguridad Ciudadana de la Cámara de Comercio de Bogotá. Desde la creación de la nueva Secretaria de Seguridad para Bogotá creada por el Alcalde Enrique Peñalosa, Jairo García se desempeñó como Subsecretario de seguridad y convivencia. Actualmente, Secretario de Seguridad, Convivencia y Justicia de Bogotá.

Richard M. Aborn PRESIDENT OF THE CITIZENS CRIME COMMISSION Richard M. Aborn is president of the Citizens Crime Commission of New York City, a non-partisan non-profit organization with multidisciplinary expertise that works to improve public safety through innovation. At the Crime Commission, Mr. Aborn advances strategies to improve the justice system, strengthen gun policies and practices, prevent youth gun violence, and prevent cybercrime. Under Mr. Aborn’s leadership, the commission has been instrumental in passage of several laws in New York including legislation to expand the use of DNA evidence to convict the guilty and exonerate the innocent, a comprehensive gun violence reduction package, known as the NY SAFE Act, and legislation increasing the penalty for carrying an illegal loaded firearm in the state.

Laura Gallego DIRECTOR OF THE CENTER FOR POLITICAL ANALYSIS OF EAFIT UNIVERSITY Political Scientist and Master in Administration and Government and Public Policies of the EAFIT University. She has worked in the areas of consulting and research of the Center for Urban Studies - Urbam EAFIT, in the EAFIT Political Analysis Center, where she is currently the Director, in the ESU Urban Security Company,

Detailed Program · 18 de septiembre

the Mayor’s Office of Medellin, the IDB, UNDP and other public and private organizations in the areas of government, public policies, territorial planning, public administration and security. She was the Project Coordinator of the Integral Development Plan for Urabá of the Government of Antioquia by Sergio Fajardo Valderrama (2012-2015).

12:15-1:30pm EAFIT University. School of Humanities Block 38 - Auditorium 101

Transportation and Urban Mobility FACILITATOR: Néstor

H. Roa

JEFE DE LA DIVISIÓN DE TRANSPORTE, BID

El objetivo principal del panel es compartir experiencias de movilidad sostenible y resiliente al cual tengan acceso todos los ciudadanos, a través de ejemplos en temas específicos de integración (desde la conceptualización de los proyectos) del uso del suelo y la movilidad urbana tomando en consideración las características morfológicas y sociales de las áreas metropolitanas; género, inclusión social, y movilidad segura como pilares operativos fundamentales; y sostenibilidad financiera, aspecto crítico para la inclusión de nuevas tecnologías limpias y/o de bajo carbono. El panel busca generar un espacio de intercambio activo de buenas prácticas y lecciones aprendidas entre los expositores.

Néstor H. Roa JEFE DE LA DIVISIÓN DE TRANSPORTE, BID Néstor H. Roa actualmente es Jefe de la División de Transporte del BID. Anteriormente tuvo varias responsabilidades dentro del Banco incluyendo la gerencia interina del Departamento de Infraestructura y Medio Ambiente (INE) y la coordinación de la actividad operativa de la División de Transporte de México, América Central y el Caribe. Asimismo fue líder y miembro de equipo para varios proyectos de transporte, energía y telecomunicaciones. Antes de unirse al Banco, en 2001, Néstor se desempeñó en el sector público colombiano, ámbito en el que su último cargo fue el de Director y Comisario de la Comisión de Regulación de Comunicaciones (CRC). También trabajó en el Departamento Nacional de Planeación, donde fue Director de Infraestructura y Energía, Jefe de la División de Transporte, Director de la División de Política y Especialista en Infraestructura de Transporte. También ha trabajado en el sector privado colombiano. Néstor tiene una Maestría en Gestión de la Tecnología de la Escuela de Negocios Sloan del Instituto Tecnológico de Massachusetts (MIT), una Maestría en Ingeniería de Virginia Tech y una licenciatura en Ingeniería Civil de la Universidad Javeriana de Bogotá.

SPEAKERS

Tomás Andrés Elejalde GERENTE DEL METRO DE MEDELLÍN Tomás Andrés Elejalde Escobar es ingeniero de fabricación, especializado en técnicas de fabricación, montaje, producción y procesos industriales de la Universidad de Ciencias Aplicadas de Colonia, Alemania. Además es especialista en Alta Gerencia con énfasis en Calidad de la Universidad de Antioquia y cuenta con estudios de Administración de Empresas e Ingeniería económica en la Universidad de Ciencias Aplicadas de Mönchengladbach, Alemania. En Alemania se desempeñó como ingeniero de planta de Klöckner-Möeller A.G, como ingeniero asistente de diseño de herramientas, dispositivos especiales de fabricación y troqueles en Jean Walterscheid - Unicardan Gruppe y como ingeniero de ventas y servicio técnico de Nordmann K.G. En Colombia trabajó inicialmente como ingeniero de montajes de CNCortar S.A, pero pronto se vinculó al Metro de Medellín, inicialmente como supervisor de Operaciones en el Puesto Central de Control en 1995. Posteriormente se desempeñó como jefe del departamento de tráfico, jefe de la unidad de ingeniería y jefe del proceso de movilización de clientes. En 2003 fue nombrado gerente de operaciones, y en el 2013 ocupa el cargo de gerente de planeación. En 2016 fue nombrado gerente general.

Detailed Program · 18 de septiembre

César Luis Dockweiler Suárez EXECUTIVE MANAGER MI TELEFÉRICO LA PAZ, BOLIVIA Master in Business Administration and PhD Candidate in Public Policies. In 2010 he joined the Ministry of Public Works, Services and Housing, as General Advisor to the Vice Ministry of Transport. Cesar was responsible for the planning and formulation of different plans, programs and projects for regional and national integration. In 2011, as General Coordinator of the Technical Unit of Transportation by Cable (UTC) of the Ministry of Public Works, Services and Housing, he initiated the project of Construction, Implementation and Commissioning of the three lines of the Cable Transportation System for the cities of La Paz and El Alto in Bolivia. On May 7, 2014, through Supreme Resolution No. 12139, Cesar was appointed by the President of the Plurinational State of Bolivia, Evo Morales Ayma, as Executive Manager of the State Cable Transport Company “Mi Teleférico” which he serves to this day.

Alfredo de León SECRETARIO DE MOVILIDAD DE QUITO, ECUADOR Actualmente Secretario de Movilidad del Municipio del Distrito Metropolitano de Quito. Ingeniero civil de la Pontificia Universidad Católica del Ecuador. Treinta años de experiencia profesional en gerencia de proyectos, gestión e implementación de soluciones urbanas, espacio público, movilidad y transporte y desarrollo de programas públicos y privados. Quince años de asesor como gerente en programas de equipamiento público y privado para construcción de infraestructura de carreteras y obras urbanas. Consultoría en coordinación de proyectos y estudios para: sistemas de terminales terrestres de Quito, estudio conceptual del metro de Quito, central de abastos de Quito Metropolitano, recuperación urbana de La Mariscal, y centro histórico de Quito – Plan BID. Más de 2 años como Administrador Zonal: Zona Especial Turística La Mariscal / Municipio del Distrito Metropolitano de Quito. Plan Especial Mariscal hacia el Habitat III.

Andrea María Navarrete FOUNDER OF MUJERES BICI-BLES IBEROAMÉRICA Andrea María Navarrete Mogollón (Colombia, 1982) is a Bachelor in Spanish and Literature, Master in Philosophy, university teacher, social researcher, urban cyclist, bicycle maker and feminist. She is the Founder of Mujeres Bici-bles Iberoamérica. In 2016, she lived an experience from the tourism cycle with El Sur Bici-ble, a project to expand the Latin American network of Mujeres Bici-bles and, in 2017, a tour through Spain to expand the Ibero-American network. She is speaker in academic, cultural and social, national and international stages on topics related to bicycle mobility with a gender perspective and feminist urban cycling: World Bicycle Forums (Colombia, Chile, Mexico, Peru), mobility congresses (Colombia , Mexico), Bike Weeks (Colombia), TEDx (Colombia), Gender and Transport Forum of the IDB Transport (Argentina), Iberian Congress The City of Bikes (Spain), Latin American Pedestrian Forum (Colombia), Meeting # WomenMobilizeWomen within the framework of the International Transport Forum (Germany) and Velocity (Brazil). Andrea participated in the publication “Beyond the limits. Notes for inclusive mobility “, from the Friedrich Ebert Stiftung Institute (Ecuador, 2017).

Álvaro Fernández Heredia GENERAL DIRECTOR OF THE PUBLIC TRANSPORT COMPANY OF MADRID Álvaro Fernández Heredia is an Engineer and holds a PhD in Road Design, Canals and Ports from the Polytechnic University of Madrid (UPM). He has worked in the world of transportation and urban planning consultancy. He directed the Master’s Degree in Road, Canal and Port Engineering from the European University of Madrid and has been a professor of Transportation Planning at this institution. He has worked as a researcher at the Transport Research Center of the UPM and has published numerous scientific publications on transport planning, bicycle mobility and governance processes in transport policies. He was appointed Managing Director of the EMT in September 2015.

1:30-2:30pm 2nd floor Cafeteria EAFIT University

Almuerzo típico

Detailed Program · 18 de septiembre

2:30-6:00pm

Field Visit: Comuna 13 Western Area of Medellín The tour will focus on the PUI (Integrated Urban Plan) of San Javier - Comuna 13, which has benefited more than 4,200 people. The inhabitants of the area define the Comuna 13 as ¨The best balcony in the city; where visitors can go to the viewpoint of the -Escaleras Eléctricas- and observe from there the multitude of houses painted in bright colors that are nestled in the mountain, and urban art vibrates in social cohesion¨.

6:30-9:00pm Claustro San Ignacio

Proantioquia Cultural Event Recorrido liderado por Proantioquia por edificios patrimoniales del centro de Medellín y coctel en la terraza del Claustro San Ignacio.

Agenda Extendida Âˇ 18 de septiembre

Detailed Program · 19 de septiembre

Seminar “Inclusive Cities: Learning from Medellín” September 19th 8:30-10:00am EAFIT University School of Humanities Block 38 - Auditorium 101

Social Inclusion in the Neighborhoods: Habitat and Housing FACILITATOR: Verónica

Adler

LEAD SPECIALIST, HOUSING AND URBAN DEVELOPMENT DIVISION, IDB

Approximately 27% of urban population in Latin America lives in shanty towns, in which the use of land is inadequate, poverty indexes are high and there is an evident lack of social services and tools. As an answer to this situation integral development policies have been implemented, with intervention tools that foster inclusion through access to public services, quality housing, public spaces, and labor opportunities. Responding to social inclusion requires thinking of a multidimensional response, promoting social participation, and encouraging an egalitarian access to the city. This session seeks to identify policies, programs, and projects of integral interventions of diverse scales, at the sub national level, that respond to the exclusion of informal settlements, while including processes that strengthen social relationships.

Verónica Adler ESPECIALISTA PRINCIPAL DE LA DIVISION DE DESARROLLO URBANO Y VIVIENDA, BID Undergraduate Degree in Economics; Master’s Degree in Public Policy from Torcuato Di Tella University in Buenos Aires, Argentina. Veronica has worked at the Inter-American Development Bank since 2003. Between 2003 and 2008 she worked from Washington D.C. in Colombia and Venezuela, mainly on programs and projects related to social interest urban and rural housing, neighborhood improvement, recovery of degraded areas, as well as public entity reform and modernization, such as citizen service centers, general accountancy and statistic institutions. Since 2008 she has been appointed to the Bank’s Representation in Uruguay. From there, her main focus has been Uruguay, Argentina, Chile, and Bolivia, in projects linked to the economic development of sub national sectors, neighborhood improvement, public sub national infrastructure, and the recovery of urban degraded areas. She has also co-led the implementation of the Emerging and Sustainable Cities Initiative (ESCI) in Montevideo and is part of the field support group for the implementation of ESCI in Chile and several cities in Argentina.

SPEAKERS

Jaime León Bermúdez MANAGER OF THE URBAN DEVELOPMENT ENTERPRISE (EDU) Mechanical Engineer, Finance Specialist, and Master’s in Administration, with 12 years of experience in resource management and process and project leadership, which has generated value in organizations through financial, operative, and strategic decision making. He has developed skills in team leadership, strategic analysis, and innovation. He was Chief of Technology and Product Introduction and Chief of Maintenance and Project of Noel. Adviser VIII of Congress and Director of the Landscape, Heritage and Public Private Partnership Agency in Medellin, Colombia. Today, he is the Manager of the Urban

Detailed Program · 19 de septiembre

Diego Fernández URBAN AND SOCIAL INTEGRATION SECRETARY OF BUENOS AIRES Diego is passionate about technology, transformations, and substantive challenges. Between 1994 and 2006 he founded various enterprises and led big projects for national and international companies, which led him to be an Argentinian delegate of the Group of 8 in Germany (1996) and a member of the american committee of electronic commerce, in Washington D.C. (1997). For Diego, professionalizing a family business, for a later sell, has been a significant achievement. In 2009 Diego took the step to get involved in the public realm in order to move from complaint to action. Jointly with Esteban Bullrich and Guillermo Dietrich, they started to conceptualize the G25 to link the private world with the public one. In 2010 Diego became the Cabinet Chief of the Ministry of Education of Buenos Aires; his main objective was to transform and professionalize the education system in the city. Today, as Urban and Social Integration Secretary, he leads one of the most important and ambitious projects in Buenos Aires: social and urban integration of “Villa 31”.

Fernando Martínez Salcedo DIRECTOR DE PROYECTOS DEL INSTITUTO DE ESTUDIOS DE LA TIERRA Fernando Martinez Salcedo has developed his professional activities in the Spanish public administration and in the private sector in the areas of environmental engineering, urban planning and administration, energy, and development cooperation. He was Director General of Environment in the Government of Spain; President of the national enterprise of industrial waste management, and spokesperson of the Scientific and Technical Adviser Commission. In the public administration of Andalucia, he was President of the Environmental Agency and Delegate Counselor of the Public Enterprise of Environmental Management. In the municipal administration of Sevilla, he was Executive Vice-president of the municipal enterprise conglomerate and Delegate Counselor of EMASESA. He led the streetcar project implementation, as well as the urban recovery of the center of Sevilla. For 10 years he was Sustainability Secretary General of Abengoa, a renewable energy enterprise with presence in more than 70 countries, and President of Abengoa in Mexico.For 9 years he has led the Master’s program in engineering and environmental management at the Industrial Organization School in Sevilla. Currently he is the Project Director at the Earth Studies Institute and is part of the project team of the expansion project of the Sevilla streetcar.

10:00-10:15am

Coffe Break

10:15-11:45

Efficiency and Effectiveness of Fiscal Management

EAFIT University School of Humanities Block 38 - Auditorium 101

FACILITATOR: Vicente

Fretes Cibils

DIVISION CHIEF OF FISCAL AND MUNICIPAL MANAGEMENT, IDB

Subnational governments, and cities in particular, have made innovations with the aim of improving their fiscal management. Improvements in the way public spending is done, ideas to improve the income of cities, the use of new technologies, as well as new ideas to improve the effectiveness of citizen services are part of the actions that the governments of cities of Latin America and the Caribbean are doing. This is why the IDB has been promoting policies and exploring new technologies to improve urban fiscal management from different angles. The objective is to analyze different practices on how cities currently improve the quality of life of Latin Americans by improving the efficiency of spending, seeking new sources of income or strengthening existing ones and how, from the dimension of the procedures, they are provided with a better service to citizens with the goal of having more inclusive cities.

Detailed Program · 19 de septiembre

Vicente Fretes Cibils DIVISION CHIEF OF FISCAL AND MUNICIPAL MANAGEMENT, IDB A native of Argentina, completed his undergraduate work at the Universidad Nacional del Nordeste, in Argentina. He subsequently pursued postgraduate studies at the University of Pennsylvania and North Carolina State University, where he received a master’s degree in business administration and a PhD in economics. Mr. Fretes Cibils joined the World Bank in 1987 and worked at the Bank until 2007. Following stints in the Bank’s Office of the Vice President for Europe and the Middle East and its Treasury Department, he served as Economist in the Office of the Vice President for West Africa Operations; Chief Economist in the Department of Operations form Andean Countries; Senior Economist for República Bolivariana de Venezuela, and subsequently for Colombia and Mexico; Lead Economist in the Poverty Reduction and Economic Management sector for the Andean Countries Department (Bolivia, Ecuador, Peru and República Bolivariana de Venezuela). He joined the IDB in 2007, and is currently Division Chief of Fiscal and Municipal Management, Institutions for Development. Additionally, he has taught at Argentina’s Universidad Nacional del Nordeste and at North Carolina State University, and has published numerous works addressing topics in finance, applied econometrics, public finance, international economics, and economic development.

SPEAKERS

Orlando Uribe Villa SECRETARY OF THE TREASURY OF MEDELLÍN Orlando is a Business Administrator from the Institutional University CEIPA. He is specialized in Political Studies from EAFIT University and has a technical degree in Administration and Finance from ESUMER.

Carlos Leite URBANIST Carlos Leite is an Urbanist with a Master’s and Doctorate degree from the University of Sao Paulo and post-doctorate from the Polytechnic University of California. He is a Professor at the School of Architecture and Urbanism, Mackenzie Presbyterian University in Sao Paulo and was a visiting professor at various international institutions (IaaC Barcelona, UC Berkeley, Parsons, NY). He was Director of Sao Paulo Urbanismo, a municipal company of urban development. He is the author of the award-winning book Sustainable Cities, Smart Cities. Carlos offers professional consulting services in urban development, master planning and instruments, including land valuation (Land Value Capture).

Angela María Reyes COAUTHOR “THE END OF THE ETERNAL PROCESS” Angela María Reyes works in the IDB´s Institutional Capacity of the State Division on modernization issues of the state and digital government. Angela worked on innovation issues in local governments through the Ash Center for Democratic Governance and Innovation at Harvard University. She was a consultant in the Macroeconomic Policy Directorate of the Ministry of Finance of Colombia and an analyst at EConcept, a Colombian economic consulting firm. She holds a Master’s Degree in Public Policy with an emphasis in social and urban policy from the Kennedy School of Government at Harvard University, a Master’s Degree in Economics from the Universidad de Los Andes in Colombia and a Bachelor’s degree in Economics from the same university.

María Dolores Almeida EX DEPUTY MINISTER OF FINANCE OF ECUADOR Economist graduated from the National University of Tucumán in Argentina, has a Master’s degree in Economics with an emphasis in Decentralization and Local Development and a Diploma in Budgets for Gender Equity.She has 20 years of experience in public finances; fiscal policy with a gender approach; environmental financing; fiscal decentralization; financial and economic evaluation of projects; among others. She has held public positions such as Deputy Minister of Finance, Subsecretary of Public Investment, among others. She has been a finance consultant for international organizations such as the Inter-American Development Bank,

Detailed Program · 19 de septiembre

the World Bank, the German Technical Cooperation, UN Women, UNICEF, UNEP and the Latin American Economic Commission - ECLAC. She has also been a professor at the Catholic University of Ecuador, University of the Americas - UDLA and the Polytechnic Army School.

11:45-12:00pm EAFIT University School of Humanities Block 38 - Auditorium 101

IDB Cities Network - Closure Tatiana Gallego-Lizón DIVISION CHIEF, HOUSING AND URBAN DEVELOPMENT, IDB

María Camila Uribe IDB CITIES NETWORK COORDINATOR

12:00-1:00pm EAFIT University School of Humanities Block 38 - Auditorium 101

Private Sector Solutions to the Challenges of Cities DISCUSSION

Gema Sacristán DIRECTORA GENERAL DE NEGOCIOS BID INVEST Directora General de Negocios además de miembro del equipo gerencial de BID Invest, el brazo para el sector privado del Grupo BID. Bajo su responsabilidad se incluyen las áreas de Infraestructura y Energía, Corporativos, Instituciones Financieras, Productos y Servicios Financieros, Servicios de Asesoría y Financiamiento Mixto y Gestión de Cartera. Se unió al Banco Interamericano de Desarrollo en diciembre de 2008 como oficial de inversión del Departamento de Financiamiento Estructurado y Corporativo y luego ascendió a ser Jefe de la División de Mercados Financieros. Anterior a este cargo, ocupó varios puestos de liderazgo en banca comercial y de inversión en Madrid, Londres y Nueva York. Entre ellos fue la Directora de la Unidad de Financiamiento a la Exportación y a Agencias para Américas en BBVA Nueva York y Vicepresidente y Gerente de Productos en el área de Global Trade Finance en Banco Santander Nueva York. Gema Sacristán es licenciada en Ciencias Económicas y Empresariales por la Universidad Autónoma de Madrid, y posee una Maestría en Comercio y Negocio Internacional por la Universidad Complutense de Madrid y un Master en Liderazgo y Sostenibilidad de la Universidad de Cambridge, en UK.

Rafael Aubad López EXECUTIVE PRESIDENT OF PROANTIOQUIA Coordinates the business group that works systematically, since 2015, in the themes of Sustainable Peace, with the academic support of EAFIT University and the support of the ANDI. He has served as Vice Dean and Dean of the University of Antioquia, as well as Head of the Departments of Economics and the Center for Economic Research. He has been a professor at the universities of Antioquia, National University of Medellín and ICA in Colombia. He has also served as Vice President of the Proantioquia Foundation, National Director of the Colombian Agricultural Research Corporation-CORPOICA, Director of the Science and Technology Center of Antioquia, Advisor to the National Economic Council of Colombia, Advisor of the Integrated Rural Development Fund of Colombia, Member of the Committee of Rural Studies of the Ford Foundation in Colombia and specialist in Rural Development of IICA-OAS. He graduated as an Economist at the University of Antioquia, where he received a prize for university research in 1985 and the Order of University Merit, highest distinction, in 1994. He completed his higher education in Agricultural Development, Economic Planning and Development at the University of Paris I and the IRFED; He also has studies in Fiscal Policy at the Getulio Vargas Foundation in Brazil.

Juan Luis Mejía Arango RECTOR DE LA UNIVERSIDAD EAFIT Juan Luis Mejía Arango is a lawyer from the Universidad Pontificia Bolivariana of Medellín. Since his appointment as director of the Public Library of Medellín Pilot Project, his life has been linked to education and culture. In 1982 he obtained a grant from the Inter-American Development Bank to carry out studies in Cultural Project Administration at the Getulio Vargas Foundation, in Rio de Janeiro, Brazil. Upon his return to

Detailed Program · 19 de septiembre

the country he was appointed director of the National Library of Colombia. In addition, he held the position of Deputy Director of Cultural Heritage of the Colombian Institute of Culture. In 1993, during the government of President César Gaviria Trujillo, he was appointed general director of the Colombian Institute of Culture. In 1999, during the administration of Mayor Juan Gómez Martínez, he served as Secretary of Education of Medellín. During the presidency of Andres Pastrana was appointed Minister of Culture. Later he was appointed Consul of Colombia in Seville, Spain and then was transferred to Madrid with the position of Plenipotentiary Minister of the Embassy of Colombia in Spain. In 2002 he returned to Colombia to dedicate himself to the Horizontes educational project, and since 2004 he has been the President of EAFIT University.

1:00-2:30pm EAFIT University Terrace Block 29

2:30-3:30pm EAFIT University School of Humanities Block 38 - Auditorium 101

Lunch hosted by IDB Invest

The City as an Innovation Lab: Practical Solutions to Concrete Problems The Cities LAB Workshop - “The city as an innovation lab” is a dynamic and interactive workshop sponsored and coordinated by the Cities LAB, a platform of the Housing and Urban Development Division that innovates urban planning solutions for the LAC region. The main experts in urban innovation and representatives of the private sector will participate together with the municipal authorities to design innovative urban solutions in a collaborative manner. The idea is to use this space so that the municipal authorities can address common urban problems in a new way and identify specific solutions for the problems they currently consider as priorities in their cities. The workshop will be facilitated by Tony Garcia, the Director of The Street Plans Collaborative in Miami.

Andrés Blanco LEAD SPECIALIST IN URBAN DEVELOPMENT AND HOUSING, IDB Lead Specialist in Urban Development and Housing at IDB. Currently, he is coordinating the implementation of the Cities LAB, a laboratory of Urban Innovation at IDB. Previously, he was an Assistant Professor in the Department of Urban and Regional Planning at the University of Florida. His work is centered on the economic aspects of planning in areas like housing, land use, urban and land economics, and local economic development. He received his Bachelor degree in Economics in 1999 and his Master of Science in Regional Development Planning in 2005 from the Universidad de los Andes in Bogotá. In 2010, he received his doctoral degree in City and Regional Planning from Cornell University. Andres has worked as a researcher and consultant in different projects involving urban planning, economic development, and public policy evaluation for organizations like the Lincoln Institute of Land Policy, the United Nations Development Program, and local and regional governments in Latin America and the United States. He has published his work in renowned journals in the field like Planning Theory, Urban Studies, Transportation Research Board and Housing Policy Debate among others.

Marieke Gottsch DIVISIÓN DE COMPETITIVIDAD E INNOVACIÓN, BID Consultant for the Competitiveness and Innovation Division of the IDB, where she is part of the Innovation Lab team (I-Lab). She oversees the design and implementation of social innovation projects in various sectors using the I-Lab methodology through which citizens themselves define and prioritize their problems, and then connect with those who have the skills, interests and resources to propose solutions. Prior to joining the IDB, she worked at the World Bank and the German Development Cooperation, supporting, among others, the implementation of a new financing instrument based on results as well as the design, management and evaluation of projects in the education sector.

Detailed Program · 19 de septiembre

Tony Garcia STREET PLANS COLLABORATIVE DIRECTOR Tony Garcia is the Director of the Street Plans Collaborative and heads the firm’s office in Miami. Anthony is a nationally recognized architect, writer, speaker and advocate in the field of transit, pedestrian and bicycle infrastructure. Tony is co-author of the world-acclaimed Tactical Urbanism series: Short-Term Action, LongTerm Change vol. 2, and together with Mike Lydon he received the 2017 Seaside Award and co-authored Tactical Urbanism, published by Island Press in March 2015. He won the 2017 CINTAS Foundation Award for Architecture and Design and is co-founder of the Ludlam Trail project, which will result in the addition of more than 50 acres of space for new parks in Miami-Dade County. Tony holds a Bachelor of Architecture and Urban Design from New York University and a Master of Architecture from the University of Miami.

3:30-5:00pm EAFIT University Block 27 Classroom 404 and Block 15 Classroom 2

5:00-6:00pm EAFIT University Block 38 Classroom 110

6:00-8:00pm EAFIT University Terrace Block 29

Work Groups - Cities Lab Workshop Seguridad urbana y participación comunitaria Inclusión social en los barrios- hábitat y vivienda Movilidad urbana y transporte sostenible

Conclusions and Closure for the Cities Lab Workshop Cities Lab Cocktail

Technical Documents

IDB Cities Network

University Industry State Committee (CUEE): A shared vision of the region Ana Lucía Pérez Patiño, Laura Victoria Suescún, Juan Felipe Valencia Vallejo, Secretaría Técnica Comité Universidad Empresa Estado

Technical Documents Âˇ University Industry State Committee (CUEE): A shared vision of the region

Background The Leydesdorff Triple Helix model considers that economic growth and innovation originate to the extent that the scientific, economic and political systems, represented from the spheres of University, Industry and State, create interactive and reciprocal communication systems. (Leydersdoff, 2015) Since the 1950s, the practice of this approach in Latin America was almost nil. Universities focused entirely on their teaching mission and, in a few cases, research. The language of the sciences was remote from the business environment; consequently, scientific-technological developments lacked commercial value and market positioning; as a result, universities contributed little to economic development. For their part, companies, focused on their productive tasks, looked for ways to be more competitive and to support their activities with ever more efficient technologies. Both institutions, each focused on their own concerns, did not have the conditions or tools to share their knowledge and build alliances to generate better development. Moreover, fear of sharing intellectual property was one of the most frequent constraints. Another challenge to be overcome was the conception of university Extension in Latin America at the beginning of the last century. Starting with the student movement in Argentina in 1918, this new mission was taken as the way to link the university with the social environment or context, especially in favor of the most depressed sectors of society. In this context, relations with the private sector were not desired. (TĂźnnermann, C. 1998). This was in contrast to the European ideas of university extension based on association of the university with the private sector for economic growth. (Ortiz, M & Morales, M. 2011) The process of change of view started in the 1980s when an approach linking industry to extension began1 as a consequence of the need for self-financing of Latin American universities and as a source of funding for research oriented to technological development.2 (Ortiz, M. & Morales, M. 2011). 1

The author also identifies another three approaches to university extension in Latin America, namely: altruistic, informative

and awareness-raising. 2

The main criticism is in the mercantilist tendency of this approach to university extension due to fear of losing the achieve-

ments of the social movements and the social sense with which university exte nsion in Latin America was conceived. But as a counter argument, the approach is defended provided it does not lead to radicalization of mercantile ideas, and extension can be taken to industry as a key actor in the social system.

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

University Industry State Committee - Medellin At the start of the 21st century and after almost a decade of strengthening the University Research System, the University of Antioquia (UdeA), from its Technological Management Program attached to the Vice-Rectory of Extension, began a process of convergence between academia and the productive sector as part of the university extension or “Third Mission.” Focusing on all those “[...] activities related to generation, use, application and exploitation of knowledge and other university capabilities outside academic environments.” (Mollas - Gallert et al, 2002). Several significant events in university life brought into being what is now established as the University Industry State Committee (CUEE). In 2001, the First University, Industry, State Meeting was held, under the name “Strategic Alliance for Development,” an event open to all publics in the University of Antioquia Auditorium. The meeting was intended to raise awareness of innovation and exchange of good practices in the area of scientific-technological development. This unprecedented event was very well received by the public and led to the Second Meeting in 2002, which was now a national event under the name “Towards an enterprising and innovative University.” The Third Meeting, mobilized an international audience and was held as part of the University of Antioquia’s bicentenary in 2003, with the theme “Industry, basis of competitiveness in the globalized world.” In parallel with development of the Meetings, some timid efforts began to initiate research and development projects in collaboration with companies, leading to the first patent registrations and the first commercial exploitation licenses, making the University of Antioquia the pioneer institution in transfer of research results and the culture of entrepreneurship and innovation. In 2003 with the results of the Meetings, the Superior Council of the University of Antioquia proposed the idea of presenting to industry leaders the University’s research capabilities concentrated in its new research headquarters, now known as SIU, where the impact of knowledge on social development and improvement of the quality of life of the Community could be seen. With the industry leaders, Manuel Santiago Mejía, Luis Carlos Uribe and Juan Guillermo Jaramillo, who had important convening power, the idea of proposing a meeting emerged, not between academics, but with them and the productive sector under the direction of the university authorities. To give continuity to the meetings and sustainability to the transformations that were being proposed there, some agreements and minimal technical rules were adopted verbally, including: • The committee’s technical Secretariat would be supported from the Technological Management Program of the University of Antioquia. • This informal space of a monthly meeting would take place every month on the first Friday from 7:30 am to 9:00 am. • The CUEE is not a commercial showcase. All reports and presentations to be brief.

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

• People with decision-making power to be convened. • The CUEE advisory board to be formed by business leaders, presidents of some companies in the region; and the President of CUEE would always be from industry. The meetings have been held under these premises for 15 years without interruption.

1.1 Internal constitution of the experience: University Industry State Committees CUEEs are a cooperation mechanism that aims to promote associativity, creativity, entrepreneurship, research and innovation as essential strategies for improving productivity in key sectors of the economy. The Committees are also a longterm process, a beneficial work that requires

The CUEE works to facilitate associativity and the synergy of commitments and knowledge between the three areas and preparation of work agendas to plan actions to improve competitiveness in the regions.

united efforts and commitment by Universities, Industry and the State. The CUEE works to facilitate associativity and the synergy of commitments and knowledge between the three areas and preparation of work agendas to plan actions to improve competitiveness in the regions. The University of Antioquia promotes strengthening the CUEE as a voluntary strategy for network building, dialogue and consensus to stimulate innovation and develop-

ment in the region. The Committee is not a company, or a foundation, or an institution with legal status. Not being a formal organization, it does not depend on government agencies or act in favor of special interests. It does not manage or execute resources, as a result each actor in the ecosystem has a specific role and the CUEE does not compete with them. The dynamics of the Committee are as follows: • Main Plenary: The monthly meeting where the agenda covers topics related to science, technology and innovation and, finally, a discussion space is set off to generate agreements and establish alliances related to the topics covered. This plenary session is moderated by the CUEE President and the agenda presented is programed and approved in advance by the advisory board. Admission to the CUEE is free, without adhesions, without memberships; but priority is given to securing the attendance of representatives of participating institutions, with decision-making power. • Advisory Board: Formed by the steering members of the Committee, responsible for monitoring, presenting progress reports, providing strategic guidelines and work routes, on the higher purpose, and generating the socioeconomic growth of the region based on Science, Technology and Innovation (STI).

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

• Technical Secretariat: Responsible for convening participation of all actors for the meetings; in addition to pre and post network building aimed at stimulating the actions and objectives proposed by the CUEE. Since its creation, the University of Antioquia has led the technical secretariat. • Communications: This component is fundamental for disseminating the agreements and alliances developed from the CUEE and increasing the visibility of the results of successful research and development projects and programs which are evidence of UEE coordination. In the period 2018-2015; in addition to testimonials and evidence, 8 editions of the Revista Universidad Empresa Estado were published with 3,000 copies each, distributed throughout the country.

1.2 Evolution of the experience The need to start considering science, technology and innovation as engines for development of the region led in 2007 entrepreneurs and leaders from Oriente Antioquia to follow the example of what had been done in Valle de Aburrá with the Industry State Committee. The Oriente Antioquia chapter came into being in August that year with the support of the Regionalization Department of the University of Antioquia, Corporación Empresarial del Oriente and 145 entrepreneurs from the subregion. The consolidation of this subregional space was slow, but the University, led by the technical secretariat, coordinated efforts to speed up the process. The first results began to appear: Innovation Business Round Table in 2009, research projects with patent applications, alliances with the textile and agroindustrial sectors, with prospects for others. In 2009, the Ministry of Education requested the University of Antioquia to transfer the experience of the University Industry State Committee to other departments (provinces) of the country. As a result seven other committees were created with Ministry support: Bogotá, Valle del Cauca, Santanderes, Eje Cafetero, Costa Caribe, Tolima-Huila and Nariño-Cauca. However, given that maintaining trust relationships between the actors is not an easy task, to date, only the Antioquia CUEE is operating. In 2016, Santander wanted to reactivate the

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

experience and requested accompaniment from the University of Antioquia to transfer good practices and reactivate its committee, which has been making slow progress. The main achievement during the first decade of the University, Industry, and State Committee has been building a solid relationship of trust in the science, technology and innovation ecosystem of Medellín; and as a result, key milestones for the competitiveness of the city and the department. The most important results of the CUEE in its first 10 years are highlighted below.

TANGIBLE ACHIEVEMENTS • More than 100 meetings without inter-

INTANGIBLE ACHIEVEMENTS • New communication mechanism

ruption were held and replicated in at

between the university and indus-

least nine regions, other than Antioquia.

try: bringing together directors and

All this was achieved despite the lack of

researchers from public and private

a traditional tangible structure, or orga-

universities with entrepreneurs.

nizational chart, or board of directors;

• Associativity: development of collab-

members attend meetings voluntarily

orative R+D+i projects between uni-

on a permanent basis (Morales & Giraldo,

versities and companies; and dialogue

2015).

between public and private univer-

• Social utility of knowledge: contribution to improving the productivity and competitiveness of companies through the results of R&D projects. First university spin offs and first royalty payments for knowledge transfer.

sities: meeting of the group of eight rectors - G8. • Generation of trust and values: respect, inclusion, perseverance, permanence, relevance and example. • Contribution to increased integration

• Creation of institutions and events for

of the agents of the Regional Innova-

the ecosystem: Corporación Tecnnova

tion System, especially between uni-

for marketing university technologies. Entrepreneurship Park for promotion and

versities and companies. • Change of paradigms through a process

incubation of technology-based compa-

of the parties learning to work togeth-

nies. Business Roundtable to make the

er; recognition of the importance of

research capacities of universities visible

quality education and investment in STI

to entrepreneurs.

as basis for moving towards the knowl-

• Replica of the experience in other departments and in regions of Antioquia. • National recognitions.

edge society, with a long-term vision. • New culture of Entrepreneurship in Medellín.

In a study by Silvia Morales and Astrid Galeano in 2015 and taking as reference the ideas of Professor Matilde Luna (2015), it was found that: • The CUEE acts as a knowledge network with a high level of trust among members, with respect to skills and competencies, and with the mutual benefits created by

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

their relationship and the set of norms, beliefs and values they share (Morales, S. & Giraldo, A. 2015, p.151) • This high level of trust facilitates participation, fostering a favorable climate for building new relationships and strengthening old alliances for creation of knowledge-based value. • The role of the university as knowledge translators is fundamental for translating scientific knowledge into tacit knowledge, and so that non-scientific areas can have access and see the potential of creating value from research results; and as intermediary entity that functions as generator of technical and coordination efforts aimed at maintaining strong relations and effective network building. • For decision making, Tecnnova is fundamental. Since CUEE’s interrelations do not have legal status or formal structures for setting up relations. “[the Committee] has had to build a formal structure in which decisions are made and where its members can reach agreement, Tecnnova emerges as a factor of success in this interrelation” (Morales, S. & Giraldo, A. 2015, p.152)

Some recognitions of the UEE Committee The Committee, as a monthly meeting space, was cataloged in 2008 by the City of Medellín Study Center of the Metropolitan Technological Institute - ITM, as “The best social innovation for bringing university, industry and the State closer together in the history of the region and the country”3. In 2007 it received the recognition of the Colombian Center for Public Relations and Organizational Communication - Cecorp, in the category “Social Innovation.” In 2007 the El Colombiano Exemplary Award from the publisher El Colombiano in the category “Science and Technology “; also UNESCO, in the Regional Conference of Higher Education in Cartagena 2008, selected the practice as one of the “61 best practices of 33 countries, classified as excellent” by the international evaluation committee; the Ministry of National Education of Colombia, distinguished the practice, as one of “The best in higher education 2009” and in 2012 the Medellín Mayor conferred the Gonzalo Mejía Medal of Civic Merit, silver category, on the committee for its 10 years of existence.

CUEE 2.0: After 15 years creating trust CUEE 2.0 is the new version of the University Industry State Committee, characterized by working on the foundations created by credibility, trust and coordination. Its main purpose is to generate socioeconomic growth in Antioquia department based on Science, Technology and Innovation (CTI) through the efforts of three (3) working groups: Human Talent Group, Financing Group and 3

Awarded by the ICETEX through the Periodicals Library (Hemeroteca) of the National University of Colombia, Bogotá.

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

The Technical Secretariat continues to be led from the University of Antioquia.

Platform Group. The new version was present-

The members of the advisory board gave up their places to new entrepreneurs, to renew the strategic line of the CUEE.

ed at the plenary session nº 162 on October 6, 2017. The members of the advisory board gave up their places to new entrepreneurs, to renew the strategic line of the CUEE. The new advisory board is chaired by Juan Carlos Mora, President of Grupo Bancolombia.

Human Talent Group Led by Alberto Hoyos Lopera, President of Compañía de Galletas Noel, its purpose is to create an effective job placement model for young people studying technical, technological and professional careers, contributing to closing social gaps between supply from academia and demand from the productive sector.

Financing Group Led by Juan Carlos Mora, President of the CUEE and Grupo Bancolombia, its purpose is to create an integrated and efficient strategy for financing science, technology and innovation in the various development phases of Antioquia department.

Platform Group Led by Juan Carlos Moreno Chamorro, President of the Pintuco company. Its purpose is to create an efficient model of coordination and cooperation between the different entities that make up the science, technology and innovation system.

The new CUEE, in an effort to increase participation by the agents of the ecosystem, has also mobilized the Medellin innovation and business center, Corporación Ruta N. Meetings continue to be on the first Friday of every month from 7:30 to 9:00 a.m. In addition, with the new CUEE 2.0 guidelines, the Government of Antioquia, in alliance with the UdeA, reactivated the past experiences of the regional CUEEs and proposed their expansion to another 5 subregions of the department, to create trust and strengthen relations between universities, industry and the State, with presence in the territories, to set up a CTel (Project for Training in Science, Technology and Innovation) system in each territory.

“The subregional committees identify problems in the territory with the aim of defining specific areas of action through bodies with decision-making capacity. They are committed to the territory, fostering recognition and protection of culture. They have an unbreakable

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

commitment to creating better living conditions for society in general; promoting conservation and efficient use of natural resources and building a better society; through study and proposal of solutions for regional, departmental, national and global problems based on the region’s own vision; coherent with the analysis of the territory from its multiple dimensions and emphasizing interest in creating an equitable, sustained, environmentally responsible, ethical and transparent development for society.” 4 The committees established were: Oriente, Urabá, Bajo Cauca, Norte; through coordination with the Secretariat of Competitiveness and Productivity of the Government of Antioquia and the Regionalization Department of the University of Antioquia. This coordination led to development of the project through a strategy with three components: • Promotion of capacities in science, technology and innovation by means of a training course for managers in CTeI and entrepreneurship to qualify regional actors, facilitating exercises in planning, design and/or adaptation of strategies and actions to promote the competitiveness of the subregion based on strengthening CTeI activities and dynamics and entrepreneurship. • Construction of the strategic guidelines for the work of each CUEE by means of an evaluation to determine the strategic, tactical and operational aspects of their current situation. Also, contribute to defining the strategic bases and objectives for the guidelines. Finally, assist with the operation of the design. • Signing of the “Agreements of Intent for promotion of science, technology and innovation in the framework of the University Industry State Committee.” • And, although not a macro component, formulation and prioritization of indicators based on the work of previous years in the CUEE Medellín

Agreement of intent for promotion of Science, Technology and Innovation in the framework of the University, Industry, and

State Committee, in each of the subregions.

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

Testimonials “In short, it is a gentlemen’s agreement where the word is honored, and where we work together for the good of the region based on generation and application of knowledge.” ALBERTO URIBE CORREA. FORMER RECTOR OF THE UDEA

“With the dynamism, enthusiasm and dedication with which it works, the Committee contributes to opening the way by creating trust to realize the aspiration of all with respect to getting universities to make an effective contribution with their research capacity to improving the competitiveness of companies, contributing to the socioeconomic development of the region, and with it the wellbeing of society.” LUIS CARLOS URIBE JARAMILLO. PRESIDENT CAPIRO S.A. FORMER PRESIDENT CUEE.

“Until now it has been a process of raising the awareness of entrepreneurs and universities. Here we have all learned lessons. The first thing is to bring in industry with contracts but that type of negotiation is very difficult. There are many obstacles to be overcome, each contract is a different story. I know we don’t work as fast as a soccer coach but we are on our way.” MANUEL SANTIAGO MEJÍA. PRESIDENT CORBETA.

“The efforts that UdeA is making in this direction with the University Industry State Committee are of paramount importance and will enable that leadership to be translated into strengthening industry in Antioquia, which will demonstrate the role that universities are playing based on consolidation of research. JAIME RESTREPO CUARTAS. FORMER RECTOR OF THE UDEA.

“The University and private sector cannot be divorced, they were for a long time and we now realize that we need you. We need people to understand the importance of innovation, competitiveness and entrepreneurship.” JUAN F. SALAZAR. MANAGER MASTERDENT. ADVISORY BOARD.

“I’ve seen a proactive activity which links the actors with one another. The CUEE has succeeded in implanting a new culture in the mentality of the institutions, along with the need for execution as the key to all the work.” JOSÉ MANUEL AGUIRRE. DIRECTOR TECHNOLOGICAL PARKS OF MONTERREY

Technical Documents · University Industry State Committee (CUEE): A shared vision of the region

References Cartillas: Fortalecimiento del Sistema de Ciencia, Tecnología e Innovación mediante la relación Universidad, Empresa, Estado en las subregiones del departamento de Antioquia. (2008). Un reconocimiento cultural del emprendimiento, la innovación y la asociatividad. Universidad, Empresa, Estado. Volume 1, Pp.4,7. Jaramillo, Jorge (2008). Publisher. Universidad, Empresa, Estado. Volume 2, Pp.3,5. Leydesdorff, Loet. (2015) Una teoría sociológica de la comunicación: la autoorganización de la sociedad basada en el conocimiento. México. ISBN: 978607-417-343-7. In English: A Sociological Theory of Communication: The SelfOrganization of the Knowledge-Based Society Londoño, Luis Javier. (2012). 10 años, 100 reuniones. Confianza y conocimiento socialmente útil. Universidad, Empresa, Estado. Volumen 8, Pp.11-15. Morales, S. & Giraldo, A. (2015) Análisis de una innovación social: el Comité Universidad Empresa Estado del Departamento de Antioquia (Colombia) y su funcionamiento como mecanismo de interacción. Innovar, 25(56), 141-152. doi: 10.15446/innovar.v25n56.48996. Ortiz, M & Morales, M. (2011). La extensión universitaria en América Latina: concepciones y tendencias. Educ. Educ, 14(2), Pp. 349-366. Tünnermann, C. (1998) La reforma universitaria de Córdoba. Educación Superior y Universidad, 9(1), Pp. 103-127. Uribe, Alberto (2008). Alianza UEE. La confianza es el primer logro y a la vez el primer reto. Universidad, Empresa, Estado. Volumen 1, Pp.10,14.

IDB Cities Network

Citizen security in Latin America and the Caribbean cities Nathalie Alvarado and Robert Muggah

Technical Documents · Citizen security in Latin America and the Caribbean cities

Introduction Crime and violence are a common threat to Latin America and the Caribbean, but their manifestations vary across countries, cities, and neighborhoods. Differences aside, reducing and preventing crime is fundamental to achieving sustainable development in our region. Doing so, beings at the local level. Today´s cities are on the front-line of crime and violence prevention and reduction. Ensuring the safety and security of citizens is one of – some might even say the primary – functions of municipal governments. Owing to their proximity to local neighborhoods, mayors and other city authorities are particularly well located to play a central role in designing, implementing and evaluating strategies to make cities safer and more secure. And while there are obvious benefits to be gained from improving the overall security of cities, they are far from guaranteed. In many parts of the world, including Latin America, there are few incentives and limited capacity for metropolitan authorities, businesses and civic groups to play a more active role. Latin America and the Caribbean is fertile ground for cities to take a more central role in security and safety. After all, it is one of the world´s most urbanized regions. Between 1950 and 2010, the proportion of people living in cities expanded from 30-80%. There are more than 55 cities with populations of one million or more and over 2,000 cities driving the region´s economic growth. Notwithstanding the many benefits the region´s cities have delivered, security is still one of the top concerns of their residents. Not without reason. Latin America features some of the most dangerous urban centers on the planet: 41 of the 50 most murderous cities are located there. Not surprisingly, the region has given rise to a selection of remarkable city-led innovations to promote security and safety. There is no one-size-fits all approach for cities to deliver safety and security. As with most social policies, strategies must be tailored to the specific characteristics of a city. What works in North America and Europe may not necessarily generate similar effects in Latin America. After all, a significant proportion of the region´s urbanization is informal, with lowincome and vulnerable residents pushed to marginal and peripheral areas. Notwithstanding improvements in democratization and development, poverty has urbanized – encompassing roughly 25% of the urban population. Today at least 160 million Latin Americans live in low-income informal settlements lacking title and access to basic services. Deep social and spatial divides in cities are deepening inequality. And it is precisely in these and other neighborhoods that organized crime groups, street gangs, militia and private security entities are substituting for the state, delivering all manner of services. Insecurity results from a multiplicity of factors generally associated with socioeconomic conditions, institutional weakness, and lack of social cohesion. Given this complexity, approaches to reducing urban crime and violence must be intersectoral and interdisciplinary in nature. While crime economists have contributed to understanding the need to address incentives and consequences of committing crimes, public health approaches increasingly

Technical Documents · Citizen security in Latin America and the Caribbean cities

highlight the need to also address risk factors among the most vulnerable populations.1 A growing number of Latin American cities are experimenting with innovative, comprehensive and evidence-based approaches to preventing and reducing crime and violence. The best of these strategies have scaled-up a combination of punitive and preventive measures to positive effect. They frequently entail improved police oversight, strengthened management and intelligence, preventive work with the most vulnerable groups, proactive community outreach and civic participation – including with the private sector, and a strategic engagement with new technologies, including data analytics and machine learning tools. This report considers a number of standout city efforts to improve security and safety. The assessment reveals a number of common recurring preconditions shaping their success. These can be summed up as: strong and sustained mayoral and civic leadership; adequate autonomy and discretion to take decisions and raise financing; a commitment to data-driven and evidence-based strategies; the promotion of holistic and inter-sectoral approaches; and a fostering of integrated measures across multiple layers of government and civil society. This report sets out a case for accelerating Latin American city engagement in safety and security. More importantly, it distills some of the principles and practices that are strongly connected with positive results. The first section issues an overview of trends and patterns of urban security in Latin America and the Caribbean. Section two reviews some of the risks and drivers of urban insecurity. Section three reviews actual experiences of a selection of cities to prevent and reduce crime and violence. Rather than focus on cities that have received considerable attention, it focuses on a host of cities – Aguascalientes, Bogota, Ciudad Juarez, Montevideo, Tegucigalpa, Kingston, Port of Spain and Peñalolén – that may not have generated the same level of attention, but nevertheless generated recognized outcomes. The report concludes with a series of recommendations.

Trends and patterns Latin America and the Caribbean is often regarded as the world´s most violent region. The region features just 9% of the global population but registers 39% of all homicidal violence (Figure 1). Most of the region’s 33 countries and territories feature homicide rates well above the global average. Crime and violence also concentrate in cities, in neighborhoods and even in street segments.2 More than 40 of the 50 most murderous cities in the world are located in the region 2017. Even in cities that are comparatively ‘safe’, including Buenos Aires, Lima or Montevideo, feelings of insecurity are high owing in part to high levels of victimization. This is not entirely surprising given the extent of urbanization: fully 85 per cent of the region’s 1

See IDB (2017).

See BID (2016).

Technical Documents · Citizen security in Latin America and the Caribbean cities

population live in cities.3 And in some of the region’s most rapidly expanding cities—such as Acapulco in Mexico, Caracas in Venezuela, Maceió in Brazil, and San Pedro Sula in Honduras— violence is especially acute. FIGURE 1 GLOBAL DISTRIBUTION OF POPULATION AND HOMICIDE

FIGURE 2 CHANGES IN HOMICIDE RATES BY REGION: 2000-2017

2000

2003

2008

2013

2017

D 17 years

D 15 years

D 10 years

D5 years

Africa

8.4

8.0

-25%

-22%

-11%

-6%

Asia

2.3

1.9

-40%

-35%

-22%

-15%

Europe

2.8

2.4

-68%

-67%

-32%

-14%

Oceania

2.8

2.6

-10%

-23%

-9%

North America

15.7

-3%

Latin American

22.2

21.9

-1%

-3%

-2%

Global estimate

5.1

4.8

-25%

-23%

-9%

-6%

Latin American cities are also worsening tendencies of crime and violence. The proportion of all homicidal violence occurring in Latin America increased from 29% in 2000, to 37% in 2009, and 39% in 2017. The region as a whole has registered more than 2.5 million murders since 2000, roughly 75% of which are firearm-related. The 200 largest cities generate over 65% of regional economic growth. Yet despite being engines of productivity, many large and medium-sized urban centers are experiencing stalling growth after a period

The share of a population living in cities varies. In Argentina, Brazil and Chile between 85-91% of the populations are urban

while in Ecuador, El Salvador, Mexico and Peru the rates vary from 63-76%.

Technical Documents · Citizen security in Latin America and the Caribbean cities

of intense urbanization. With notable exceptions, most cities are not generating sufficient high-productivity jobs to employ expanding labor forces, and informal economic activity is soaring. What is particularly alarming is that violent crime is rising in the region at a time when it is declining in most other parts of the world. What’s more, although access to health and education have generally improved and poverty has gone down, crime and violence remain the same at best and are increasing at worst. The regional murder rate is expected to grow from roughly 22 per 100,000 in 2017 to around 35 per 100,000 by 2030. The prevalence of urban violence is often a predictor of future urban violence. Cities featuring among the highest homicide also in general experienced the highest absolute and relative increases over two past two decades. As illustrated in Figure 5, Mexican and El Salvadoran cities have registered particularly sharp increase in recent years including Los Cabos and La Paz (Baja California Sur) and Soledad de Graciano (San Luis Potosí). Brazil also witnessed sharp increases in homicide rates in coastal cities in the north and east, including in fast-growing municipalities such as Santarem, Viamao and Juazeiro do Norte. FIGURE 5 HIGHEST INCREASE IN HOMICIDE IN LATIN AMERICAN CITIES: 2010 TO 2017

City

2010

2017

Change

Los Cabos (Mexico)

2.72

96.57

97%

Soledad de Graciano Sanchez (Mexico)

1.00

23.63

96%

La Paz (Mexico)

4.57

69.08

93%

Santarém (Brazil)

3.14

29.55

89%

Santiago (Chile)

2.98

25.40

88%

Coatzacoalcos (Mexico)

5.75

31.58

82%

Pachuca de Soto (Mexico)

2.61

13.46

81%

25.83

91.23

72%

Juliaca (Peru)

2.97

10.40

71%

Xalapa (Mexico)

4.68

16.33

71%

Ensenada (Mexico)

9.67

29.33

67%

Salamanca (Mexico)

9.74

29.29

67%

Nicolas Romero (Mexico)

5.93

16.58

64%

Piura (Peru)

4.76

13.30

64%

León (Mexico)

7.89

21.57

63%

Viamão (Brazil)

26.35

70.79

63%

Cajeme (Mexico)

19.08

49.25

61%

Tijuana (Mexico)

Technical Documents · Citizen security in Latin America and the Caribbean cities

Reynosa (Mexico)

13.87

32.07

57%

Victoria (Mexico)

27.57

63.70

57%

Juazeiro do Norte (Brazil)

25.46

58.16

56%

Tlalnepantla de Baz (Mexico)

10.10

23.00

56%

Tlajomulco de Zuñiga (Mexico)

12.12

27.61

56%

Violence in Latin America is hyper-concentrated in urban areas, but also in particular neighborhoods. This is due in large part to rapid (and unregulated) population growth, lack of opportunities and government services, and informal or poorly planned development.4 As a result, zones of exclusion are quickly established segmenting higher-income communities from lower-income ones.5 These spatially segregated areas can inhibit physical and social connectivity with other urban communities. They also frequently feature topographic barriers and an uneven supply of and access to social services. Organized crime groups, gangs and vigilante groups frequently develop alternative mechanisms of social control.6 Different cities inevitably experience different types and intensities of crime and victimization. This heterogeneity is important to acknowledge when considering the design of citizen security interventions. While some cities particularly in South America, are experiencing rises in property crime, such as robberies, others, mostly in Central America and the Caribbean, continue to face higher levels of violent crime and interpersonal violence. Violence in Latin American cities is also frequently sticky. Although patterns of violence and victimization can change over time, they nevertheless tend to concentrate in specific locations. Crime and victimization are concentrated in specific cities and within specific neighborhoods and blocks, or ‘hot spots’.7 In most cities, the largest share of violence occurs on just a few street corners. A recent IDB study of five Latin American cities found that 50% of crimes occurred in 4.5-7% of street segments.8 Needless to say, the cost of criminal violence to Latin American economies is far-reaching, amounting to 3.5% of the region’s GDP, or up to $261 billion a year.9 This is equivalent to the region’s entire spending in infrastructure in any given year. The consequences of unproductive spending on public security and lost productivity associated with premature deaths are dragging back economies that have made real gains since the 1960-80s. High rates of murder are also undermining social capital and social cohesion: there is anunacceptable tolerance for homicide among large swathes of the population. Put simply, investments in public security across Latin America and the Caribbean need to be more efficient and better focused. 4

See IDB (2017).

See Dammert (2007) and Muggah (2015b).

6 7 8 9

See Briceño-León et al. (2008) and Concha-Eastman (2005, 1994) See IDB (2016). Ibid. See IDB (2017c).

Technical Documents · Citizen security in Latin America and the Caribbean cities

In many cases, Latin American governments have responded to crime and victimization by ploughing more and more money into police forces, the judiciary and prisons. According to the IDB study, Latin American governments spent between $44 and $70 billion on public security. Not only is this approach costly, there´s painfully little evidence that it works. While spending on health and education is positively correlated with improved wellbeing and literacy outcomes in most Latin American countries, we have yet to see similar gains in public security and safety.

Risks and drivers Urban crime and violence are multifactorial – a function of multiple risk factors. But with Latin American and Caribbean poverty rates at their lowest level in decades, why is violence so persistent? The precise relationship between poverty and homicide is still a mystery. Yet, in Latin America and the Caribbean, compared to the rest of the world, poverty rates are relatively low, while violence levels are surprisingly high.10 The same is true when comparing homicide rates with Gross Domestic Product, for countries in other world regions, similar GDP levels mean lower homicide rates. In Latin America and the Caribbean, not so.11 The relationship between violent crime and the

The relationship between violent crime and the overall development of a country or city is not linear.

overall development of a country or city is not linear. It has been observed that ‘homicide rates first increase as per capita income rises and then decline at high levels of per capital income’.12 This is because as income grows, the opportunity costs of crime also increase.13 There is also likely an increased demand for security and safety as levels of crime rise, forcing more investment in controlling crime. Another insight is that investments in social and economic development alone cannot necessarily reduce criminal violence. It turns out that the size of the middle class and levels of poverty are not on their own statistical determinants of violence trends. What seems to matter is the speed of development: a 1 per cent increase in the growth rate of GDP correlates with 0.24 fewer homicides per 100,000. This suggests that the speed of growth is a ‘protective factor’, reducing the benefits of crime. Another suspected driver of homicidal violence is inequality, though there continues to debate on the strength of the relationship. Panel surveys often show that the more unequal a setting, the higher the rates of violence. In spite of demonstrated declines in poverty across Latin America, inequality reduction is stagnating. In fact, Latin America exhibits the most unequal distribution of income in the world: including 10 of the top 15 most unequal 10

See IDB (2015)

See IDB (2015).

See Chioda (2017).

See Felson and Clarke (1998) and Gaviria et al. (2010).

Technical Documents · Citizen security in Latin America and the Caribbean cities

countries on the planet. As noted in Figure 6, there is a strong relationship between a city’s Gini inequality and its homicide rate – the higher the Gini score, the higher the homicide rate.

FIGURE 6 HOMICIDE RATES AND INCOME INEQUALITY (GINI) (2017 OR LATEST YEAR)

One key factor that contributes to high homicide rates is persistent youth unemployment. About 13 per cent of Latin America and the Caribbean’s 108 million young people (15‒24) are unemployed. This is three times the rate for adults. Over half of those who actually do work are tied to the informal economy. Taken together, more than 20 million young people are not receiving education, training or employment. Panel surveys have shown that a 1 per cent increase in youth unemployment leads to an additional 0.34 additional homicides per 100,000 people.14 As noted in Figure 7, higher homicide rates are associated with higher proportions of the population who are unemployed. The supposed reason for this is that youth are especially susceptible to predation and criminal behavior, and the benefits of engagement in the criminal market are higher than the formal market. It is important to stress, however, that employment alone may be insufficient to deter involvement in crime. In fact, IDB penitentiary surveys of 5 countries in the region have shown that the majority of people who are imprisoned had a job when they committed the crime. Increasingly research suggests that in matters of crime prevention, the ‘quality’ of labor matters.15

14 15

See Chioda (2017). See IDB 2017.

Technical Documents Âˇ Citizen security in Latin America and the Caribbean cities

FIGURE 7 HOMICIDE RATES AND URBAN UNEMPLOYMENT RATE (%) (2017 OR LATEST YEAR)

Another more explanation for high violence rates in Latin America and the Caribbean relates to the weakness of institutions responsible for security and justice (UNDP, 2013). Weaknesses include low institutional legitimacy and uneven capacity. For example, abusive, corrupt and illegitimate institutions may fuel crime. Meanwhile, low institutional capacity ensures law and order is associated with patronage and impunity. In Latin America, just 20 in every 100 murders results in a conviction: the global rate is 43 in 100. In Brazil, Colombia, Honduras and Venezuela, less than 10% of murders result in a conviction. As a result, peopleâ&#x20AC;&#x2122;s faith in the

Technical Documents · Citizen security in Latin America and the Caribbean cities

policing and criminal justice system has plummeted. In fact, according to Latinobarometro, only 40% of Latin Americans trust the police and 30% the judicial system. Still other major factors shaping systemic impunity is organized crime—especially drug trafficking groups. All Latin American countries are affected to varying degrees, to varying degrees, by criminal organizations, especially drug cartels and gangs that generate hundreds of billions in revenue.

Innovative responses Cities are increasingly where the policy and practice of citizen security are decided. It was not always the case. Nor was this inevitable. But Latin American cities in particular have served as laboratories for innovative approaches to preventing and reducing crime and violence. Cities – and in particular mayors – are assuming an increasingly central role in shaping citizen security. This shift started in the 1990s and 2000s, particularly with cities like Bogota and Montevideo, and often with support from institutions such as the Inter-American Development Bank, among others. Over time, some city experiences acquired more notoriety than others. For example, the interventions launched in Ciudad Juarez, Medellin and Rio de Janeiro have spawned a cottage industry of research. There are many others – such as Aguascalientes and Peñalolen – that received comparatively less attention. These cities introduced a host or revolutionary approaches ranging from problem-oriented policing to urban acupuncture. And why varying in scope and scale, they share a number of common features. Auguascalientes green line urban renewal for crime prevention Aguascalientes, a city of roughly 886,000 residents (in 2017), is one Mexico´s larger metropolitan areas and economic center. Although recognized as one of the country´s wealthier cities with a high quality of life, it is nevertheless dotted with areas of concentrated poverty and rising crime. Inspired by similar innovations in Curitiba16, in 2010 the mayor explored a place-based strategy to recover a degraded areas of the city (then with a population of 804,000). The focus was recovering a neglected 12-kilometer zone with a catchment of roughly 300,000 people. The strategy involved a combination of strengthening urban governance, encouraging public use of space, promoting community participation, and implementing sustainable and multipurpose measures to promote public security and local development. Crucially, the municipal government assumed a lead role in designing and implementing what became known as Linea Verde, in an area that was inaccessible due to the presence of gas pipelines but also rising drug-related violence. The $40 million dollar intervention was 16

The Brazilian city of Curitiba launched a Linha Verde initiative in 2009. It was organized as an urban renewal and public

transport program with some financing from IADB. See http://www.omoradoronline.com.br/index.php?option=com_conten t&view=article&id=78:pinheirinho-carlos-gomes-e-o-primeiro-onibus-do-novo-eixo-de-transporte-linha-verde&catid=7:p olitica&Itemid=5.

Technical Documents · Citizen security in Latin America and the Caribbean cities

divided into a series of smaller parcels in order to more rapidly access funding from federal, state, city and private agencies. For example, the National Federation of Sports provided $10 million for bicycle lanes, running trails, sports parks, and a public

According to the municiplaity, violent assault and robbery have declined by 50% since it was launched.

pool. The Ministry for Communications and Transport granted $7.5 million for La Linea Verde Avenue. The national petroleum company, Pemex, made an in-kind contribution of $1.1 million worth of gas.17 The mayor also created at $400,000 trust fund to continue running the park and programs. The national government covered roughly 80% while just 17% was paid for out of the city budget. The Linea Verde program appears to be delivering results on the citizen security front. According to the municipality, violent assault and robbery have declined by 50% since it was launched. Meanwhile, the Linea Verde increased property values by as much as 20% since the intervention was undertaken. There are also signs that the intervention improved overall quality of life through improvements in services and the greening the urban environment.18 There are signs that the Linea Verde initiative may be replicated elsewhere in Mexico and was recently awarded the Guangzhou International Award for Urban Innovation.19

Montevideo´s problem orienting policing experiment (2016-present) Montevideo, with 1.3 million people, is not typically associated with crime and victimization. Yet faced with raising concerns over street crime, youth violence and domestic abuse, public authorities there launched a series of innovative crime prevention strategies over the years. Many of these have combined both deterrence and community outreach, and a balance between control and prevention. The country has a long history of initiating innovative crime prevention strategies extending back to the 1990s. The latest – an integrated local management program for citizen security (2012 – 2015) and a new problem-oriented policing and community intervention initiative (2016-present) – are particularly interesting. Faced with rising violent crime between 2005-2010, the Montevideo authorities with the support of the IDB initiated the “integrated local management program for citizen security” as a pilot in 2012.20 The focus of the $7 million dollar project21 was on suppressing crime and strengthening social cohesion in three specific neighborhoods (or police precincts) exhibiting high rates of crime. The pilot included 750 police officers trained in improved investigatory and community policing techniques. Funding was also allocated to improving the national police academy´s technological infrastructure, building three police units, and disseminating a new police code of ethics. Alongside measures to strengthen the effectiveness and efficiency of local policing were investments 17 18 19

It also sees value in the project since it protects pipelines with park rangers. See https://policytransfer.metropolis.org/case-studies/the-green-line-social-development-comprehensive-plan. See http://www.guangzhouaward.org/en/index.html.

See http://idbdocs.iadb.org/wsdocs/getdocument.aspx?docnum=36728527.

IADB provided $5 million in support. See https://www.iadb.org/en/project/UR-L1062.

Technical Documents · Citizen security in Latin America and the Caribbean cities

in prevention programs focused primarily on at-risk youth. As part of the pilot, local authorities identified 680 young offenders for particular attention. Specific measures included efforts to improve the quality of the social support networks on the ground, strengthen statistics collection and evaluations of existing activities, improve human resource management through a program for civil servants involved in violence prevention, and support specific strategies around drug dependency to help young people leave the street. Based on the results of the pilot, these efforts were scaled up in April 2016 with support from the IADB´s Integrated Program for Citizen Security.22 At the center of the new $8 million initiative is a problem-oriented policing initiative that is designed to improve operational and strategic policing at the neighborhood level.

The scope of the strategy is impressive and

involves the introduction of operational and human resource reforms24 including the training of some 1,100 police officers in problem-oriented policing (POP). This project is also designed to help support the continual reductions in robberies that have been achieved by a hot spots strategy in Montevideo called el program de alta dedicación operativa (PADO). In particular, there has been a focus in further strengthening crime analysis and investigation techniques through training and advanced software. Alongside the PADO are large-scale investments in reducing youth violence and domestic abuse. Started in 2015 and 2016, the “Pelota al Medio al la Esperanza” program includes a 22

The $6 million IDB loan is for a 25-year term, with 5.5 years of grace, at a LIBOR-based interest rate. It includes an

additional $2 million in local counterpart funds. 23

See IADB (nd) Uruguay Programa Integral de Seguridad Ciudadana.

Technical Documents · Citizen security in Latin America and the Caribbean cities

range of activities designed to promote co-existence and mitigate the risks of crime and violence. These include efforts to encourage school retention, promote employment schemes for former inmates, create safer urban spaces, launch recreational events25, reduce intimate partner violence, and promote micro-level projects in hot spot neighborhoods. The overall goal is to help promote underlying social cohesion and efficacy to diminish the risk of inter-personal and intimate partner victimization. The PADO initiative is already credited with making an impact on reducing violent crime. Indeed, an IDB and the Uruguayan Ministry of the Interior 2017 study found significant initial impacts.26 The IADB examined the period from April 2016 to January 2017. When compared to a similar period in 2015, it registered a 22% decline in robbery in areas where it was deployed. In some areas, robbery dropped by more than 60%. Peñalolen´s comprehensive neighborhood security plan Peñalolen, a mid-sized city of 248,000 nestled in the capital region of Santiago de Chile, has faced comparatively moderate levels of crime and victimization. Yet following a surge in criminality in the early 2000s, calls emerged for a crackdown. Crime control was typically the responsibility of the national police – the Carabineros – and operated autonomously from municipalities. Faced with growing pressure to address the issue, the mayor of Peñalolen launched a citizen security strategy in 2004.27 The so-called Communal Plan for Citizen Security featured a robust normative and institutional mandate and strategy. To be sure, it was developed in such a way that it was aligned with a pre-existing National Policy on Public Security to ensure a high level of coordination between central and local authorities. The Plan also included specific provisions to establish a municipal Directorate for Citizen Security with a high degree of autonomy – to coordinate activities, take decisions, recruit and train a team, and manage a budget. The consolidation of authority and discretion at the municipal level was essential to its overall impact. From the beginning, the focus of the Communal Plan supported local approaches to prevent crime not exclusively through law enforcement, but through a wide array of social, economic and physical measures. Strategies ranged from discrete measures such as community policing, community alarms and smart lighting through to broader environmental design interventions to deter crime and promote social cohesion. The Plan also led to the creation of early crime detection teams, positive parenting programs, activities to anticipate early school drop-out, after-school programs, alternative prison strategies and reinsertion programs.

See http://www.propuesta.com.uy/index.php/sociedad-2/3-sociedad/2438-miles-participaron-en-pelota-al-medio-a-la-

esperanza. 26

See https://publications.iadb.org/handle/11319/8858?locale-attribute=es&.

The country´s constitutional law on municipalities authorizes a high degree of local authorities to support and promote

citizen security measures within their jurisdiction. See http://cesc.uchile.cl/buenaspracticasenprevencion/bbp_docs/12_ plan_integral_barrios_seguros_chile.pdf.

Technical Documents · Citizen security in Latin America and the Caribbean cities

The Plan stressed the importance of focusing

An SOS women initiative that combined panic buttons and emergency response services were also introduced to help address domestic abuse and sexual violence.

activities on hot spots and hot people. Geographically, this meant concentrating measures in five neighborhoods that generated disproportionate levels of crime and victimization in Peñalolen. To promote early warning and deterrence, the mayor introduced a protection system of community alarms reaching some 17,000 households. Meanwhile, social prevention projects focusing on at-risk youth

and former offenders were also simultaneously launched. An SOS women initiative that combined panic buttons and emergency response services were also introduced to help address domestic abuse and sexual violence. At the center of the Plan was a focus on rebuilding social cohesion to restore social efficacy within the hardest hit areas. As such, the Plan stressed the role of promoting community development in areas experiencing above-average rates of crime and engaging citizens in the design, implementation and evaluation of a wide range of measures. What is more, the plan continuously adjusted to meet changing conditions on the ground, including adding in an outreach strategy to address “perceptions” of crime that continued to increase even as real crime rates declined.28 The municipality has also invested in monitoring the outcomes of the Plan. The Directorate tracks official crime data from the police and prosecutors office and conducts period victimization surveys.29 The results are impressive. The introduction of community safety committees and community alarms is correlated with a sharp decline in reported victimization from 2007-2010.30 Reported victimization declined from 33% to 22% and reported violent robberies plummeted from 23.9% to 9.9% from 2011-2014. A holistic approach in Honduras’ Central District and San Pedro Sula In 2011, Honduras was considered the most violent country worldwide, with the world’s highest homicide rate at 86 per 100.000 inhabitants. The country’s structural challenges including macroeconomic shifts, poverty and political instability coupled with the presence of gangs, transnational criminal groups, and complex drug trafficking routes made tackling crime and violence a challenging feat. As is true for other countries, crime, particularly gang violence, was concentrated in Honduran cities, Central District and San Pedro Sula alike. The high levels of violence in turn generated little to no trust in public institutions, with more than 80% of the population reporting zero or little trust in the National Police. 28

See http://www.lariojamunicipal.com.ar/multimedia/archivos/archivos_34579_68128.pdf.

See http://cead.spd.gov.cl/estadisticas-delictuales/.

See http://observatorio.Peñalolen.cl/sites/default/files/documentos/grafico_seguridad_ciudadana_resultados.pdf and

http://www.seguridadpublica.gov.cl/filesapp/13_ENUSC_2012_Peñalolen.pdf.

Technical Documents · Citizen security in Latin America and the Caribbean cities

This situation gave way to Honduras’ National Comprehensive Policy for Coexistence and Citizen Security. This policy’s key starting point to reduce violence in general, and urban violence in particular, was to start by strengthening security and justice institutions. It included a deep reform of its National Police, focused on training and professionalization. Both the IDB and the Swiss Agency for Development and Cooperation (COSUDE) supported a project that helped transform the Honduran Police. Before, a police cadet could enter the police ranks after completing 6 years of basic education, now, s/he is required to complete 12 years of studies. Previously, patrol officers graduated with less than six months of training, now, they need 11 months of training which includes an internship on the field. The police salary was increased by more than 40% and social security benefits, as well as infrastructure and equipment for academic training greatly improved. Likewise, there was greater participation of civil society in the design of security reforms, through the creation of a commission in charge of reforming the Honduras police. This institutional and national level reform was coupled with efforts at the local level. The Policy emphasized the responsibilities of local governments in delivering citizen security. Doing so, often starts by generating better data to understand local criminal dynamics. With IDB and COSUDE support, there was a great advance in the generation and analysis of information to study violence and crime at a micro level. To support local governments in the data collection process, 30 Observatories of Coexistence and Citizen Security were installed and are operating in the municipalities that present the highest rates of crime, including Distrito Central and San Pedro Sula. The information of the observatories is concentrated in a server in the Ministry of Security, and is validated three or four times a week by a committee integrated by the representatives of the primary data sources, such as the public prosecution service, the police department of investigation, the Institute of Forensic Medicine, among others. These analyses have enabled the design of data-driven citizen security programs. For instance, a study that analyzed the association between homicide rates and domestic violence and other variables such as sociodemographic characteristics, an urban index of marginalization, and geographical variables, found that the marginality index, the divorce rate, and the amount of space connectivity are positively associated with homicides in Distrito Central. This kind of information was key for the design of an urban intervention that the Honduras government is about to start implementing with the support of the IDB. The new project seeks to prevent and reduce homicides and domestic violence, the last one being largely an invisible crime that mainly affects women, youth and children. This will be addressed with a comprehensive approach, through the provision of citizen services by various state institutions, programs of violence prevention and the improvement of the urban habitat at the local level. To date, this combination of efforts at the national and local levels has paid off. The homicide rate decreased by 50% in six years, from 86 homicides per 100,000 inhabitants in 2011 to 43 in 2017. Perceptions of security and levels of trust in institutions have also increased. According to the Gallup global survey, the percentage of citizens who claim to feel safe walking in their neighborhoods increased by 11 percentage points from 2015 to 2016, and citizens’ trust in the Police increased from 19% in 2015 to 54% in 2017.

Technical Documents · Citizen security in Latin America and the Caribbean cities

Ciudad Juarez´s total approach to crime control Ciudad Juarez – a sprawling city of 1.3 million - experienced a dramatic surge in criminal violence from 2008-2011. The absolute number of homicides garnered global headlines increasing by more than 700% from 192 (2008) to 1,589 (2009) to 3,766 (2010), reaching a homicide rate of 271 per 100,000. Extreme levels of violent crime effectively shut down the city: an estimated 37,000 businesses closed and a quarter of the population fled across the border to the US and other parts of Mexico. A number of factors shape Ciudad Juarez´s vulnerability to crime and victimization.31 A series of rolling protests from 2008-2009 set the stage for change.32 Conceived by both municipal and federal partners, Todos Somos Juarez was formally launched in 2010. The $400 million initiative drew inspiration from the Medellin experience, bringing in support from civil society and the private sector. The sheer scope and scale of the intervention is unparalleled in Mexico, how-

A goal was to shift the focus of programming away from a narrow reliance on the armed forces and punitive law enforcement to an approach emphasizing social and economic prevention strategies.

ever. More than 160 separate commitments were set out to mitigate risks and promote opportunities to prevent violent crime. These were organized around six core sectors: public security, economic growth, employment, health, education, and social development. The entire program was informed by a diagnosis and led by a multi-stakeholder coordinating team – the mesa de seguridad.33 The program was spread out across dif-

ferent levels of government, the private sector and civil society. This was important. A goal was to shift the focus of programming away from a narrow reliance on the armed forces and punitive law enforcement to an approach emphasizing social and economic prevention strategies. Todo Somos Juarez involved a massive investment in urban renewal schemes – schools, universities, and parks – as well as extending harm reduction, poverty reduction and credit and loan schemes to tens of thousands of families. It deliberately involved specially-created citizen councils to shape priorities, programs and projects. Moreover, federal agencies were 31

The primary trigger was a major conflict between erstwhile business partners – the Sinhaloa and Juaréz cartels – who were

battling over drug routes. They were joined by included literally hundreds of street gangs in the city. Other structural factors also contributed to a comparatively high risk of criminal violence, including high-levels of single-headed households, chronic social disorganization and a weak and compromised police force and criminal justice sector. 32

The state and municipal authorities routinely protested against the national government´s decision to deploy roughly

10,000 soldiers and federal police, some of whom were purportedly connected to criminal activity in the city. Civil society-led marches also rallied public attention within Mexico and around the world. The turning point, however, was the assassination of a group of students in early 2010 and the (reluctant) engagement of the president. 33

The Mesa included officials from all three levels of government; representatives of the security forces including the army,

federal, and municipal police, and the attorney general’s office together with a range of civil society stakeholders. See http:// www.mesadeseguridad.org/

Technical Documents · Citizen security in Latin America and the Caribbean cities

required to work closely with state and municipal counterparts, with weekly reports feeding back to the president´s office. While far from problem-free, Todo Somos Juarez achieved many of its intended outcomes. The homicide rate dropped from 271 to 19 per 100,000 between 2010 and 2015.

There are worthwhile questions about the extent to which Todos Somos Juarez is replicable within Mexico and beyond.

Other metrics of violent crime also plummeted, though these changes were also likely influenced by the (temporary) victory of the Sinaloa cartel over the Juarez cartel. Rates of school performance also increased dramatically, and more people reclaimed the streets that had previously been barren. Even so, criticisms also emerged about incomplete projects, the rushed nature of the intervention, and unmet expectations. There are also concerns that rates of violence have surged anew in recent years, raising questions about the overall impacts of the intervention. There are worthwhile questions about the extent to which Todos Somos Juarez is replicable within Mexico and beyond. The sheer scale and cost of the initiative ensures that it is not readily adaptable to lower- or medium-income settings. Yet the initiative did generate a series of worthwhile lessons, not least the critical emphasis on comprehensive inter-sector strategies, the role of institutional bodies to coordinate multiple layers of government and citizen groups, the value of strong involvement of the private sector, and a persistent emphasis on results. The program has inspired similar “mesas de seguridad” in Mexico as well as possible pilots in Nuevo Laredo and Tamaulipas. Kingston and Port of Spain’s targeted community-based interventions In several Caribbean countries, violent crime rates have increased significantly over the last two decades, while stabilizing or dropping in other parts of the world. Jamaica and Trinidad and Tobago reached some of the highest homicides rates in the world – peaking in Jamaica in 2009 (61.5) and Trinidad and Tobago in 2008 (41.6) – but they have decreased significantly in both countries since that time. In high crime urban areas of both countries, the use and tolerance of violence to exert control and resolve disputes in inter-personal and community relations has become a social norm reinforced by gang presence, family dynamics, and the weakness of legitimate collective entities.34 Long-term exposure to high levels of violence have left lingering distrust, fear and deep fragmentation in targeted communities in both countries. The Citizen Security and Justice Programme (CSJP) in Jamaica and the Citizen Security Programme (CSP) in Trinidad and Tobago, have been implemented35 by the respective Ministries of National Security and partially supported by the IDB. They use similar interventions focused on individual, family and community level risk factors in high crime, predominantly urban, marginalized neighborhoods. Some interventions target certain sub-sets of at-risk groups (e.g. parents for parenting training; youth for vocational training) or the community as a whole (e.g. social marketing activities). Violence interruption programs have been implemented in communities affected by gang confrontations, using a model similar to that 34

See IDB 2017b.

Implementation began in Jamaica in 2001 and is now in phase III since 2015. In Trinidad and Tobago implementation began in 2008 to the

present.

Technical Documents · Citizen security in Latin America and the Caribbean cities

of Cure Violence (Chicago)36. Finally, in Trinidad and Tobago there is an additional component to strengthen police and community relations, while in Jamaica there is a focus on expanding community justice services (legal aid, restorative justice, and mediation). Some of the keys to the success of both programs have included concentrated interventions in specific high-crime neighborhoods, building of a vision, and a shared agenda, around the need for a multi-sectoral approach to violence prevention over an exclusively repressive one, the recognition of local diversity, and therefore the existence of diverse needs in different communities, which has led to an approach offering different actions at the community level, according to local needs. There has also been a focus on community-based crime and violence prevention, aimed at building social cohesion and collective efficacy within these neighborhoods, as well as increased dedication of resources to monitoring and evaluation. Indicators of positive changes in the targeted communities, according to programme reports, suggest there has been progress. In he case of Kingston, the murder rate in the eight parishes in which the CSJP has operated declined 43% compared to 35% nationally, and 44.1% of CSJP community residents responded that crime in their community has decreased in the past five years, compared to only 27.5% of residents from other communities.37 In the case of Port of Spain, murders in the CSP communities dropped by 55%, compared with a national reduction of 26% for the same period. Wounding and shooting in CSP communities dropped by 40% between 2008 and 2013, compared with a national reduction of 12% for the same period.38 Bogota – sustained citizen security During the 1980s and 1990s Bogota, then with roughly 8 million people, was considered a dangerous city. Yet within a decade, the capital´s homicide rate dropped from 80 per 100,000 (1993) to 22 per 100,000 (2004). Today it is closer to 14 per 100,000 (2017). The transformation was not reservedly a function of structural changes in politics, social life or the economy, but also the result of deliberate strategies launched by a succession of mayors. The leadership and determination exhibited by these mayors are key factors explaining the cities rebirth. A focus of mayors throughout the 1990s and 2000s was on building a “civic” culture of self- and mutual respect. While Bogota has witnessed numerous citizen security initiatives, arguably the most innovative period occurred from 1995 to 2003. During these terms approximately $160 million was channeled toward citizen security measures. According to the World Bank, roughly 72% was allocated for police programs and 20% was devoted to so-called co-existence programs and projects. While a sizeable amount, these expenditures represented roughly 2.33% of the city´s budget. Bogota also received a $10 million loan from IDB in 1998-2004 and raised roughly $6 million in local funds as part of this support. 36

Peace Management Initiative (PMI) in Jamaica and Project REASON in Trinidad and Tobago.

Jamaica National Crime Victimization Survey (JNCVS), cited in the Final Evaluation of CSJP II, p. 75.

ANEVER LTD., FINAL REPORT Evaluation of the Citizen Security Programme – Trinidad and Tobago 2008-2014, June 30,

2015.

Technical Documents · Citizen security in Latin America and the Caribbean cities

The “Mission Bogota” program in Bogota was arguably one of the most comprehensive approaches to citizen security ever undertaken in the city. The initiative combined police-led programs, community vigilance, the creation of so-called spaces of order and co-existence programs. Between 1996-2001 roughly 6,600 community councils were created in Bogota to work block-byblock with the metropolitan police. The mayor also recruited almost 4,000 civic guides to regulate citizen activities in areas of traffic, security, waste and community mobilization. These activities were complemented with 12 “safe zones” to intentionally reclaim degraded and dangerous areas. A major focus of Bogota´s mayors was also on strengthening and working with the metropolitan police. In addition to investing in management and training reform and enhancing their investigation capacities, a community policing program was launched in 1999 with support from the Chamber of Commerce. The so-called Plan Cuadrantes program focused on proactive patrolling in hot spots and directly incorporated the community councils, generating a strong buy-in from city residents. Parallel strategies focused on amplifying “family police stations” to address domestic violence, introducing mediation and conciliation units to address everyday community tensions, and the creation of a citizen security and coexistence unit to maintain continuity. Bogota´s continued to renew and reinvent it´s approach to public safety and security. A large scale urban renewal program starting in 2016 in El Bronx, described locally as “the hell in the heart of Bogota”, also involved a major transformation in housing an infrastructure, also generated security dividends – as well as criticism. Another set of innovative measures include the “casas de justicia” that provide legal services to local neighborhood disputes as well as the centros de atención móvil para dorgodependientes (CAMADA) designed to promote harm reduction. Meanwhile, the Homicide Prevention Protocol program – a special hotline to extract would-be victims of lethal violence – has also generated some positive impacts since it was launched in 2017. These are far from the only innovative citizen security measures introduced by cities. For example, the Barrio Seguro program in Santo Domingo (Dominican Republic) is credited with rebuilding trust in crime-affected neighborhoods and reducing murder rates. It has been successfully scaled from 2 to 13 neighborhoods since it was launched. Likewise, the Fico Vico program in Belo Horizonte (Brazil) is also credited with reducing crime rates through focused deterrence and social programs in the hardest hit areas of the municipality. Efforts to improve community policing in Quito (Ecuador), including linking citizens with police through mobile phones, are also credited with improving perceptions of security and reducing crime. Although the examples vary, there are key lessons emerging from successful city-based citizen security programs.

Recommendations Latin American cities have relatively recently started experimenting with urban safety promotion and crime prevention. The rise of citizen security strategies in the 1990s and 2000s, particularly in cities across Colombia and Uruguay, led to a rapid expansion of similar approaches across the region. Most of these early efforts emphasized the importance of effective governance, participation of citizens, and the guarantee of security as a basic right of citizenship.

Technical Documents · Citizen security in Latin America and the Caribbean cities

A recent mapping of citizen security measures detected literally hundreds of new approaches in cities across Latin America and the Caribbean. Just under one third (322) of the roughly 1,100 measures identified were city-level. Both Caribbean and South American cities tended to register a higher proportion of measures than Central America. City-based strategies targeted a range of threats – especially common crime and youth crime, and city-led strategies also focused overwhelmingly on preventive measures often with a strong participatory component to engage communities. More recently, Latin American governments, businesses and civil society groups have started investing in digitally-enabled responses to crime prevention – including harnessing information communication technologies (ICTs). Some approaches are being applied by governments, including intelligence agencies and police, to address crime caused by cartels and organized crime groups. Others are being mobilized by the private sector and civic groups to track street crime and threats to businesses and citizen safety. They range from mobile and Internet-based platforms to collect and share information between public agencies to more decentralized and spontaneous modalities developed and shared between citizens. Latin American states and cities are developing a wide range of data-driven platforms to prevent and reduce crime. The goal is to enhance the technological capacities of police and criminal justice system, improve overall surveillance through cameras and biometric data collection, and increasingly harvest large amounts of unstructured data to predict and prevent crime. The IDB has worked with local governments, particularly in Colombia, through the Ciudata Segura project, to identify ways to ac-

Latin American states and cities are developing a wide range of data-driven platforms to prevent and reduce crime.

cess and leverage Big Data in order to inform and focalize crime prevention strategies. Other examples include Sao Paulo´s Inofcrim system, Minas Gerais´s IGesp, and Rio de Janeiro´s ISPGeo, and Mexico City´s Sala de Valucaion del Desempeno Policial, all of which track crime in real time.

There is also growing evidence of what works and what does not. Until recently, there were few repositories of information cataloguing positive outcomes, particularly applied to Latin America and the Caribbean. Now, there are examples from, for instance, the IDB publication Closing Knowledge Gaps: Toward-Evidence Based Crime Prevention Policies in Latin America and the Caribbean, the Alizana Munipales para la Prevencion de la Violencia en Centro America y la Repbulica Dominicana (AMUPREV) to the Citizen Security Dashboard that includes over 1,300 examples of innovative practices, including at the local scale. Likewise, impact evaluations are becoming more common, including on Central American innovations as well as those in Latin America. Different contexts will necessarily drive different responses. Form always follows function. When it comes to high intensity organized crime, there may be more involvement of fed-

Technical Documents Âˇ Citizen security in Latin America and the Caribbean cities

eral-level institutions and intelligence-led operations. With respect to lower-intensity street crime and domestic violence, the strategies tend to be more balanced, combining deterrence and prevention. Any city strategy must be informed not just by a master plan, but also access to real-time data and analytics to allow for highly granular targeting but also adjustments and course-correction. Across virtually all settings, however, are a common array of risk factors giving rise to crime and victimization. Getting ahead of crime and addressing these risk factors is fundamental. Indeed, in most contexts access and abuse of alcohol is overwhelming correlated with crime and victimization. Likewise, easy availability of firearms and the abundance of drug trafficking networks all exacerbate criminal violence. What is more, sustained exposure to domestic and interpersonal violence is also a factor that influences future violence â&#x20AC;&#x201C; both in terms of victimization and perpetration. City-level strategies must also be selective in their approaches, not least owing to cost concerns, and addressing these risk factors can be cost-effective. Sustained municipal leadership is fundamental to successful public security. The key ingredient to virtually all effective municipally-led citizen security programs is capable, creative and courageous local management, especially the mayorÂ´s office. Its is

Without strong direction and the harnessing of local champions from the private sector and civil society, it is difficult to generate the forward momentum to deliver positive outcomes.

mayors and local governments who best understand their local context and challenges, and who can promote a move towards greater citizen security. Without strong direction and the harnessing of local champions from the private sector and civil society, it is difficult to generate the forward momentum to deliver positive outcomes. Urban crime prevention requires comprehensive, balanced, inter-sector and long-term strategies. Political, social and economic exclusion are strongly correlated with the incidence and duration of crime and victimization. Strategies that carefully map out key risks, communicate priorities, marshal resources from multiple sources and develop coordinated strategies across multiple layers of government, business and civil society are most successful. They also involve a balance between crime control and prevention, requiring coordinated action not just with the police but also from other critical local and national actors. Creative and strategic financing is critical. Generating resources from a variety of sources is critical. A narrow reliance on national and state authorities alone can be risky, particularly given periodic shifts in government. City authorities must identify creative measures to generate sustained financing. This may require breaking programs and projects up into smaller,

Technical Documents Âˇ Citizen security in Latin America and the Caribbean cities

more digestible, parts. It will also almost certainly demand the development of multi-stakeholder arrangements and public-private partnerships to raise capital. Cities are experimenting with blended finances, special municipal taxes, social impact bonds, targeted subsidies and incentives for private investment, among other measures. A vision of crime prevention as well coordinated action is required simultaneously across multiple levels of government and public, private and civil society institutions. Any public security strategy to deliver citizen security needs strong support from national, state, and municipal government leaders as well as representatives of business and civil society organizations. At the same time, strategies also must be aligned with key services â&#x20AC;&#x201C; not just police, criminal justice and prisons providers, but also public health, education, social welfare, and youth services. The demands of maintaining a common vision and agenda are challenging, and require a high degree of coordination, custodianship and communication. Real time data collection and analytics are critical to guiding city-level citizen security. High quality and granular information on crime and victimization prevalence, perceptions of citizens, and underlying social and economic correlates is essential to all aspects of the programming cycle. Without such information, city leaders and their partners cannot adequately design, implement, monitor or evaluate security interventions. The advent of powerful computer processing, machine learning tools and AI mean that the quality of data collection and analysis has improved and the costs have declined. But these tools also generate new challenges: ensuring appropriate and ethical protocols for data collection, storage and retention, and privacy is critical. Engage communities in the design, implementation, evaluation and communication of citizen security strategies. All successful interventions reveal that the process matters. Specifically, the way in which citizens are involved in the design, development, implementation and evaluation of strategies is critical. Affected communities need to feel that they are owners of the process. Citizen security measures that actively canvass public opinion, that involve multiple stakeholders in the preparation of diagnostics and action plans, and that regularly provide evidence of results are likely to outlast those that do not. They are central to building the trust and confidence in public security that is so essential to its achievement. Ensuring that citizen security investments are rigorously monitored and evaluated is essential. Too often, monitoring and evaluation are left to the end of a citizen security process and not the beginning. Alternatively, they are relegated to the bottom of the priority list â&#x20AC;&#x201C; an unnecessary add-on. And yet without proper monitoring and evaluation, it is hard to make basic judgements about the cost-effectiveness of specific interventions. Fortunately, a culture of evidence is beginning to spread in the citizen security sector. Data-driven interventions are increasingly the norm, particularly with the advent of Big Data tools to process public perception as well as real results on the ground. While perfection should never be the enemy of the

Technical Documents Âˇ Citizen security in Latin America and the Caribbean cities

Credit: Colombian National Police. AP Photo, Wiliam Fernando Martiez. May 3rd, 2008, Bogota. Flickr CC.

good, investment in high quality impact evaluation is essential to identify successes and failures, improve course-correction, and make a case for scaling interventions when they show positive results.

Technical Documents · Citizen security in Latin America and the Caribbean cities

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Technical Documents · Citizen security in Latin America and the Caribbean cities

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Llorente, MV anbd Rivas, A. 2004. Case Study Reduction of Crime in Bogota: A Decade of Citizen´s Security Policies. Washington: World Bank, http://siteresources.worldbank.org/EXTLACREGTOPURBDEV/Resources/841042-1219076931513/5301922-1250717140763/Bogota.pdf Llorente, MV, J. Núñez and M. Rubio (2000) “Efectos de los Controles al Consumo de Alcohol y al Porte de Armas de Fuego en la Violencia Homicida”. Investigación “Caracterización de la Violencia Homicida en Bogotá”. Bogotá: Paz Pública-CEDEUNIANDES y Alcaldía de Bogotá. Working Paper No 6. Mimeo. Mejia, D., D. Ortega and K. Ortiz (2014) ‘Un Análisis de la Criminalidad Urbana en Colombia’, Draft Paper for Igarapé Institute, https://igarape.org.br/wp-content/uploads/2015/01/Criminalidad-urbana-en-Colombia-diciembre-2014.pdf (accessed on 20 December, 2016). Mockus, A. (2008) Cultura ciudadana como política pública y la medición de sus avances, Presentation in Foro cultura ciudadana al tablero, https://issuu.com/fundacion-fes/docs/doc1571_200827 (accessed on 1 June 2016).

Technical Documents · Citizen security in Latin America and the Caribbean cities

Mockus, A. (1994) “Anfibios culturales y divorcio entre ley, moral y cultura.” In Revista Análisis Político, 21 (January-April): 37-48. ___ (2001) “Armonizar Ley, Moral y Cultura. Cultura ciudadana, prioridad de gobierno con resultados en prevención y control de violencia en Bogotá, 1995-1997”, http://www.iadb.org/ sds/doc/2104spa.pdf. Muggah, R. 2017. ‘The Rise of Citizen Security in Latin America and the Caribbean’ in Alternative Pathways to Sustainable Development: Lessons from Latin America, International Development Policy series No.9 (Geneva, Boston: Graduate Institute Publications, Brill-Nijhoff). pp. 291-322, https://journals.openedition.org/poldev/2377 Muggah, R. 2017b. ‘How to Fix Latin America´s Homicide Problem’, The Conversation, 28 June, https://theconversation.com/how-to-fix-latin-americas-homicide-problem-79731 (accessed on 1 July 2017). Muggah, R. 2017c. ‘Latin America´s Murder Epidemic’, Foreign Affairs, 22 March, https://www. foreignaffairs.com/articles/central-america-caribbean/2017-03-22/latin-americas-murder-epidemic (accessed on 1 July 2017). Muggah, R. 2016. ‘Latin America´s Fatal Gun Addiction’, Foreign Affairs, 27 May, https://www. foreignaffairs.com/articles/south-america/2016-05-27/latin-americas-fatal-gun-addiction (accessed on 1 July 2016). Muggah, R. 2015a. ‘Fixing Fragile Cities. Solutions for Urban Violence and Poverty’, Foreign Affairs, 15 January, https://www.foreignaffairs.com/articles/africa/2015-01-15/fixing-fragile-cities (accessed on 20 December 2016). Muggah, R. 2015b. ‘Latin America´s Poverty is Down, but Violence is Up. Why?’, Americas Quarterly, 20 October, http://www.americasquarterly.org/content/latin-americas-poverty-down-violence-why (accessed on 1 June 2016). Muggah, R. and Diniz, G. 2013. ‘Digitally Enhanced Violence Prevention in the Americas’, Stability Journal 2 (3), https://www.stabilityjournal.org/articles/10.5334/sta.cq/ Muggah, R., Garzon, J. and M. Suarez. 2018. La “Mano Dura”: Los Costos de la Represion y los Beneficios de la Prevencion para los Jovenes en America Latina. Strategic Article 36, Igarapé Institute, https://igarape.org.br/la-mano-dura/. Muggah, R., Szabo, I, Alvarado, N., Marmolejo, L. and R. Wang. 2016. Making Cities Safer: Citizen Security Innovations from Latin America, IADB and WEF, June, https://publications.iadb.org/

Technical Documents · Citizen security in Latin America and the Caribbean cities

bitstream/handle/11319/7757/Making-Cities-Safer-Citizen-Security-Innovations-from-Latin-America.pdf?sequence=1&isAllowed=y NEC. 2017. Tornando as Cidades Inteligentes mais Seguras: Uma Perspectiva Latino_Americana. Frost and Sullivan and NEC. https://br.nec.com/pt_BR/safety/pdf/wp_safercities.pdf OAS (2011) Informe sobre Seguridad Ciudadana en las Américas 2011. Estadísticas oficiales de Seguridad Ciudadana producidas por los Estados Miembros de la OEA (Washington D.C.: OAS). Otis, J. 2018. “Call Now to Save Your Life: A Colombian Experiment in Homicide Reduction”, Americas Quarterly, 23 July, http://americasquarterly.org/content/homicidereduction-colombia-english. Rubio, M. (2005) La mara, trucha y voraz, violencia juvenil organizada en Centroamérica, Working Paper, (Washington, D.C.: Inter-American Development Bank). Salama, P. (2013) ‘Homicidios, ¿es ineluctable la violencia en América Latina?’, Revista de la Frontera Norte, 25(49), http://www.scielo.org.mx/scielo.php?script=sci_arttext&pid=S0187-73722013000100001 (accessed on 15 December 2016). Soares, R. and J. Naritomi (2010) ‘Understanding High Crime Rates in Latin America. The Role of Social and Policy Factors’, in R. Di Tella, S. Edwards and E. Schargrodsky (eds.) The Economics of Crime: Lessons for and from Latin America, 101 32 (Chicago: University of Chicago Press), http://www.nber.org/chapters/c11831.pdf (accessed on 19 December 2016). Vilalta, C. and R. Muggah (2016) ‘What Explains Criminal Violence in Mexcio City? A Test of Two Theories’, Stability Journal, 5(1), http://www.stabilityjournal.org/articles/10.5334/sta.433/ (accessed on 1 June 2016). DOI : 10.5334/sta.433 Vilalta, C. and R. Muggah (2014) ‘Violent Disorder in Ciudad Juaréz: A Spatial Analysis of Homicide’, Trends in Organized Crime 17(3), pp. 161-180, DOI: 10.1007/s12117-014-9213-0. DOI : 10.1007/s12117-014-9213-0 Villaveces, A., P. Cummings, V. Espitia, Th. Koepsell, B. McKnight, A. Kellermann (2000) “Effect of a ban on carrying firearms on homicide rates in 2 Colombian cities” In Journal of American Medical Association, Vol 283, No. 9, pp. 1205-1209. WOLA. 2011. Tackling Urban Violence in Latin America: Reversing Exclusion through Smart Policing and Social Investment, June, https://www.wola.org/sites/default/files/downloadable/ Citizen%20Security/2011/Tackling_Urban_Violence_in_Latin_America.pdf

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Technical Documents IDB Cities NetworkÂˇ Sustainable, Resilient and Inclusive Mobility

Sustainable, Resilient and Inclusive Mobility Roberto Agosta Editor: Alejandro Taddia

Technical Documents Âˇ Sustainable, Resilient and Inclusive Mobility

Executive Summary Since the rise of environmental awareness in the 1970s, public policy decision-making has been enriched with new concepts, as interpreted by the Sustainable Development Goals for humanity as a whole, along with Habitat III in the field of human settlements, which have been synthesized in the ideas of inclusiveness, resilience and sustainability, the latter as an overall integrating concept. The need for systems to have the capacity to operate over time, satisfactorily meeting the objectives for which they were designed, requires addressing sustainability with a three-dimensional approach: economic and financial, social and environmental, which guarantees a conceptual framework adapted to the present and synthesizes many aspects related to efficiency, inclusion and resilience; moving us away from utopian or economistic positions. City planning and, within it, transport planning is recovered and highlighted by the latest global consensus as an imperative and a fundamental tool for achieving this three-dimensional view of sustainability. Without planning, improvements in transport systems lead to more dispersed, less compact and therefore more inefficient and inequitable cities. The transport planning process should be structured around three fundamental principles: Integrality and Segmentation of the Mobility Market, Integrality and Hierarchization of the Mobility System and the Sustainability Principle. In this context, the need for an integrated consideration of the set of territory - mobility â&#x20AC;&#x201C;transport, and recognition of accessibility as a universal right, summarize the cardinal demands of the present consensus. Planning does not only have value in itself as a decision-making process, but it is also essential that the plans be very clear for conceptualization and for permitting accountability, control and permanent improvement of public policy processes. Likewise, to be effective, planning must permeate from the strategic to the tactical, since this is the level where the everyday decisions that end up shaping the future of transport systems are made. This approach to planning is only possible with a political system that guarantees effective, efficient and transparent governance of our cities and fundamentally with the conviction that sound public policies should not come from imperatives based on compulsion, but from alignment of individual interests with general interests. Finally, an optimistic view, but not for that reason mistaken, is the emergence of smart cities with their concomitant and permanent reduction of costs that makes exponentially more sophisticated technologies increasingly accessible to broader social segments. This technological acceleration has to be the path on which the basic values of this multidimensional sustainability are developed. This work is structured as follows: Chapter 1 presents a general conceptual framework whose main purpose is to define some key concepts. Chapter 2 presents an analysis of 2030 Agenda and its Sustainable Development Goals, and the documents arising from Habitat III, contextualizing them in their key ideas and extracting from them the main concepts important for understanding the problems of urban mobility and transport.

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In the conviction that Transport Planning appropriately dealt with is still the conceptual framework that allows 21st century public decisionmakers to contribute to configuring urban systems and inclusive, resilient and sustainable transport systems, Chapter 3 presents the author’s basic ideas on how the planning process should be structured. Finally, Chapters 4 and 5 offer a synthesis of the principles of resilient and inclusive design of transport systems.

1. Sustainable, Resilient and Inclusive Mobility 1.1. Mobility, Transport and Transport Systems Cities are the product of the advantages offered by proximity between people, that is, low mobility costs, which in this case is synonymous with low transport costs. The accessibility of a location refers to the number of opportunities (other locations) available with a given effort and inevitably relates to the possibilities of mobility, that is, the capacity to travel between different places.1 In its origin urban mobility was based on walking. Early in their evolution, cities began to require transport systems that would amplify human locomotion to meet mobility needs, both in terms of load capacity (allowing transport of higher volumes), as well as speed (allowing longer distances to be covered in acceptable times). Figure 1.1 presents the continuous process that operates in the Urban System whereby Land Uses (localization of activities) generate Mobility Patterns that in turn make up the Transport System that provides Accessibility and determines the existence, nature and location of new land uses.2 Specifically, in the transport system, the fundamental structuring element is infrastructure (pedestrian, vehicular, guided, etc.), which, because it constitutes its most permanent component, is one of the most important structuring elements of the urban space. This is why transport planning is an important chapter of physical, urban or regional planning.

1.2. Inclusive Mobility Social inclusion involves a series of actions aimed at providing all individuals with the same education, labor, political and economic opportunities, allowing them to participate fully in social life, favoring reduction of inequalities and integrally improving their living conditions. Frequently concern about inclusion is focused on people or groups of people that are in situations of deprivation, segregation or marginalization, such as those in extreme poverty or members of particularly stigmatized groups because of their origin (ethnic or religious), gen1

Hanson, Susan. “The Context of Urban Travel” in “The Geography of Urban Transport” Edited by Susan Hanson and Genevive

Giuliano (Editors). Ed. The Guilford Press, New York - London, 2017. 2

Agosta, Roberto.”Transporte y Movilidad Urbana” 2018

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FIGURE 1.1 THE TRANSPORT SYSTEM STRUCTURED AND STRUCTURING OF THE CITY TRANSPORT SYSTEM

Transport Sytem forms FORMS

PROVIDES

Mobility Patterns

Accesibility

GENERATES

DETERMINES

Land Uses

Urban System der, age, physical condition, sexual orientation, etc. The contrast between efficiency and equity was a classic of welfare economics in the 20th century. However, new approaches to the problem allow us to reflect on the relationship between high levels of inequality and all kinds of social problems, including health, violence, crime and poor educational performance; inspiring an important debate about the strictly economic costs of inequality which is likely to have an impact on the future design of public policies.3 Social inclusion therefore means universal access to the education and health system, job opportunities, the possibility of having decent housing, citizen security, access to basic services, participation of women in social life, access to the labor market for young people, and nowadays training and access to the new information and communication technologies. Only by guaranteeing generalized physical accessibility for the entire population is it possible to reach acceptable levels of inclusion in the current view, and this is where urban mobility plays an essential role in the effort to guarantee social inclusion. This is possible only by having transport systems that are inclusive by design which permit access to them by all citizens irrespective of their condition. In particular, if we focus on the analysis of lower income social groups, it is possible to think of a gradation of the attributes of the transport system with reference to its level of service to the population based on the following concepts: 4

Wilkinson, Richard - Pickett, Kate. “The Inner Level: How More Equal Societies Reduce Stress, Restore Sanity and Improve Everyone’s Well-

being” Ed. Kindle Penguin Books. London, 2018 4

Agosta, Roberto. “Pobreza y Transporte en Buenos Aires. Conclusiones del Estudio de Grupos de Foco. “ World Bank, 2000.

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• Physical accessibility: The spatial availability of infrastructure and transport services suitable for transporting people between complementary locations (such as place of residence and jobs, schools, etc.). If it is a mechanical transport mode (bus, rail, etc.), the fact that the stops and/or stations are at an acceptable pedestrian distance affects their evaluation. • Time-related accessibility (hourly coverage): Refers to availability of the service during the times when required, not only for the daily commute to/from work/study, but also for other trips such as for health care, adult education, etc. • Economic accessibility (price and/or cost): Refers to the existence of barriers to use of the system by individuals belonging to the lower income deciles of the population where transport spending is a significant proportion of income. • Reliability / Regularity: Refers to the stability and predictability of the service provided by the system. • Safety and Security: Both physical safety and personal security which guarantee the proper conditions for completion of the journey. • Comfort: Refers to the conditions of habitability of the means of transport and its complementary and transfer facilities, along with the conditions of treatment, public service, etc.5 In a similar way to Abraham Maslow’s representation of human needs, it is possible to rank these attributes (Figure 1.2).6

1.3. Resilient Transport Systems. The meaning of “resilience” was one of the three most consulted words in the dictionary of the Royal Spanish Academy in 2017.7 The term resilience, coming from a Latin word disseminated in all European languages, refers to the capacity of a system subjected to a disturbance to recover its initial state when that has ceased. Transport systems can be affected by multiple disturbances, whether of a socioeconomic nature (deep economic crises, inflationary and/or recessive processes, strikes and other types of social conflicts, changes in locational habits, etc.), technological (technological disruptions), accidents and major incidents, including acts of terrorism and/or cyberterrorism, or environmental (specifically emergencies and catastrophes basically related to the process of climate change). In all cases, a distinction must be made between the transient state during 5

Accessibility (physical, time and economic) and Reliability are the basis of the existence of the service and/or transport

system itself, while Safety and Comfort qualify it. Accessibility would be measured by the average values of variables, while Reliability could be interpreted as a variance. 6

Agosta, Roberto - Ayerza, María D. - Nadal, Pedro I. “Pobreza y Transporte: Encuadre Metodológico y Evidencia Empírica de

Buenos Aires”. XII Latin American Congress on Public and Urban Transport. Buenos Aires, 2003. 7

The other two words were “bizarre” and “procrastinating.”

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FIGURE 1.2 PYRAMID OF TRANSPORT NEEDS

Comfort Safety and Security

Reliability

Affordability

Time-related availability

Geographical accessibility

“Pobreza y Transporte: Encuadre medodológico y evidencia empírica de Buenos Aires” (Agosta-Ayerza-Nadal2003)

the disturbance and the final state of the system once the disturbance has ceased. Of special interest are disturbances caused by accidents, major incidents and environmental incidents. In the first case, the disturbance occurs unpredictably and the relevant problem is to attend those affected in the transitory state, also offering mobility alternatives to users. In the second case, in contrast, the disturbance in a transport system related to a meteorological or climatic phenomenon can be predicted, at least in statistical terms. What is important in this case is the design and recovery capacity of the system itself. Urban centers, especially in developing countries, often have characteristics that exacerbate their vulnerability to the adverse effects of climate change and other natural dangers such as earthquakes, floods and extreme weather events, water and air pollution, diseases transmitted by vectors and rising sea level. The concept of resilience is also associated with a series of other operational concepts such as development of disaster risk reduction strategies and disaster management, regular risk assessments and rational physical planning (urban and territorial) from the environmental point of view.

1.4. Mobility and Sustainable Transport Sustainability is the capacity of a system to remain operating over time adequately meeting the objectives for which it was designed. The use of the term comes from ecology where it refers specifically to the way biological systems remain productive over time by means of processes that require the balance of a species with the resources of its environment.

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This concept has been applied to the human perspective according to the successful definition of the Brundtland Report (1987)8, whereby sustainability consists of satisfying the needs of the current generation without sacrificing the capacity of future generations to meet their own needs. Applied to public policies the concept has been extended to other dimensions in addition to the environmental, such as economic, financial and social sustainability. In this context, environmental sustainability refers to the ability of a public policy to meet the needs of the present generation without compromising the ability of future generations to meet their own needs. In the international framework, Earth Charter (2000)9 presents an extensive and integrated expression of the values and principles related to sustainability. This document is a declaration of global ethics which developed out of a participatory process organized by a civil society entity as part of the United Nations Rio 92 Summit. Specifically with reference to the problem of climate change, the recently signed Paris Agreement (2015)10 will come into force in 2020 after expiration of the Kyoto Protocol. Under the Paris Agreement, 195-member countries of the UNFCCC (United Nations

In this context, environmental sustainability refers to the ability of a public policy to meet the needs of the present generation without compromising the ability of future generations to meet their own needs.

Framework Convention on Climate Change) commit themselves to reducing greenhouse gas emissions with the objective of limiting the increase in global temperature to 1.5ºC. 11 Economic sustainability refers to the ability to generate value and wealth in excess of the quantities consumed. Financial sustainability, in contrast, requires public policies to guarantee adequate flows of funds for their effective execution, either by generation of own funds or by the appropriate legal and institutional arrangements for allocating resources from other sectors and/or economic activities. Social (and political) sustainability requires equitable repayment of costs and enjoyment of the benefits, the existence of a legal framework to guarantee participation and control. The concept of sustainable mobility came into being with the concern for the environmental, economic and social problems caused by the mass expansion, especially in the United States during the second half of the 20th century, of a model of urban mobility based on the private automobile. The drawbacks of this model - especially air pollution, and excessive consumption of

“Brundtland Report: Our Common Future” at http://www.un.org/en/comun/docs/?symbol=A/42/427

“Earth Charter” at http://www.earthcharterinaction.org/invent/images/uploads/echarter_english.pdf

“Paris Agreement” at https://unfccc.int/sites/default/files/spanish_paris_agreement.pdf

With respect to temperature of 1880, when it begins to be recorded globally.

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energy, urban space and peopleâ&#x20AC;&#x2122;s time due to road congestion - have catalyzed the emergence of an increasingly widespread collective will to find alternatives to help alleviate its negative effects and promote urban concepts associated with a new sustainable city model, returning in some cases to urban models typical of industrial cities structured around public transport.

2. Mobility and Transport in Habitat III 2.1. The 2030 Agenda and the Sustainable Development Goals. On September 25, 2015, the United Nations General Assembly adopted Resolution 70/1, known as the 2030 Agenda for Sustainable Development.12 The Agenda contains 17 universally applicable goals, known as Sustainable Development Goals (SDGs), to which 169 Targets are associated. This set of Goals and Targets is intended to guide countries in their efforts to guarantee a sustainable planet in the coming decades. SDGs are the heirs of the Millennium Development Goals (MDGs), although they broaden their scope and aim to address the root causes of poverty, encompassing the three dimensions of sustainable development: economic growth, social inclusion and environmental protection (economic, social and environmental sustainability). The SDGs recognize that initiatives to end poverty have to go hand in hand with strategies that favor economic growth and tackle a range of social needs, such as education, health, social protection and employment opportunities, also promoting the fight against climate change and environmental protection. The aim is for governments to adopt them as their own and establish national frameworks for follow-up and compliance, which creates the need to collect reliable, accessible and timely data.All of them form a backdrop for most public policy decisions, including those related to mobility and transport, however, some in particular, with their targets for 2030, are part of the specific agenda of urban mobility policies. Specifically, several of them are linked to issues closely related to mobility and transport, such as energy efficiency, climate change, inclusiveness, sustainability and resilience. 2.2. Habitat III in context Habitat III is the United Nations Conference on Housing and Sustainable Urban Development held in Quito, Ecuador, from October 17 to 20, 2016, which continued the Conference cycle begun in 1976 (Habitat I, Vancouver) and in 1996 (Habitat II, Istanbul). Habitat III was the first United Nations world summit after adoption of the 2030 Agenda for Sustainable Development and the SDGs, and offered an opportunity to discuss the planning and management of urban settlements of different characteristics with the aim of implementing the new global development and climate change goals. 2.3. Mobility and Transport in the New Urban Agenda Mobility and Transport are some of the key themes of the New Urban Agenda, which in itself is an encouraging sign in that a strong consensus has been built on the importance of these â&#x20AC;&#x160; https://www.un.org/sustainabledevelopment/en/

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issues in meeting the goals of sustainability and efficiency in cities. As mentioned, Habitat III 13

is constructed as a continuation of the Istanbul Declaration on Human Settlements (Habitat

II) which, although it basically deals with the housing problem, contains the conceptual foundations of what was developed in the New Urban Agenda in terms of mobility and transport. The New Urban Agenda of Habitat III sustains, deepens and develops the principles established in the Istanbul Declaration consisting of: • Quito Declaration on Sustainable Cities and Human Settlements for all. • Quito Implementation Plan for the New Urban Agenda. Specifically, the Declaration establishes the following elements of its specific objective vision for urban transport and mobility systems: • Equal access • Planning based on age and gender. • Efficient use of resources. • Facilitation of linkage between people, places, goods, services and economic opportunities. The Implementation Plan also contains some specific commitments for dealing with the problems of mobility and transport related to facilitation of access to the physical environment for disabled people, strengthening mobility and sustainable transport, promotion of planning instruments based on an integrated urban and territorial approach and the smart city approach in general and in particular in relation to innovative transport technologies. For transport and urban mobility systems, the plan has the following characteristics: • Safe, affordable, universally accessible and sustainable. • Its cardinal objective is defined as enabling significant participation by people in the social and economic activities in cities and human settlements. • Developed on the basis of integration of transport and mobility plans in urban and territorial planning which reduce the need to travel and improve connectivity between urban, peri-urban and rural areas. To this end, the plan also promotes the strengthening and development of capacities in subnational and local governments. • Based on a wide range of transport and mobility options. • Prioritization of public transport infrastructure and non-motorized options for the private automobile. • Promote equitable public transit-oriented developments (TODs) which reduce travel and also promote social integration and mixed uses with a combination of housing, jobs and services. 13

“New Urban Agenda, Habitat III” at http://onuhabitat.org.mx/index.php/la-nueva-agenda-urbana-en-espanol

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• Guarantee efficiency in mobility of urban loads. • Promote broader planning concepts to evaluate the benefits of urban transport systems including “impacts on the environment, the economy, social cohesion, quality of life, accessibility, road safety, public health and action on climate change, among other things.” Habitat III in conjunction with the 2030 Agenda for Sustainable Development and the Sustainable Development Goals constitute a universal framework, not only of goals and targets for action, but also a set of generally accepted values and principles which synthesize a large part of the knowledge and current state of the art of the analysis and planning of urban systems and of mobility and transport systems.

3. Sustainable planning of urban mobility 3.1. The forgotten profession of transport planning. It could be said that transport planning came into being as a discipline around the mid-20th century, when conceptual instruments were

The oil crisis and the emergence of environmental awareness led to revitalization of transport systems and required transport planning to incorporate new concepts and methodologies to bring them into the transport planning process.

needed to allow rational and communicable decision making on major public investment decisions, in that period especially concentrated on road infrastructure works. The traditional planning scheme based on the stages of Survey, Diagnosis, Preparation of Alternatives, Evaluation and Implementation applied to the problems of transport systems provided the appropriate mental framework for dealing with this pro-

cess of decision-making and accountability by public policymakers. The oil crisis and the emergence of environmental awareness led to revitalization of public transport systems and required transport planning to incorporate new concepts and methodologies to bring them into the transport planning process. Thus, in the 1970s the theory of discrete choice became operational, providing a general basis for analysis of consumer decisions in transport markets. A precise definition of transport planning could be “to create a concatenation of interrelated decisions that, progressively and through their reciprocal interaction, produce the transformation of the transport-territory system following a course considered as optimal by the community”14. This definition has three fundamental elements: (i) focuses the planning process on the mechanics of decision making, (ii) makes the subject the transport-territory system (not only the Marino de Luca, “Manuale di pianificazione dei transporti”.Ed. FrancoAngeli, Milan, Italy .2010

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transport system), going beyond mere satisfaction of the needs of mobility and shifting the focus towards the territorial problem, the true core of the problems, and (iii) establishes as the objective of the process meeting community objectives (broader concept, although of course less precise than mere economic evaluation). Transport planning requires being able to intervene in the overall system, on both technological and institutional levels, in coordination with the territorial system which is what in the end determines demand. Its general objectives can be set out in terms of allowing mobilization of economic assets and guaranteeing the right of all citizens to personal mobility with environmental, economic, financial and social sustainability, guaranteeing coherence between transport policies and economic, social and urban policies.15 The concepts of New Urbanism, and Urban Transit-Oriented Development (TOD) refer to this sustainable city model which attempts to revert the unsustainability of urban planning based on the individual automobile. The New Urbanism recognizes as precursor the Ahwahnee Principles (1991)16, which later became the Congress for the New Urbanism and the Charter of the New Urbanism (1999) 17. These ideas gave rise in the same decade to the concept of Urban Transit Oriented Development (TOD) defined as creation of vital, habitable and sustainable communities based on pedestrian-oriented compact, walkable design with mixed uses focused on high quality public transport systems, breaking the absolute dependence on the automobile for mobility and survival.18 There is a set of individual and public actions that can constitute gradual progress towards a scenario of sustainable mobility. First, there are the individual attitudes of people who are aware of these problems (walking, using bicycle or public transport instead of private automobiles, sharing automobiles between several people, adopting more efficient conventional or electric vehicles, etc.). Second, we have collective actions adopted privately by companies and organizations which attempt institutionally to induce or favor this type of behavior among their members and eventually influence public policies. Finally, there are actions from public policies that could be grouped into: • Planning and urban design favorable to sustainable mobility. Ranging from local policies, giving priority to an urban design that mixes land uses minimizing the need to travel and length of trips, favoring non-motorized modes, promoting responsible regulation of automobile use, etc.

Agosta, Roberto. “ Transporte y Movilidad Urbana.” 2018

https://www.lgc.org/who-we-are/ahwahnee/principles/

https://www.cnu.org/sites/default/files/cnucharter_english.pdf

http://www.tod.org

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• Fiscal measures and infrastructure policies that favor use of the most efficient and sustainable modes such as public transport, automobile sharing and active mobility (bicycle, walking, etc.). These include rational policies of public transport subsidies which, by guaranteeing the financial sustainability of the systems, recognize the positive external economic effects of use of public mobility. • Fiscal and fare policy measures that favor improvement of existing systems, such as increased efficiency of internal combustion engine systems, electrification, adequate road hierarchization which prioritizes traffic management and pacification without indiscriminate increases in road capacity. A good public policy is characterized by aligning the public interest with individual interests, combining these three levels and encouraging private behaviors that promote “optimal” situations from the point of view of the public interest. The transport planning process needs to be structured around three fundamental principles: Integrality and Segmentation of the Mobility Market, Integrality and Hierarchization of the Mobility System and Principle of Sustainability.19 3.2. Integrality Principle and Mobility Market Segmentation This principle refers to the analysis and consideration of mobility patterns and establishes that an analysis must be made of all the territory that has common demands of mobility and, in turn, all the demands existing in it. Urban areas are multifaceted spaces in which daily pendular trips (usually radial between residential areas and downtown) are not the only ones of interest, although they have a relevant quantitative importance and are responsible for most of the congestion and pollution. An urban area possesses an enormous richness in terms of its mobility needs (trips within residential areas, inside downtown area, between peripheral centers, etc.) and all of them need to be adequately met, both long trips made daily and short trips that can and should be structured through active modes. Other needs have to be added to this geographical diversity. A good transport system must serve effectively and efficiently the mobility needs at all times of the day, all days of the week, for all travel reasons and all possible users. 3.3. Integrality principle and Hierarchization of Mobility System. As counterpart to the integrated and at the same time exhaustive analysis of all mobility demands, the mobility system itself must be analyzed as a whole, without omitting any transport technology, existing or potential, properly distinguishing the features of each one and guaranteeing that they occupy the most appropriate place in the urban system. Each transport technology has its own advantages in terms of speed, capacity, investment Agosta, Roberto. “Transporte y Movilidad Urbana..” 2018

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and operating costs, impact on the environment, etc. and the secret of adequate planning of the transport system is to identify the technology that is most appropriate for meeting the corresponding mobility demands. The transport system has to be structured around the mass modes of higher capacity and commercial speed (railroads, metros, exclusive bus corridors, etc.) which allow efficient mobilization of substantial flows over significant distances; complementary to these, there are the collective modes of intermediate and low capacity (buses, minibuses, trams, etc.) but with greater accessibility by virtue of more frequent stations and stops; and finally the active modes (walking, cycling, etc.), oriented to shorter distances that can and should be strengthened by the application of the urbanistic principles indicated above. Six decades ago, Lewis Mumford synthesized these ideas, arguing that “a good transport system reduces unnecessary transport and offers alternatives of speed and modality adapted to the diversity of human purposes.”20 3.4. Sustainability Principle. It has already been pointed out that sustainability is the capacity of a system to remain operational over time, adequately meeting the objectives for which it has been designed. As we have seen, this concept brings together the traditional concepts of economic, financial, social and environmental feasibility in a conceptual framework adapted to the present and, generalizing, synthesizes many of the aspects related to efficiency, inclusion and resilience. Figure 3.1 presents a traditional scheme of the interaction of these three dimensions of sustainability (economic-financial, social and environmental) in the framework of public policies. Only the convergence of the three dimensions guarantees a genuinely sustainable development. The convergence of only two of the dimensions leads to positions that are utopian (social and environmental), conservationist (economic-financial and environmental) or extreme developmentalist (economic-financial and social). 3.4.a Economic and Financial Sustainability Economic sustainability refers to the capacity of a system to generate economic value higher than amounts consumed. In the case of planning a transport system, its economic sustainability is guaranteed by the use of transport technologies appropriate to the demands that need to be satisfied, in both technical and economic terms (Principles of Integrality and Market Segmentation and of Integrality and System Hierarchization). Financial sustainability however recognizes that for the transport system to be able to continue to meet its objectives not only is it necessary to generate economic value but also to have the financial flows needed for its operation. Economic sustainability is related to the very nature of the systems, while financial sustainability must be guaranteed by the adopted public policies, through multiple tools (fiscal, fares, etc.) which must guarantee the existence and permanence of the fund flows needed for 20

Mumford, Lewis. “The Highway and the City” Ed. Infinito, Buenos Aires. 1958

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FIGURE 3.1 DIMENSIONS OF SUSTAINABILITY

Economic value Consumed vs. Produced

Economic and Financial Sustainability

DEVELOPMENTALISM

Generation and allocation of Fund Flows

CONSERVATIONISM

UTOPIAN ECOLOGISM

Social Sutainability

Environmental Sustainability

Satisfy basic needs of accessibility and mobility,

Satisfy present needs without compromising the

Pareto and distributive optimality, guarantee partici-

possibility of future generations to satisfy them

pation and control

operation of the transport systems. The most direct source of generation of flows are the users themselves, in the case of transport by means of payment of fares and tolls. Although under ideal conditions the complete financing of a transport system by fares and tolls could be considered adequate, in reality it may be advisable for users not to pay the total cost of the services they receive. The reasons for this are fundamentally related to the existence of market failures, in this case the most important are externalities which (by definition) are not reflected in the costs and therefore in the fares for transport services. The existence of externalities (for example, congestion costs that public transport systems can prevent) justifies the introduction of certain levels of general subsidies for all public transport users. Likewise considerations of inclusion and equity can also make it useful to imagine specific subsidies targeted at specific social sectors (retirees and pensioners, disabled, schoolchildren, etc.) pointing to policies for improvement of equity. Any of these schemes requires the corresponding legal and institutional arrangements to permit allocation of resources from other sectors and/or economic activities to the transport system. 3.4.b Social Sustainability Social sustainability (and policy) implies guaranteeing equity in repayment of costs and enjoyment of benefits, as well as providing a legal framework that guarantees participation

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by all citizens. A socially sustainable transport system also requires designs, services and affordable fare levels for all citizens, guaranteeing the enunciated principles of universal accessibility (and mobility). In the case of large public investments, in which there are inevitably winners and losers, disadvantaged sectors and beneficiaries, social sustainability ideally requires implementation of compensation mechanisms to guarantee that there are no losers, essentially developing redistribution mechanisms of part of the winners’ benefits to the disadvantaged. 3.4.c. Environmental Sustainability Environmental sustainability could be defined as the capacity to “meet present needs without compromising the possibility of satisfying the needs of future generations.”21 Transport systems are generators of important environmental effects that can be local (noise, atmospheric pollution, vibrations, visual intrusion, etc.) or global linked to the greenhouse effect, and have a significant impact on energy consumption, especially non-renewable fossil fuels. The exhaustion of the urban model and the mobility model based on the private automobile because of the effects of air pollution, excessive energy consumption, urban space and people’s time, introduced, as an unavoidable element, environmental concerns into urban and transport planning promoting a new city model that aims to be integrally sustainable.

4. Resilient design The resilience of a system is its capacity to maintain or recover its functionality after being subjected to a disturbance, which can also be interpreted as its capacity to adapt to changing environmental conditions. • We have mentioned some of the types of disturbance that can affect transport systems: • Socioeconomic (deep economic crises, inflationary and/or recessive processes, strikes and other social conflicts, terrorism or cyber-terrorism, changes in locational habits, etc.). • Technological (technological disruptions). • Major accidents and incidents (including energy losses or other interruptions in essential services normally available). • Environmental (specifically emergencies and catastrophes basically linked to the climate change process). Conceptually, a resilient design must have the capacity to adapt to different operating scenarios, overcoming the effects of disturbances and making possible implementation of actions to adapt or mitigate them. Resilient design is therefore a “robust” design concept adapted to a

“Brundtland Report: Our Common Future” at http://www.un.org/en/comun/docs/?symbol=A/42/427

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set of possible contingencies. In relation to climate change, resilience involves adapting to the wide range of local and regional impacts that are expected on a planet experiencing sustained global warming. Resilient design is the intentional design of buildings, landscapes, communities and regions in response to these vulnerabilities. The Resilient Design Institute (RDI)22 has developed resilient design concepts based on practical solutions at different levels: specific buildings, housing, communities and regions aiming always to maintain conditions of habitability. It is clear that urban structures that minimize dependence on fossil fuels, providing active mobility options for accessing key services, result in higher levels of resilience. Also, from the point of view of transport planning, regional networks should be developed and/or strengthened which can be used to transport not only people, but also food and other critical needs, which can function in emergency situations. Urban transport systems, especially in large metropolitan areas, should be considered as components of public logistics systems that must be available to operate in a wide range of normal and extreme situations. In transport systems, it is possible to differentiate between institutional and technological plans. The resilience of a transport system covers both areas. In the institutional area: • Resilience is linked to diversity. Institutionally more diverse systems may respond better to interruptions or changes, which makes them inherently more resilient. • Social equity and community ties contribute to resilience by improving outcomes of social behaviors in times of stress or disturbance. • In the use of public transport systems it is possible to develop community education programs to improve understanding of the risks and functioning of buildings and infrastructure in extreme cases. • In the technological area, certain design characteristics are linked to resilience: • Redundancy, which improves the resilience of a system, even when it has to be made compatible with efficiency. • Simplicity, passivity and flexibility result in systems with higher levels of resilience than more delicate complex solutions which require continuous maintenance. Flexible solutions can adapt to changing conditions in both short and long term. In terms of design and construction, it must be borne in mind that it is not possible to achieve absolute levels of resilience, although incremental steps can be taken to create realistic, economically sustainable and feasible solutions in the short term, leaving open options for reaching higher levels of resilience in successive stages. In this respect, the following should be specifically mentioned: • Use of renewable or recycled resources available locally - such as solar and wind energy, collected rainwater and groundwater - provide greater recovery capacity https://www.resilientdesign.org

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than dependence on non-renewable resources or resources from distant locations. • Provision of redundant water supplies or storage of water to be used during emergencies, guaranteeing as far as possible autonomous or manual energy supply for pumping wells and water supply by gravity. • Use of redundant electrical systems with autonomous backup systems. • Specification of materials that do not involve environmental or health risks in case of flood or fire. • Adaptation of the design to a changing climate with higher temperatures, more intense storms, rising sea level, floods, droughts and forest fires, incorporating in the design criteria shorter periods of recurrence and using information on future climatic conditions as much as possible. Use of these criteria may require designing and building (or rebuilding) certain elements of physical infrastructure, such as embankments, sewers, gutters and bridge lights. • Consideration of these extreme climatic events in determining the location of critical facilities and systems. • Consideration of non-climate-related natural disasters, such as earthquakes and solar flares, and catastrophic anthropogenic actions such as terrorism and cyberterrorism, when developing criteria and design standards. • Use of design strategies that respect and protect the natural environment on the conceptual basis that natural systems have evolved to achieve resilience, making it possible to improve the resilience of our systems by trusting in and applying lessons from nature. An example could be use of natural structures to control erosion. • Creation of social bonding with the systems by guaranteeing quality design and construction with the aim of favoring acceptance by the community and hence their care and maintenance, all of which create better conditions for their resilience. • Provision of resilience centers in public transport systems, understanding as such, certain community facilities that can be used as meeting places during emergencies and interruptions of basic services, equipping them with robust access to key services, including water and electricity, which could be integrated into schools and other existing community facilities.

5. Inclusive Design 5.1. Inclusion of economically disadvantaged sectors and peripheral locations. As mentioned, economically disadvantaged sectors require effective and affordable public transport systems that guarantee access to a range of local opportunities. Understanding the needs and expectations of these sectors helps to generate appropriate policies which include them in the social dynamic. A first aspect to be noted is that conceptually measures that favor individual private transport benefit users with greater economic possibilities, generally to the detriment of public transport systems.

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The predominant use of the automobile has its correlate in the urban model of dispersion, spurred by sectors of diverse socioeconomic levels. In higher income sectors, this model is linked to closed neighborhoods (heavily dependent on automobiles), while in lower income communities the link is to low land prices in areas with very low levels of accessibility because of lack of infrastructure and deficiencies in public transport services, to which these social sectors are captive and which generally involve long trips with inadequate mobility options. The first measures to be adopted should focus, then, on reducing the urban sprawl problem from its appearance. However, this long-

The first measures to be adopted should focus, then, on reducing the urban sprawl problem from its appearance.

term goal requires actions in the short and medium term in consolidated suburbanized areas. Fare tables could be used, albeit imperfectly, to generate a cross subsidy between users of long trips and low purchasing power,

and users of short trips with greater purchasing power residing in areas closer to downtown. Moreover, electronic payment systems not only permit administration and accounting of fares more efficiently (for example allowing adoption of dynamic discounts), but also contribute to so-called digital inclusion by applying specific subsidies much more targeted to lower income sectors, allowing discounts for combinations of trips (fundamental in the case of long trips). Finally, the existence of “microtransport”-oriented solutions should not be ignored. These tend to alleviate the problems of specific communities where it is not possible to have efficient public transport systems due to lack of scale. An example could be use of minibuses on internal routes through neighborhoods where access by larger buses is difficult, offering combination services with main lines to reduce the need for walking. Technological advances allow this type of service to operate adapted to demand, reducing operating costs. 5.2. Inclusion of people with reduced mobility. Sectors with reduced mobility can be included through a package of direct measures designed to create an accessible environment for all citizens, including those with different types of functional diversity. Eliminating accessibility barriers in transport includes, but cannot be limited to, building of ramps on sidewalks for wheelchairs and supervising drivers’ respect for them. It is necessary to guarantee fully pedestrian access routes, correctly designed with generous width free of obstacles, properly marked and maintained, with intelligently facilitated transfers (seamless travel), with frequent stops and stations in high density areas to maximize accessibility to public transport systems. In this group of people, particular attention has to be paid to the needs of the elderly who naturally make up an increasing proportion of the population, and are encountering more limitations to driving automobiles or do not have them, and often do not have access to modes of individual public transport (taxis, hire car, etc.) which means they are captives of public transport. All this leads to deep reflection on the need not to design for economic reasons public transport systems with widely spaced stops and stations that necessarily require long walks

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and complex transfers to sectors of the population with mobility difficulties such as those indicated. 5.3 Inclusion from the gender perspective Gender relations have been determined by the expectations that each society and each culture assign to each gender. These relationships are penetrated by power dynamics and are rooted in more or less institutionalized spheres of action. The hierarchization of the masculine over the feminine has made certain practices natural which ignored other gender demands and which we now consider obsolete. In the case of mobility, transport systems tend to favor movement patterns that have traditionally been typically masculine, structured around working hours and radial movements. The responsibilities that are culturally assigned to women, such as childcare or housework, have frequently been ignored at the time of planning, creating greater inequity in access to opportunities. In general, women use collective modes more than men (68% vs. 45% in Santiago, 52% vs. 48% in Buenos Aires and 31% vs. 23% in Montevideo)23, so their mobility patterns need to be given special consideration in their planning and design. Although the traditional allocation of tasks by gender is in a process of evolution and change, most domestic tasks still fall to women. These tasks, such as caring for children, daily shopping, education and health, generate shorter and “chained” trips compared to pendular trips produced by fixed working hours. This type of travel is often not correctly accounted for in mobility surveys, including them in other categories (shopping, recreation, etc.) and generally taking place outside peak hours when public transport frequencies tend to be lower. In addition, many of these trips require the same pedestrian facilities as those provided for people with mobility problems (baby carriages, shopping, etc.) so they depend on the designs mentioned above.

The responsibilities that are culturally assigned to women, such as childcare or housework, have frequently been ignored at the time of planning, creating greater inequity in access to opportunities.

Even women who work fixed hours tend to prefer jobs closer to home, even though this means lower income, usually due to the need to adapt all the other tasks to planning travel. It is also important to consider the situations of abuse and discrimination which many women suffer in the public space and as public transport users. These problems must be addressed in a way that ensures access to transport and all opportunities, without jeopardizing passenger safety. Various cities and governments have adopted measures with different degrees of effectiveness. For example, the case of NitBus Barcelona, which allows women and children in general to leave the bus outside the stipulated stations (without modifying the route), reduc23

“The reason for the relationship between gender and transport“ https://publications.iadb.org/bitstream/

handle/11319/7441/El-porque-de-la-relacion-entre-genero-y-transporte. PDF

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ing walking distances. Creating an overall safer environment (lighting, waiting areas in places as busy as possible, police presence) contributes not only to combatting abuses, but also provides greater security for all users, especially at night. It is also advisable to hold awareness campaigns on how to act in situations of abuse, providing for example a direct telephone help line for these cases. 5.4. Road safety as a problem of social inclusion. Lack of road safety is another problem that negatively affects inclusion in mobility. An environment that favors private vehicles, encouraging higher traffic speeds and giving them priority at intersections, is aggressive for pedestrian and cyclist mobility, especially affecting the most vulnerable sectors. The bibliography considers that in the event of an accident with a moving vehicle at speeds below 30 km/h, more than 90% of pedestrians are likely to survive. This number falls to less than 20% when the speed increases to 50 km/h. In Latin America, according to a 2013 report24, the percentage of pedestrian victims was 25.2%, and 5.0% for cyclists. In the Autonomous City of Buenos Aires, in 2012, pedestrians accounted for the highest number of road accident victims. It is also essential to have statistical information on accidents: coordination between government agencies and correct recording of accident conditions will help identify intersections or points with a high number of accidents. With this information, work must be done on interventions to improve road safety for the most affected actors by redesigning, if necessary, the widths of sidewalks, the number and width of traffic lanes and, in general, signage and horizontal demarcation. For pedestrians, beneficial intervention means, among other things, reducing the speed of automobiles, and traffic management that improves safety at intersections, traffic lights focused on pedestrians (considering the time needed to cross the street on foot, and not vehicular speed), channeling of turnings in avenues, pedestrian stopping areas between lanes (crossings longer than 9 m are not recommended without stopping areas) or coexistence zones, where speed is limited and pedestrians are given priority on the road, even when there are sidewalks. It is very common for vehicle traffic standards to be used as indicators for street design, something that does not reflect the reality of the urban environment. The street is the public space of the cities par excellence, and should be designed according to that idea, not focused on private vehicle use. A street that favors pedestrians also fosters the economic activity of the surrounding area. Lastly, existing traffic laws, which penalize motorists who do not respect the safety conditions established for circulation, must be rigorously enforced.

“Advances in Road Safety in Latin America and the Caribbean” (IDB, 2013) https://publications.iadb.org/

handle/11319/3685

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CASE STUDIES

Metrobús Buenos Aires, Argentina Metrobús de Buenos Aires is a network of exclusive bus lanes implemented by the City Government in 2011. The system is currently 62 km long with 172 stations. From a rather peripheral first line, the system was replicated in several corridors of the city and is currently being implemented in other places in the metropolitan area. Unlike BRT systems implemented in other cities in Latin America, Metrobús does not have differentiated trunk or feeder lines, payment in stations, or coordinated frequencies, but functions as a system of exclusive bus lanes on which several existing bus lines operate along a segment of their routes, cutting travel times by up to 50% in some sections. The physical design of the system has incorporated substantial improvements to the quality of the traditional standards of Buenos Aires. Vehicles are fitted with floor-level platforms, fixed signs, ramps, decks and seats, although separation between stops is in many cases excessive, especially considering the need to guarantee inclusion of people with reduced mobility. In a situation with a very organized and established bus system, Metrobús made it possible to significantly improve operating conditions without making institutional changes. These institutional changes are precisely one of the greatest added values of traditional BRT systems in Latin America, which in general have formalized and improved the efficiency of systems that were extremely disorganized and inefficient. The system has been very well received by users, even though it lacks the advantages of traditional BRT systems which can coordinate the routes and times of arrival of lines; in this case these are stipulated internally by each company. In addition, the regrouping of lines onto the exclusive lane corridors led to the Buenos Aires public system losing part of the prevalence that has always characterized it. The companies providing the service have also been net beneficiaries of the system due to the substantial improvement of commercial speed in the corridors. The challenge of reformulating the subsidy system to contribute to the financing of the new infrastructure is still pending in this case.

Technical Documents · Sustainable, Resilient and Inclusive Mobility

Nitbus Barcelona, Spain Urban mobility patterns at night have a series of differences from those during the day which suggest the need to adapt

Urban mobility patterns at night have a series of differences from those during the day which suggest the need to better meet its objective.

the transport system to better meet its objective. At these times, the volume of passengers is not only lower but the typical passenger has other needs: in general, the trips are to return home or which originate in tourist or recreational areas. In addition, some of the public transport systems (especially metros and urban railways) tend not to provide service, so many of the benefits of intermodality are lost. This is why many networks, which during the day are adequate to meet demand, become inefficient at night, with erratic frequencies, low occupancy and lack of coordination between arrivals. Moreover personal safety takes on greater importance at these times, it being essential to have adequate lighting, information and coordination between the different services and, as far as possible, stops in frequented areas with commercial or work activity. It is also necessary to inform passengers about arrival times, and to attempt to coordinate arrival of buses of different lines to facilitate transfers and reduce waiting time. To deal with this problem, the city of Barcelona has introduced NitBus, a night bus service, similar to those implemented in other European cities, operating independently of the daytime transport system. NitBus has 17 lines (compared to the 215 regular service lines) which connect the entire city with routes different from the daytime network. All have a stop in Plaza Cataluña, so users can connect with any other line by making a single transfer. It is very important that the service has a unique image and is differentiated from the regular service; this has created a very specific and positive identity among users. On the gender perspective, a pilot test was launched, which consisted of allowing women and minors to request intermediate stops between those officially stipulated (always on the line route) to reduce walking times and the possibility of suffering abuse or aggression.

Mi Teleférico La Paz, Bolivia Mi Teleférico (My Cableway) is a system of public transport lines via air cabins installed in the cities of La Paz and El Alto in 2014, starting with 10km divided into three lines. Now in 2018 the system has a total of 22.9 km on 7 lines, with 4 additional stages in project and construction to total 33.8 km. Worldwide, it is the only case of a cable car used as the organizing element of the transport system, since traditionally they are a secondary and little used option.

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The network focused on connecting the peripheral areas of El Alto with La Paz, since the only public transport options that existed were low capacity minibuses, some informal, and long travel times due to the complicated geographical situation of the area, with high slopes crossed by narrow streets and sharp bends. The congestion created serious problems of pollution, noise and fuel consumption (subsidized in the country). Between January and August 2017, the system transported 24 million passengers, against 18.7 million in the same period of 2016. The existing network has a capacity of 22,000 pax/hour/ direction with a travel time between 10 and 18 minutes. The cabins, with capacity for 10 seated passengers, leave every 12 seconds, running a total of 17 hours per day. According to an IDB study in 2015, the system succeeded in reducing travel times by 22% although, because its fare levels are double the conventional minibus alternative, poorer social groups often choose to continue using the traditional systems and are excluded from its benefits.

Metro Quito, Ecuador In 2012, the Public Passenger Transport Metropolitan System was established in the city of Quito, Ecuador as the regulatory entity of the BRT, feeder routes, and the future metro. The BRT system is divided into three trunk routes (Central Trolleybus, Oriental EcovĂa and Occidental) with a total length of 83.8 km and 124 stations. On these trunk routes, several internal circuits are organized according to demand. There are express circuits (with no intermediate stops) during peak hours, targeted to the needs of students and workers. One of these lines (Trolleybus) works with 100% electric articulated buses, while the other routes use articulated buses but with diesel traction. The feeder services are operated by traditional buses. The greatest challenges facing the system are associated with lack of coordination between trunk and feeder routes, improvement of information for users on arrivals and combinations and implementation of an electronic integrated payment system that facilitates transfers and reduces the need to use coins. This system will be complemented with the opening of the Quito Metro, planned for 2019, with a first line of 22km and 15 stations. The metro line will run through the city in an east-west direction, which until now has been mostly served by the BRT system feeder lines.

BRT and Livable City Curitiba, Brazil Despite the many years since beginning its development, the urban mobility model adopted in

Technical Documents · Sustainable, Resilient and Inclusive Mobility

the city of Curitiba must be recognized and highlighted as a model for development of public mobility policies. The system was the outcome of the Curitiba Master Plan, formulated in 1965. Curitiba was notable among other cities in Brazil at the time as the first to focus on public transport rather than on private automobiles, in a context where cities like Sao Paulo began to suffer the consequences of excessive vehicular traffic, establishing strict land use measures to encourage and complement this development. Among other things, the Plan proposed closure of the historic downtown to private vehicles focusing on pedestrian use, established densification around five structural corridors, compared to the traditional radial designs of the time which favored dispersion and low density (sprawl) with pendular travel connecting the center with low density peripheral areas. The corridors were structured around “trinary streets”: a central corridor with two exclusive bus lanes, supplemented by two one-way lanes to access premises and sidewalks. Parallel to these lanes, one block away, one-way corridors originally focused on private transport were located (currently used by “express” buses). Between the central corridor and the parallels, incentives were offered for building mixed-use properties (giving benefits for installation of shops on the first two floors), which in practice guarantees trips in both directions avoiding circulation of empty buses or a load predominantly in one direction. Growing demand in the corridors led to implementation of direct lines, with no intermediate stops, circulating in the peripheral lanes, realizing that simply increasing the capacity of the central lanes would not be sufficient. The BRT system infrastructure is efficient and offers similar benefits to a metro: closed stations with payment on the platform, quick entry to the units, arrival and route information, ample transfer terminals adapted to peak demand, and regular, articulated and biarticulated buses with capacity for 105, 170 and 270 passengers respectively. Two thirds of trips are made on the system, and it is estimated that annual fuel consumption was reduced by 25% for the entire city (compared to Brazilian cities of similar size) and the number of trips in private vehicles by 27 million. Curitiba is also an extraordinary model of cultural, social and recreational amenities that, even today, more than half a century after its conception, continues to inspire the planning processes of our cities.

Public Transit-Oriented Development Rosslyn, Virginia, United States The case of Rosslyn, in the Washington DC Metropolitan Area, is a successful example of modifying the urban structure of a locality with the arrival of a mass transit system. In 1962 construction of a future station was announced by Metrorail, the Washington metro system, which was finally inaugurated in 1977. At that time the city had enormous office towers, but a notable absence of life on public streets, following the trend of progressive deterioration of almost all downtown areas of US cities at that

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time: empty sidewalks, few stores and few public spaces for meeting and relaxation. The city was not satisfied with this path that led inexorably to a less attractive and less livable city, so it was decided to reconsider its urban structure to take advantage of the arrival of mass transport, mainly in terms of the balance of commercial, residential and office areas. In 1994, the Rosslyn Station Area Plan was adopted, with the aim of transforming the city by adopting Public Transit-Oriented Development (TOD) guidelines, based on growth of the city during the last 30 years and the way in which Metrorail was changing travel dynamics. The city began by renovating and adapting the area within three blocks of the station, encouraging pedestrian use of sidewalks, increasing the space dedicated to retail trade and a series of micro-improvements to make the walk more attractive. Improvements were also made to the access to the bus system and its interconnection with the subway through a transfer station. The plan was an extraordinary example which has been successfully replicated throughout Arlington County and other urban areas in the United States which can inspire public policy action in metropolises around the world.

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Improvement of neighborhoods and housing in LAC toward greater inclusion Por: Pablo Allard Editor: Veronica Adler

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

Introduction This work is part of the preparation for the annual meeting of mayors of the IDB Cities Network and the Inclusive Cities Seminar: “Learning from Medellin” to be held from September 17 to 19 in Medellin, Colombia. The document synthetically reviews the general evolution of the cities of Latin America and the Caribbean (LAC), assessing the main problems and the challenges they face in relation to improvement of neighborhoods and housing. Five cases are presented of intervention experiences of instruments and schemes, and strategies aimed at improving neighborhoods and housing in LAC with a subnational approach. Priority was given to experiences that have proven to be effective examples in inter-jurisdictional and inter-sectorial coordination in subnational contexts in LAC, with a view to illustrating the process that led up to them, their structure, operation and results. Finally, the main challenges, key findings and main recommendations looking to the future are set out, with the aim of possible replication or adaptation of these strategies to other LAC cities. In conclusion, we find that the design and implementation of neighborhood and housing improvement plans in LAC depends on: • Political will and commitment to medium and long-term continuity. • Acting on a multi-sectorial basis on the structural causes of informality and inequity. • Implementing basic infrastructure as a necessary condition, prioritizing public space over private units. • Taking into account participation and community contributions at all stages. • Considering from the start Community Development, Environment and the Gender Perspective. • Ensuring conditions of security, resilience and physical integration with the formal city To respond to the main challenges of Governance and Coordination the recommendations are: • Adapt and implement taking into consideration the circumstances of each location. • Grant maximum competences and guarantee resources from national to local government. • Improve coordination between public, NGOs and private agents. • Regularly evaluate scope and impact with common and transparent indicators. • Expand successful plans at regional or national level. • Among the opportunities and issues emerging, the following should be mentioned: • Emergence of new qualitative needs, more than quantitative. • Perseverance and sophistication of pre-existing anti-systemic behaviors. • Technological transformation will permit incorporation of circular and collaborative economies in implementation of solutions and services. • New tools are needed to prevent the increase of substandard housing and slums.

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Context Unlike other countries of the global south, the nations of Latin America and the Caribbean (LAC) have urbanization rates close to those of developed countries. Some countries such as Chile already have about 88% of their population living in cities, with regular access to basic services with broad coverage (INE, 2017). The mass migrations from agricultural areas to cities in LAC took place in the second half of the 20th century, mainly driven by the search for job opportunities, guerrilla activity, drug trafficking or natural disasters, which means the urban population will tend to level out in the coming years, and new migration dynamics will be more between cities, or even countries. In this context, the real challenge of Latin American and Caribbean cities comes from the side of recognizing, regularizing and formalizing the “informal” city that for half a century expanded on the peripheries or interstices of big cities, embodied in the so-called “barrios” “favelas” “ranchos” “campamentos” or “villas miseria” - names that change according to their origin. According to ECLAC (ECLAC, 2018), in 2017, 21% of the urban population of LAC - one in five people living in urban areas - lived in informal settlements. This situation affects more than 100 million people who still live in precarious conditions on land they do not own, with no access to infrastructure and basic services, and in some cases in areas of risk of natural disasters, which aggravates the dynamics of segregation, exclusion and poverty of these families. The informality resulting from poverty and limitations on access to credit, together with lack of effective housing policies and of control of illegal land takeovers, natural disasters and real estate speculation were the main factors responsible for this informal city of the 20th century. Moreover, the irregular or illegal nature of many of these settlements means that they are not recognized in Territorial Planning Instruments, as a result in many cities their demands and needs for services and infrastructure are underestimated or ignored. According to the TECHO NGO, in Argentina in 2016, 98% do not have regular access to the sewage network, one of the most serious problems of in-

This situation affects more than 100 million people who still live in precarious conditions on land they do not own, with no access to infrastructure and basic services, and in some cases in areas of risk of natural disasters, which aggravates the dynamics of segregation, exclusion and poverty of these families.

equity due to its health consequences. In Chile the number of families living in settlements or campamentos increased from 27,378 families in 2011 to 40,541 in 2017. In Paraguay in 2016, 50.9% lived more than five kilometers from a hospital with inpatient services, and other difficulties; in Guatemala in the same year 69% were in informal work; in Costa Rica, according to 2014 figures, 61.7% did not have access to drinking water; and in Nicaragua in 2015, 9 of every 10 settlements were in or near risk areas (TECHO, 2018).

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

In addition, the political fragmentation of large cities in LAC - which in cases such as Santiago, Sao Paulo or Buenos Aires reaches more than thirty municipalities in a single metropolis - has increased the dynamics of exclusion and socio-spatial segregation. Thousands of homes and businesses in settlements located in these municipalities, despite having decades of existence, do not pay property taxes because of their irregular status, which overloads the service delivery capacities of municipalities and local governments that lack the resources to meet their growing demands for infrastructure, services, health, education and amenities, exacerbating the dynamics of exclusion. This territorial inequity in a city or metropolitan area is not only present in the capacity to deliver basic services, but also in other aspects such as security, tree planting and urban amenities, making the problem more evident and tangible. In the third quarter of the 20th century, LAC governments developed multiple programs focused on eradication of informal settlements and their relocation into mass housing projects, either built directly or financed by the State. These programs were later joined by initiatives focused on provision of land and services, through self-construction. Both models required land available at low cost, which led to displacement of thousands of families to the peripheries, breaking the networks of opportunities which had been available to them. These policies succeeded in dealing with the quantitative deficit, but did not stop the pressure or the number of families that still lived in informal campamentos or neighborhoods. Given the magnitude of the phenomenon, only a few countries in LAC now have policies for access to home ownership capable of reversing decades of informal or illegal urbanization, and there are probably few that still aim to definitively eliminate informal neighborhoods and reach “zero deficit” housing in the coming decades. In the 1980s and 1990s a change of paradigm took place, some cities and countries in LAC, along with multilateral organizations and NGOs, began to deal with the problem from an integrated and integral perspective, attacking the absence of urban structure by “formalizing” the informal city, providing the infrastructure and deficient services, and recognizing the values present in communities that had gradually become consolidated, and even prospering as the countries developed and increased their income. “As a result of the experience gained through these programs, a consensus has developed that strategies based on settling populations in areas they already occupy is the most socially and economically desirable solution. This new consensus leads to implementation of several program modalities, ranging from programs restricted to regularization of irregularly occupied properties, to integrated programs for neighborhood improvement in their widest conception” (Brakarz et al, 2002). With the change of paradigm, this labyrinthine, chaotic, multicolored city we see perched on the hills of Rio, Caracas, Medellin or expanded in the peripheries of Buenos Aires or Montevideo, as well as in the rural environments of intermediate cities, and which presents serious deficiencies in infrastructure, roads, public space and equipment, is now being transformed, regularized and integrated into the formal city with notable examples and exercises of recovery and renewal, with high levels of participation and commitment by the communities. It is not only a formal or aesthetic renovation, but the complete restructuring of the economic base of these increasingly prosperous, organized communities, providing the elements need-

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ed for better integration of the inhabitants into the urban environment, greater social cohesion and a higher quality of life. The path of these experiences has been long and complex but it is already yielding remarkable results. The tendency began in the 1990s with the “Favela Bairro” Program in Rio de Janeiro, where the municipality, after formally recognizing the favelas’ existence in the 1992 City Master Plan, decided to “build all the infrastructure and facilities for public services needed to transform the favelas into formal neighborhoods of the city” (Andreatta, 2007). That is, intervene in the favelas to provide accessibility, paving streets, building sewers, plazas and quality community spaces, covering 608 areas integrally, setting off a total renovation of the environment. On this basis a strategy of physical-urban intervention was formulated, with the idea that formal integration, that is, normalization of the space, would favor social integration, the process of full citizenship for its inhabitants. The main focus of Favela Bairro was to urbanize and recognize the informal city as expressed in its objectives: “complement (or build) the main urban structure (sanitation and democratization of access) and provide the necessary environmental conditions so that the favela can be considered a neighborhood of the city.” The goals include: “make use of the collective effort already undertaken, of the constructions and services already installed; minimum resettlement; adhesion of residents to the program; introduction of the urban values of the formal city as a sign of its identification as a neighborhood: streets / plazas / infrastructure / Public Services” (PCRJ, 1994). To make the Favela-Bairro program viable, the City Government received two loans (in 1995 and in 2000) from the Inter-American Development Bank (IDB) for a total of 360 million dollars, with 240 million dollars as municipal counterpart, resulting in 600 million dollars to allocate to the program. As the public space was formalized, it became more secure, more dignified, less subject to vandalism and finally the inhabitants invested in their properties which incidentally were recognized as such. Favela Bairro in its first stage covered more than 1,000 hectares of marginal favelas incorporated into the formal city, with urbanization programs, amenities and social integration. Totaling more than 105 medium-sized favelas; that is, between 500 and 2,500 families, representing some 400,000 people or 40 percent of the city’s entire favela population (Cavallieri, 2007). In the almost thirty years since the start of the program, the Rio de Janeiro City Government has persevered with implementation of the program, expanding it to aspects of citizen participation, social programs complementary to physical intervention and infrastructure, generation of jobs and income, increased school enrolment, computer centers, cultural programs, community radios, care for children and people at social risk, and even implementation of “Centers of Urban and Social Guidance” POUSOS in the communities. The POUSOS are functioning offices for managing and designing projects which advise residents on the importance of the preservation of the installed public spaces and amenities, as well as on regularization of their buildings and providing homes with addresses and zip codes. More than 30 POUSOS are now serving 60 favelas with over 60,000 homes covered. The success of “Favela Bairro” opened the way for similar processes in other cities. In the case of Caracas, the CAMEBA program with projects such as “Communal House” or “Vertical

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

Gymnasiums” focused on building strategic sports and community amenities to compete for space and win young people from criminal organizations and drug cartels, and in passing promote the Chavista-Bolivarian political project. The intensity of uses and emblematic nature of these interventions triggered a process of identification and sense of ownership by the community which has strengthened their support and solidarity networks, as well as their loyalty to the Maduro regime despite growing political and economic difficulties. Following the examples already mentioned, probably the most striking and remarkable case is that experienced by the Colombian city of Medellin with its transport infrastructure strategy and “social urbanism” initiated with the “Integral Program for Improvement of Subnormal neighborhoods of Medellin” PRIMED and later consolidated with “ Integral Urban Projects” PUIS which coordinate neighborhood improvement with a broad process of urban planning. In this case, the city, once dominated by drug cartels, has little by little been recovering quality of life and bringing opportunities to its peripheries by a strategy that combines an innovative public transport system with an exercise of “urban acupuncture.” Faced with the impossibility of building avenues and streets that would bring buses to the neighborhoods perched on the hills, the municipality opted to build “Metrocable,” an ingenious network of cable cars interconnected with the city Metro which not only bring people closer at the heart of their neighborhoods, but also combine social services and first-class amenities at each stop, including the award-winning León de Grief and Parque España libraries, true palaces of popular culture, which bring opportunities closer and make up for the urban debt owed these communities. This strategy has been consolidated over the last few years with the incorporation of other programs covering schools, sports facilities, and the Vida Activa UVA and CAI Periférico units. During the 1990s, other LAC countries adopted similar initiatives, such as the Neighborhood Improvement Program, PROMEBA and Rosario Habitat in Argentina or the Housing Improvement Program in Paraguay. Poverty and informality are still great challenges for Latin American cities, but these examples open the way to rediscovering that “other” city, previously rejected or stigmatized because of its complexity and problems. Based on these initial experiences, at the beginning of this century, several LAC national and subnational governments initiated formal programs to improve neighborhoods and housing, in what would be a new generation which, two decades after their inception, are well worth evaluating and contextualizing. As an example, initiatives such as Favela-Bairro, which originated with the Rio de Janeiro local government in 2002, with the arrival in government of “Lula” da Silva in Brazil, and creation of the Ministry of Cities, proposed a series of reforms in the housing sector, leading in 2007 to the start of the “Growth Acceleration Program” PAC, incorporating regularization, sanitation and infrastructure of favelas as priority investment projects at national level. “In the PAC-Favelas, integral and integrated urbanization was adopted as an intervention model financed by federal funds through transfer of resources to States and municipalities” (Magalhães & Rossbach, 2017). In this respect, whether it is expansion of sub-national programs to national level, or continuity and deepening of existing programs, such as the case of Medellin, all are evidence of the consolidation of neighborhood and hous-

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ing improvement models in LAC towards greater inclusion. And these experiences are now enriched by creation of new programs such as the Network of “Centers of Inclusion and Development of Opportunities” NIDO of the City of Buenos Aires, “Real Neighborhoods” (Barrios de Verdad) in La Paz or the “Neighborhood Improvement Program” of Uruguay, among others. It is envisioned that, as the programs progress, these neighborhoods will gradually be integrated and regularized into the formal city; once this happens, new challenges will have to be faced, such as evaluating the costs of investment in infrastructure to mitigate risks and natural disasters, given that many of these communities are located in areas at risk of landslides, floods, or are near landfills and areas of sanitary or environmental risk. This challenge also presents a great opportunity for this pending investment in infrastructure to be based on criteria of adaptability to climate change, risk reduction and promotion of more resilient communities. Other key challenges will come from the side of Urban Planning and establishment of Rules and Regulations - with their proper enforcement - after these neighborhoods become a formal part of the city. This will require capacities and institutions adapted to this new urban reality, along with development of instruments to guarantee the quality of life of the communities, protect their

Other key challenges will come from the side of Urban Planning and establishment of Rules and Regulations - with their proper enforcement - after these neighborhoods become a formal part of the city.

identity, prevent real estate speculation and even gentrification. At all events, we are witnessing an urban and social fabric of great richness, which awakens from within and which, without doubt, as it continues to advance and consolidate, will serve as an example for the difficult times that the cities of the rest of the emerging world will face.

2. Case Studies (Innovative Answers) This section describes a series of initiatives developed over the last 10 years which deepen or innovate improvement of neighborhoods and housing in LAC towards greater inclusion. As a general criterion of selection, the case studies are initiatives created and executed within the existing administrative structures in the cities. In other words, initiatives that have addressed the need to build capacity and/or governance in order to plan, design, coordinate and implement multi-sectoral neighborhood and housing improvement plans, projects and programs at subnational level. As supplementary selection criteria, the cases also consider: (i) tangible achievements and progress at local level, (ii) Public, Private and Mixed Financing channels, (iii) presence of diversity in territorial scale and structure of the area of action (whether multi and single-tier municipal areas).

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

To enrich the sample and determine specific lessons and challenges, the cases were organized according to the nature of the origin of the initiative. In this respect, three types of initiatives are defined from which the cases will be developed: • Public-Private Partnership: Initiatives arising from coordination of public and private actors based on agreements of voluntary and complementary participation around common interests independent of particular positions. This typology of Public Private Partnership, although it involves a municipally-owned company, is represented by the initiative of the UVAs or “Unidades de Vida Activa” (Integrated Community Centers): around the city’s drinking water tanks, developed by Empresas Públicas de Medellín EPM. • Initiatives of central origin and local implementation: These initiatives, although they emerge and are financed from sectorial resources of national or state scale, are implemented at local level with high levels of participation by the beneficiary communities. This typology is represented by the “Quiero mi Barrio” (I love my neighborhood) program, developed by the Ministry of Housing and Urban Development of Chile, MINVU; and the “Neighborhood Improvement Program” of the Ministry of Housing, Territorial Planning and Environment of Uruguay, MVOTMA. • Local Leadership Condition: Defines initiatives resulting from the capacity of an authority, leader or relevant actor in the local or metropolitan governance structure which capitalize on an opportunity to promote change, a strategy that is then replicated on a national scale. This typology is represented by the experiences of the “Barrios y Comunidades de Verdad” (Real Neighborhoods and Communities) Program of the La Paz Municipal Government, Bolivia; and the Network of Centers of Inclusion and Development of Opportunities NIDO, spaces for citizen participation, education and training for residents in the southern area of the City of Buenos Aires.

CASE STUDY

Program: Integrated Community Centers (UVAs), Empresas Públicas de Medellín, EPA and EDU As part of the continuum of neighborhood and housing improvement interventions developed in Medellin since the 1990s by the city’s Urban Development Company EDU, it is important to highlight the role played recently by the collaboration between planning agencies and public service companies. This collaboration goes beyond the mere provision and coverage of basic services and aims to create shared value between infrastructure and social needs. This is the case of Empresas Públicas de Medellín, known as EPM Group, which owns and operates the municipal public companies of transport (Metro and Metrocable), electricity distribution, gas,

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telecommunications, drinking water and sewerage. It is a publicly-owned municipal company but which operates with private company standards. The advantage is that a large part of EPM’s profits, around $450 million dollars, are reinvested in projects to improve neighborhoods, schools, the metro and parks, among others. In this context, 10 years ago EPM, in conjunction with the EDU, developed the Integrated Community Centers – UVAs plan: A new way of living with the territory.” Taking advantage of underutilized public infrastructure such as drinking water tanks located in the higher sectors of the city, which had been surrounded by informal settlements and were fenced in for their supposed protection. These residual spaces, between the fence and the tanks, appeared as opportunities for creating not only public space, but also for promoting citizen encounters, designing and installing sports, cultural and community facilities in them. All these initiatives are backed by citizen participation, under the slogan “Remove the fence to get together” (EPM, 2015). UVAs are built hand in hand with the people of the community, who in participatory spaces imagine the UVA, key input for their design, propose its name, build the coexistence agreements and set up the participation committee, which disseminates project information, channels community concerns and takes an active part in the project. As a result, each project undertaken in the first phase of this initiative, in the period 2013-2015, was implemented in participation with the community, responding to their needs for urban amenities and development. Thus, the design of each of UVA responds to the results of the imagining workshops and the architectural possibilities defined for

UVAs are built hand in hand with the people of the community, who in participatory spaces imagine the UVA, key input for their design, propose its name, build the coexistence agreements and set up the participation commitee, which disseminates project information, channels community concerns and takes an active part in the project.

the EPM and municipal programs in each sector. These workshops are meetings between social and technical officials with the residents of the area. In them, people give free rein to their ideas, share and make proposals so that the work reflects the needs of the community and their conception of their neighborhood environment. This is the initial step to a sense of owning the UVAs. Later, on receiving the designs, each community accompanies the project, while EPM and the local government keep them informed of progress. The various programs that UVAs consider include: mini-plazas for events, multiuse rooms, outdoor theater, water plazas (mirrors and jets), terrace viewpoints, footpaths, children’s games, spaces for older adults, Internet rooms, service and washing centers, public bathrooms and EPM Spaces. The program, launched in 2014, covered implementation of 20 UVAs, with an estimated investment of more than $250 billion Colombian pesos (US$83 million). In the first year

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

of operation, the first two UVAs authorized received more than 269,000 visitors. Between 2014, when the first UVA was delivered until December 31, 2016 12 UVAs were completed - 10 UVAs in operation in the EPM tanks in Medellin, plus two in the Metropolitan Area - benefiting 2,039,883 people with various programs operated by the EPM Foundation. The EPM Foundation maintains a rich cultural, recreational and academic program in the UVAs operated by EPM, which includes, according to the needs of the area’s inhabitants, workshops on creativity, theater, oral narration, computing, promotion of reading, supplementary days of schooling, environmental support and care; in addition to presentations of storytelling, concerts, gatherings and film screenings on weekends. These activities have their conceptual basis in 4Cs: “Crear, Comunicar, Compartir y Cuidar” (Create, Communicate, Share and Care) which aim to build the UVA Community together. According to EPM data, as of February 2017, $182 billion Colombian pesos (US$61.2 million) had been invested in the 10 UVAs administered by EPM. In 2014 and 2016 these UVAs were visited by more than 2,100,000 people, almost equivalent to the entire population of Medellin. Of this aggregate figure, as of January 2017 1,516,898 people had attended the various cultural events, far exceeding the 2014 figure of 139,715 people. With respect to courses, from 2014 to January 2017, the number of people enrolled in training courses grew from 13,148 to 90,712, and 432,273 people used the ICT computer rooms (digital education) compared to 49,456 visits in 2014. (EPM, 2017). In April 2015, the Master Plan UVA Projects tanks of the EPM Group received the Global Holcim Award. One of the keys to the success of UVA is the quality of its facilities, good management of their maintenance and, above all, the rich and diverse program of activities available in them. The maintenance cost of each structure is assumed by EPM through its foundation, at a cost of 6 billion pesos annually (US$2 million). It is possible to meet this cost because EPM has the status of a public company, and a constitutional mandate to reinvest a large part of its profits in social programs. A case similar to that of Medellin is the Empresa Pública Metropolitana de Agua Potable y Saneamiento EPMAPS-AGUA (Metropolitan Drinking Water and Sanitation Public Company) of Quito, which in 2001, with the objective of eliminating the risks of natural and environmental disasters, and integrating the Machángara, Monjas, San Pedro and Guayllabama rivers into the urban grid, set up “Corporación Municipal Vida Para Quito,” (Life for Quito Municipal Corporation) which has led to construction and management of parks and community and environmental facilities resulting in improvements in the surrounding neighborhoods. The replicability of this type of initiative in other LAC cities is relative, since in many cases the utility companies have been privatized. Even though some of these companies are willing to collaborate with this type of project, the fact that their services are regulated means they often face legal obstacles difficult to overcome when opening part of their concession and operating areas to uses and activities not directly related to the business or service provided by the company.

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CASE 2:

“I Love my Neighborhood “ Program of the Ministry of Housing and Urban Development MINVU Chile. In 2006, the Ministry of Housing and Urban Development (MINVU) of Chile opened a new line of intervention with the Neighborhood Recovery Program “I Love my Neighborhood” (Quiero Mi Barrio) to deal with the qualitative deficit and deterioration of neighborhoods, by recovering public spaces, facilities and strengthening the social fabric. The program, which began working in a total of 200 neighborhoods with characteristics of social vulnerability and physical deterioration, has now diversified towards different types of neighborhoods, such as vulnerable segregated, social condominium and heritage neighborhoods. The guiding principles of the program are based on: (i) Integrality (confluence of phys-

The program, which began working in a total of 200 neighborhoods with characteristics of social vulnerability and physical deterioration, has now diversified towards different types of neighborhoods.

ical and social intervention), (ii) Participation (active and informed involvement by the community in management of the project), (iii) Interscalarity (considering special characteristics and complexities of each neighborhood and its territory), and (iv) Sustainability (commitment of residents, municipality and social organizations to promote the use, sense of ownership, care and maintenance of public spaces). The methodology of the program includes execution of a Works Management Plan PGO (physical works that generate transformations in the neighborhood’s social and spatial dynamics), a Social Management Plan PGS (Projects to strengthen local social organizations, participation, sense of ownership and use of collective space and coexistence among residents), as well as an Inter-Sectorial Strategy (which supplements and strengthens the Master Plan with resources, management or referral of problems to other sectorial agencies), and a Communications strategy (to inform the community and the public about the progress of the process). The program is implemented jointly by three key actors: Ministry of Housing and Urban Planning, through its Regional Ministerial Secretariats SEREMI (leads, administers and coordinates the program in each region), Housing and Urbanization Service SERVIU (regional executing unit of MINVU); citizens, represented in Neighborhood Development Councils CVDs (official counterpart of the program, acting on behalf of the neighborhood in all its diversity); and local government, through the municipalities (institutional counterpart at local level, ensuring and guiding execution in line with its communal development plan, also acting as executor). The program is financed from the Chilean State Budget Law. Each neighborhood has a base budget for implementation for a period of 3 to 4 years, which is used to finance physical works and social management plans. The investment amounts vary from US$840,000 to US$4.5 million depending on the size and complexity of the neighborhood. Other sectorial resources are also incorporated, such as subsidies for home improvement and paving of local roads and,

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

in some cases, with works of public space or larger-scale urban parks. In addition, for each neighborhood, resources are procured from other sectors that collaborate in the integral recovery of the neighborhood. The “I Love My Neighborhood” program has 3 Phases: Phase I: Preparation of the Neighborhood Contract and Master Plan (based on a Neighborhood Diagnosis, formation of the Neighborhood Development Council, development of the Master Plan, which is the basis for selection of a trust work and signing of a Neighborhood Contract). The Master Plan is based on a shared diagnosis. The Plan is implemented from three cross-cutting elements: environment (ecology of the landscape, green areas, mobility, waste and energy efficiency); security (universal accessibility, situational prevention, disaster risk prevention); and identity and heritage (shared urban image, socio-spatial identity, and natural, urban and intangible heritage). Phase I culminates with the signing of a Neighborhood Contract - by the residents represented in the Neighborhood Development Council, the Mayor and the MINVU - and includes the works prioritized by residents as part of the Master Plan, in line with a specific budget. Phase II: Based on the commitments defined in the Neighborhood Contract which include a Works Management Plan (PGO) and a Social Management Plan (PGS); the works and social projects are executed in 24 months. The correct execution of the Plan depends on the capacity for co-management and collaboration between all the actors, as well as the concurrence of other public services and institutional actors which can contribute from the inter-sectorial strategy. Phase III: Closure of the Process and Neighborhood Contract: monitoring and evaluating the outcome of the intervention, so that, if the commitments established in the Neighborhood Contract are met, the project can be ended and a “Future Agenda for the Neighborhood” defined, understood as a plan of actions and projects for a sustainable long-term recovery process. In 2016, 520 neighborhoods were benefiting over one million people in 126 communes in the 15 regions of Chile. As of September 2016, a total of 3,342 works in public spaces and infrastructure were in existence, contracted over 10 years of management effort, divided into 34% green areas, 11% circulation, 30% equipment, 23% complementary works and 2% Integral projects (MINVU-MVOTMA, 2016) On the impact of the initiative, the MINVU has carried out a series of qualitative studies. The main one was based on surveys conducted during Phase I and at the end of Phase III to measure the degree of neighborhood satisfaction achieved. In the case of plazas and parks, the percentage increase in positive perception was 43%, a figure linked to the number of projects executed in that line. The condition of places for sports and of children’s games increased 36.2% and 39.1%, respectively, after the intervention of the program, and most importantly, there was an increase in the positive perception of security in play spaces. All aspects associ-

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ated with trust and networking improve after implementation of the Program, and satisfaction with the beauty of the neighborhood increases by 20%. The experience of the “I Love my Neighborhood” program is a milestone since it recovers the experience of improving neighborhoods for intervening in the formal city. Along with the strength that can be seen in social community management, the challenge is to build alliances with other organizations. Especially, the role of the Municipality which is central to the sustainability of neighborhood recovery and development of a future agenda. Finally, it is important to give maximum support to strengthening neighborhood organizations. A program of this nature can only be sustainable over time if it has succeeded in laying strong foundations, creating in residents the deep conviction that making and maintaining improvements in their neighborhoods is up to them.

CASE 3:

“Neighborhood Improvement Program” of the Ministry of Housing, Territorial Planning and Environment of Uruguay, MVOTMA The Ministry of Housing, Territorial Planning and Environment of Uruguay has been working on territorial interventions in irregular settlements since 1999, the year when the “Irregular Settlements Program Integration PIAI” began. The first PIAI was constituted with an initial IDB Loan Agreement for US$100 million. In December 2008, the PMB I Neighborhood Improvement Program was created with a second IDB Loan Agreement, and since 2006 with financing shared between the IDB and the National Housing and Urban Development Fund. This credit line grants the country a maximum amount of US$300 million over a period of 15 years, to be authorized in Individual Operations. In February 2014, PMB II was initiated, consisting of a new US$70 million loan tranche from the IDB and a local counterpart of US$30 million. The objective of PMB II is to contribute to improving the quality of life of residents in irregular settlements and precarious urban areas, improving the population’s access to basic urban infrastructure and adequate urban and social services. In the framework of the commitments assumed in Habitat III, with intervention in neighborhoods, it is expected to generate a recovery based on the pillars of the active participation of residents, and an integral approach of proposals with emphasis on housing support mechanisms (rehousing). In consideration of the complexity and integrality, the program uses an interdisciplinary approach to the territories. The PMB intervention contributes to reversing the processes of social exclusion and territorial fragmentation which requires a high level of coordination in the territory with the set of public policies that share this objective. Like its Chilean counterpart, starting from a multi-scalar approach, the PMB tackles urban insertion and integration of neighborhoods in all their territorial dimensions, going beyond the limits of the neighborhood and considering the multiplicity of actors and projects that can affect or empower the community. The intervention is also aimed at strengthening collective

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

action sustainable over time. PMB interventions are based on 3 strategic guidelines: (i) Integrality of the intervention (incorporates the urban-territorial, habitat-housing, health-sport, economic-productive-labor, socio-cultural and educational dimensions).

The intervention is also aimed at the strenghtening collective action sustainable over time.

(II) Expert-Experienced Knowledge (promoting interdisciplinary production of collective shared knowledge, which value both the voice of experts and the experience of inhabitants), and (iii) Community Participation (which identifies and highlights potentialities

and prioritizes interventions). In turn, PMBs consider Community Development (interaction with residents, social organizations and community, building strategic agreements), the Environment (comprising the ecology of the landscape and natural risks, water management and sanitary improvement, solid waste management, garbage disposal and recycling), and the Gender Perspective (reversing existing asymmetries and being able to rework them from an inclusive, diverse perspective which promotes rights as cross-cutting elements). Uruguay’s Neighborhood Improvement Plan has 3 Phases: Phase 1: Eligibility of the intervention. Presentation of the project, no objection from the IDB for its formulation and hiring of the technical team. Phase 2: Formulation of the Neighborhood Improvement Project: development of designs and documentation for the bidding process for the works. Phase 3: Project Execution: from signing the contract, certification of 100% progress of the works and closure of the project. Phase 4: Title documents. The process ends with transfer of the works to the municipalities and communities and handover of property titles. As of mid-2017 the PMB had delivered projects in more than 100 neighborhoods out of a total of 153 that were in process of development and execution, of which 80% are concentrated in Montevideo and the remaining 20% in the interior of the country, benefiting over 19,462 families. The projects totaled more than 8,000 connections to the drinking water network, 7,221 connections to the electricity grid, and 9,260 connections to the sewerage network, along with over 111 kilometers of vehicular roads and 95 kilometers of paved pedestrian ways. In total, Uruguay’s PMB has covered improvement and urbanization of more than 438 hectares of settlements which are now a formal part of the city and territory. The PMB’s success is due, not only to the integrality and constant evaluation of plans and

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projects, but also to the emphasis on regularization of land and home ownership and tenure. Property titles or previous steps that give security to tenure create a sense of ownership and a forward-looking perspective in the families that obtain them. For families it is an achievement that symbolizes the successful completion of a long process of years of efforts to achieve a place to live. Moreover, the fact that the program has taken the Gender Perspective into consideration from its fundamental bases has produced a series of virtuous social effects, empowering and dignifying the role of women in building the community. Undoubtedly, this is a factor to be reviewed in future plans and programs, given the large number of families headed by women in LAC and the obvious asymmetries in terms of gender equity. The program has also been accompanied by a prevention component which has piloted actions for medium-term generation of public policies to prevent formation of new irregular settlements. Thus in the first tranche, the bases were laid for a rental guarantee policy. In the second and third tranches of the CCLIP urban action projects integrated in central areas of the city were implemented, including building of new housing or improvement of the existing housing stock.

CASE 4:

“Real Neighborhood and Communities” Program of the La Paz Municipal Government, Bolivia. The Real Neighborhood and Communities Program (Barrios y Comunidades de Verdad) is a participatory instrument set up in 2005 to serve the 300 neighborhoods with the highest poverty rates, along with the 53 rural communities of La Paz Municipality. Its objective is to deal with poverty structurally and improve the quality of life of the inhabitants through strategic focus on the needs of neighborhoods and communities, based on contributions from citizens. Since May 16, 2005, when it began, the Municipal Program has intervened in 100 neighborhoods and improved the living conditions of 90,633 people (19,683 families). The resources, more than 380 million bolivianos (US$55 million), come from the Mayor’s Office and financing from the World Bank and the Inter-American Development Bank. The projects that change the lives of the inhabitants of remote or informal areas include the so-called “communal houses,” sports fields, recreation areas, river bedding, stabilization, drainage, improvement of streets and avenues, and environmental mitigation, among others. The works are chosen along with the residents and are executed with their participation. Residents are trained in a variety of areas, ranging from environmental issues to gender violence. They are empowered through courses that teach them a trade to provide extra income. Workshops are held in the “women’s houses” which function in the “neighborhood community houses.” The results are highlighted locally, nationally and internationally. Recently, the program was recognized with the international prize “Good Practice in Citizen Participation” from the International Observatory on Participatory Democracy (OIDP) in Montreal, Canada On Saturday, July 28, 2018, the La Paz City Government inaugurated Real Neighborhood number 101: “Villa Antofagasta Alto la Portada” in the Maximiliano Paredes Macro district. The

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

works included building retaining walls and stairs on several streets, parks and a “community house” with a sports area, as well as improvement of streets to give residents direct and safe access to public transport. This year La Paz Municipality is executing improvement of 11 Real Neighborhoods in a new group of 100 of these projects. Investment in the works is 71.9 million bolivianos (US$10.4 million) to be obtained from a 268 million loan from Banco Bisa. The key to the success of the program is that it improves residents’ quality of life from the perspective of an integral intervention. The works are selected together with the residents and are implemented with their participation. The effectiveness of the program is such that in September 2017, five mayors from cities in Guatemala and others from Nicaragua announced they would replicate the program in their countries with World Bank finance. Another sign of the success of the “Real Neighborhoods” program is that on July 15, President Evo Morales began the program “My Neighborhood, My Home” (Mi Barrio, Mi Hogar) (as complement - or competition - to the program led by La Paz municipality. The new state program has an initial investment of 70 million bolivianos (US$10 million) to finance and execute works in 22 neighborhoods in the city of La Paz. In five neighborhoods, the works cover community infrastructure refurbishment works, improvement of green areas, tourist lookouts, public lighting and sports areas. The project will benefit more than 60,000 people and create about 150 direct jobs. On the impact of the program, at the handover of “Real Neighborhood” number 100, the La Paz Municipal Government announced important figures on the works, investments and benefits of the transformation, including: 100 neighborhoods completed, 8 “real” communities handed over, 40 “women’s houses” in operation. These works benefit more than 110,000 citizens with an investment close to Bs 370 million bolivianos (US$53 million) thanks to the support of the World Bank (WB) and the Inter-American Development Bank (IDB). With respect to regularization of the properties, 5,098 property registration documents and free cadastre certificates have been given out; and 6,329 free health facilities. The program has created 77,000 direct jobs and won the first prize of the International Observatory of Participatory Democracy (OIDP) for “Good Practice in Citizen Participation.”

CASE 5:

“Centers for Inclusion and Development of Opportunities” City of Buenos Aires, Argentina. The “Centers for Inclusion and Development of Opportunities” (Red de Núcleos de Inclusión y Desarrollo de Oportunidades) NIDO Program, developed by the Buenos Aires City Government, are a network of community facilities that promote socio-urban integration in vulnerable neighborhoods, building the entrepreneurial, educational, artistic and cultural capacities of the community through human development programs, involving neighborhood organizations and civil society, business, universities, and municipal and provincial governments. These are strategic

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interventions that adapt existing or new buildings with content and activities thought through with the community, so that residents of all ages have a place where they can find educational, recreational, entrepreneurial, sports, artistic and cultural opportunities with free quality programming in the slums of the southern area of the City of Buenos Aires. Today the NIDO Network has 4 central spaces: Soldati, Villa 1-11-14, Barrio Inta and Barrio 20 and, also carries out activities in the neighborhoods of Villa 15, Cildáñez and Villa 21-24 of the City of Buenos Aires. In all these, ideas and projects are promoted to develop full citizenship with equal opportunities. Activities and courses are selected together with the community, listening to their proposals and understanding their needs, where various agents come together: residents, civil society organizations, companies, different governmental areas and universities. Each neighborhood has its own identity which is reflected in each NIDO, since both the process of building the place and selection of activities and courses take place together with the community: listening to their proposals and attending to their needs. The activity grid requires a joint effort between different areas of government, tertiary sector organizations, companies and also neighborhood residents who want to share their knowledge with the community. Thus, in each NIDO there are coordination networks that convert them into rich and innovative spaces where the whole is more than the sum of the parts. The projects and programs “nested” in NIDO (Spanish for nest) include: • Support for Entrepreneurial, Productive and Employment Initiatives: creates new productive enterprises and strengthens existing ones through labor market access and vocational guidance, e-commerce, advice to textile entrepreneurs and therapeutic support. Works in conjunction with the General Directorate of Entrepreneurs and the Ministry of Education. • Education and Training of People and Organizations: promotes professional training spaces through job roundtables and introductory courses for work. Coordinated with the General Directorate of Employment. • Production and Promotion of Artistic and Cultural Activities: offers music therapy workshops, percussion, music groups, urban dances and eco-crafts, among others. • Technological Education: offers learning opportunities incorporating technology as a tool, including digital programming and literacy workshops. The spaces are equipped with computers, 3D printers, etc. After taking office in 2015 the government of President Macri decided to expand the NIDO program to national scale, as part of the “National Habitat Plan: Integral Urbanization of neighborhoods and improvement of the most vulnerable localities” of the Ministry of the Interior, Public Works and Housing MINURVI. The first stage covers startup of more than 200 Centers of Innovation and Development of Opportunities (NIDO) throughout the country.

Technical Documents · Improvement of neighborhoods and housing in LAC toward greater inclusion

In 2017 the National Habitat Plan had already intervened in over 477 areas, with a total investment of $32.5 billion Argentine pesos, benefiting more than 34,000 households. (MINURVI, 2017)

The announced plan launched a network of more than 90 NIDOs, either adapting existing community facilities, revamping other buildings of value or creating new ones to connect these communities to the 21st century with technology, innovation, training in trades, entrepreneurship and employability, culture and sport, and human development programs. The target was to achieve more than 150 NIDO facilities throughout the coun-

try. In each intervention, the National Government proposes to place all ministries at the service of the sectors in most need. In more complex cases, “Habitat Portals” will be installed, with territorial and daily presence to ensure State responses are direct and timely. In 2017 the National Habitat Plan had already intervened in over 477 areas, with a total investment of $32.5 billion Argentine pesos, benefiting more than 34,000 households. (MINURVI, 2017).

4. Conclusions And Recommendations The main lessons, challenges and opportunities found from the analysis of the case studies are presented below, focusing on the role of local and subnational governments, as well as the multisectoral perspective. The idea is to reveal the aspects to be considered for strengthening development of neighborhood and housing improvement programs and projects in LAC towards greater inclusion. Design and implementation lessons: 1. Political will is critical, and has to be the first measure for guaranteeing continuity over time of projects for regeneration and integral improvement of neighborhoods and irregular housing beyond electoral cycles. In this respect, it is crucial to monitor and guarantee the sustainability of the projects once the official program is withdrawn. “The objectives of urban and social integration are only achieved in the medium term with continuity of social actions and appropriate operation and maintenance of urban infrastructures and facilities” (Brakarz & al., 2002). 2. It is critical to act on the structural causes of informality and urban inequality. Although these programs are based on a physical intervention in the urban environment, social cohesion must be prioritized through education and socioenvironmental awareness, developing a robust social component to accompany the processes of resettlement and neighborhood improvement. 3. It is essential to consider implementation of a basic infrastructure system for sewerage, sanitation, electricity and water as a necessary condition of any neighborhood improvement program, which must incorporate criteria of climate change, energy efficiency and resilience into

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its design and operation. 4. The integral regeneration of irregular settlements must give priority to infrastructures and public space over private units (housing). Improvement of public space stimulates refurbishment of private homes. Very often in many of these neighborhoods integral improvement and access to services, influences families to improve their homes by themselves. 5 Irregular settlements must form part of the city and be identified by their citizens with an official address and, as far as possible, regularization of tenure and ownership of land and homes. Cities need to be not only productive, but also inclusive. The official city and the irregular city must be integrated. Ex post environmental issues and incorporation of neighborhoods as one more place for waste collection and associated environmental policies is critical to the neighborhoodâ&#x20AC;&#x2122;s sustainability. 6. The participation, requests and contributions of residents must be taken into account before conceiving projects and during their execution and operation, also Community Development, the Environment and Gender Perspective must be considered from the start. 7. The conditions of security and resilience of informal and precarious settlements must be guaranteed in the face of threats and specific events, such as natural disasters or fires, as well as chronic tensions such as violence or crime. Challenges of Governance and Coordination: 8. Solutions have to be designed considering the circumstances and possibilities of each country or community. Governments must finance social activities and infrastructures, or at least guarantee agreements for participation of public-private partnerships and financing. It is also necessary to make comparative studies to review the average investment for startup of similar programs or allocations. 9. Although not a general rule, the perception is that national governments need to grant maximum possible powers to local authorities to assume certain functions, guaranteeing institutional support and financial backing for the initiatives. This is because of the participatory nature of the interventions from the communities and their territories, and the necessary coordination with local actors. 10. It is necessary to improve coordination of all the agents and projects since, in many cases, many projects are implemented in the same territory without a global cross-cutting view. NGOs must be integrated as technical partners of the local government with adequate coordination and defined functions.

Technical Documents Âˇ Improvement of neighborhoods and housing in LAC toward greater inclusion

11. The scope and impacts of the programs and projects for improvement of neighborhoods and housing need to be evaluated in light of the guidelines established in the New Urban Agenda. Clear and common mechanisms and indicators should be established to measure the effectiveness of interventions. 12. Once the effectiveness of a neighborhood improvement and housing program at local level has been proven, the recommendation is to expand interventions to the scale of cities and/or countries, particularly initiatives in the broader frameworks of national policies and programs to ensure their financing and sustainability. Opportunities and Emerging Issues: 13. As LAC countries prosper and the basic demands of their population begin to be met from the point of view of coverage, more complex secondary needs arise which no longer involve access to certain goods and services but rather to quality of life. In settlements that are starting to consolidate as emerging middle-class neighborhoods, demands for better public space, green areas and spaces for culture and recreation begin to be a priority. This new generation of problems will require new more sophisticated and targeted intervention strategies. The demand for quality is increasingly visible. 14. The evidence in most cases indicates that intervention plans and projects in neighborhoods reduce the perception of insecurity and indicators of violence and homicides. However, a series of anti-systemic behaviors forged as part of the material history of some of these communities persist, linked to drug trafficking, organized crime and gangs and need to continue to be attacked from a multisectoral and multidimensional perspective. 16. The technological transformation is creating paradigm changes in many urban functions and services. The high level of penetration of smartphones and access to the web noticeable in the cities of LAC, irrespective of socioeconomic group, together with the explosive growth of disruptive services in industries such as public transport, represented by applications such as Uber or Cabify, is a challenge for planning and provision of services, but also opens great opportunities for incorporating strategies from the collaborative or circular economy into neighborhood improvement projects. 17. Finally, as neighborhoods are regularized and incorporated into the urban and social fabric of cities, we must guard again new slums continuing to appear and expand by adopting aggressive policies and programs for access to housing in well-located areas of the city.

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Bibliography and References Andreatta, V. (2008). “EXPERIENCIAS DE PLANEAMIENTO Y URBANIZACIÓN DE BARRIOS PRECARIOS: componentes de la urbanización, gradualidad y niveles de implementación”. In: Regeneración Integral de Barrios Informales: Informe de actividades – Taller de Antananarivo, Comisión 3- Red Metrópolis. Secretaría de Vivienda del Municipio de Sao Paulo, Brazil. Brakarz, J., Greene, M. and Rojas. J. (2002); Ciudades para todos: La experiencia reciente en programas de mejoramiento de barrios. Washington DC.: IDB. Cavallieri, F. (2008). “El Programa Favela-Bairro de La Ciudad de Río de Janeiro”. In: Regeneración Integral de Barrios Informales: Informe de actividades – Taller de Antananarivo, Comisión 3- Red Metrópolis. Secretaría de Vivienda del Municipio de Sao Paulo, Brazil. ECLAC (2018); Segundo informe anual sobre el progreso y los desafíos regionales de la Agenda 2030 para el Desarrollo Sostenible en América Latina y el Caribe. Santiago de Chile: United Nations. EPM Empresas Públicas de Medellín (2015), Informe de Empalme Vicepresidencia Ejecutiva, Proyectos e Ingeniería. Medellín, Colombia. EPM Empresas Públicas de Medellín (2017), Boletín EPM, Medellín, January 17, 2017, Colombia. https://www.epm.com.co/site/home/sala-de-prensa/noticias-y-novedades/epm-abrio-14de-sus-espacios-para-las-unidades-de-vida-articulada INE Instituto Nacional de Estadísticas de Chile (2017); Compendio Estadístico, Santiago de Chile. Magalhães, I. and Rossbach, A. (2017); “Políticas de vivienda. Un breve panorama regional y el caso de Brasil”. En Olmedo, P. y Endara, G. (Eds.); Alternativas urbanas y sujetos de transformación. Quito: FES-ILDIS. MINURVI Ministerio del Interior, Obras Publicas y Vivienda (2017), Presentación Participación Público-Privada, Agosto 2017. Buenos Aires, Argentina. MINVU/MVOTMA (2017), Cooperación Sur-Sur: Intercambio Metodológico Chile-Uruguay, Ministerio de Vivienda y Urbanismo de Chile y Ministerio de Vivienda, Ordenamiento Territorial y Medio Ambiente de Uruguay. Santiago, 2017. PCRJ (1994). Bases de la política en materia de vivienda de la ciudad de Río de Janeiro, decreto no 12.994/94. Río de Janeiro, Brazil.

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TECHO, Centro de InvestigaciĂłn Social (2018). Press Release. In: https://www.techo.org/informate/techo-la-pobreza-y-desigualdad-son-catastrofes-de-nuestra-sociedad-y-en-su-epicentro-estan-los-asentamientos-mas-excluidos/

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Wait No More: Lessons for Local Governments Angela MarĂa Reyes and Benjamin Roseth

Technical Documents · Wait no more: Lessons for local governments

Introduction: Why are transactions in cities important? Enrolling a child in a public school. Applying for a land registration certificate. Paying property tax or a traffic fine. All are transactional public services, also known as paperwork. These transactions have a basic function: to connect people and companies with services and government obligations. In an ideal world, they would be intuitive, fast and transparent. They would be done online and public institutions would be coordinated so that citizens had to make as little effort as possible. However, this is not the reality that citizens experience in Latin America and the Caribbean. In fact, in the region, transactions are difficult, both nationally and locally. They are slow, vulnerable to corruption, and in the end exclude people with less resources. Many of them are still carried out in person and on paper. Citizens lose time going from window to window and, in many cases, end up paying bribes to officials. Companies lose productive time and therefore some of their competitiveness. Governments become entangled in complex manual transactions, and fail to connect public policies with the target beneficiaries. In short, with difficult transactions everyone loses. Improving transactions offered by cities is important, since they are what makes it possible for people to access the services and programs provided by their governments, be it public education, health care or applications for building permits. These services are not only part of the priorities of local governments, but are, in many cases, the reason for the existence of local governments, agencies and municipal public offices. Consequently, improving delivery of services to citizens begins by guaranteeing that transactions are affordable, easy to do, user friendly and practical. This chapter shows, using unpublished data1, the difficult reality that citizens of Latin America and the Caribbean experience every day when carrying out transactions. It also presents a group of actions and tools that can help improve transactions, and a proposal on how local governments should organize to face this challenge. The chapter is based on the book “El fin del trámite eterno: ciudadanos, burocracia y gobierno digital” (IDB, 2018) which can be downloaded here: www. iadb. org/tramite. (English title: “Wait No More: Citizens, Red Tape and Digital Government”)

What, who and how: an X-ray of transactions in the region What transactions do the citizens of Latin American carry out? Although there are thousands of transactions, most of them are concentrated in one category: civil registration and identity. At regional level, 40% of people reported that the last trans1 For the first time, in 2017 the Latinobarómetro survey included six questions about transactions providing information on transactions at regional level. The survey covers the 17 Spanish-speaking countries of the region and Brazil, and was answered by more than 20,200 people (about 1,100 per country).

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action was to apply for or renew an identity document or civil registration (Latinobarómetro, 2017). Second come transactions related to education or health (14%) which in many countries in the region are handled wholly or partly by municipal or local governments. Examples of these at municipal level include requesting medical examinations at a municipal health center, requesting a copy of medical records or student cards, or renewing student enrollment. Although the data presented here do not show disaggregate transactions carried out at national level from those handled by cities or municipalities, it is possible to infer that many of the transactions carried out by people in the region correspond to municipal level. For example, in Colombia, 95% of the country’s transactions are handled by municipal governments. These municipal transactions usually include payment of property tax or a request for review of appraisal, permits to cut trees, health certificates to prove compliance with regulations, registration in sports programs for young people or obtaining a transport subsidy for the city’s integrated mobility system, among many others. FIGURE 1 TYPES OF TRANSACTIONS COMPLETED, TOTAL LAC Identity or Civil Registration Education or health Other Pay taxes, insurance, pensions Vehicle Social Program Property Reporting a crime Open/close a company

Source: Prepared by the authors based on Latinobarómetro (2017). Note: Respondents reported the last transaction carried out in the 12 months prior to the survey.

Who carries out transactions? In general terms, people of differing ages, men and women, carry out transactions with the same frequency. There is a relative balance between men and women who reported having carried out a transaction, with some exceptions. In Latin America, on average, the distribution between men and women was 50/50. However, there are significant differences in the gender distribution for some types of transactions. Transactions related to social programs and educa-

Technical Documents · Wait no more: Lessons for local governments

tion and health services tend to be carried out much more by women, while property, payments and vehicles tend to involve men. The most marked difference is in vehicular transactions where 76% of applicants are men. Of the transactions that show important gender differences, some relate to those handled by municipalities, for example, social programs such as registration for community kitchens or applications for driving licenses or automotive registration. FIGURE 2 TRANSACTIONS CARRIED OUT, BY GENDER

Social Education or Program health

Identity or Civil Registration

Other Male

Open/close Reporting a Pay taxes, a company crime insurance, pensions Female

Property

Vehicle

Source: Prepared by the authors based on Latinobarómetro (2017).

What channel do transactions take place in? On the channel where transactions take place, the data show that, at regional level, 89% are carried out in person. This figure varies between sectors: while 73% of business transactions are entirely face to face, this method covers more than 90% of identity and registration transactions. What are the problems with transactions in LAC? Problem 1: They are difficult to carry out and generate transaction costs Transactions require a lot of effort. Travel, lines, waiting at windows, filling out forms, reading communications, searching for information, sending letters or even learning to use a new system or web page: in short, a transaction can demand everything. But how much do citizens in LAC suffer? Data from Latinobarómetro (2017) show that, in fact, citizens of the region spend a lot of time on transactions. On average, respondents spent approximately 5.4 hours completing their last transaction, which is almost a complete workday.

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FIGURE 3 HOURS NEEDED TO COMPLETE A TRANSACTION, BY COUNTRY

Source: Prepared by the authors based on Latinobarómetro (2017).

Figure 4 compares the times required for education or health transactions and payment of taxes, insurance or pensions; including property tax payments2. The data show that education and health transactions take more time; on average, a citizen of the region took 6.3 hours to complete a transaction of this type. Payment of taxes, insurance and pensions takes an average of about 4 hours. FIGURE 4 HOURS NEEDED TO COMPLETE EDUCATION OR HEALTH TRANSACTIONS Education and Health

Tax, insurance and pensions

Source: Prepared by the authors based on Latinobarómetro (2017). 2

The Latinobarómetro survey included nine options for types of transactions: i) request or renew an identity document or

civil registration; ii) access a social program; iii) access an education or health service; iv) register, buy or sell property; v) open or close a company; vi) pay taxes, pay for health insurance or contribute to the public pension system; vii) report a crime; viii) apply for a driving license or other transport transaction; ix) another type of transaction.

Technical Documents · Wait no more: Lessons for local governments

The long periods of time that citizens of the region spend carrying out transactions can be due to several factors. First, the data suggest that individuals frequently spend a lot of time on travel, which would indicate that there is a deficit of access points in cities and municipalities so citizens travel long distances to get to the office to carry out the transaction. These trips take place both by residents in the city and by people who live outside the urban area and who have to travel to larger cities or municipalities to access government offices. Second, delays are also partly explained by the need to make multiple visits to public offices to complete transactions. An initial look at the number of times citizens of the region need to go to offices or communicate with the government shows that, on average, only half of transactions are completed in a single visit/interaction. FIGURE 5 PERCENTAGE OF TRANSACTIONS COMPLETED IN A SINGLE INTERACTION

Source: Prepared by the authors based on Latinobarómetro (2017).

Multiple interactions can occur for several reasons. First, they may reflect problems of the clarity and relevance of the information provided by the government: if people are going to carry out the transaction without having all the required documents or if they must go to different offices because of lack of information, then completing their transaction will require more interactions. Second, the interactions may indicate the existence of excessive requirements resulting in the need to carry out additional transactions, creating a “chain of transactions” which obliges individuals to have multiple interactions with one or more entities to complete their original transaction. The time and number of interactions required to complete a transaction can also vary depending on the type of transaction. As Figure 6 shows, property transactions require an average of almost 10 hours to complete and less than a quarter of them were completed in a single visit, which means that these transactions, which in many cases are handled by local

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governments, are generating high transaction costs for the citizens of the region. Examples of property transactions at local level include all those related to property registration, obtaining a land use certificate to determine if it is possible to open a business on a specific property, requesting a connection to public services or applying for a building permit, among others. Transactions related to social programs also create difficulties for citizens taking an average of almost 7 and a half hours to complete and less than 40% were resolved in a single visit. At municipal level, these transactions usually include applications for humanitarian assistance, child feeding programs or access to programs for disabled people. FIGURE 6 HOURS AND INTERACTIONS NEEDED TO COMPLETE A TRANSACTION, BY TYPE OF TRANSACTION Hours by type of transaction

% of transactions completed in one

Report a crime

Payment of taxes, insurance, pensions Identity or civil registration Vehicle

Social program

Average LA

Other

Property Open/close company

Education or health

Average LA

Open/close company

Vehicle Identity or civil registration Payment of taxes, insurance, pensions

Report a crime Social program Property

Source: Prepared by the authors based on LatinobarĂłmetro (2017).

Problem 2: They are a source of corruption Manual procedures, face-to-face interactions and lack of standardization of processes make transactions vulnerable to dishonest behavior. In fact, corruption is ubiquitous: 29% of Latin Americans reported having paid a bribe in the context of a public service in the last year, equivalent to more than 90 million people in the region (Transparency International, 2017). These rates vary depending on the service. Health services recorded the highest bribe rate, where 1 in 5 citizens said they had paid a bribe to access the service. In the case of education services, this figure rose to 18%. While 14% of citizens said they had paid a bribe to access public services such as water, sewage or electricity.

Technical Documents · Wait no more: Lessons for local governments

FIGURE 7 CITIZENS WHO PAID A BRIBE, BY TYPE OF SERVICE Hospitals

Schools

ID and licenses

Police

Public Services

Courts

Source: Transparency International 2017

Problem 3: Transaction costs affect people with lower incomes more Lower income citizens have access to fewer transactions than individuals with higher incomes. Fewer transactions mean less access to government services and programs, precisely for the people who could benefit most. Figure 8 shows the direct relationship between education level (as a variable indicative of income) and the percentage of people who carried out a transaction in the last year. Individuals with a higher socioeconomic level consistently access more public transactions, even services that are common to all citizens (identification, transport, health) and those that should be used more by lower income sectors (such as social services). Specifically, while 42% of people with university studies report having completed a transaction in the last 12 months, this percentage falls to 16% for people without formal studies (Latinobarómetro, 2017). GRAPH 8 PERCENTAGE OF PEOPLE WHO CARRIED OUT A TRANSACTION IN THE LAST YEAR, BY EDUCATION LEVEL

No studies

1-2 years

3-4 years

5-6 years

7-8 years

9-10 years 11-12 years Incomplete University

Complete University

Source: Prepared by the authors based on Latinobarómetro (2017). Note: The chart shows the percentage of people who reported having carried out at least one transaction in the last year, including transactions related to identity, social programs, health and education, transport and reporting of crimes.

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The reasons underlying this phenomenon are multiple. The length of time and multiple interactions required for many transactions, combined with the fact that many public offices do not have extended hours or open on weekends, mean that citizens have to be absent from work to complete their paperwork. People with lower incomes tend to have less flexible working hours, which makes it difficult for them to request leave of absence to obtain the hours needed to carry out a transaction. In addition, absence from work during working hours and the transaction cost itself (transport, photocopies, etc.) have an impact on individuals’ wages, which is more difficult for workers with lower income levels to afford. Problem 4: Face-to-face transactions are expensive for the government, and use of the digital channel is still very limited Currently, in Latin America and the Caribbean, the vast majority of transactions are carried out in person, which means assigning thousands of employees to work at customer service windows, review applications and compile files. The cost of face-to-face provision involves a considerable fiscal burden for local governments. For example, in Mexico, the State spends US$9 for every transaction provided in person at public offices. Assuming that this cost remains constant

Digital transactions can solve many of the problems of modern bureaucracies and significantly reduce costs of provision: the cost is between 2.5% and 5% of providing a face-to-face transaction.

for the approximately 360 million federal and state transactions provided by the face-to-face channel3 across the country, the result is a bill of almost US$3.300 billion per year, a figure equivalent to 23% of federal spending on education.4 Digital transactions can solve many of the problems of modern bureaucracies and significantly reduce costs of provision: the cost is between 2.5% and 5% of providing a face-to-face transaction. Unfortunately, their implementation and use in the region is still very low: only 7% of citizens report having carried out their last transaction online (Latinobarómetro, 2017).

Based on a total of 400 million transactions, less 10% of the transactions that partially take place through the digital chan-

nel (see chapter 2). This estimate is conservative, since a portion of the transactions carried out partially online also have a face-to-face element which is excluded from the calculation. 4

Based on a budget of the Ministry of Public Education of Mex$ 267.655 billion and an exchange rate of Mex$ 18.52 per

dollar. (Source: Expenditure Budget of the Federation for Fiscal Year 2017, available at: http://www.diputados.gob.mx/LeyesBiblio/pdf/PEF_2017.pdf.)

Technical Documents · Wait no more: Lessons for local governments

GRAPH 9 USE OF DIGITAL CHANNELS FOR TRANSACTIONS (PERCENTAGE OF PEOPLE WHO CARRIED OUT THEIR LAST TRANSACTION ONLINE)

Completely or partially digital

Completely digital

Source: Preparation by authors with data from Latinobarómetro (2017).

What can be done to improve transactions? Five recommendations Know citizens’ experience with transactions It is impossible to improve the reality of transactions without first knowing citizens’ experience. It is not enough to rely on anecdotes from isolated cases, or a single study, which loses relevance over time. It is necessary to generate objective, accurate and timely information on various types of transactions for different audiences (politicians, digital government managers, lending institutions and citizens). This type of useful information can be obtained in several ways; for example, from administrative sources, surveys and direct observation, among others. However, very often, governments do not know what citizens’ experience with transactions is, nor do they make much effort to get to know it. In this context, it is understandable that transactions end up being designed on the basis of administrative needs instead of citizens’ needs or preferences5. It is equally important to ensure an iterative cycle of study, analysis, adaptation, implementation and again study: information about citizens’ experience is collected, analyzed to identify fundamental changes, the transaction is adapted in accord with the analysis, the changes are implemented, and studied again. 5

For a more detailed analysis of the factors that explain the difficulty of the transactions, see the book “El fin del trámite eterno.”

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BOX 1

Colombia: Evaluation of citizen experience through the “incognito customer” The National Citizen Services Program (PNSC) of the National Planning Department (DNP) of Colombia uses a novel strategy to learn about citizens’ experience carrying out transactions. Known as “incognito customer,” this consists of external officials or consultants who pass as citizens carrying out a transaction and record all the experience with cameras and voice recorders. The PNSC held more than 300 incognito customer exercises between 2015 and 2017, including face-to-face, telephone and virtual service channels, covering more than 50 national entities and some 15 local and departmental governments. The following is an example of the application of the incognito customer exercise by the face-to-face channel for transactions related to application for an educational credit for postgraduate courses, provided by the National Savings Fund. The experience was recorded by special eyewear with a built-in high definition camera. The application by the incognito customer revealed some important aspects about the transaction that could lead to changes in the form of provision: i) the citizen’s first contact in the entity is with security staff (and not, for example, with someone from the entity to guide them); ii) at least one of the staff of the entity was not very friendly to the incognito customer; iii) customers had to stand in line to take a number (instead of having an automatic number system), and iv) waiting time to be seen was very long (two and a half hours).

Minute 1: The citizen’s first contact is with security staff, time 11:45 am.

Minute 5a: Line for Minute 3: Not very friend- obtaining number ly attitude of official at the time of assigning the application.

Minute 6: Start of wait for IC to be seen. Total waiting time = about 2 and a half hours

Minute 5b: Requesting number to ask for information on educational credit for postgraduate courses.

Minute 160-173: Citizen service. There is clear interest in meeting the need, ample knowledge of the transaction and complete and relevant information. The IC obtains the form they must fill out to apply for the postgraduate studies loan, details of requirements and times of duration of the process. Interaction takes 13 minutes.

Source: National Planning Department of Colombia (2017). IC = incognito customer.

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Eliminate transactions where possible The best transaction is the one that does not have to take place. While simplification of transactions is necessary in many cases and digitization is an effective way to facilitate access, neither are ends in themselves. Elimination of unnecessary transactions cuts the associated costs in the bud. Transactions can be eliminated in several ways, including regulatory improvement (repeal of unnecessary regulations and their associated transactions), interoperability and “one time only” rules (connect State databases so that information is shared instead of asking citizens), and proactive delivery (when the State approaches citizens to offer a service instead of obliging them to submit a form). Redesign transactions with citizen experience in mind Very often, transactions are designed from the perspective of public entities, rather than citizens. This is problematic because of the difficulty that public servants have in understanding the odyssey that transactions involve, and also because of the high levels of distrust that influences the way transactions are provided (see Box 2).

BOX 2

Distrust and Transactions The bad experience of citizens with transactions can be partly explained by endemic distrust in the region. Distrust is revealed in three ways that result in concern about abuse taking precedence over citizen experience. First, 90% of public managers surveyed6 believe that citizens try to access public services improperly, which justifies imposition of high barriers to access services as a way of limiting abuse. Second, 43% of public managers believe that officials at the window are susceptible to corruption, so it is advisable to limit their decision-making powers which ends up lengthening completion times for citizens. The most curious aspect is that citizens also share the perception of risk: 62% of people surveyed consider that government needs to impose high barriers to access to prevent abuse of services by their fellow citizens.7

The IDB conducted surveys of three groups of public officials on transactions: e-government managers (or equivalent authori-

ties), which in most cases have been leaders of transaction reform in the region, and directors of civil registries and tax agencies, as representatives of institutions providing important transactions. Keefer. et al. 2017

To improve transactions, it is essential to redesign them to make them easier, intuitive and as rapid as possible. This covers a variety of approaches. First, redesigning transactions with citizens in mind implies a reconceptualization of the assumptions of trust, in particular, based on the assumption that citizens are not out to abuse the system. Distrust does not have to be what determines how a service is provided, and it should be emphasized that putting barriers to entry is not the only way to protect against abuse. It is possible to use other tools, such as use of adaptive forms that determine risk, or implementation of ex post controls.

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Second, redesign should include use of interoperability for simplification to gather information from different public entities and use of prefilled forms for citizens to submit. By reusing existing data on citizens, public entities can prefill forms or streamline application processes and facilitate the process on the side of the citizen. Finally, redesign focused on citizens must include implementation of the “agile” methodology for the processes and components of each transaction. This methodology consists of segmenting a large project into several parts, testing and evaluating solutions, and then moving on to the next problem and proposals for solution in an iterative way. Applied to transactions, agile redesign consists of diagnosing the problem (or problems) that citizens have, and then testing and evaluating solutions for them as quickly as possible, reevaluating, and so on. Facilitate access to digital transactions Once transactions have been redesigned with the citizen experience in mind, the next step is to facilitate access through the digital channel. In the case of cities and municipalities, this covers five actions: a. Take advantage of digital government tools created by entities at national level, such as web page designs, payment engines or notifica-

Finally, redesign focused on citizens must include implementation of the “agile” methodology for the processes and components of each transaction.

tion systems and adapt them to local contexts whenever possible; b. Make online access user friendly with different levels of digital capacity by means of simple designs and implementation of the accessibility recommendations of the World Wide Web Consortium (W3C)8; c. Ensure that the tools implemented work from any device, including cell phones; expand digital literacy programs (including basic education in digital skills and training in use of digital services at face-to-face service points), and customer service (for example, through digital chatbots), and d. Offer payment methods that do not depend on a bank account (for example, through cell phones). There are also cases where part of the transaction process takes place with national entities and another part with municipal entities. This is usually the case, for example, for starting a business where applications for some operating permits and certificates are made to national entities (tax identification application) and others to cities (land use certificate). In these cases, it is recommended that municipalities be connected to national databases, not only to avoid citizens having to give the same information to different entities at two levels of government, but also to improve traceability of the process of opening a company. 8

See: https://www.w3.org/WAI/standards-guidelines/wcag/

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BOX 3

The citizen service chatbot of the Autonomous City of Buenos Aires In July 2013, the city of Buenos Aires launched an intelligent virtual assistant (chatbot) to answer inquiries from citizens about access to public services and government transactions, which directs them to information sources or human assistants. In addition, the system constantly reports data that the government can use to optimize citizens’ experience. Embedded on the government website and on Facebook Messenger, the chatbot uses artificial intelligence tools such as machine learning algorithms and natural language processing to understand and interpret citizens’ queries and respond autonomously. According to Aivo, the developer company, between November 2016 and November 2017, the chatbot handled more than 1.6 million conversations, of which only 8.5% were finally transferred to human agents. The time per conversation was 1 minute. The virtual assistant takes eight weeks to be trained to classify questions and answers autonomously, incorporating natural language comprehension skills and regionalisms. Once in operation, the system continues to improve its accuracy through use and feedback from users and monitoring by the maintenance staff. To optimize user experience, the chatbot collects information that includes the number of conversations held, the topics most consulted, the number of conversations transferred to human agents, the number of interactions and citizen feedback. The main topics that can be handled by the virtual assistant are currently: • Birth certificates. • License renewal. • Complaints, inquiries and online payment of fines. • Hospital shifts. • Complaints tracking. • Consulting news and activities in the city. • Online enrolment in public schools. Sources: Government of the City of Buenos Aires, Aivo. co.

Invest in quality face-to-face provision Although many countries show interest in digitization of transactions, the Latin American and Caribbean region are still largely analog, with around 90% of transactions take place in person. Existing gaps in connectivity, digital literacy and financial inclusion, among others, will make the race to a digital society a long one. Consequently, while moving ahead with digital development, it is essential to improve the most used service channel, and in some cases, preferred: face-to-face. Two ways to improve face-to-face provision are: i) investing in customer service staff (for example, through merit-based competitions for recruitment and specialized training

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courses) and ii) integrating provision of transactions for multiple entities under a single roof (see Box 4).

BOX 4

Innovation in face-to-face service: integrated service centers While integrated service centers are a national initiative, they offer municipalities infrastructure, tools and personnel they can use to improve their transactions and facilitate access by citizens. There are several examples of integrated service centers in countries in the region. Uruguay currently has 127 Citizen Service Points (PAC) located around the country offering personalized service to users, information on all State transactions and assistance on how to carry out online transactions, among others. In Brazil, Bahia state created the Citizen Service (SAC), consisting of 63 service centers and three mobile units which centralize more than 800 services offered by a total of 32 institutions, handling an average of 620,000 requests per month covering all the municipalities of Bahia state. In Colombia, the DNP provides technical assistance and a standardized methodology for setting up Integrated Service Centers (CIS), facilitating guides and guidelines to the countryâ&#x20AC;&#x2122;s departments (provinces) and municipalities for the construction, implementation and operation of these centers. This model is based on the Specialized District Service Centers (CADE) and SUPERCADE of the city of BogotĂĄ, which provide about 200 district and national public services. In Lima, Peru, has five Centers for Better Citizen Service (MAC) so far, which centralize the 50 transactions most in demand provided by 15 different state entities. The MACs are outsourced and operated by private companies, but follow the guidelines provided by the government for service provision. In Chile, the face-to-face service ChileAtiende operates more than 200 service points throughout the country, where citizens can carry out about 220 transactions of 17 public institutions. Finally, in the Dominican Republic, PuntoGOB integrates 50 transactions from 12 government institutions in a mega center in Santo Domingo, which receives about 700 visitors daily. Sources: DNP of Colombia; Presidential Office of Information and Communication Technologies of the Dominican Republic; Presidency of the Council of Ministers of Peru; ChileAtiende; Governo da Bahia

How should local governments be organized to improve transactions and implement successful simplification and digitization strategies? Implementing a reform to simplify and digitize transactions is not easy. There are several factors that usually stand in the way of adoption and implementation of the recommendations set out in the previous section: i) bureaucratic inertia, which causes organizations or departments in an organization to resist change; ii) lack of interinstitutional coordination between entities

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and offices of local and national governments, which do not communicate with each other or exchange the information they already hold on citizens; iii) a government remote from citizens which ignores their experience, needs or requirements; iv) high level of regulatory complexity, and v) technical complexity since digitizing transactions requires the use of technological tools that many institutions are not aware of. In the search for lessons to overcome these challenges, the experiences of four countries Chile, Estonia, Mexico and Uruguay - were analyzed. These countries developed strategies, capacities and governance models to achieve results in terms of simplification and digitization of transactions. These countries’ experiences, although concentrated in central governments, offer several important lessons that may be relevant for local governments starting or strengthening their efforts to simplify and digitize transactions. Lesson 1: Have a clear strategy, based on citizens’ needs, to guide local governments towards citizens To break the stereotype of government driven by its bureaucratic needs rather than citizens’ needs, and to break lack of interinstitutional coordination, it is important to define a cross-cutting simplification and digitization strategy that covers all offices, departments and teams that make up local governments. This strategy must be based on analysis of citizen experience because, as mentioned before, it is impossible to improve the reality of transactions if it is an unknown and without considering the needs and wishes of citizens. To create citizen-oriented local governments, all entities and offices need to work collaboratively toward common objectives. This is necessary since simplification and digitization of transactions requires coordination between the different parts of local governments, interconnecting different offices and sharing information on citizens. The elements of a strategy for simplifying transactions include: • Specific objective to guide simplification efforts (for example: improve the business climate, increase citizen satisfaction with government, reduce the administrative burden for public entities) • Identification of opportunities for citizen participation in improving transactions (for example, during prioritization or the redesign phase) • Prioritization of transactions to be improved (depending on the objective established) and identification of those responsible for each one • Analysis of the current status of prioritized transactions, for example, in terms of requirements, availability in different channels, and volumes of provision • Identification of improvement techniques (for example, elimination of requirements, remodeling of physical facilities, digitization), which must correspond to the challenges presented by each prioritized transaction • Establishment of specific improvement goals and strategy to track and measure progress toward these goals • Definition of implementation timetable and persons responsible for each action

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Lesson 2. Empower a person or team in the mayor’s office with sufficient competences and resources to drive the strategy forward Taking into account the crosscutting nature of transactions and simplification and digitization initiatives, local governments need to make a person or small team responsible for leading the design and implementation of the strategy. This person or team must be located in the mayor’s office, or have direct access to the mayor, and must have full political support and empowerment. The responsibilities of this team would be to: • Design the strategy and work for its implementation, including promotion of opportunities for citizen participation • Monitor and report on implementation of the strategy to the mayor or a committee set up to improve transactions • Identify bottlenecks in implementation of the strategy and work with the entities providing the transactions to resolve them • Promote coordination between different local offices or institutions (horizontal coordination) • Coordinate with different entities at national or state level to encourage exchange of information and adoption of solutions (vertical coordination). • Design and implement a system of incentives to motivate the different entities or offices, and the people in them, to take a leading role in simplifying and digitizing the transactions for which they are responsible.

BOX 5

CitiStat in Baltimore: A performance management model to improve delivery of public services In June 2000, the Mayor of Baltimore, Martin O’Malley, launched CitiStat, a performance management model based on real-time data monitoring, defining specific objectives and goals with detailed monitoring of indicators of compliance with these goals. Every Tuesday morning, the director of a department or entity associated with the mayor’s office took his place on the podium of the CitiStat room to answer the mayor’s questions on his department’s performance on a series of pre-selected indicators. At the CitiStat meeting, departmental heads were responsible for showing progress on predetermined objectives and were asked to provide solutions and a new strategy if the results were not as expected. Their actions and results were followed in subsequent meetings, ensuring that they were on the right track for reaching the goals of providing and delivering the services under their charge. CitiStat monitored performance on a very broad number of indicators, from spending on staff

Technical Documents · Wait no more: Lessons for local governments

or budget execution to response rates to citizens’ requests to clean up a dirty alleyway, resolve a complaint about rats, or fix a pothole, among others. The CitiStat performance management strategy was based on a series of principles and actions. First, the mayor’s office clearly defined the government’s priorities and the purpose behind what it was trying to achieve. It promoted intensive use and analysis of data to determine the factors that were obstructing the government from achieving its goals, and specific objectives were established as a crucial part of the strategy which were carefully monitored. The frequent meetings to monitor and follow progress, in which the mayor and departmental directors participated, were of great importance. Crucial for the strategy’s success was the mayor’s active involvement in the process, devoting time and resources to demonstrate his commitment to improving performance and achieving the proposed goals. Source: Reyes (2015), Behn (2014)

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Simplification and Digitization of Transactions: Practical Guide for Mayors STEP 1 DEFINE A SPECIFIC STRATEGY FOR SIMPLIFICATION AND DIGITIZATION OF TRANSACTIONS

The strategy must have: a. Specific objective to guide the simplification efforts. b. Opportunities for citizen participation in improving transactions. c. Prioritization of transactions to improve and identify those responsible for each transaction. d. Analysis of the current state of transactions prioritized in terms of requirements, availability in different channels, and volumes of provision, among others. e. Identification of improvement techniques (e.g. elimination of requirements, remodeling of physical facilities, digitization), which must correspond to the challenges presented by each prioritized transaction. f. Set specific targets and strategy to track and measure progress. g. Definition of implementation timetable and people responsible for each action.

What specific programs/actions could be included in this strategy? 1. Actions to know citizen experience with transactions a. Surveys at exit of provision offices, direct observation of provision of services (incognito customer), analysis of administrative sources. 2. Elimination of obsolete transactions a. Regulatory reform (repeal of unnecessary regulations and their associated transactions). b. Use of interoperability platforms and “one time” rules (connect different state databases so that information is shared instead of being requested from the citizen). c. Proactive service delivery (the State approaches citizens to offer a service). 3. Redesign of transactions with citizen experience in mind a. Eliminate unnecessary requirements, improve forms, improve information on the requirements of the transactions. b. Use interoperability platforms to gather information from different public entities.

4. Tools to facilitate access to digital transactions • Integrate transactions of cities into single government pages (such as gob.mx or

Technical Documents · Wait no more: Lessons for local governments

gob.pe) so that citizens can find all public transactions in one place. • Take advantage of digital government tools created by national entities, such as web page design guides, payment engines or notification systems. • Connect cities to national level databases (e.g. Civil Registry). • Offer payment methods that do not depend on a bank account. • Ensure that tools work from any device, including cell phones. Tools and actions to improve face-to-face provision a. Invest in customer service staff (through merit-based competition for recruitment or specialized training courses). b. Integrate provision of transactions of multiple entities under one roof (Integrated Service Centers).

STEP 2 APPOINT A TEAM IN THE MAYOR’S OFFICE AS RESPONSIBLE FOR THE SIMPLIFICATION AND DIGITIZATION STRATEGY

The responsibilities of this team include: i. Design the strategy and promote its implementation. ii. Monitor and report on implementation of the strategy to the mayor or a committee. iii. Identify bottlenecks in implementation of the strategy and work with the entities providing the transactions to resolve them. iv. Promote coordination between different local offices or institutions (horizontal coordination). v. Coordinate with different entities at national or state level to encourage exchange of information and adoption of solutions (vertical coordination). vi. Design and implement an incentives system to motivate the various entities or offices, and the people in them, to take a leading role in simplification and digitization of the transactions for which they are responsible.

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References Behn, R. 2014. The PerformanceStat Potential: A Leadership Strategy for Producing Results. Washington D.C: Brookings Institution Press. DNP (Departamento Nacional de Planeación). 2017a. Programa Nacional de Servicio al Ciudadano. Bogotá: DNP. Available at https://www.dnp.gov.co/programa-nacional-del-servicio-al-ciudadano/Paginas/programa-nacional-del-servicio-al-ciudadano.aspx. Keefer, P., C. Scartascini and R. Vlaicu. 2017. Encuesta Representativa de Honduras, Perú, Colombia, México, Chile, Panamá y Uruguay. Washington, D.C.: IDB. (Mimeographed document.) Latinobarómetro. 2017. Encuesta Latinobarómetro. Providencia, Chile: Latinobarómetro. Available at http://www.latinobarometro.org/latContents.jsp. Presidencia de la República de México. 2014. Survey of Metrics of Electronic Government, information from SAT, IMSS and SFP on the total number of times that each transaction and services of the Institution were executed in 2014, for each service channel (Face-to-face, Web and Telephone). Mexico City: Presidencia de la República de México. (Mimeographed document.) SHCP (Ministry of Treasury and Public Credit of Mexico). 2017. Expenditure Budget of the Federation for Fiscal Year 2017. Mexico City: SHCP. Available at http://www.pef.hacienda.gob.mx/es/ PEF2017/tomoI-III . Transparency International. 2017. People and Corruption: Latin America and the Caribbean: Global Corruption Barometer. Berlin: Transparency International. Available at: https://www. transparency.org/whatwedo/publication/global_corruption_barometer_people tion_latin_america_and_the_caribe.

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How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management HuĂĄscar Eguino (BID)1 and Carlos Leitte (Universidade Presbiteriana Mackenzie)2

Specialist in subnational fiscal management of the IDB Fiscal Division. Coordinator of the working group on fiscal decentralization and

subnational governments. 2

Professor at Mackenzie Presbyterian University, guest researcher at the Institute of Advanced Studies of the University of Sao Paulo,

and consultant in urban development.

Technical Documents · How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management

In terms of fiscal management, three of the most important challenges facing the municipal governments of Latin America and the Caribbean (LAC) are: (1) the investment gap in infrastructure and municipal services, (2) their low capacity to generate their own revenue; and (3) limited access to financing. This brief document has been prepared with an audience in mind of mayors and municipal officials who work in the finance area, predominantly in urban municipalities. We have structured the document into two parts: the first is a brief description of these challenges, and the second presents a set of fiscal management measures or actions which can be taken to deal with them, emphasizing specific actions that can be put into practice to improve own revenue sources or to prepare the municipality for accessing finance.

Challenges of municipal governments A.1. Deficits and municipal infrastructure The countries of Latin America and the Caribbean need to invest every year about 5 percent of GDP to close their acute infrastructure and services gap. However, recent figures show that current investment levels barely reached an average of 2.7 percent of GDP over the last decade (Serebrisky, 2014). These investment deficits are particularly important in urban areas, revealing lack of financial resources and institutional capacity at all levels of government; especially, in municipal governments which, due to their closeness to the population, are the first recipients of the population’s demands in matters of infrastructure and services. A fact that illustrates the size of these deficits is that 113 million people in LAC live in marginal neighborhoods - about 25% of the total urban population - and do not have adequate access to basic services and transport, sanitation, drainage infrastructure, or social services (IDB, 2016). From municipal governments’ perspective, other aspects that affect infrastructure and service deficits are (IDB, 2016): (i) every year the cities of LAC grow at a rate of 6.5 million people; (ii) the region’s urban population will grow 40% by 2050, accompanied by an increase in consumption of urban land two to four times faster than population growth; and (iii) by 2025, 100 million people will live in only six megacities (Mexico City, São Paulo, Buenos Aires, Rio de Janeiro, Lima, and Bogotá), which will create great demand for services and infrastructure, and the need to develop new modalities of intergovernmental coordination and of metropolitan financing. In addition, consideration has to be given to the emergence of new demands for infrastructure and services at municipal level, such as investments to deal with challenges associated with climate change, changes in the labor market, and growing demand for smarter, competitive and inclusive cities. These trends create a complex situation for municipal governments and, in particular, put to the test their capacity to raise more resources to finance their investments. A.2. Low level of capacity to raise own revenues The subnational governments (SNGs) of LAC are highly dependent on intergovernmental transfers. Average spending by SNGs as a percentage of Gross Domestic Product (GDP) increased more than two percentage points between 2000 and 2015, mostly due to growth of

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transfers and, to a lesser extent, to SNGs’ own resources. By comparison the financing structure of SNGs - of which municipal governments (MGs) are an important part1 - contrasts not only with OECD countries, but also with other regions of similar relative development such as Asia (see Figure 1) (IDB, 2018).

FIGURE 1 TRANSFERS TO SNGS AS % OF SUBNATIONAL SPENDING IN REGIONS OF THE WORLD

80% 70% 60% 50% 40% 30% 20% 10% 0% OECD (33)

Asia

ALC

Africa

Source: IDB, (2018) with data from IMF-GFS, (2016).

To reduce this high level of dependency, MGs need to improve their capacity to raise their own revenue, which in turn depends on their efforts to improve exploitation of tax bases and collection of service charges and other revenue sources. Revenue collection by MGs in LAC is below its potential. For example, there is significant under-exploitation of the property tax with revenue of barely 0.4% of GDP on average in 2015, slightly more than a third in relation to the OECD (See Figure 2). In addition, there is little development of instruments for capturing increments in value stemming from public investments, low recovery of service costs, and weak management of assets and real estate by SNGs (IDB, 2018).

LAC has approximately 17,400 subnational governments. Of this total, 400 correspond to the intermediate level of govern-

ment (provinces, states, departments) and the rest (17,000) are municipal governments

Technical Documents · How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management

FIGURE 2 PROPERTY TAX COLLECTION (2000, 2010 AND 2015) LAC VS. OECD (AS % OF GDP)

Source: Bonet, J., Muñoz, A. & Pineda. C. (2014).

The causes of poor exploitation of their own resources include both regulatory restrictions imposed by the central government and, essentially, factors inherent in municipal management. Secondary causes include: lack of updating of cadastral databases and the taxpayer register; poor automation of collection functions; low level of capacity to adjust values of taxes and charges; and a weak control effort (IDB, 2018). Municipal fiscal efforts are also affected by the political calendar, especially during election years, making necessary the strengthening of the tax administration’s autonomy at municipal level. Moreover the central government does not always provide technical assistance programs to support modernization of municipal tax administrations. With respect to the property tax, MGs do not always have the capacity to carry out regular property valuations; digitize collection processes, or maintain taxpayer databases up-to-date, among other weaknesses. The result is that MGs in the region fail to exploit their tax potential which, in turn, restricts their capacity to act for the benefit of citizens. In this context, it is essential to strengthen the culture of payment, improve cadastre systems and tax administration, and make the necessary institutional reforms to bring subnational revenue collection to its full potential. A.3. Limited access to finance Another important challenge for MGs is their limited access to finance, a factor that restricts their capacity to achieve the social benefits of public investment and expand development opportunities. There are even MGs that, able to access borrowing in a framework of fiscal responsibility, are restricted from doing so due to lack of technical capacity to create a portfolio of “bankable” projects, limited knowledge of financing instruments (such as instruments for

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capturing increases in value or public-private partnerships), or due to the existence of regulatory limitations, for example, restriction of loan repayment periods to the duration of the government term which is the case in several countries. Weaknesses in financial management, including planning, budgetary management, public investment management, and debt management, also result in reduced access to financing sources. In some cases, MGs accumulate old debts with other public entities (for example, social security) and failure to write them off prevents entry into the market. In most MGs, their low level of generation of own revenue limits the amounts of borrowing or the amounts are so limited that they are not sufficient to be considered as credit subjects, even though there may be instruments for combining the resources of many entities in pool financing operations (IDB, 2018). Moreover, MGs generally receive insufficient technical assistance for their financial restructuring and subsequent rating for the market. This is largely due to lack of information and monitoring capacity of Ministries of Finance, which limits segmentation of MGs in accordance with their capacity to pay. In this aspect, one of the benefits of effective implementation of fiscal responsibility frameworks (as in the case of Brazil and Colombia) is the greater capacity of the central government to know the state of subnational public finances, particularly larger MGs, thus being able to authorize borrowing operations with low default risk. Fiscal management measures to increase municipal resources Considering these challenges, this section presents a set of fiscal management actions which, once implemented, will have a positive impact on increasing municipal government resources. The lines of action proposed below emphasize the aspects of public management, so restrictions in the area of political economy are not discussed. In this discussion we distinguish between internal and external sources of resources (see Figure 1) (UN-Habitat, 2016), emphasizing the actions needed to improve property tax and instruments to capture increases in value (internal sources); and creation of conditions for MGs to access external sources of resources. Figure 1: Traditional sources of MG revenue Revenue from internal sources Charges for basic services

Land related revenue:

and administrative services:

- Land tax (*)

- Charges for services: water,

- Transfers tax

sewage, parking

- Instruments to capture increases in value (*)

Other own revenue: - Vehicle taxes

- Revenue related to asset management - Administration fees: building permits, (rentals, investments, others) registration of new buisnesses, commercial licenses Revenue from external sources

Intergovernmental transfers - Unconditional transfers - Conditional transfers

Public finance:

Pirvate finance:

- State bank loans

- Bank loans - Bond issues - Public-private parnerships

- Developments funds - Development programs of

Source: Prepared by the authors based on UN Habitat 2016.

international bodies

Technical Documents · How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management

B.1. Actions to improve revenue from internal sources (own revenue) This section is a reflection on the actions that MGs can take to improve revenue from internal sources (or own source revenue), especially property tax and instruments for capturing increases in value. Property taxes In general, management measures that can be taken to improve performance of property taxes include improvement of cadastres, updating property values and modernization of municipal tax administrations (De Cesare, 2012). • Improve cadastres. The traditional shortcomings of cadastral systems are varied: exclusion of informal properties, lack of connection of cadastre with the public property registry system, omission of relevant information, technological obsolescence and, in many cases, lack of technical capacity for managing cadastral information applying international regulations or standards2. However, use of the new information and communication technologies (ICT) and use of Property Market Observatories3 and Geographic Information Systems (GIS) have led to important improvements in several cities of LAC. • Some municipalities have even managed to develop multipurpose cadastral systems in which all the institutions involved work together using common alphanumeric and cartographic standards that facilitate interoperability or integration of all the information systems. In this aspect, a noteworthy case is Diretrizes Nacionais para o Cadastro Territorial Multifinalitário (CTM), prepared by the Ministério das Cidades of Brazil in 2009, which guide implementation of multipurpose cadastres at municipal level.4 • The recommended lines of action for municipal governments in LAC to improve their cadastral systems include: (i) adopt international standards established in the Land Administration Domain Model (LADM) and the ISO 19152 standards; (ii) apply new strategies for formation of cadastral bases centered on more complete use of new ICT5 as several cities of LAC have already done; (iii) systematic updating of cadastres using cost-effective strategies, such as requiring property owners to pay for topographic studies when transferring their properties; or using self-reporting to update cadastral information; and (iv) increase involvement of 2

ISO 19152, Geographic information - Land Administration Domain Model (LADM)

Tool that systematically collects data on property market values, from which maps of generic land values can be prepared.

The data is obtained from different sources (real estate, internet portals, field surveys, etc.) or qualified informants (notaries or town clerks, Mortgage Credit Banks, etc.). Although the general considerations of this document are still valid, the Ministério das Cidades of Brazil has initiated the

revision of these guidelines. 5

An example is the use of drones for survey of cadastral information, which has already taken place in Uruguay.

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the private sector and information users in setting up and maintaining cadastral systems (De Cesare, 2012). • Update property values. The traditional methods of direct inspection are disappearing in favor of self-assessments (starting with Bogotá’s famous success story) and mass valuations. On the former, there has to be specific legislation that sets limits on the values reported (for example, they cannot be less than those previously registered for each property). This type of approach works best when the values calculated by the tax authority are used as reference. In the case of mass valuations, the most common methods are: calculation of the average value per unit of land area for homogeneous zones based on sale prices of plots adjusted for individual characteristics; application of multiple regression analysis; use of geostatistical spatial models; and calculation by a committee formed by local authorities and technical experts. (De Cesare, 2012) • The recommended lines of action for LAC municipal governments to improve their capacity to estimate property values include: (i) establish property market observatories; (ii) adopt valuation methods based on econometric and geostatistical analysis; (iii) review and simplify basic cadastral information; (iv) establish actions of common interest with strategic counterparts, particularly from the private sector; and (v) strengthen the technical capacity of municipal staff, particularly in use of geostatistical and econometric techniques (Erba & Piumetto, 2016). Also, in smaller municipalities, formation of consortiums is recommended to reduce costs associated with contracting value maps. Also in this area, Property Market Observatories are growing in importance which capture market dynamics and facilitate application of modern valuation methodologies for real estate property. • Improve tax administration. Collection of property taxes in Latin America is, in general, insufficient. As evidenced by the following bad practices: taxpayers have to go to the town hall to collect their tax bills, and tax assessment and collection are not integrated, there is a proliferation of generous tax amnesties, cadastral information is imprecise; there is a large gap between market and cadastral values, and judicial systems are permissive with respect to non-payment of taxes, among others (IDB, 2018). • Faced with this situation, some of the actions that contribute to better performance of local tax administrations are: (i) mkmore intensive use of ICT to inform taxpayers and facilitate payment; (ii) better integrate tax assessment with collection and execution systems; (iii) strengthen control functions and guarantee compliance with fines and penalties for tax evasion; and (iv) train municipal staff in use of new ICT and digital solutions which facilitate the entire tax administration process.

Technical Documents Âˇ How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management

Instruments for capturing increases in value Municipal revenue can also come from increases in land values. If municipal public resources for investments are very limited and, at the same time, urban development considerably raises the value of its main input - land- and the real estate sector moves enormous resources from this appreciation. Intensification of land use and higher urban densities are desirable since they optimize the use of the territory, but they are only possible with pre-existence or development of the respective support infrastructures. Investment in new municipal infrastructures generates as an externality appreciation of the land in that territory, commonly more than the original cost of the investment. If the increase occurs as a result of investments and actions promoted by the public sector, the corresponding capture of that value can be subsequently redistributed in favor of the urban community through new municipal investments. In other words, it is about using instruments for capturing the increase in the value of land (appreciation), whose theoretical precepts have existed for a long time and are used in several countries. Several studies show that the shift from rural to urban land can multiply its value up to four times on average. The increase in densities also increases the value of the land. Empirical estimates in

Several studies show that the shift from rural to urban land can multiply its value up to four times on average.

BogotĂĄ show that the shift from houses to 5 to 6 floor buildings can raise the price of land between 80% and 100%, depending on the location of the sector and its stratum. Additionally, installation of the necessary infrastructure for urbanization tends to generate a higher value than its cost. For example, in a sample of 10 cities in Latin America and the Caribbean, a basic

package of urban services with an average cost of US$25 per m2 increases the value of the land by more than US$70. This increase in land value, or appreciation, can be captured by subnational governments through taxes, levies and regulations, which can create new sources of local financing (Fretes, 2018). There are various instruments for capturing the increase in value generated by investments and public sector actions that affect land values. They include betterment levies on improvements, building rights charges, financing from tax increases, and land readjustment schemes. These instruments can be classified into: (i) taxes, such as differential rates of property taxes or financing from tax increases; (ii) levies, such as on improvements or increases in value; and (iii) regulations, such as exactions, charges for building rights or land readjustment (Blanco, Fretes, & MuĂąoz, 2016). The actions required by MGs to apply this type of instruments include: (i) establishing a legal and regulatory framework for capture of increases in value; (ii) strengthening the cadastre and property valuation systems that provide the basic information needed for estimates of increases in value; (iii) capacity to carry out the economic and financial analysis required for their application; and (iv) training of municipal technical staff to apply these instruments and their implementation process.

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B.2 Establishing conditions for access to finance There are certain actions that MGs can take to create the conditions required to access resources from external sources, such as banks, through bond issues or different alternatives which public-private partnerships open for them, among others. These actions include improvement of financial management systems and establishment of capital investment plans, an aspect that also requires identification of municipal infrastructure needs and priorities; assessment of the local governmentâ&#x20AC;&#x2122;s creditworthiness; and knowing the techniques for identifying the best combination of funding sources (see Figure 2) (Farvacque & Kopanyi, 2014). FIGURE 2 PREPARATION OF CAPITAL INVESTMENT PLANS

Assess financial needs and evaluate borrowing capacity

Identify needs and poriorities

Choose the best combination of financing tools

Source: Farvacque, C. & Kopanyi, M. (2014).

Improve MG financial management performance Adequate, accurate, and timely information on the financial situation of municipal governments benefits both investors and local governments. A uniform format for financial reporting - which is useful and meets the requirements of both central and local governments and investors - should be a priority for national regulators, as a precondition for improving the performance of financial management at municipal level (NALAS, 2011). The annual reports of municipal governments must include - at least - an administrative report, a balance sheet and a revenue statement, as well as a cash flow analysis (if an accounting system is used on accrued principle). Public disclosure of this financial information should be mandatory. Independent audits also need to carried out regularly. Municipal governments also have to improve their financial management performance if they request an external credit rating. After obtaining a credit rating, the municipal government will have a better understanding of the elements determining its credit value and solvency and will then be able to decide what adjustments are needed to improve its credit risk profile and thus reduce its financial costs associated with the debt (NALAS, 2011). Prepare capital investment plans In general, almost all municipal governments have an instrument for planning their development (the plan can be titled urban development, territorial development, integral development or some another name). However, MGs do not always have capital investment plans that corre-

Technical Documents · How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management

spond to their investment priorities, or that establish financing capacities based on the available fiscal space, or include a strategy for raising resources from external sources. The actions that must be taken to establish a capital investment plan are the following (see Figure 2): • Identify infrastructure needs and define priorities: Municipal governments decide - in a process with multiple interactions within their own administration and in dialogue with the electorate - what their priority investments are and how to finance them. During preparation of the (multiyear) budget, each of the MG’s departments evaluates the need for new investments and/or expansion or repairs of existing infrastructure. This initial list of priority projects is often long, and usually includes many competing proposals, so it is necessary to set clear selection criteria based on socioeconomic and political priorities, as well as on available funds (Farvacque & Kopanyi, 2014). • To arrange projects according to their socioeconomic returns, MGs usually use tools such as Cost-Benefit Analysis (CBA), Internal Rate of Return (IRR), or Net Present Value (NPV). These may be supplemented with project selection procedures based on other techniques such as: (i) degree of coherence with medium and long-term planning instruments; (ii) project’s contribution to closing gaps in infrastructure and municipal services; or (iii) use of multiple variables in project selection as is the case of multicriteria models. • Assess creditworthiness: Before establishing the terms and conditions of any financial operation (loans or bonds), investors assess the levels of creditworthiness of municipal governments. The creditworthiness of a municipal government measures - quantitatively and qualitatively - its capacity to borrow and repay the debt. This is a delicate process that includes (i) a detailed analysis of the financial situation of the municipal government, which means its financial administration must first be improved; (ii) an assessment of the local economy where the municipality operates (e.g. economic and political context); and (iii) an assessment of the national macroeconomic environment. This analysis does not have the same depth in all financial institutions, varying in line with their levels of specialization and knowledge in the area of local governments. In this area, municipal governments are recommended to carry out a self-assessment of their creditworthiness before applying to a financial institution. Doing this, they can determine approximately - how much money they can borrow without risking their financial stability. A self-assessment also prepares local municipal governments for the discussions they will hold with financial institutions when they need to issue debt. Likewise, local governments can use this self-assessment as a diagnostic tool to better understand what factors may affect their financial stability, or to analyze particular scenarios (NALAS, 2011).

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Choose the best combination of instruments: Once the municipal government determines how many resources can be raised on the credit market (and the amount of concessionary finance it is likely to receive), it will be able to choose the best combination of external resources which matches the duration of the investment, consistent with its

Some alternatives that MGs have are bank loans, financing through the capital market (municipal bonds), and public-private partnerships, among others.

medium-term fiscal space. Some alternatives that MGs have are bank loans, financing through the capital market (municipal bonds), and public-private partnerships, among others. • Bank credits: Through access to bank credit, whether local or provided by multilateral credit agencies (such as the IDB and World Bank, among others), local governments obtain resources to finance their urban infrastructure works and basic services. These credits are usually amortized by collection of charges for services, local taxes or intergovernmental transfers. The actions that have to be taken to access this type of financing, in its simplest form, include: (i) identify the projects that could be financed with the loan based on the Municipal Multiyear Investment Plan; (ii) make an assessment of borrowing capacity, payment capacity and sustainability of the debt; (iii) apply for finance based on the package of projects and financial situation of the municipality; (iv) negotiate and determine conditions of terms, rates, sources of repayment and guarantees; (v) obtain authorization from the Municipal Council and/or, as the case may be, from the regulator; and (iv) contract the loan. The recommendable aspects of this type of financing is that it is used to cover capital expenses prioritized in the Investment Plan and that the amount contracted is consistent with the sustainability of municipal debt. • Municipal bonds: Although not yet in mass, various municipal governments in LAC have experience accessing the capital market financing by issuing bonds and municipal securities. The experience in countries with consolidated capital markets shows that Municipal Bonds have a series of advantages, such as reduction of finance costs, greater transparency in the handling of financial information and creation of a new market of alternative instruments for investors. However, Municipal Bond issues only represent an advantage in the cost of financing for operations of significant amounts since there are inherent costs to this process which can only be justified if a minimum issue amount can be justified. The actions that a municipal government must take to issue bonds include (USAID et al., 2014): (i) calculate the municipal government’s borrowing capacity; (ii) select the project package from the investment program to be financed by the bonds; (iii) hire a specialized advisor who will assist throughout the issue process; (iv) prepare the financial

Technical Documents · How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management

plan (consistent with the municipality’s fiscal space) to determine the budgetary impact of the debt service, design the most convenient debt structure for the MG, determine the sources of financing to cover the debt service and design strategies to increase borrowing capacity; (v) hire an expert legal advisor on public borrowing to ensure that any legal or regulatory changes are taken into account in planning the issue and in the official documents; (vi) obtain credit risk ratings that include review of municipal finances, the municipality’s public management processes, the economic and demographic context, transparency and institutionality in the administrative processes, the situation of the debt and contingent liabilities; (vii) prepare the official document detailing the MG’s financial profile, the project package, MG’s commitments related to payment of the debt, the amount and date when the capital amortizations and interest payments will be made, the protection mechanisms of investors to safeguard the debt service, including a bank trust to oversees financial obligations; (viii) manage the borrowing authorizations from the Municipal Council, the market regulatory authorities and other government bodies established by law; (ix) contract a bond dealer to sell the bonds and set the date for start of sale of the bonds, as well as the conditions on which the bonds will be offered; and (x) sell the bonds, depending on market conditions and offerings from other issuers. Once the sale is made, the resources obtained should only be used to implement the projects incorporated in the investment program to be financed by the bonds. • Public-private partnerships. Faced with strong demand for infrastructure in a context of budgetary restrictions, many municipal governments have made increasing use of public-private partnerships (PPPs). These are contracts for infrastructure construction, operation and maintenance. The contractor of a productive or social infrastructure project is paid after construction by the service payments during the life of the contract. The asset can be owned by the municipal government from the start, or by the contractor until the end of the contract. The main advantages of PPPs, in addition to supplementing restricted government budgets, relate to reduction of cost overruns and increased transparency, contributing to greater efficiency. PPPs, however, also bring challenges in their implementation, especially in relation to preparing projects, contracting of high costs, and difficulties in pre-specification of appropriate operating standards. As a result, it is very important for governments that set up PPPs to have a well-developed institutional capacity and suitable processes for managing this type of project, including, among others: (i) a clear and appropriate legal framework, with basic requirements for PPPs and conflict resolution mechanisms and cancellation of contracts; (ii) a strong political commitment to good governance, and a good judicial system (necessary to assure investors that contracts will be honored); (iii) systematic use of cost-benefit analysis of proposed projects to ensure adequate

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rates of economic and social return; and of public sector comparators to help decide between PPP and direct public procurement; (iv) clear and unambiguous contracts to help reduce the risk of long and costly renegotiations; (v) appropriate administrative structures in the government to supervise the contracts; (vi) transparent procedures for bidding and awarding contracts; and (vii) a predictable and non-discriminatory regulatory environment (Fretes, 2018). In several LAC countries, it is not always possible to apply the modalities of mobilizing resources we discussed earlier which is why there is a need for actions to improve the regulatory framework. A key aspect of this regulatory framework is the so-called “fiscal pact” which establishes fiscal agreements that regulate the entire process of decentralization and operation of the municipal

Una vez realizada la venta, los recursos obtenidos sólo se deben utilizar para implementar los proyectos incorporados en el programa de inversiones que será financiado mediante los bonos.

financing system. For example, in 2017, the Mexican government updated the federal fiscal pact to increase responsibility among the three levels of government and raise the quality of public spending. With this objective, the reform introduced a federalist pillar to: (i) expand the tax powers of states without undermining federal finances; (ii) improve the incentives integrated into the transfer formulas from the types of (earmarked) transfers and (non-earmarked) transfers, under the condition of not reducing the nominal value of the transfers to any state; (iii) harmonize accounting at all levels of government; and (iv) strengthen local audits. Other alternatives to be considered in the “fiscal pact” include the possibility of creating new taxes, such as surcharges on the value added tax and/or a retail sales tax. However, before creating additional taxes, their impacts on the incentives of economic agents should be studied and strategies designed to manage the possible political cost they can generate create for municipal governments (Fretes, 2018).

Technical Documents · How To Improve Municipal Revenue And Prepare To Access Financing?: The Importance Of Good Fiscal Management

Bibliography IDB. (2016) Sectorial framework document for urban development and housing. IDB. (2018). Sectorial framework document on decentralization and subnational governments. Blanco, A., Fretes, V. & Muñoz, A. (2016). Expandiendo el uso de la valorización del suelo, la captura de plusvalías en América Latina y el Caribe. IDB. Bonet, J., Muñoz, A. & Pineda, C. (2014). ). El potencial oculto, factores determinantes y oportunidades del impuesto a la propiedad inmobiliaria en América Latina. IDB. Darche , B. & Gallo, J. (2012). Enabling environment for sub-national government debt. SNTA Briefs. PPIAF. World Bank. De Cesare, C. (2012). Improving the performance of the property tax in Latin America. Lincoln Institute of Land Policy. Erba, D. & Piumetto, M. (2016). Para leer el suelo urbano, catastros multifinalitarios para la planificación y el desarrollo de las ciudades de América Latina. Lincoln Institute of Land Policy. Farvacque, C. & Kopanyi, M. (2014). Municipal finances, a handbook for local governments. World Bank. Fretes, V. (2018) 5 soluciones para expandir las fuentes de financiamiento subnacional y acelerar el desarrollo sostenible. Recaudando Bienestar. IDB. ISO (2012). ISO 19152, geographic information, land administration domain model LADM. International Organization for Standardization. Martell, C. (2016). Enhancing access to capital financing for sustainable urban infrastructure, a review of the literature. Economic and Sector Work. Manuscript. IDB. NALAS. (2011) . Guidelines on local government borrowing and recent developments in NALAS Countries. Network of Associations of Local Authorities of South East Europe. Serebrisky, T. (2014). Sustainable infrastructure for competitiveness and inclusive growth. IDB. UN Habitat.(2016). Finance for city leaders. United Nations Human Settlements Program. USAID, ICMA, & AMMAC. (2014). ). Diez pasos observados para acceder al mercado de bonos municipales.

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Créditos y Agradecimientos

Agradecimientos Queremos darle un agradecimiento especial a todo el equipo de la Universidad de EAFIT, la Alcaldía de Medellín, la ACI, del Banco Interamericano Desarrollo, la Universidad de Cantabria, la Universidad Internacional Menéndez Pelayo, y el Ayuntamiento de Santander quienes nos apoyaron en la elaboración de la Reunión de Alcaldes y Seminario: ‘’Ciudades Incluyentes: Aprendiendo de Medellín.”

Créditos EDICIÓN

División de Desarrollo Urbano y Vivienda EQUIPO RED DE CIUDADES BID:

María Camila Uribe Carolina Barco María Camila Quintero María Camila Ariza Keisgner Alfaro Erick Marin DISEÑO

Carolina Vargas www.carolina-vargas.com FOTOS

Alcaldía de Medellín Banco Interamericano de Desarrollo Carolina Vargas Santiago Posada IMPRESIÓN

Multimpresos Comunicación Gráfica Sabaneta, Antioquia - Colombia