Implementing the Habitat Agenda: Urban Management Programme City Consultation Case Studies by UN-Habitat

Urban Management Programme UNDP/UNCHS/World Bank

IM PLEM EN TIN G TH E H ABITAT AG EN D A U rban M anagem entProgram m e C ity C onsultation C ase Studies

Published for the Urban Management Programme by UNCHS (Habitat), Nairobi, Kenya

U rban M anagem entProgram m e City Consultation Case Studies

This document has been prepared under the auspices of the United Nations Development Programme / United Nations Centre for Human Settlements / World Bank sponsored Urban Management Programme. The findings, interpretations and conclusions expressed here are those of the authors and do not necessarily represent the views of UNDP, UNCHS, the World Bank or any of their affiliated organisations.

The Urban Management Programme (UMP) represents a major approach by the United Nations family of organisations, together with external support agencies, to strengthen the contribution that cities and towns in developing countries make toward economic growth, social development and the alleviation of poverty. The programme develops and promotes appropriate policies and tools for municipal finance and administration, land management, infrastructure management and environmental management. Through a capacity-building component, the UMP supports the establishment of an effective partnership with national, regional and global networks and external support agencies in applied research and dissemination of information and experiences of best practices and promising options. The findings, interpretations and conclusions expressed in this paper are entirely those of the contributors and authors and should not be attributed in any manner to the United Nations, the World Bank, to affiliated organisations or to members of its Board of Executive Directors of the countries they represent. The United Nations Centre for Humans Settlements does not guarantee the accuracy of the data included in this publication and accepts no responsibility whatsoever for any consequence of its use. Some sources cited in this paper may be informal documents that are not readily available. The boundaries, colors, denominations and other information shown on any map in this volume do not imply on the part of the United Nations or World Bank Group any judgement on the legal status of any territory or the endorsement or acceptance of such boundaries.

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Acknow ledgem ents

Case studies for this publication were provided by the UMP Regional Offices in Africa, Asia and the Pacific, the Arab States and Latin America and the Caribbean, with key inputs from various anchor institutions, local partner institutions and city consultation partners. Editing and compilation was done by Liz Case. UMP is grateful to all persons and institutions who contributed to this publication. The Urban Management Programme would like to acknowledge the on-going contributions and support of the United Nations Development Programme, the United Nations Centre for Human Settlements, the World Bank and the governments of Germany, The Netherlands, Sweden, Switzerland and the United Kingdom.

U rban M anagem entProgram m e City Consultation Case Studies

Forew ord

The Urban Management Programme, a joint undertaking of the United Nations Development Programme, the United Nations Centre for Human Settlements and the World Bank, is committed to implementing the Habitat Agenda at the local level. Phase 3 (1996 â&#x20AC;&#x201C; 2001) of the Urban Management Programme (UMP) was launched at Habitat II. The focus and strategy of this phase was guided by the major principles that emerged from the Habitat Agenda. The Istanbul Declaration adopted the enabling strategy and principles of partnership and participation as the most democratic and effective approach for the realization the commitments made in the Habitat Agenda. The UMP strategy of city consultations is based on these principles. The underlying premise of the UMP city consultation process is to promote participatory decision-making in cities for sustainable urban development. Through the city consultation process, local governments are encouraged to engage in constructive dialogue with stakeholders and involve them in the decision-making concerning cityâ&#x20AC;&#x2122;s development. Towards the goal of ensuring institutionalisation of the consultative process, local and regional anchor institutions are encouraged to build adequate rapport with the city government and stakeholder groups and ensure that participatory decision-making is sustained. Over the past five years, 120 city consultations have been undertaken in 57 countries across Latin America and the Caribbean, Asia and the Pacific, Africa and the Arab States. Recognizing that the four regions of the Urban Management Programme have different conditions and characteristics, there are variations in implementation of programme activities and strategy. Each regional and sub-regional office of UMP has endeavoured to place the programme objectives within the regional context. There is a rich and diverse experience of stakeholder engagement in urban management and implementation of the Habitat Agenda at local level. This publication illustrates the city consultation process through an examination of eight case studies from across the regions. It discusses process, lessons learned, outcomes and results from the perspective and context of each particular city. It considers the success of each city consultation in implementing the Habitat Agenda and demonstrates how strongly the Urban Management Programme supports the principles, commitments and plan of actions identified at Istanbul in 1996.

Dinesh Mehta Coordinator, Urban Management Programme United Nations Centre for Human Settlements (Habitat)

Im plem enting the H abitatAgenda

Table ofContents IN TRO D U CTIO N .....................................................................................................................................................1 PARTICIPATO RY M AN AG EM EN T TO IM PRO VE LIVIN G CO N D ITIO N S IN BELÉM D O PARÁ,BRAZIL................11 BASIC CITY INFORMATION ................................................................................................................................... 13 DESCRIPTION OF THE CITY CONSULTATION PROCESS ................................................................................................... 14 City Consultation process.................................................................................................................14 Action Plan ......................................................................................................................................15 D evelopm entofa Priority Action Program m e...................................................................................15 Problem s and O bstacles Faced .........................................................................................................17 OUTCOMES AND RESULTS ................................................................................................................................... 18 Form ulation ofspecific projects and program m es.............................................................................18 Legaland policy fram ew orks and new law s .....................................................................................18 Institutionalfram ew orks to facilitate participation and partnership ...................................................19 Financialdevices and changes in m unicipalresource allocation (leveraging offunds)......................19 Changes in politicalculture..............................................................................................................19 LESSONS LEARNED ............................................................................................................................................ 20 THE BELEM CITY CONSULTATION AND THE HABITAT AGENDA ...................................................................................... 21 TH E “N O N TH ABU RI SU STAIN ABLE CAN AL D EVELO PM EN T PRO JECT” N O N TH ABU RIPRO VIN CE, TH AILAN D ............................................................................................................................................................. 23 BASIC CITY INFORMATION ................................................................................................................................... 24 DESCRIPTION OF THE CITY CONSULTATION PROCESS ................................................................................................... 25 OUTCOMES AND RESULTS ................................................................................................................................... 28 LESSONS LEARNED ............................................................................................................................................ 29 THE NONTHABURI CITY CONSULTATION AND THE HABITAT AGENDA ............................................................................ 30 AN ECO N O M IC D EVELO PM EN T STRATEG Y FO R IN N ER CITY JO H AN N ESBU RG ,SO U TH AFRICA ...................31 BASIC CITY INFORMATION ................................................................................................................................... 32 THE CITY CONSULTATION PROCESS ....................................................................................................................... 33 StakeholderInvolvem ent..................................................................................................................34 Strengths and O bstacles ...................................................................................................................35 OUTCOMES AND RESULTS ................................................................................................................................... 36 LESSONS LEARNED ............................................................................................................................................ 38 Process Design ................................................................................................................................. 38 Policy Implementation ..................................................................................................................... 38 Stakeholder Involvement and Partnerships Developed ..................................................................... 38 Focus on Micro Economic Development .......................................................................................... 38 THE JOHANNESBURG CITY CONSULTATION AND THE HABITAT AGENDA .......................................................................... 38 “YO U TH AN D TH E CITY” IN KASSERIN E,TU N ISIA ............................................................................................. 41 The Tunisian Context........................................................................................................................41 Kasserine ..........................................................................................................................................41 BASIC CITY INFORMATION ................................................................................................................................... 42 THE KASSERINE CITY CONSULTATION PROCESS ........................................................................................................... 43 Selection ofKasserine.......................................................................................................................43 Consultation O bjectives and Scope ofIntervention ..........................................................................43 The Consultative Process..................................................................................................................44 Key Issues/O bstaclesFaced ..............................................................................................................45 OUTCOMES AND RESULTS ................................................................................................................................... 47 Institutionalisation ofthe City Consultation Process and sustainability ofefforts ...............................47 Supportto youth initiatives...............................................................................................................48 N eighborhood-based m unicipaldevelopm entand m anagem ent......................................................48 LESSONS LEARNED ............................................................................................................................................ 48 THE KASSERINE CITY CONSULTATION AND THE HABITAT AGENDA ................................................................................. 49

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iii

“D IG N IFIED H O U SIN G ” IN M ARACAIBO ,VEN EZU ELA ......................................................................................51 Territory and housing........................................................................................................................51 Social...............................................................................................................................................51 M unicipal Policy ..............................................................................................................................52 BASIC CITY INFORMATION ................................................................................................................................... 53 THE MARACAIBO CITY CONSULTATION PROCESS ...................................................................................................... 54 Challenges to be addressed during the City Consultation..................................................................54 The City Consultation Process..........................................................................................................54 RESULTS AND OUTCOMES ................................................................................................................................... 56 LESSONS LEARNED ............................................................................................................................................. 57 THE MARACAIBO CITY CONSULTATION AND THE HABITAT AGENDA .............................................................................. 58 AD D RESSIN G PO VERTY AN D G O VERN AN CE IN CO LO M BO ,SRILAN KA .........................................................61 BASIC CITY INFORMATION ................................................................................................................................... 63 THE COLOMBO CITY CONSULTATION PROCESS .......................................................................................................... 64 LocalPartner Institution....................................................................................................................64 StakeholderConsultations(D ec.1998-Feb.1999).............................................................................64 Cityw ide Consultation (M ay 1999)...................................................................................................64 Pilotprojects (July 1999 onw ards)....................................................................................................65 OUTCOMES AND RESULTS .................................................................................................................................. 65 Colom bo City D evelopm entStrategy................................................................................................66 LESSONS LEARNED ............................................................................................................................................ 67 THE COLOMBO CITY CONSULTATION AND THE HABITAT ............................................................................................ 67 IN FO RM AL SETTLEM EN TS U PG RAD IN G IN D AM ASCU S,SYRIA .........................................................................69 Damascus - general urban trends ..................................................................................................... 69 Tabala and Dweila ........................................................................................................................... 69 BASIC CITY INFORMATION ................................................................................................................................... 70 THE DAMASCUS CITY CONSULTATION PROCESS ....................................................................................................... 71 Selection ofthem e,city and pilotarea..............................................................................................71 Im plem entation m echanism :the country panel................................................................................71 The Consultative Process..................................................................................................................72 Key Issues/O bstaclesFaced ..............................................................................................................74 IMPACTS ........................................................................................................................................................ 75 Investm ent........................................................................................................................................75 Legaland Policy Change ..................................................................................................................76 Institutionalization of participation ...................................................................................................77 LESSONS LEARNED ............................................................................................................................................ 77 THE DAMASCUS CITY CONSULTATION AND THE HABITAT AGENDA ............................................................................... 78 LO CAL CO N SU LTATIO N O N TH E M AN AG EM EN T O F BIO M ED ICAL W ASTE IN BAM AKO ,M ALI AN D D AKAR,SEN EG AL ......................................................................................................................................... 81 BASIC CITY INFORMATION ................................................................................................................................... 82 THE LOCAL CONSULTATIONS IN DAKAR AND BAMAKO .............................................................................................. 84 City profile .......................................................................................................................................84 Localconsultation and Action Plan form ulation ...............................................................................85 Form ulating and Im plem enting the finalplan ofaction.....................................................................86 RESULTS ........................................................................................................................................................ 87 LESSONS LEARNED ............................................................................................................................................. 88 BAMAKO AND DAKAR CITY CONSULTATIONS AND THE HABITAT AGENDA ....................................................................... 89 U RBAN M AN AG EM EN T PRO G RAM M E PU BLICATIO N S LIST...............................................................................92

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Introduction “This is the century of cities. It is a trend that cannot be stopped… And the challenge therefore facing us in this century is how to make cities a better place for the majority of the people.” Anna Tibaijuka, Executive Director, United Nations Centre for Human Settlements

H abitatIIand the H abitatAgenda At the United Nations Conference on Human Settlements (Habitat II), the Habitat Agenda identified principles, commitments and plan of actions on two themes of equal global importance: “Adequate shelter for all” and “Sustainable human settlements development in an urbanizing world”. Habitat II and its preparatory process were distinguished by the unprecedented role of NGOs, local authorities and other major groups in participating in the conference deliberations and shaping its outcomes. At Habitat II, 171 governments adopted the Istanbul Declaration and the Habitat Agenda for addressing issues and problems relating to human settlements, both urban and rural, into the next century. The Istanbul Declaration states that, “the challenges of human settlements are global, but countries and regions also face specific problem which need specific solutions. We recognize the need to intensify our efforts and cooperation to improve living conditions in cities, towns and villages throughout the world, particularly in the developing countries.” The Istanbul Declaration also adopts the enabling strategy and principles of partnership and participation as the most democratic and effective approach for the realization the commitments. “Recognizing local authorities as our closest partners, and as essential in the implementation of the Habitat Agenda, we must, within the legal framework of each country, promote decentralization through democratic local authorities and work to strengthen their financial and institutional capacities in accordance with the conditions in each country, while ensuring their transparency, accountability and responsiveness to the needs of people.” The Habitat Agenda recognizes that “sustainable human settlements are those that, inter alia, generate a sense of citizenship and identity, cooperation and dialogue for the common good, and spirit of voluntarism and civic engagement, where all people are encouraged to have an equal opportunity to

participate in decision-making and development.” It recognizes that partnership among all actors from public, private, voluntary, and community-based organizations, the cooperative sector, nongovernmental organizations and individuals is essential to the achievement of sustainable human settlement development. The U rban M anagem ent Program m e and the H abitat Agenda Initiated in 1986, the Urban Management Programme (UMP) is one of the largest global technical assistance programmes in the urban sector. The programme is designed to strengthen the capacity of urban local governments and national governments to enhance the contribution that cities and towns in developing countries make toward development of their own human resources, including poverty reduction, the improvement of environmental conditions, improvement in local governance and the management of economic growth. The Programme has, through its unique governance and management structure, responded to the demands of the national and local governments and has enabled them to manage their own development more effectively. Phase 1 of the UMP (1986-91) had a global perspective, concentrating on the development of urban management frameworks and tools. During this Phase, UMP worked to synthesise lessons learned, disseminate research outputs and design technical cooperation programmes that support national and regional capacity-building activities. Phase 2 of the UMP (1992-1996) was aimed at using these frameworks and tools to build capacity at the regional level and extend it to the country levels. The main mechanisms used in Phase 2 were the establishment of regional capacity, including regional panels of experts, and holding of workshops/consultations at the country and regional level to introduce new policies and tools. The programme management structure was decentralised with the establishment of four regional offices to carry out these activities.

U rban M anagem entProgram m e City Consultation Case Studies

Phase 3 of the programme was launched at Istanbul during the Habitat II Conference. Major principles guiding future activities of the UN system that emerged from the Habitat agenda were incorporated in the design of the third phase of UMP. The focus of UMP activities shifted to strengthening capacities of local authorities in addressing issues related to Urban Poverty Alleviation, Urban Environmental Sustainability and Participatory Urban Governance and a crosscutting theme - gender. Working at the city level on these themes, UMP enabled local authorities and national governments to implement the Habitat Agenda. The strategic focus of the programme at the city level is on city consultation, reflecting the ideas on participation and civic engagement that were confirmed at the Habitat II Conference. Within the UMP city consultations, participation is seen both as a means for achieving the programme objectives of sustainable urban management, as well as an end goal for empowering the people and their involvement in urban decision-making processes. The U M P City Consultation The underlying premise of the UMP city consultation process is to promote participatory decision-making in cities for sustainable urban development. Through the city consultation process, local governments are encouraged to engage in constructive dialogue with stakeholders and involve them in the decision-making concerning cityâ&#x20AC;&#x2122;s development. Towards the goal of ensuring institutionalisation of the consultative process, local and regional partner institutions are encouraged to build adequate rapport with the city government and stakeholder groups and ensure that institutional mechanisms are established. A UMP City Consultation is designed on the tenet of partnership, whereby all stakeholders, both within and outside the city government, treat each other on the basis of respect and equality. In particular, the views of civil society stakeholders are accorded full consideration, even if they are not expressed in the language and terminology commonly used by the urban development professionals, who often mediate and facilitate the UMP City Consultation process. It is a basic premise of UMP City Consultations that the knowledge and support of civil society stakeholders is essential to solve the problems. Each UMP City Consultation is designed to maximize partnership between city government and civil society

stakeholders. The stronger the partnership, the better the result. UMP city consultations are also intended to harness the social capital in urban areas. Social capital refers to stocks of social trust, norms and networks that people can draw upon to solve common problems. Networks of civic engagement, such as community and neighborhood groups, private and business sector as sociations, cooperatives, etc. are an essential form of social capital. These networks of civic engagement are brought on a common platform with urban local governments in a city consultation process. The vision of sustainable human settlement, identified in the Habitat Agenda, as a place where everyone, regardless of wealth, gender, age, race or religion, is enabled to participate productively and positively in the opportunities cities have to offer is promoted by UMP through its city consultation process. The UMP consultations are not seen as one-off events, but rather as a sustainable process of citizen involvement in decision-making. For this to be effective, the city consultations are demand-based. This means that they are based on priorities defined by the people themselves and expressed through community contributions. Community groups and actions are based on internal resource mobilization and self-help. In support of a demand-based approach, the local partner institutions that facilitate the consultation process develop clear rules of engagement (including procedures for inclusive decision-making and community contributions) and help community groups to make informed choices among options, comparing costs and benefits, supporting local priorities and initiative and build local capacity. The selection of the participating city is carefully made on the basis of prior evidence of the cityâ&#x20AC;&#x2122;s efforts to improve governance and peopleâ&#x20AC;&#x2122;s participation. The UMP consultation is designed as a process, not merely an event, intended to achieve improvements in the way city governments do business and not as an end in themselves. It is essentially a means to bring all the stakeholders together on the same platform for identifying of important issues, developing consensus on the action plans and ensuring resources and commitments of all stakeholders for the implementation of these action plans.

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G lobaloverview ofU M P City Consultations The principal process to facilitate implementation of the Habitat Agenda at the local level was the engagement of regional networks of institutions in city consultations. At the regional level, the goal of institutional anchoring has been to form working partnerships between the anchor institutes and UMP, and assist them to develop their capability to continue city consultation activities in future. In addition, partnerships with regional networks of local authorities, regional banks and other bilateral agencies were established for regional activities such as workshops and seminars on emerging regional issues. Recognising that the four regions of the Urban Management Programme have different conditions and characteristics, there are variations in implementation of programme activities and strategy. Each regional and sub-regional office of UMP has

Subject

Com pleted City Consultations

endeavoured to place the programme objectives within the regional context. In the recent wave of decentralization in A frica, local authorities and other stakeholders are working together to find ways of managing new responsibilities. This process has been facilitated by UMP activities. City consultation activities have been carried out in 39 cities through engagement of regional anchor institutions and local institutional partners. Follow up support to the city consultations has taken many forms depending on the local government resources and the funding opportunities. UMP activities in the region have generated significant donor agency interest, which have resulted from donor roundtables organized by the regional office after each city consultation.

Active City Consultations

Pipeline City Consultations

Urban Environmental Management

Bamako, Mali Dakar, Senegal Cotonou, Benin Ibadan, Nigeria Ouagadougou, Burkina Faso Toumodi, Cote dâ&#x20AC;&#x2122;Ivoire Vavoua, Cote Dâ&#x20AC;&#x2122; Ivoire Djougou, Benin

Niamey, Niger Nouakchott, Mauritania Bamako, Mali Abidjan, Cote dâ&#x20AC;?Ivoire Dakar, Senegal Cotonou, Benin Ouagadougou, Burkina Faso Osogbo, Nigeria

Arusha, Tanzania Mpigi, Uganda

Urban Poverty Alleviation

Ijebu-Ode, Nigeria Lusaka, Zambia Harare, Zimbabwe Matola, Mozambique Windhoek, Namibia

Minna, Nigeria

Cape Town, South Africa Johannesburg, South Africa

Participatory Urban Governance

Malindi, Kenya Ouagadougou, Burkina Faso Kaduna, Nigeria Lagos-Somolu, Nigeria Accra, Ghana Johannesburg, South Africa St. Louis, Senegal

Lome, Togo Kumasi, Ghana Kano, Nigeria

Bamako, Mali Douala, Cameroon

Gender

Lilongwe, Malawi

In A sia and the P acific,decentralization and local autonomy are gaining more momentum, and with this, the interest in capacity building of local governments is growing. While several Asian countries have

adopted decentralization policies, higher levels of government still often exercise excessive controls over the functional, financial and administrative responsibilities of local government. As a result, there

U rban M anagem entProgram m e City Consultation Case Studies

is a mismatch between the functional powers of local governments and the financial resources available to them. Where decentralization is more mature, such as in Sri Lanka, India and Philippines, there is concern about the effectiveness of its current implementation. In Thailand and Indonesia, where decentralization is very new, policies are still evolving which present vast opportunities for positive action. In Asia, the social consequences of the financial crisis continue to linger in spite of recent indications of recovery in Thailand, Philippines, Indonesia and Malaysia. Its impact has been felt more in cities,

Subject

reflected in increased poverty brought about by cutbacks in both public and private employment as well as in public expenditures for health and education. Many cities have been able to achieve significant success, which can be built upon, upscaled and replicated. The most recent experiences of UMP city consultations in Asia have shown that a participatory urban governance approach is essential to achieve improvements to existing urban conditions, process and institutions. During Phase 3, UMP-Asia has undertaken city consultations in 20 cities in 12 countries.

Com pleted City Consultations

Active City Consultations

Urban Environmental Management

Phuket, Thailand Dhaka, Bangladesh Surat, India Mumbai, India

Leshan, China Nonthaburi, Thailand Yala, Thailand

Urban Poverty Alleviation

Lalitpur, Nepal

Phnom Penh, Cambodia Hyderabad, India Nagpur, India Vientienne, Loa PDR Pasig, Philippines Semarang, Indonesia

Participatory Urban Governance

Colombo, Sri Lanka Bangkok, Thailand Bangalore, India Hanoi, Vietnam Ho Chi Minh City, Vietnam

Shenyang, China

In Latin A m erica and the C aribbean,(LAC), the city consultation methodology is well suited to the current situation in the region. LAC is the most urbanised region in the world (73%) and at the same time, 30% of the urban population is poor. Given the high degree of urbanization in this region, urban areas in LAC have important lessons for other regions in the world in meeting the challenges of urbanisation. Decentralisation has taken root in the course of the last ten years and has become a major component of national and public policies in the greater part of Latin America. Municipal elections take place regularly, political change is recognised and accepted as normal, mayors assume their responsibilities, national associations of mayors have been created, as have

Pipeline City Consultations

regional networks in which UMP is playing a role. Municipalities are ready to accept programmes that reconcile different actors and diminish the perceived antagonism between” “representative democracy” and “participatory democracy”. Local action groups and NGOs are extremely active, although they often compete with one another. In this environment they seek allies to strengthen their respective position, in a context of “municipal conquest”. UMP LAC has been active in 43 consultations located in 34 different cities from 19 countries in the region. It has been highly successful in contributing to the institutionalisation and formalisation of participative governance in more than 20 cities in the region. This

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participatory governance has had a very positive impact on improving the life and the conditions of the poor and excluded communities. In LAC, UMP has increased its legitimacy and visibility with Subject

municipality and local authorities, national and regional associations of cities and local governments. Mainstreaming a gender perspective in UMP-LAC has been an important component of UMP activities.

Com pleted City Consultations

Active City Consultations

Urban Environmental Management

Belem, Brazil Cerro de Pasco, Peru Independencia, Brazil Iquitos, Peru Lurigancho-Chosica, Peru Puerto Cortes, Honduras

Cap Haitien, Haiti Port of Spain, Trinidad and Tobago Quito, Ecuador

Urban Poverty

Ate-Vitarte, Peru Ciudad Guayana, Venezuela Maracanau, Brazil Los Olivos, Peru Maranguape, Brazil Col. Romero Rubio, Mexico Mesa de los Hornos, Mexico Neiva, Colombia Santo Andre, Brazil Tres Manuelas, Quito

Cordoba, Argentina Santo Domingo, Dominican Republic Maracaibo, Venezuela Leon, Nicaragua Barquisimeto, Venezuela Rio Bonito do Iguazu, Brazil

Belize City, Belize

Quito, Ecuador Cuenca, Eduador Santo Andre, Brazil

Montego Bay, Jamaica Manizales, Colombia

Alleviation

Participatory Urban Governance

Barra Mansa, Brazil Cochabamba, Bolivia Cotacachi, Ecuador Eloy Alfaro, Ecuador Icapui, Brazil Villa el Salvador, Peru Mexico City Historic Centre Montevideo, Uruguay Paraiso, Costa Rica San Salvador, El Salvador Rimac, Peru

Gender

Quetzaltenango, Guatemala

All themes

In the A rab States R egion, 21 city consultations have been carried out in seven countries. In several instances, the UMP-ASR has been highly successful in improving the living conditions of the poor. In Damascus, for example, informal settlements have been upgraded as a result of UMP interventions, and

Pipeline City Consultations

national and local policies have come to favor settlement upgrading over more hostile approaches to informal settlements. The UMP has successfully lobbied the municipality to reform its land zoning policy and made more land available for low-to-middleincome residents in Amman. In Cairo, informal waste

U rban M anagem entProgram m e City Consultation Case Studies

pickers are benefiting from a pilot project to integrate them into the municipalityâ&#x20AC;&#x2122;s waste management system by introducing them to income-generating recycling activities. Women in Beirut have benefited from opportunities to learn new skills in waste recycling, and other programs are replicating the project in other parts of Lebanon. In Kasserine, the municipality is establishing neighborhood service

Subject

centers that will provide local-based services to marginalized youth to facilitate their integration in society. These successes all have something in common: they have been made possible by the sustained collaboration between local UMP partners and the concerned municipalities and by the adoption of an advocacy approach that goes beyond the provision of technical advice.

Com pleted City Consultations

Active City Consultations

Pipeline City Consultations

Urban Environmental Management

Damascus, Syria Siwa, Egypt

Salt, Jordan Damascus, Syria

Tunis, Tunisia

Urban Poverty Alleviation

Amman, Jordan Damascus, Syria Tunis, Kasserine, Bou Salem, Tunisia

Kasserine and Tunis, Tunisia

West Bank , POT Marrakech, Morocco

Participatory Urban Governance

Tunisia (land) Morocco (land) Amman, Jordan Petra, Jordan Zarqa, Jordan

Morocco (CDA) Chhim, Lebanon Sousse & Sfax, Tunisia

Jordan Tunis (CDS), Tunisia

Case Studieson Im plem enting the H abitatAgenda atthe locallevel The Urban Management Programme has carried out 120 city consultations in 57 countries during Phase 3 (1997-2001). Each city consultation addresses many aspects of the key commitments and strategies of the Habitat agenda through a thematic entry point. There are some general lessons that emerge from this rich and diverse global experience. Experience has demonstrated that poverty is more than simply an issue of lack of income. It is also rooted in social and cultural inequities. In all societies, there are mechanisms that lead to the exclusion and marginalization of certain groups. These mechanisms may be linked to policies and regulations, or the absence thereof; cultural values; economic priorities, and/or market dysfunction. The component of poverty should be enlarged to include the issue of exclusion. The city consultation process has demonstrated a mechanism to include the poor in the decision-making process. However, only in cities where the poor were

well organized and had an institutional basis, was it easier to direct the consultations to address their problems. One of the key objectives of the UMP is to institutionalize participatory governance in the municipalities. Efforts to mainstream participatory governance are focussed at the local level with a view to promote the norms of good governance and influence national level decentralization frameworks. A main lesson on the theme of participatory urban governance is that institutionalization of the consultative process is an arduous task and requires considerable efforts to ensure that such participatory decision-making will become â&#x20AC;&#x2DC;the way in which cities do businessâ&#x20AC;&#x2122;. However, these consultations have brought about a major change in the mindset of the local government officials regarding many important issues related to transparency, accountability, efficiency and responsiveness of the local governments. Another important lesson was that while several countries have adopted decentralization policies, excessive

Im plem enting the H abitatAgenda

controls are still exercised by higher levels of governments in Asia, Africa, and the Arab States on the functional, financial and administrative responsibilities of local government. As a result, urban local governments have a limited domain of functional and financial responsibilities. More efforts are necessary to strengthen and deepen the decentralization process. This publication provides an in-depth look at nine

representative UMP City Consultation case studies from Belem, Brasil, Nonthaburi, Thailand, Johannesburg, South Africa, Kasserine, Tunis, Maracaibo, Venezuela, Colombo, Sri Lanka, Damascus, Syria, Bamako, Mali and Dakar, Senegal. It analyses the success of each city consultation in implementing the key commitments and strategies Habitat Agenda and demonstrates how strongly the Urban Management Programme supports the overall spirit initiated at Istanbul in 1996.

H abitatAgenda 20 Key Com m itm entsand Strategies Shelter • Provide security of tenure (indicators: tenure types; evictions) • Promote the right to adequate housing (indicator: housing price-to-income ratio; qualitative data: housing rights) • Provide equal access to land (indicator: land priceto-income ratio) • Promote equal access to credit (indicator: mortgage and non-mortgage) • Promote access to basic services (indicators: access to water; household connections) Socialdevelopm entand eradication ofpoverty • Promote equal opportunities for a healthy and safe life (indicator: under-five mortality; crime rates; qualitative data: urban violence) • Promote social integration and support disadvantaged groups (indicator: poor households) • Promote gender equality in human settlements development (indicator: female-male gaps) Environm entalM anagem ent • Promote geographically balanced settlement structures (indicator: urban population growth) • Manage supply and demand for water in an effective manner (indicators: water consumption; price of water) • Reduce urban pollution (indicators: air pollution; wastewater treated; solid waste disposal) • Prevent disasters and rebuild settlement (qualitative data: disaster prevention and mitigation instruments)

• Promote effective and environmentally sound transportation systems (Indicators: travel time; transport modes) • Support mechanisms to prepare and implement local environmental plans and local Agenda 21 initiatives (qualitative data: local environmental plans) Econom ic D evelopm ent • Strengthen small and micro enterprises particularly those developed by women (indicator: informal employment) • Encourage public-private sector partnerships and stimulate productive employment opportunities (indicators: city product; unemployment; qualitative data: public-private partnerships) G overnance • Promote decentralisation and strengthen local authorities (qualitative data: level of decentralization) • Encourage and support participation and civic engagement (qualitative data: citizen involvement in major planning decisions) • Ensure transparent, accountable and efficient governance of towns, cities and metropolitan areas (indicator: local government revenue and expenditures; qualitative data: transparency and accountability) InternationalCooperation • Enhance international cooperation and partnerships (qualitative data: engagement in international cooperation)

U rban M anagem entProgram m e City Consultation Case Studies

Im plem enting the H abitatAgenda

U M P City Consultation Case Studies BelĂŠm do ParĂĄ,Brazil N onthaburi,Thailand Johannesburg,South Africa Kasserine,Tunis M aracaibo,Venezuela Colom bo,SriLanka D am ascus,Syria Bam ako,M ali& D akar,Senegal

U rban M anagem entProgram m e City Consultation Case Studies

Im plem enting the H abitatAgenda

Participatory M anagem entto Im prove Living Conditions in Belém do Pará,Brazil

Belém is the capital of the state of Pará in the north of Brazil, located on the depression zone of the Central Amazon. It is the biggest city in the Brazilian Amazon. It is 160 km away from the Equator, distant from the banks of the Amazon river. Most of the city was built on a headland located between the Guamá river and the bay of Guajará. 74% of the city population live in the urban area of the city. Its hydrographic scenery is diverse, equivalent to almost two thirds of its territory. It has six large drainage basins: Una, Paracurí, Agua Preta, Aurá, Murutucum, Tucunduba. The city is crossed through by small rivers and canals of varying dimensions (narrow canals or bypass channels). Most of the canals flow into the rivers that lap the town’s banks. During the year rainfall generates a high quantity of overflowed land, making it liable to flooding. Economically, the commercial and service sectors are the most important. The total of the working population is 600,000 inhabitants. However, 70% of the population live in conditions of poverty and 10% of the population live in a situation of indigence, with an income lower than 50 US$/month (PNUD, 1995). Urban growth and land occupation have occurred through unplanned squatter settlements on marginal land. Most of the immigrants occupy areas called “baixadas” (neighbourhoods located on the riverbanks), and live in precarious dwellings and in a confused complex of wooden palafittes. 50% of the population live in these areas and do not have drainage systems, basic infrastructure, hygiene or security conditions. These dwellings, for which there is no adequate policy, have led to considerable impact on and degradation of the environment.

Governmental investments in neighbourhoods on the rivers and canals have traditionally been based on projects of conventional drainage. From being dumprivers, they are converted in dump-canals, contaminated by wastewater or solid waste. In 1997 the Municipality institutionalized a Participative Budget for the city, especially in the sector of investments. Between 1997-1998 the topics considered in the Assemblies of Participative Budget were those related to the problems of basic sanitation and living conditions of the low-income population. This method allowed some infrastructure municipal investments to be prioritised. Nevertheless, many problems persisted, especially in the poorest city areas, that the city consultation intended to address: • The disordinate and unhealthy occupation of the urban space in zones of environmental interest. • The stakeholders were not fully included in the dialogue and decision-making. It was necessary to develop actions from the Governmental Settings in a participatory way in order to address the problems of environmental degradation and urban poverty. • There was little trust among the citizens with regard to public policies on housing. • Habitational shortcomings existed and it was necessary to improve the living standards of the dwellers in the river basins and micro-river basins of the city. • Awareness raising was needed to inform the people living on the rivers how their actions can effect the environment.

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The city consultation(CC) started in January 1998. It highlighted two areas for priority intervention: 1) the development of a pilot project aimed at the design and management of a preservation and rehabilitation system for the rivers in the expanding neighbourhoods of the city in the micro-basin Mata Fome and, 2) to

confront urban poverty through improving the living conditions of the families living in the basin, with a credit programme for the improvement of the settlement as part of the municipal policy on the settlement.

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Basic City Inform ation City, Country:

Belém do Pará, Brazil

Population:

1,144,312 inhabitants (1996)

Density:

20.1 inhab/km2 (central areas), 2.0 inhab./km2 (island areas)

Poverty profile:

Unemployment rate: 20% 29.6% households below poverty line 74% households with access to water 6% households with access to sewer system, 71% septic tanks 24.35% working in informal sector 17.2% without security of tenure

Administrative structure:

The Mayor and city council members are elected by the people.

Spatial dimension of City Consultation intervention:

City wide Five city neighbourhoods around the Igarapé Mata Fome basin.

Focus of the City Consultation:

Governance, Poverty and Environment

Title for the city consultation:

“The planning and participatory management of hydrographic micro-basins to improve the living conditions of the inhabitants of the settlements of Belém-Pará”

Key stakeholders involved: Prefeitura M unicipalde Belém .Contact: Edmilson Brito Rodrigues, Prefeito Praça D. Pedro II s/n Palácio Antônio Lemos, CEP 66.020-240 Belém / Pará. Teléfono: (55-91) 241 54 29 , Fax: (55-91) 225 45 40. E-mail: prefeito@cinbesa.com.br Secretaria M unicipalde H abitación-SEH AB.Contact: Alcir Matos. Address: Traversa Pirajá, 1235 Bairro do Marco, CEP 66.087.490, Belém/Pará. Tel: (55- 91) 236 30 03, fax: (55-91) 236 22 50, E-mail : sehab@interconect.com.br U niversidade Federaldo Pará – Instituto G eociências.Contact: Eliene Souza. Address: Rodovia Bernardo Sayão , s/n Guamá . CP 66.075.900 Belém / Pará, Tel: (55-91) 211 11 47, Fax: (55-91) 211 16 09, E-mail: eliene@interconect.com.br U N AM A-U niversidade da Am azônia.Contact: Voyner Ravena Cañete. Address: Av. Alcindo Cacela,287 CEP 66.060-000, Belém/Pará. Tel (55- 91) 210-3120. Fax (5591) 210-3120. E-mail: solimoes@unama.br; nhamunda@unama.br Federación M etropolitana de Centros Com unitarios y Asociaciones de M oradores, contact person: Gilmar Alves. Address: Praça do Operário, Terminal Rodoviário, 2º andar, sala 203, São Braz, CEP 66.090.500, Belém, Pará, Brasil. Telephone: (55-91) 2468612 Cearah Periferia.Contact: Joyce Meireles Maia. Address: Rua Carlos Vasconcelos , 1339. Aldeota CP 60.115.170, Fortaleza/Brazil. Tel: (55-85) 261 26 07, fax: (55-85) 261 87 54. E-mail : cearah@fortalnet.com.br Associação Paraense de Apoio às Com unidades Carentes-APACC.Contact: Maura Regiane Lameira Morais. Address: Trav. 3 de maio, 1529, São Braz, CEP 66.000.000, Belém/Pará. Tel: (55-91) 229 22 10, fax: (55-91) 229 30 00. E-mail: apacc@nautilus.com.br

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City Consultation process Initialcity consultation stage (January – July 1998) The municipality contacted the Urban Management Programme, (UMP-LAC) in July 1997 and sought assistance to develop a city consultation regarding the improvement of living conditions of the poor population dwelling along the rivers of the city. The municipality, assisted by the NGO Cearah Periferia (CP), convened different urban actors to discuss about the contents of the city consultation and to assess the involvement of each actor. The application form for the selection process was drawn up and transmitted to UMP-LAC in the mid-1998.

D escription ofthe city consultation process The consultation connected efforts displayed by around 30 local actors, including the civil society (neighbourhoods associations, and its diverse local and regional federations; NGOs; and also some organizations of education and investigation like the universities) and the local government, through various municipal secretaries and different organisms which compose the Governmental Setting “to Revitalize Belém”. They all became involved gradually into the City Consultation. Partners supported the City Consultation with different resources. The Municipality of Belém/ SEHAB, the NGO CEARAH Periferia and the UMPLAC committed financial support. Others provided support in the form of human resources during the entire process. Among them there were APAAC, National University of the Amazonia, Federal University of Pará (Geociências Institute), Funverde, Community association São Gaspar, Inhabitants association Paraíso de Deus, Inhabitants association Mata Fome, the Metropolitan federation of community centres and inhabitants associations and the Committee on environmental development for the micro region 2 (DABEN). For the management of the programme an administrative committee for the CC was democratically chosen from several institutions: SEHAB, UNAMA, UFPA, APAAC, FUNVERDE and CEARAH Periphery. The technical co-ordination was realised by SEHAB.

SEHAB and Cearah Periferia prepared the “Management programme of urban rivers” document, which was technically discussed with UMP-LAC and the local partners. This document developed a methodological proposal to work with the involved actors. In September 1998, with a workshop attended by the local partners, the objectives and the methodology of the process were discussed. The priorities established by the local partners in the beginning of the process were as follows: • To define a pilot area to develop the programme. • To develop a viable participatory experience and methodology which could be adapted to other similar areas of the city. • To highlight the role of the river as a management unit of the city. • To have all the social actors involved in the working process by creating an area where possible solutions to urban problems would be discussed. • To take care of low-income families, organized into community entities located on the banks of the rivers of Belém which are hazardous areas. Priority should be given to women and groups under the responsibility of women. Due to the geographic extension of the city, there were two levels of work in the City Consultation: • At river basin or micro-river basin level: the objective was to obtain results from the city consultation, so that guidelines and lessons could be transferred to a higher scale (to go from a local level to a city level). The area selected was Mata Fome. • A specific pilot action related to credits granted in two neighbourhoods: Tapaná and Vila da Barca.

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In mid-1998 an agreement to develop a city consultation and a local action plan was signed by all the different partners involved. A group called technical secretary acted as a leader of the city consultation. It was comprised of one representative from each of the main local partners: the Housing Municipal Secretary, the Municipal Secretary of Water and Sanitation, the NGO APAAC, the municipal organism FUNBOSQUE, the Federal University of Pará and a leader from the neighbourhood of Tapana. During the process a social-economic and environmental base line study of the river basin was developed. To do this, local partners were grouped together in seven working groups: 1) historical evolution of the rivers, 2) studies and investigations about the rivers, 3) environmental point of view, 4) users’ point of view, 5) economic activities, 6) riparian dwellings, 7) legal instruments and urban planning. In practice the groups didn’t work as precisely as planned. Some decisions had to be taken such as to merge some groups and in other cases the groups didn’t achieve results. The preliminary study was prepared by the most active actors of the working groups, but despite efforts the involvement of the inhabitants of the area was very low. At the beginning, there were problems in the definition of a participatory working methodology to be followed. The attributes and goals set for the groups were not fulfilled and these groups asked for a more technical vision without considering effective participation of the inhabitants of the area. In sight of this the methodology was redefined, making clear the importance of community involvement in consolidating the diagnosis. At this point community leaders were chosen, and citizens contributed to the gathering of information and supporting the technicians in their work. A process of dissemination of the study was initiated, and the importance of the community participation in its preparation was emphasized. After some methodological adjustments, meetings took place in the 12 communities that initially composed the pilot area. Representatives living in the pilot communities were elected to enable the construction process and work with the various stakeholders. Forums of debate

were promoted, which legalized the developed diagnosis. In February 1999 the City Consultation and the base-line study were presented in a public forum to the citizens of the micro-region of Mata Fome. The Community Council of Tapana undertook an awareness campaign to involve community leaders in the process. In February 1999 various meetings were held in all the zones, and in March a local workshop entitled “SOS Tapanã: health, sanitation and environment” was held. The Community Council of Tapanã was responsible for the organization of the workshop, which started the process of jointly identifying projects and action within the programme in the micro-river basin of Mata Fome.1. A workshop to collectively consolidation the study took place on 19 March 1999. Municipal technicians, NGOs and representatives from the communities participated, together with all other relevant actors. More than 130 people attended the event. The final study was presented, and an event to share the information more widely was held on 31 March 1999. Action Plan The Action Plan was developed through working meetings between municipal technicians and representatives from the civil society. The credit programme framework was ready to be run by the local partners and local resources were identified. The local partners developed an action plan with proposals for the long term and some priority actions in the short or medium term in Mata Fome. This project includes actions in the areas of environment, poverty eradication and social equity. In fact, the event called SOS Tapanã enabled the participants to visualize actions in the short and medium term that could be developed into actions. One of the main products of the SOS Tapana workshop was a document with important indications about the necessary actions to define the intervention plan (action plan). This was to be considered in addition to the relevant data in the base line study. During this event a working group was constituted for the development of the action plan using these guidelines. D evelopm entofa Priority Action Program m e The first action was the development of a credit programme to improve the living conditions in the neighbourhood of Tapanã, in Mata Fome. This pilot

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action was called “Morando Melhor” (Better Housing). The programme utilised resources from the municipality, the UMP-LAC and the Cearah Periferia and contributions from the community. Approximately 60 credits were granted to people in Tapanã neighborhood as part of the pilot action planned during the city consultation. A municipal housing policy, including a credit programme for housing improvement, was developed using the elements and the lessons learned from work thus far. The number of credits and the grant fund were increased from 60 to 300. The programme adapts to the population alternatives of credit through a project of saving and popular credit for small works, some reforms in housing and the construction or recovery of precarious habitations (project “Morando Melhor”). The objective of the programme was to help low-income families gain access to savings coupled with a subsidy and financing; to strengthen the popular organizations, through a collective process for the development of the project; to establish a popular participation through a process of co-management; to support a process of integrated development in the neighbourhood (income generation, sanitation, health, education, etc.). The community felt so involved in the project that all credits and loans have been paid back in full. The fund was increased by the municipality, and has been validated as a municipal policy for housing. The demand of the credit programme “Morando Melhor” also increased the commitment of the communities to save, so they could have access to the new credits. Funds from other financial institutions were mobilized by Cearah Periferia to increase the contribution for a larger number of families during the year 2000. Some projects related to housing improvement and rehabilitation of urban roads in the neighborhoods of Mata Fome were started using local funds. Fundraising activities were done and local resources were mobilized for the implementation of some projects. Among the projects and governmental actions developed were the following: • Urbanization project of the squatter settlement São Gaspar, developed by the SEHAB;

• Urbanization project of the Parque União, developed by the SESAN and the CODEM; • Construction project of the basic health unit of Tapanã, to be developed by the SESMA; • Empowerment project of youngsters in environmental sanitation, to be developed by the APACC; • Discussion about the setting of the project “Morando Mejor” (Better Housing) in the area, to be developed by the SEHAB. With the objective of elaborating mini-projects, three working groups were established. They were responsible for obtaining resources and support for the execution of the actions included in the projects. The working groups (WG) defined were: • WG on environmental education and management: environmental control and motivation of the local population around the meaning and the importance of sustainable development; • WG of minimum income generation: to consolidate the family subsistence level and to stimulate the collective process of commercial production, preferably linked with the river; • WG of river management: to improve the water quality of the rivers, mainly through the elimination of excrements discharge, to reduce contamination of the surface waters and illnesses. After the elaboration of the projects, the work was combined and consolidated into a single project called “ESSE RIO É MINHA VIDA” (This river is my life). Its objective is to intervene in urban river areas at risk with an integral proposal to improve the situation of the rivers and the living conditions of the families dwelling in these areas. It deals with environment, income generation, changes in the attitudes of the population, linking inter-municipal actions of different actors, etc. The programme is divided into different activities that are directed by participatory management criteria, the hydrographic basin as a management unit and the perspective of the river in the urban area with its ecological characteristics, landscape, recreation, transport, generation of work and income and others. In the proposals all these aspects have an integrated form, which are the following: proposals to regulate land tenure, improve living conditions, basic integrated health, replanting of the Igarapé de Mata

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Fome, environmental education, professional quality/ generation of work and income, social inclusion and study and evaluation of environmental impacts.

concern for the dwellers to the extent that they realized the close relationship with the production of these policies.

Problem sand O bstaclesFaced There was a lack of recourses to implement initial actions. Despite the agreements signed, the institutions experienced difficulties mobilizing human recourses. This was overcome in part by creating involvement areas among the social actors, increasing their awareness and creating strategies of institutional responsibility regarding the programme. Here it was especially important to link the efforts of the programme with on-going efforts and attitudes of different stakeholders, so actions were directed towards a common goal.

The gender issue was not specifically addressed. However it was emphasised throughout the process that the role of women was strong on paper and had to be exercised by the community leaders in the pilot areas. Projects have been included in the action plan that anticipate the empowerment of women in the revitalisation of the IgarapĂŠ Mata Fome, for example through creating new opportunities for women in work and income generation at local level.

At the beginning it was difficult to identify a management and co-ordination unit in the consultation. This set the planned activities back. Until the integration, through a CC management committee, the terms were extended and adapted at a local pace. There were several tensions among the local partners on the completion of terms and responsibilities. PGU-LAC acted as a mediator between the parties and contributed with the coordination, technical orientation and the organisation of the actors. The community leaders of the national movement did not find a political canal in the CC to demand reinvestments in the settlement. They assumed responsibility for the main document and facilitated the communication and participation of the community in the process. According to local partners, the presence of the UMPLAC to monitor and coordinate the actions and to act as a financing institution allowed the development of new local policies to be implemented for the project. Its presence allowed for an effective involvement and the gathering of important actors. Despite all this, some governmental organs and movements did not show an increased sense of responsibility and did not carry out their commitments. The population involved in the process, meanwhile, saw in this initiative as an alternative to produce and have access to specific services such as lighting or water supply. Control alternatives of the environmental degradation of the river were not set as a priority by the population benefiting from the project, but it later became a

Alternatives to control the environmental degradation of the river were not at first seen as a priority by the beneficiaries of the project, but as the process unfolded it became clear that local sustainable development policies were necessary. Capacity building was achieved through out the process, allowing easier knowledge transfer from regional to local institutions. For example, Cearah Periferia supported the study and planning process, and also held the role of adviser in the city consultation and in the action plan implementation of the credits programme, supporting the local anchor institution APACC to develop this activity for the city. The thematic adviser in urban environmental management of UMP-LAC (from the anchor institution IPES) offered a technical assessment to the local actors for the development of the process to support the work already developed by Cearah Periferia. IPES / UMP-LAC participated in three missions of monitoring and assessment of the local partners. These missions were centred around meetings with the local partners to review progress, discuss problems and find solutions and evaluate and discuss inter-institutional monitoring and coordination. Some specific capacities strengthened in the local actors were the following: â&#x20AC;˘ Capacity to develop participatory CC processes and to elaborate action plans on different issues of urban management, in a participatory way (it was the first experience where the municipality and the community leaders developed an Action Plan together, with shared responsibilities).

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• Several community associations were co-ordinated during the process, in which they found a new forum for dialogue and decision making. • The use of information and capacity building at a regional level. • Planning of the city as if it was a hydrographic management unit • The city has the interest to co-ordinate the Urban Rivers Working Group, leading to an exchange of knowledge and experiences, which can lead to new actions to address problems and capitalises on knowledge that was previously not present in the city. The actions and methodological tools of the CC/Action Plan process were the following: • Partners meetings to discuss the programme document (objectives, activities, budget, and responsibilities) with UMP-LAC. • Communication and documentation of the meeting minutes, made by SEHAB. • A signed agreement between partners in the development of the CC and the elaboration of the action plan. • The formation of commissions on inter institutional work for the collection and synthesis of information. • Several discussion meetings in the 12 pilot areas with community leaders. • Debates to validate the developed products. • Dialogue with several actors of the city (on all topics related to the city) so the programme could generate impact on a larger scale. The factors which contributed to success of the various steps were: • The mobilisation of the community in the pilot area. • The participation of qualified technicians of different institutes during the process, including preparation of the Action Plan. • The support to and the political goodwill of the local government to the entire process. • The involvement of several institutions and representatives of civil society.

O utcom es and Results Form ulation ofspecific projectsand program m es As mentioned earlier, some projects related to housing improvement and rehabilitation of urban roads in the neighborhoods of Mata Fome were started using local funds for the implementation of the action plan. Fundraising activities were done and local resources were mobilized for the implementation of the various projects. The Action Plan and the Priority Action Programme focus on the preservation of the Igarapé Mata Fome basin. Improved water quality will lead to improved life in the river and the quality of life of the surrounding inhabitants, in part through recovering the proliferation of shrimp and the diverse species of fish living in the area. In the proposals the various aspects, such as land tenure, improved living conditions, basic integrated health, replanting of the Igarapé de Mata Fome, environmental education, generation of work and income, social inclusion and study and evaluation of environmental impacts are integrated. Many of these activities are underway in the pilot project, but the further development depends largely on obtaining external resources. The integral project of the action plan (“This river is my life”) groups 11 projects: regulating land tenure, environmental education, income generation, autonomous workers headquarters, family agriculture, scholarships, aquaculture, environmental research, tourism school, tree nursery and social inclusion. This totals 11 million dollars for a 3-year duration. The local partners have committed themselves to cover 20% of the project’s budget. This equals 2.2 million US$. Various new projects for the environmental improvement of given neighbourhoods are under way using the local funds Legaland policy fram ew orksand new law s The programme “living better” is developed as part of a municipal policy on the settlements in the neighbourhoods of Vila da Barca and Tapanã. It’s success ensured that the results contributed to the development of a municipal policy about housing oriented to the poor of the city, which gave preference to women. The programme “Morando Mejor” was extended to the municipal policy on housing. In 1999,

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with the programme, 60 habitational units were improved and during the year 2000 it is expected to see to more than 300 families taking part in this programme, within the new municipal policy. The entry point of managing the city starting from the river has been extended to the municipal environment as a whole. As a result of this new thinking the municipality and various secretaries reviewed some projects, which had not yet been implemented and considered them for the future. Consequently, the process had an immediate impact on other projects of the municipality and aspects that were overlooked before were now being considered. The methodology, generation of proposals and development of activities were considered within a municipal strategy to plan and manage the poorest neighbourhoods of the city. The participating actors in the processes validated an intervention method on behalf of the micro basins to manage, in a participatory way, the risk areas where the poor of Belém live. This method is starting to be reproduced by other municipal secretariats (SESAN, SAAEB) for the development of environmental projects. Institutionalfram ew orks to facilitate participation and partnership The Municipality promoted concrete participatory processes of local management to improve the living conditions and the social equality in the city, particularly in areas occupied by the poor urban inhabitants. Effective participation of various groups and stakeholders in the city consultation was evident during the diverse processes. Twelve communities and 32 institutions participated in a continual way throughout. The CC allowed the action plan to be replicated in other parts of the city, under a participatory method that supports the participation of communities in seminars, research, workshops, meetings, speeches and other methods. A proposal for an institutionalised participation in the urban river management was the formation of the Water Parliament for the city. The possibility of replication can already be seen in other city projects, based on the foundations that are guiding the practices of participatory management and in the environmental concern displayed in the

process. Above all it is possible to perceive that in the different forums created to discuss management of the city, the programme is mentioned as a guide for proposed actions linked with the drainage basins, and the population involved in the programme appears as a favoured interlocutor for the elaboration of the proposals. The MoU (Inter actors agreement) supported the development of local capacities (municipalities, community leaders, NGOs, universities). For example, APAAC and the university of Pará involved students from the university in the preparation of a study and a proposal for environmental education and health in Tapanã. Three students did their thesis in the intervention area, with concrete proposals of action. In this way, the UFPA and APAAC structured themselves for the development of a project of education and empowerment of youngsters on topics of sanitation, financed by the state government but implemented in Mata Fome from the demands identified in the elaboration of the diagnostic and the formulation of the action plan. Financialdevices and changes in m unicipal resource allocation (leveraging offunds) The credit fund of the programme was formed with resources from the municipality, local NGO´s and the community. It was expanded from 60 families in 1999 to 300 families in 2000. Demands from other communities forced the Municipality to consider expanding the programme to other areas using part of the budget managed for the Secretaries of Housing and Sanitation. The main projects for the environmental recovery included in the mega-project “Esse Río é Minha Vida” will be managed through international financial cooperation, as well as guaranteed local contributions. Changesin politicalculture The CC study served as a base of knowledge about the sanitary and environmental situation of the hydroghraphic basin of igarapé Mata Fome. Some important changes in the attitudes of the population regarding its environment are being noticed, as well as the attitudes of the officials from the municipal secretaries in the involvement with social institutions and organizations for the development of integral and participatory projects.

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In the Regional context, BelĂŠm assumed the coordination of the Latin-American and Caribbean cities group â&#x20AC;&#x153;participatory management of the urban riversâ&#x20AC;? that, in July 2000, grouped 15 local governments, 13 institutions and 7 community associations, interested in the exchange of experiences and capacity building to be reproduced at local level. They are paying the costs of the executive secretary and other group activities.

Lessons Learned Before the city consultation started the local government was predisposed against the development of participatory management in the city. That the participatory proposal has now been institutionalised shows the political will to talk with the population, which contributed strongly to the success of the city consultation. The methodology and the action strategy of UMP must be very well understood by all the actors involved in the process, as not to generate false hope with the local governments. In this sense, it is important to strengthen the capacities of local actors and anchoring institutes that co-ordinate with UMP. The involvement of a large number of specialists, community representatives, and common leaders of different institutions in a city consultation is a favourable aspect. However, it also generates problems in that opposed visions, which are often radical, can set the programme back. A special strategy of the anchoring institute in the management of the process at times needs to be developed to address this. In the municipal secretariats the base has been spread out for which it is necessary to plan and manage its projects starting from the river. The river has been converted into a new point of reference for management and several municipal projects are being adjusted to reflect this. In accordance with the internal discussions, the municipal administration has decided to implement its tasks in the 6 large basins of the city.

However, the institutional conditions for the sustainability and reproduction of these practices can not only depend on political contingencies favourable to the implementation of this type of practices; they also need to be formalised. The fact that the decisions were made in a participatory way meant a major commitment among the social actors regarding the actions defined during the process could be made. It also enabled a major credibility in the society about the whole programme. The communities that were involved in the process of the city consultation made use, before this process, of other practices to have access to public services. The demands of the population living in the Mata Fome river basin, usually diffuse, were dealt with case by case and generally in a deficient manner. The main issue, concerning the endowment of an urban infrastructure and sanitation, had become an instrument of governing policies in the previous municipal governments. The presence of a local partner such as the UMP-LAC and the existence of a municipal government receptive to popular participation enabled the exchange of experiences with other cities. It also provided an incentive for the benefiting population and other social actors and institutions to organize and formulate their preferences, contributing to the conception of a more specific project for the recovery of the degraded microriver basin. The implementation of actions of recovery and the conservation of water resources in urban areas goes beyond a localized policy such as the one which was being implemented in the river basin of the narrow canal Mata Fome. However, the developing programme became an experiment showing the possibility to establish a definitive practice of interaction between the urban population and of the environment. Nevertheless, the institutional conditions for the permanence and the reproduction of these practices should not only depend on political contingencies favourable to the implementation of this type of practice.

The existence of a municipal government that is receptive to civic participation means benefits for the population and other social actors and is a stimulant for institutions to organise and formulate proposals.

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B E L E M D O P A R A , B R A Z IL

The Belem City Consultation and the H abitat Agenda H abitatAgenda Key Com m itm ents and Strategies Shelter • Provide security of tenure, prom ote the right to adequate housing, provide equal access to land, prom ote equalaccess to credit The city consultation promotes the right of low-income families who live in the riverbanks of Mata Fome basin to access adequate housing. Through the housing finance programme “Morando Melhor” these families are able to improve their dwelling conditions and, in this way, their living conditions. One of the main objectives of the Programme “Morando Melhor” (Better housing) was to give equal access to men and women to alternative financial systems, ones that do not require the generally exclusive prerequisites as used in the existing banking systems (guarantees, interest rates). The success of the programme “Morando Mejor”, being co-ordinated out of a municipal secretariat, led to the development of a municipal policy on housing oriented to the poor of the city and giving special preference to women. In 1999, 60 loans for the improvement of the dwellings in Vila da Barca and Tapanã were successfully provided (with a 100% repayment rate) within the Better Housing programme, while during the year 2000 around 300 new families were given support in the framework of the new municipal policy. Socialdevelopm entand poverty eradication • Provide equalopportunities for a healthy and safe life, prom ote social integration and support disadvantaged groups,prom ote gender equality in hum an settlem ents developm ent The city consultation was oriented to directly benefit 4,000 low-income families settled on the Mata Fome riverbanks. Different action projects resulting from the CC were related to housing improvement (see above) and rehabilitation of urban roads - both started with the use of local funds. A specific project “Este rio é minha vida” (This river is my life) is about integrated sanitation for the area.

It includes the reorganisation of the water supply system, the sewer system, urban drainage and solid waste management. The CC also allowed the participation of normally excluded groups, like women and young people, in the development of a participatory base line study, the formulation of the Action Plan and the planning of the various sub-projects integrated in the overall project “Este rio é minha vida”. The awareness of the population on environmental problems and issues (like decreasing of contamination of surface water) was increased as a result of the forums held, and specific attention was given to children and youngsters in the educational projects for environmental sanitation as developed by the local NGO APACC. Environm entalM anagem ent • P rom ote geographically balanced settlem ent structures The CC gave rise to and promoted discussions on the problems and the potential solutions for a reorganisation of the low-income settlements on the riverbanks through land use planning. A resulting municipal project was oriented to complete the urbanisation (domestic connections, urban road system) of the community São Gaspar, located in the CC pilot area where approximately 1/5 of the population directly involved in the programme is located. At the same time, some parameters for land use planning and regularisation of these human settlements were identified and included into other project proposals for relocation of houses in risk. The planning guidelines developed for the micro-river basin of Mata Fome served as a basis for development of planning guidelines concerned with the up-scaling of the project, from a local level to the level of the city/ municipality. The entry-point of managing the city – starting with its river – through a consultative and participatory process, has been amplified to a new management scheme of the municipal environment as a whole. As a result, various projects of the municipality are being reviewed, to be carried out within the logic proposed through the process of a city consultation.

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Econom ic D evelopm ent • S trengthen sm all and m icro-enterprises particularly those developed by w om en,encourage public-private sector partnerships and stim ulate productive em ploym ent opportunities The CC incorporated the participatory identification of possible financial mechanisms needed to change the miserable living conditions along the riverbanks by improving its dwelling conditions as well by generating new sources of income and employment. Five specific projects were identified by the local actors to promote generation of minimum income in Mata Fome: micro-enterprise development, the formation of an independent workers confederation, family farming, aquaculture and the creation of a local tourism agency. They are all aimed at the consolidation of family income and the stimulation of the collective process of commercial production, preferably directly linked with the river and its uses. G overnance • E ncourage and support participation and civic engagem ent,ensure transparent,accountable and efficient governance of tow ns, cities and m etropolitan areas The City Consultation supported the municipality and its City Congress in opening a dialogue between all the parties involved in solving environmental and sustainable development issues in the low-income settlements (private sector, public sector and civil society) and the pilot area Mata Fome basin. Specific attention was paid to awareness creation and the participation of all the involved parties (especially the poor) in the process of development of citizenship and improving environmental conditions.

drainage basins, and that the population involved in these programmemes are mentioned as the principle spokespersons for the elaboration of the future proposals. Internationalco-operation • E nhance international cooperation partnerships

and

The first results of the CC (base line study and draft action plan) were presented at the International Seminar of River Management in Latin America and Caribbean Cities (21 - 23 August 1999). The event had the participation of around 40 community leaders, 19 professionals from NGOs and Universities, and 23 municipal professionals from Belém and other cities, and enabled the exchange of experiences and mutual learning. In this Seminar it was decided that Belém should assume the co-ordination of the Latin-American and Caribbean City Working Group “Participatory management of urban rivers”, that groups right now 15 local governments, 13 institutions and 7 community associations, interested in the exchange of experiences and capacity building at local level. The city consultation mobilized national and some international funds for the implementation of the Action Plan. An important result was that the projects negotiated by the city with the IDB are considering activities to strengthen the action plan, but also are intending to up-scale this kind of urban river management (based on participatory processes in micro-basins) in the city.

Case Study prepared By: Cecilia Castro2

Overall, twelve communities and 32 institutions participated in a permanent way during the entire process. For the communities, the CC provided them with a new mechanism to plan and gain, together with the Municipality, access to public services; as compared to the old strategy of posing public claims and appeals. Above all, it can be perceived that in the different forums created to discuss the management of the city, the CC programme is mentioned as an example for future actions related to the management of the

Im plem enting the H abitatAgenda

The “N onthaburiSustainable CanalD evelopm entProject” N onthaburiProvince, Thailand

Thailand is facing significant challenges in urban environmental management as the country’s urban population continues to grow rapidly, consuming natural resources such as land, water and air at a breathtaking pace. While Thailand has traditionally been governed in a highly centralised fashion, the country’s new constitution (1997) shifted more rights and responsibilities from the national and provincial level to municipalities and other government institutions at lower administrative levels. Adoption and active usage of these rights and responsibilities, however, is a slow process. This is particularly true among smaller municipalities, which still hesitate to take full control over their own affairs. Direct co-operation among municipalities is extremely limited and almost nonexistent except when initiated by higher national or provincial authorities. This overall situation makes it difficult to introduce environmental management approaches, which often need to be applied to larger geographical areas in a systematic manner. These new approaches require preparedness for close cooperation and regular direct communication among municipalities, communities and other governmental stakeholders at lower and lowest administrative levels. During a workshop held in Bangkok in 1999, a deputy mayor from Nonthaburi City, a neighbouring city of

Bangkok, expressed the need to develop an action plan to save Thailand’s last remaining urban canal landscape in Nonthaburi province from destruction by unregulated urban growth of Greater Bangkok. According to the deputy mayor, no coherent plan was ever prepared to give special attention to the significant historical and environmental values of this specific landscape. Horizontal co-operation among the various independent local governments in the area was basically not existing. Subsequent to further consultations with municipal and provincial officials in Nonthaburi province, UMP agreed to support joint activities of all 16 local governments (5 municipalities and 11 community administrations) with administrative responsibility for the canal landscape within the framework of its participatory city consultation approach. In order to be as inclusive as possible, the stakeholders agreed to name the consultation activities “Nonthaburi Sustainable Canal Development Project”. A public signing ceremony of the Memorandum of Understanding took place in April 2000 and all 16 mayors and community heads signed the MoU in person. There was significant media attention to mark the start of an example of inter-governmental cooperation in environmental management, which was unparalleled in Thailand at that time.

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Basic City Inform ation City, Country:

“Grum Rak Naam” Association of 16 local governments in Nonthaburi Province, Thailand

Population:

1.2 million including Nonthaburi City, approximately 100.000 in the GKRN “core area” of the project

City’s main function:

Commerce, urban agriculture

Administrative structure:

5 municipal and 11 community governments. Heads of governments (mayors/ community heads) and council members are elected by the people.

Spatial dimension of City Consultation intervention:

65 sq. km

Focus of the City Consultation:

Governance and Environment

Key stakeholders involved: Municipalities of Bang Muang City, Bang Sri Mueng, Praibang, Bang Kruay, Communities of Saima, Bangrak Noi, Bangrak Yai, Saothonghin, Bang Muang, Bang Lane, Bang Krang, Bang Khun Gong, Bang Khanom, Bang Sithong, Bang Phai. Contact: Grum Rak Naam, c/o Bang Kruay City, Amphur Bang Kruay, 11130 Nonthaburi, Tel/ Fax: +66-2-475006/10

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D escription ofthe city consultation process As a first step in implementing the consultation process, a Project Steering Committee was formed. This committee included all major provincial department heads and representatives from all of the 16 local governments, with a total of 43 assigned members. In addition, observers from national agencies and the Chamber of Commerce were invited. The first session of the committee was held on 21 March 2000. It was agreed that additional non-governmental stakeholders should become gradually involved in the project on a step-by-step basis, since the challenging co-ordination among the governmental stakeholders was understood to be the most critical success factor, and therefore required priority attention in the first phases of the project. Later phases of the project, however, once inter-governmental co-operation procedures were established, were expected to gradually see increasing participation from nongovernmental agencies and the residents themselves. This approach enabled the participating governments to focus their attention first on governmental capacity building and the establishment of adequate cooperation mechanisms. In the second step attention shifted towards the detailed technical discussion of planning issues, where including a broader range of perspectives from non-governmental representatives would be helpful. To establish a reliable working structure among the governments, the mayors and heads of community administrations nominated a total of 31 project coordinators and deputy coordinators. These coordinators served as project communicators within their respective governments and supported horizontal and vertical information flow between the participating governments. During the 2 nd Steering Committee session on 6 June 2000 it was agreed that a position of a chairman of coordinators should be created to manage this network of coordinators. It was also agreed that the chairmanship would rotate among the 16 governments with a new chairman nominated at each Steering Committee session. This approach ensured equal participation and equal sharing of responsibilities between all 16 local governmental stakeholders and avoided political dominance of individuals.

To further streamline communication among the 16 local governments, the local governments formed an informal governmental group among themselves, which was named â&#x20AC;&#x153;Grum Khon Rak Naamâ&#x20AC;? (GKRN). The group was chaired by a mayor or head of community administration in a rotating fashion, parallel to the rotation of the chairman of the 31 coordinators. As a result of these streamlining processes, the organisational structure of the project succeeded in integrating a relatively large group of very heterogeneous governmental actors on two separate administrative levels (province/ municipalities and communities). It reduced the number of key actors from 17 (provincial governor and 16 mayors and heads of communities) to 2 (provincial governor and chairman of GKRN). As a result, the project achieved a simplified organisational structure, which was easier to manage and thereby provided a reliable basis for the joint planning process. Difficulties arose in the search for a suitable Local Partner Institution (LPI). On the positive side, LPIs are able to function as energetic catalysts to streamline governmental coordination and multi-stakeholder cooperation during the planning process. In reality, however, the relationship between LPI and government often resembles a typical principal/agent conflict, especially if external funding sources are involved. Instead of energetically catalysing a complex multi-stakeholder process and enhancing governmental planning coordination, the LPIs sometimes perform as an ordinary consultancy

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subcontractor, mainly driven by their own interests to produce a tangible output, i.e., usually a written report rather than an intangible political process. The case of Nonthaburi therefore again highlights that a globally applicable one-size-fits-all approach to urban management projects does simply not exist. Instead, approaches need constant refinement according to the specific local circumstances. Based on these considerations and subsequent to a careful assessment of potential LPI candidates, organisational responsibilities were kept within the local government structure and governmental group as much as possible. Self-management with focussed inputs from a specifically assigned individual facilitator and expertise from selected technical specialists of different academic institutions would be the most suitable approach in the case of Nonthaburi. Self-management was an option right from the beginning, as the political balance between two basically independent governmental stakeholders (province/GKRN) ensured a budget and performance control mechanism that would not be existent in this form in the case of a single municipality. Caution therefore should also be applied if Nonthaburi experiences were to be replicated elsewhere. Based on the idea of self-management of the process, three inter-governmental working groups were formed, where heads from different functional departments of the provincial government met with representatives of the 16 local governments to discuss different thematic issues and to develop the action plan. These working groups received technical support and guidance from individual academic experts, who shared their expertise with the group and facilitated the discussion. Using this approach, the governmental stakeholders were expected to remain the â&#x20AC;&#x153;ownersâ&#x20AC;? of the plan, thereby also increasing the chance for implementation of planning results. In order to monitor the planning process of the working groups, the groups were requested to report to the bi-monthly sessions of the Steering Committee. As the Steering Committee was composed of mayors and provincial department heads, such regular reports to the committee were expected to help identify political and technical risks for implementation of results at an early stage and would enable the working groups to redefine their planning directions in case political support from the top of governments was unlikely to be provided. The inter-governmental working groups

commenced their sessions on 19 July 2000. While the risk of conflict was reduced at the top level of the organisational structure as a result of the selfmanagement approach, this did not mean that the project was free of conflicting interests. Problems were observed, for instance, within the working groups, where some technical experts were unwilling to adjust their own most favored visions to the down-to-earth planning requirements of the governments. In some cases, experts were also reluctant to sit together with low ranking officials for reasons linked to seniority and hierarchy considerations deeply rooted in Thai culture. These cultural and personal factors, which appear to have originated more on the side of the experts than the government officials, in some cases required some refinement of the working group approach so as not to lose the cooperation of certain experts with outstanding academic reputations. As a consequence, the initial approach was adjusted several times to accommodate these individual cases, eventually resulting in a mixture of actual planning activities during working group sessions on one side, and desk work of experts, who would merely consult the working groups from time to time, on the other. Again, these experiences show that project approaches need to be flexible to accommodate cultural and individual preferences. Neglecting such cultural and personal differences for the sake of a reasonably sound theoretical approach often damages rather than sustains the project as a whole. Conflicts of interest, however, did not only occur between experts and officials, but were also a major issue among government officials themselves. Principal/agent problems occurred between provincial and GKRN governments in cases, where the provincial government intended to take the political lead of the project without giving much attention to participation by the smaller GKRN governments. In addition, ideological differences and conflicting priorities within the governments (e.g., between an infrastructureoriented public works department and other departments concerned with environmental protection) resulted in alliances among certain groups of officials, thus creating competition of interests between individual officials and entire departments. Moreover, the planning process induced by UMP also conflicted with existing government plans, which also

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reflected the interests of certain non-governmental stakeholders such as real estate developers. Support for participation in the project, while strong at the top of the governments, therefore varied significantly among mid and lower levels. Winning the co-operation of those levels was therefore understood as a key factor in achieving sustainable ownership of the plan within the government, which again was identified as a crucial precondition for eventual implementation. Consequently, communication with mid and lower level officials was given significant attention during the whole planning process. A major psychological challenge also originated from the fact that even though the project was initially suggested by a deputy mayor and subsequently formally sanctioned by top government, the project was interpreted in the beginning by some mid-level and lower officials as a more or less UN-imposed activity, thus conflicting with national sovereignty. To defuse such perceptions at earliest stage, UMP ensured a rapid and transparent handover of all organisational responsibilities to the governmental counterparts, especially including the budget control. Consequently, instead of being provided by external actors, the project budget was prepared by the provincial department heads and heads of local governments themselves and submitted in written form to the Steering Committee, which served as a screening and approval mechanism. Proper spending of funds and final control of payments was ensured through the requirement of three signatures on each pay cheque, reflecting the three major players among the project partners (province, GKRN and Nonthaburi municipality). Using this approach, each major partner was in effect given veto power to block payments in case of doubts regarding the spending intentions of another partner. This transparent mechanism was based on balanced power among the partners. It ensured that the sense of ownership was high and each partner would take care that funds were well spent in accordance with the decisions of the Steering Committee and the interests of the project owners. As a result of these arrangements, support for the project among all levels of government grew constantly, most impressively reflected by the increasing number of participants in the Steering Committee sessions. In late 2000 officials in general also became more confident about the structure and

the advantages of this unusual project mechanism. With support for the project growing especially among mid- and lower levels, the project suddenly developed a new quality of dynamics. Certain officials introduced their own initiatives, while others emerged as communication leaders. At times as many as 200 officials were directly involved in the project and its various activities. The example of Nonthaburi therefore illustrates that it is worth spending time and effort to communicate project mechanisms to all levels of governments and to take the concerns and requests of officials at all levels seriously. Initial â&#x20AC;&#x153;time lossâ&#x20AC;? due to extended communication with mid-level and lower officials and subsequent refinement of approaches to incorporate the needs of the officials will eventually be more than made up in later phases of the project through higher quality of commitment. It has been already mentioned earlier that it was initially agreed among the actors that NGOs and other non-governmental actors should join at a later stage due to the extraordinary complexity of intergovernmental arrangements in this multigovernmental project. This agreement was also made in accordance with well known observations in participatory projects that insensitive or ill-timed introduction of participation for its own good often results in disturbing experiences and in the end might even damage rather than benefit the project outcomes. In the case of Nonthaburi, the risk of a potential split-up of the fragile inter-governmental co-operation was assumed to be relatively high, if non-governmental actors were introduced at the wrong time. It was especially in the light of the cultural sensitivity in Thailand regarding issues of hierarchy, seniority and the culturally embedded desire for conflict avoidance. Based on these specific circumstances, it was considered to be not only justifiable but even necessary to take a more gradual approach to participation of non-governmental actors. In early 2001, when support among the governmental actors was stable and the inter-governmental mechanisms became routine, the project started to open up to the general public in a step-by-step fashion. Public awareness was initially built through a number of press conferences, which resulted in significant media attention, including radio broadcasting and

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several TV features in all major private and public channels in Thailand (information). A drawing contest to suggest a future vision for the canal landscape was held among all local schools (consultation) and helped build awareness among the residents about the specific value of their landscape. Community meetings were held at various localities to incorporate comments from the public into the planning process (consultation). As the project became more and more known, a number of local environmental initiatives approached the community administrations and suggested certain activity inputs to the planning process (participation). Upon publication of the Action Plan (expected for June 2001), participatory mechanisms are expected to intensify even more with the Action Plan serving as a common discussion basis within the communities. It is important to note that despite having limited direct inputs from non-governmental actors in the early stages of the project, controversial issues were not under-represented or non-existent in the project. The stereotyped picture of fundamental differences of interests between government on one side and nongovernment stakeholders on the other can rarely be found in reality. Instead, ideological differences within the society are also often reflected within the governmental structures with departments severely at odds with each other over their respective perception of the public good. In the case of Nonthaburi, for instance, strong alliances existed between certain provincial departments and interest groups (e.g., real estate developers), which conflicted with alliances between other departments and other interest groups (e.g., farmers and environmentalists). Similar patterns, though even more diverse and politically much more complex, were also observed among the 16 GKRN governments, where conflicts among various political parties, who compete for the position of elected mayor or community head, added to the picture. The multitude of democratically elected GKRN governments therefore ensured a significant degree of political and ideological diversity among the governmental stakeholders. This was amplified by the established informal alliances between governmental and non-governmental actors within the provincial government. The fact that selected interests groups were not included directly in a formalised fashion during the early stages of the

project therefore did not at all imply that the interests of these groups were not reflected in the planning process. The self-management approach taken in Nonthaburi resulted in significant capacity-building effects, particularly on the part of the small GKRN local governments. Government officials were required to organise all activities of the projects themselves including the working group sessions, workshops, press conferences and various public events without any facilitating support from external consultancies. In addition, traditional administrative barriers constantly needed to be addressed and challenged, such as in cases where the previously isolated GKRN governments were required to hold meetings among each other and to jointly organise events and discuss approaches. In the course of this process, some GKRN government officials developed new ideas and searched for similarly-minded partner governments within the GKRN structure. In this way a network of personal contacts slowly developed that helped overcome existing governmental borders and hierarchy barriers, thereby intensifying intergovernmental coordination and cooperation. In addition to such indirect capacity-building effects as a consequence of the underlying self-management and learning-by-doing approach of the project, some direct capacity-building activities were also offered to the officials. A training course in GIS application was provided to officials of the Provincial Department of Town and Country Planning with the purpose to help in upgrading the technical standards of this particular office, which coordinated the land-use planning activities of the project. Introductory lectures on basic principles of economic development were offered to the inter-governmental working group on economic development by a university professor of the Asian Institute of Technology.

O utcom es and Results The Nonthaburi Sustainable Canal Development Project is still underway and the final version of the action plan is expected in early June 2001. At the time this contribution was written, the draft action plan as developed by the working groups and individual experts had been submitted to all 43 Steering Committee members. The members were

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requested to add their comments and further suggestions, which should be incorporated into the final version of the plan. Given this time frame, it is yet too early to discuss questions regarding the implementation of the plan. Once the final action plan is submitted, all participating governments, i.e. both provincial and GKRN governments, are expected to revise their existing policies regarding the Nonthaburi canal landscape and to introduce in a cooperative fashion the legal mechanisms required to catalyse the development of this area without destruction of its environmental and cultural values. As far as institutionalisation of the process is concerned, the most critical question in this regard relates to the probability of a continuing existence of the GKRN intergovernmental group after the project will have phased out. As all GKRN governments share responsibility for the same canal, successful and sustainable implementation of the action plan appears to be unlikely in the long run without any coordination mechanism among these governments. For this reason, implementation of the action plan and institutionalisation of the GKRN process are closely interrelated. Indeed, evidence appears to be on the rise that more and more of the GKRN government understand the advantages of a more or less formal intergovernmental group mechanism among themselves and of creating national awareness and interest for their individual governments as a result of the formation of GKRN. However, without a single example of such intergovernmental cooperation at the local level elsewhere existing in Thailand, the question arises if the 16 GKRN governments will have the political strength and commitment to maintain the pioneering spirit of their efforts over the longer run. While the action plan for the canal landscape is still under preparation, the process used by UMP in Nonthaburi has not only attracted significant attention among Thailand’s media but also among national and international agencies, which has resulted in additional resources to the benefit of the canal landscape and in a string of new project negotiations. National government funding will be decided upon submission of the action plan. A cooperation agreement has been signed between DANCED and the National Office for Environmental Policy and Planning to develop approaches to ensure the long-term sustainability of the Nonthaburi canal landscape as a direct result of the UMP initiative.

DANCED has provided 400,000 USD for future activities and follow up. The DANCED project focuses on cultural heritage and environmental conservation efforts to the benefit of the Nonthaburi canal landscape.

Lessons Learned • There is no global one-size-fits-all approach to urban project management. Project approaches need to be flexible and require refinements and adjustments according to local circumstances. The specific national culture is a major issue and constantly requires a high degree of attention to prevent alienation between the project approach and the local stakeholders. • Self-management of the project, which might be sustained by an individual facilitator and supported by individual technical experts, rather than subcontracting to a single selected LPI, contributes to significant learning and management capacity-building effects among the stakeholders. • Sense of ownership increases significantly as a result of transferring responsibility for budgeting and payment mechanisms to the stakeholders. However, handing over these mechanisms to the stakeholders requires a carefully designed balance of power among the stakeholder groups to avoid misuse of funds and to maintain a functioning control mechanism. • Implementing project-oriented management mechanisms among a larger group of independent governments requires time and full commitment on the part of all governments and high diplomatic skills on the part of the facilitator. Integrating additional non-governmental stakeholders too early into the process might have a negative impact on the sustainable development of new intergovernmental processes. In such cases, where new routines are required to handle co-ordination among governments, participation of additional nongovernmental stakeholders might benefit from being introduced in a step-by-step fashion over time.

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The N onthaburiCity Consultation and the H abitatAgenda Environm entalM anagem ent • P rom ote geographically balanced settlem ent structures, reduce urban pollution, prom ote effective and environm entally sound transportation system s, support m echanism s to prepare and im plem ent local environm ental plans and local Agenda 21 initiatives The project aims at achieving balanced urban growth through avoiding the destruction of valuable traditional settlement structures in the process of increasing population density in Greater Bangkok. Preserving the environmental value of the canal landscape with its large green areas is expected to contribute to improving the air quality in Greater Bangkok. Maintaining and improving efficient and affordable water transport systems as an alternative to road transportation is expected to help ease the traffic situation in Bangkok and will ensure that transportation costs remain affordable by lower income-groups. The action plan is expected to provide environmental preservation guidelines for the landscape, while currently no environmental guidelines are in existence.

in communication with higher administrative levels. InternationalCooperation • E nhance international cooperation partnerships

and

Application for the EU Asia Urbs project requires establishment of formal cooperation agreements with local governments in Europe. At present (April 2001), the GKRN governments are in the process of establishing contacts with cities with canal landscapes in Europe in order to establish such cooperation agreements and to exchange experiences in canal landscape development and preservation.

Econom ic D evelopm ent • E ncourage public-private sector partnerships and stim ulate productive em ploym ent opportunities Maintaining the special environmental value of the canal landscape is expected to provide a strong competitive advantage in the near future, as green areas have elsewhere entirely been lost in Greater Bangkok over the last decades and demand for such areas is rising among an aspiring urban middle-class. Affluent new residents are expected to invest and consume locally, which will contribute to economic growth of existing local businesses. G overnance • Prom ote decentralisation and strengthen local authorities Self-management of the project and systematic intergovernmental cooperation among the GKRN governments has strengthened the capacity particularly of the small local governments involved in the project and has contributed to self-confidence

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An Econom ic D evelopm ent Strategy for Inner City Johannesburg,South Africa

In describing the geographical context of the Johannesburg Inner City, a brief socio-political history is essential to paint the boundaries of this multicultural and complex spatial arrangement. Prior to the 1994 democratic elections in South Africa, the black working class, due to apartheid laws, lived in Soweto (the sprawling township to the south west of the city) and commuted to the Inner City where they worked. From the mid 1980â&#x20AC;&#x2122;s, demographic shifts in the Inner City began to emerge. These related to a gradual movement of black people to the Inner City as residents. With the repeal of apartheid legislation, such as the laws of influx control, and through increased environments of repression and violence in the townships, movement to the Inner City increased.

Johannesburg, with Sandton4 becoming the economic hub of the Greater Johannesburg area.

This demographic shift in the population to the Inner City was accompanied by physical decline and a new racial stereotyping of residents. In many buildings rents were increased, apartments overcrowded and services not maintained3. Further demographic shifts have occurred during the second half of the 1990s as Africans from other countries, mainly Nigeria and the Democratic Republic of Congo, arrived in the Inner City. These people have been subjected to the increasing xenophobia from South Africans.

Management and development of street trading, the taxi industry and other forms of micro-business activity are seen as high priorities for confidence building and stabilizing the Inner Cityâ&#x20AC;&#x2122;s economic environment. This also includes stabilizing the Inner City residential environment.

Urban decay in the Inner City, a declining economy since the 1980â&#x20AC;&#x2122;s, and increasing levels of crime have resulted in the migration of investors to the north of

The Inner City faces serious challenges due to the increase in the number of poverty-stricken people who have taken economic refuge there. This provides a number of urban management challenges for city managers, including addressing the needs of this poverty-stricken group, as well as creating opportunities for economic and social inclusion. This should be seen in a context where the city streets house homeless adults and street children. Coupled with this is an increasing level of xenophobia by South Africans towards migrant traders in the Inner City. This is often described as retarding economic growth in the Inner City and provides a complex situation for Inner City managers5.

Johannesburg Inner City has undergone many changes in the last decade. It is a city that needs to refocus and redirect its governance strategies to enhance the lives of those previously disadvantaged. At the same time there is a dire need to create an economically viable city that can contribute positively to both the local and national economy.

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Basic City Inform ation City, Country: Population:

City Growth Rate:

Cityâ&#x20AC;&#x2122;s main function:

Poverty profile:

Administrative structure:

Spatial dimension of City Consultation intervention:

Focus of the City Consultation:

Key stakeholders involved:

Johannesburg, South Africa Figures of the Inner City population vary between 110,000 and 220,000 people, depending on the information source6. The most recent estimate is a resident population of 217,000. Daily commuters in the Inner City amount to 800 000.7 The population of the Inner City is estimated to increase at 1.1% per annum until 2005 and then at 0.6% per annum between 2005 and 2010. The population will increase to 211,690 in the year 2000 and will continue to increase to approximately 256,428 by the year 20108. A slow down in the growth rate in African cities is projected over the last half of this century, due to the increasing rate of HIV/AIDS. The inner city has a multifunctional approach with a focus that encompasses â&#x20AC;&#x153;the celebration of diversityâ&#x20AC;?, economic growth and a specific emphasis on informal commerce and informal trading9. The city is comprised of people with diverse economic and social interests. The Inner City also serves approximately 800 000 daily commuters10. The City provides basic services to its constituents. 82% of Inner City residents rent their accommodation11. A possible reason for this is that they do not view the Inner City as their home and are only located there for work. The Inner City offers a refuge for people who cannot seek services from the government. These people are economically disadvantaged, are often homeless and have fallen through the poverty safety nets of the government. The Inner City has an ever-increasing migrant community. The unemployment rate is 16% and there is a growing informal sector. The city of Johannesburg, defined as the Greater Johannesburg Metropolitan Council (GJMC) is governed by a local government structure. There is an elected mayor who works with a senior management team. The GJMC is divided into four local councils, the Inner City forming part of the Southern Metropolitan Local Council12. Elected officials are appointed through democratic elections. Local government employs public service workers to deliver urban services and products and to manage the City. Johannesburg is undergoing a restructuring process to become a Unicity with eleven regions. Services offered by each region will include community services as well as primary health care, social services, housing, libraries and sport and recreation. There is currently a major technical task underway to establish effective planning, administrative and service delivery systems out of the chaos inherited from the apartheid era. There is also a political re-conceptualisation of governance processes that is focused on reorienting state resources and regulatory powers towards the needs of the poor. The Inner City is an area of approximately 2 km2, comprised of the commercial and financial districts of the former city of Johannesburg. Surrounding it is an area of similar size made up of high-density residential and manufacturing suburbs. The number of dwelling units in the Inner City total is 37 00013. The entire area constitutes what is known as the Johannesburg Inner City. The Inner City is geographically situated in a position that makes access to social services, health provision and the delivery of basic services adequate. The Johannesburg City Consultation has taken a multifaceted approach, with an emphasis on the development and creation of an economic development strategy for the Inner City. Through a consultative process and the participation of relevant stakeholders, this has resulted in the planning and implementation of numerous development projects in the Inner City. The private sector was involved, in the areas of housing and property, management consulting, investment banking, technical building and business forums. The community was involved through community representation and the city business coalition. The City Council, councillors and city council employees of the local government took part, along with the provincial government. A list of the stakeholders is attached as Appendix A.

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The city consultation process In 1994, extensive research was conducted into economic trends in the Inner City of Johannesburg. The research was intended to have two stages: • identifying, describing and explaining the major changes under way in the Inner City economy • working with stakeholders to formulate an economic vision and to develop practical, collaborative interventions that would help to achieve that vision; This initiative spanned the life of two different metropolitan structures, lead by different political leaderships. The combination of these efforts laid out broad outlines for the way forward for the Inner City, which were reflected and built upon in the Inner City Development Strategy. The focus of this research process was directed towards the creation of the Inner City as an ‘economic hub’. This was to be achieved through the establishment of an economic strategy for the Inner City. This would document and analyse trends in the Inner City economy while fostering the interests of all the city’s economic stakeholders. However, for various reasons the second stage was never implemented. Meanwhile, the Urban Management Programme, Regional Office for Africa (UMP-ROA) had held a number of discussions with managers of the Inner City to present various options of how the UMP could facilitate urban management strategies. An opportunity for collaboration was identified around economic development in the Inner City and a city consultation methodology was proposed. The city consultation was a mechanism to further the analysis already completed on Inner City economic trends and to further entrench principles of stakeholder involvement and participation in the creation of this economic strategy. Coupled with this was the desire to carry out this process in such a way that it would enjoy credibility and hold the Inner City managers accountable to all stakeholders located in this urban geographical area. It was intended that the economic strategy would compliment a broader economic framework that was being developed for the whole of Greater Johannesburg and would include a spatial analysis

of the Inner City (this aspect was funded by the city). It was also hoped that the strategy would contribute to effective governance of the dynamic urban processes in the inner city. In early 1998, a new Inner City manager’s office was established in the Johannesburg Metropolitan Council, with a jurisdiction spanning the functional areas of three responsible councils. The Inner City Office was at the time engaged in preparing and implementing a range of strategies and projects aimed at improving governance in the central and inner city areas of Johannesburg. The senior management of this office was receptive and motivated for the inclusion of the UMP City Consultation process in its mandate. The Johannesburg City Consultation Process entailed four steps: R eview :Reviewing existing research and presenting it to the Steering Committee and Reference Group with a view to identifying the key businesses and economic sectors in the Inner City. R esearch:Updating the 1994/5 research in respect of certain businesses, trends and the role of the city through surveys and contacts with stakeholders. P articipation: Engaging the Steering Committee, Reference Group and numerous other institutions and persons in the strategy development and project design processes. C onsultation: Preparing a preliminary action plan that was ‘work-shopped’ in greater detail with key constituencies14, including reference groups.

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The final action plan was approved by the Inner City committee and presented to the council’s Executive committee, who then recommended its incorporation into the local integrated development plan 15 . A number of areas highlighted in the action plan have been addressed through the ongoing programmes and projects of the Inner City office. The Economic Development Strategy for the Johannesburg Inner City (1999)16 was part of a wider endeavour to contribute to effective governance of dynamic urban processes in the city. The aim of the City Consultation process was to: • Review the changing economic trends of the Inner City of Johannesburg; • Identify key sectors to support future economic growth; and, • Develop a spatial and economic framework that clarifies economic choices and guides physical development in the Inner City in line with the Development Strategy. The uniqueness of this process was that it built on existing strategies and processes. It was emphasised by those involved in this process that it was not necessary to reinvent structures and conduct primary research (profiling work) to launch the City Consultation. This already existed and could be built upon. The underlying goals of the process were clearly articulated in sequential themes that included: • To articulate the economic choices facing policymakers; • To analyse the feasibility and implications of selecting among alternative economic development objectives; and, • To suggest how the preferred objectives might be achieved. The Inner City Office benefited from the knowledge base and practical case examples provided by the UMP’s local and international representatives. This knowledge sharing enhanced project planning and implementation. Benefits were also gained from the inputs of international UMP and UNCHS personnel who visited city institutions. Those involved reflected that the added value of the city consultation process was not due to the

introduction of new ideas and principles on participation and stakeholder involvement in urban management. Rather, it served to enhance and reaffirm these existing ideals. South African political organisation has a history of incorporating the principles of participation, inclusion and democracy. These were incorporated into the struggle politics of organisations that fell outside the formal urban structures and city councils prior to 1994. However, with the election of a democratic government in South Africa in 1994, and with the elections in 1995 of local government officials, these principles of participation have been integrated into formal urban management processes. These views should also be seen in the context of a city undergoing a transformation experience that was seen to be unique in South Africa. This included changes in transformation agendas and regeneration projects that had been already set in place by either the government prior to the 1994 elections or by the new democratically elected local government. Therefore, the outputs of the UMP process were significantly influenced by where Johannesburg, as a South African city, was at the time. StakeholderInvolvem ent Throughout the development and documentation of the Economic Development Strategy for the Johannesburg Inner City, the principle of consultation was seen as a key mechanism to give credibility to this process. The inclusive nature of the city consultation process is reflected in the creation of the Steering Committee and Reference Group as well as in the numerous interviews and meetings that were held with a wide range of role-players in the Inner City (see Appendix A). Questions have been raised as to whether this process was truly planned along participatory strategies and if the participants were a true representation of the Inner City community. In response, it was admitted that such processes could always become more inclusive. Conflict did arise between a consultant and one of the stakeholders. In this case the stakeholder represented the community forum. The conflict was described as challenging and was seen to have a positive influence on the city consultation process as it stimulated critical debate. It was also seen as an opportunity where the needs of the community where

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given expression. The conflicting issues centered on what choices were made regarding the prioritisation of sectors to improve the economic status of the inner city. Strengthsand O bstacles Strengths and obstacles of the City Consultation process in Johannesburg Inner City are summarized below. Strengths • The Economic Development Strategy for Inner City Johannesburg has been incorporated as city policy. It was adopted by the City Council’s Executive Committee and incorporated in an Integrated Development Planning Process. • Participatory and inclusive mechanisms allowed for the opinions of a representative grouping of community stakeholders to be heard. The participatory nature and high level of stakeholder involvement has resulted in community members attaining a better grasp of the essence of spatial planning and, project members understanding the Inner City communities better. • The participatory nature of the process has been reflected in the way in which the objectives have been carried out through to programme and project planning. • A number of actions have been implemented in terms of tangible projects, reflecting the realistic nature of the action planning exercise. • Inner City stakeholders have commented on a noticeable improvement in the Inner City in terms of crime and grime. • The UMP process utilised existing capacities and conserved limited resources. The incorporation of the Inner City office into the City Consultation process is seen as a positive force. • The City Consultation provided a focus of economic development at a micro level. This is seen as a valuable component, which resulted in the realistic implementation of programmes and projects. • The focussed nature of the City Consultation is seen as positive. This refers to providing a framework for specific economic development plans for a very focused geographical area. • Concrete recommendations arose out of the City Consultation. The City Consultation did not just develop policy as actions have also been realised. • The diverse nature of the process design to include research, workshops, discussions and debates

added value by including different ways to collect and validate information. O bstacles • Friction with stakeholders. Differing visions of key stakeholders created tensions. These conflicts were used productively to challenge people’s ideas and perception. Issues that the Inner City office had not considered were brought to light and this challenged the Inner City office to be accountable to the stakeholders and the communities of the Inner City. • Criticisms were made of the over reliance on consultants. However it was agreed that the consultants were best equipped to do the research work, and they were experts in the field of urban management. • Stakeholder inflexibility: each stakeholder had their own agenda and very specific views. • Identification of representative stakeholders. It was argued that it is difficult to be clear in a complex urban structure such as the Inner City if those that responded to the City Consultation process were always representative of the Inner City community. • The City Consultation process was not adequately marketed. The broader population of the Greater Johannesburg is not aware on the results of the City Consultation process. This is also true for the projects that have been implemented in the Inner City. • Questions were raised on whether the stakeholders had the capacity to participate in the consultation process, and whose interests they served. It was seen that the effective management of such a process was critical in including all stakeholders and acknowledging the opinions expressed by all. It was then necessary to make trade-offs as to prioritise what areas to focus on for effective implementation to occur. In summary it has been suggested that the success of the process in Johannesburg lies in the strategic nature of the partnership with the Inner City Office. The output, the Economic Development Strategy for the Johannesburg Inner City Office, is a key strategic document which has influenced the regeneration strategies of a city that is struggling with issues of urban decay and urban poverty.

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O utcom es and Results In order to describe the outcomes and results of the UMP City Consultation process it is important to locate this within the context of the consultation process. The primary objective was to improve the socio-economic conditions of the Inner City. The most effective way of achieving this objective was seen to be through an economic strategy and an emphasis on economic development. The social conditions were seen to be directly linked to the improvement of economic conditions, but were not given primary attention. The nature of this city consultation process has been described as unusual as it allowed for a high level of expression and inclusion of private sector interests. In the context of the Inner City this is understandable. As already described, the Inner City has undergone a downward spiral in terms of its ability to sustain its vibrancy, resulting in economic and social decline. There are increased levels of crime with the Inner City being used as a refuge for those people who have fallen through the poverty safety nets of the government. Thus the focus on economic development provided an opportunity for the private sector to address this situation which impacts on their livelihoods. The existence of the Inner City project office helped to streamline the process within the council due to the nature of its staffing (personnel on loan from a range of council departments) and a strict focus on Inner City development. A key feature in the process of the City Consultation was the integration and high level of involvement of dynamic community and business forums. These forums, established prior to the initiation of the City Consultation, provided strong inputs, each representing their constituencies, territorial views and business interests. They also provided structured and organised means for consultation. The participatory nature and inclusion of stakeholders in the City Consultation facilitated the incorporation of a wide range of opinions. This has also infiltrated the way in which projects have been designed and implemented by the inner city office. It should be noted that the members representing the community were individuals that belonged to that

organised sector of the community. Those members of the Inner City who do not form part of organised society were not represented. This refers to homeless people, women and youth. A suggestion was made that these people could have been brought together in interest groups to participate in the City Consultation process. While this is desirable, experience showed that such disparate groups often lacked the capacity to participate effectively in technical discussions such as those which surfaced during the Johannesburg city consultation (e.g. concepts of spatial and economic planning). This is an ongoing challenge in the quest for true community participation. The Inner City office, with direction from the guidelines put forward in the Economic Development Strategy, has implemented a number of projects and programmes. These projects have high levels of community participation in both planning and implementation. This has proven to be of critical importance, especially in actions targeting informal traders and taxi owners, as these are sectors where conflict has often arisen. The taxi industry in Johannesburg has a political history of challenging the public sector. A list of the type of projects that have been implemented includes the following: • Metro Trading Company - formalising markets and making them clean and safe environments • Increased taxi facilities and upgrading existing taxi ranks • Garment Industry - growing the SMME aspects of the Inner City • Newtown Project – combined spatial and economic development • Cultural Industries • Job Creation through infrastructure development and support for SMME development – Jewel city and garment district projects • Tourism • City Improvement Districts – including crime prevention measures and physical upgrading According to a figures presented by the Inner City office17 vacancy rates of property space has decreased from 24.8% in 2000 to 20.5% in 20001. This increase in property occupancy has been related to improvements in the Inner City obtained through the projects mentioned above.

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The high level of involvement of the private sector in the process allowed for the allocation of private sector resources for the implementation of projects. The focus of the City Consultation on economic development provided the framework for this to develop. Funding

for the planning and implementation projects has also been provided for by international funding organisations, for example The Ford Foundation. This has further bolstered the resource capacity of these projects.

G andhiSquare – A public-private partnership18 Gandhi Square was an area in the city that was previously unsafe and in disrepair. In 1998 the Central Johannesburg Partnership (a private Section 21 Company focussing on urban renewal), on behalf of the majority of the property owners bordering the square, signed a lease for the square with the local council. The resulting development project incorporates a bus terminal as well as upgrading the landscape and the surrounding buildings. This has combined urban regeneration of the area with heritage conservation. Mahatma Gandhi lived in and around Johannesburg between 1903 and 1913 and the re-naming of the square “Gandhi Square” reflects some of the history of the inner city. The monetary commitment by the public and private sector for this project is as follows: • Public Sector – Provincial Government 500 000 Rand19 • Private Sector 2,250,000 Rand

The focus of the City Consultation on the regeneration of the city was never contested and a key feature of all projects subsequently implemented has been making the inner city environment cleaner and safer, a desire shared by all stakeholders. This shared vision allowed for a stable process to unfold. The Economic Development Strategy for the Inner City has been incorporated as City policy. It was adopted by the City Council’s Executive Committee and incorporated in an Integrated Development Planning Process. The UMP anchor institution,the Graduate School of Public and Development Management (P&DM) at the University of the Witwatersrand in Johannesburg, developed a knowledge base on the Inner City and has established working relationships with key stakeholders. Following the adoption of the Economic Development Strategy for the Johannesburg Inner City, the inner city office requested P&DM’s assistance in organising a further city consultation process focusing on the cultural aspects of the strategy. This process will review the city’s cultural assets and look at how they can be linked to economic development initiatives to benefit inner city communities. Local Government capacity to effectively engage with different stakeholders was enhanced through the city

consultation. A process of engagement had already begun, however the city consultation provided a focussed approach and promoted the involvement of a wide range of stakeholders. The nature of this wide participation allowed tangible and realistic plans to be drafted. For example, in all of the projects facilitated by the City Consultation the reduction of crime has been a critical factor in their success. Ways in which this has been achieved is through the use of television cameras as a policing mechanism as well as providing alternative policing structures such as community policing forums. These anti-crime initiatives have been strongly supported by both the community and private sector. A briefing workshop to present the work of the Inner City Office to the wider business community and international donors is planned for 29 th May 2001. This has been designed as part of a marketing strategy to address the lack of general awareness in greater Johannesburg of the City Consultation process and its outcomes. The Inner City Office is being wound down and the Johannesburg Development Agency has been operational since March 2001. A number of Inner City initiatives, mostly developmental in nature, will be driven by this agency, including the city consultation on cultural industries. Inner City Office personnel

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will take the capacity and experience gained through the UMP City Consultation back to their respective local government departments.

Lessons Learned ProcessD esign Working with a good organisational structure such as the Inner City Office proved to be extremely useful for the City Consultation. Intricate levels of local government bureaucracy did not bind the Inner City Office, as it has a flat and flexible structure capable of working across sector groups. This facilitated the speedy delivery of action plans and decision-making. The strategic choice of working with an urban management structure that had as its focus the regeneration of the Inner City was an important decision. The priority for urban regeneration in this geographical area was never contested thus leading to a stable process. Policy Im plem entation The final output of the city consultation, the Economic Development Strategy for Johannesburg Inner City, was adopted as local government policy and included in the integrated development planning process for Greater Johannesburg. This document has guided project and programme design in a practical manner to ensure continuing participation from stakeholders. StakeholderInvolvem entand PartnershipsD eveloped A good choice of city level partnerships were made. The high level of commitment and activity of the private sector provided credibility and resources for this process. Examples of this include Inner City initiatives such as Jewel City and the Garment District. In both cases the clustering of the jewellery and garment industries are key factors in developing these business sectors. These areas are comprised of a group of large manufacturers and many small enterprises. The development programme focuses on the skills training and entrepreneurial development and a hive system of small business incubators has been created. As part of the effort to attract investment into these areas attention has been given to create a secure environment. It has also been proposed that residential villages would add value, providing accommodation for the workers employed in these sectors.

The critical factor in the development of the abovementioned partnerships is that all stakeholders involved had different objectives. However, what was pivotal to successful planning and implementation of these projects is that these different objectives focused on the same desired end-result – an improved and economically viable businesses in an environment which is clean and safe to work and live in. The City Consultation provided a unique opportunity for stakeholder participation in developing a strategy document, a process traditionally not viewed as consultative by local government. Focuson M icro Econom ic D evelopm ent One of the objectives for Inner City regeneration is the improvement of the economy. It was a strategic choice in the city consultation process to direct action towards small and local levels of economic development as this reflected the needs of the inner city communities.

The Johannesburg City Consultation and the H abitatAgenda The following key commitments of the Habitat Agenda were addressed through the Johannesburg City Consultation and the subsequently implemented projects and programmes of the Inner City Economic Development Strategy: • Social development and the eradication of poverty • Promoting social integration and support of disadvantaged groups • Promoting effective and environmentally sound transportation systems • Strengthening small medium and micro enterprises • Encouraging public-private sector partnerships and stimulating productive employment opportunities • Encouraging and supporting participation and civic engagement • Ensuring transparent, accountable and efficient governance of towns, cities and metropolitan areas Enhancing international cooperation and partnerships

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APPEN D IX A REFEREN CE G RO U P NAME STEERIN G CO M M ITTEE Sibusiso Buthelezi Sandi Singh Neil Fraser Graeme Gotz Graeme Reid Leila McKenna Richard Schearer

SECTOR Councillor, Inner City Section 59 Committee Inner City Community Forum Inner City Business Coalition P&DM, University of the Witwatersrand Greater Johannesburg Metropolitan Council, Inner City Office Greater Johannesburg Metropolitan Council Inner City Community Forum

REFEREN CE G RO U P Sibusiso Buthelezi Neil Fraser Graeme Gotz Graeme Reid Abdou Maliq Simone Gerald Olitzki Rees Mann Isaac Shongwe Pauline Larsen Gavin Sacks Nathan Nadasan Akhtar Thokan

Councillor, Inner City Section 59 Committee Inner City Business Coalition P&DM, University of the Witwatersrand Greater Johannesburg Metropolitan Council, Inner City Office P&DM University of the Witwatersrand Commercial property owner Sewtech Letsema Consulting JH Isaacs, property economist JH Isaacs, retail broker Khethani Business Finance Wonder Flooring

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APPEN D IX A REFEREN CE G RO U P RECO RD O F IN TERVIEW S AN D M EETIN G S Steering Committee Inner City Community Forum Jayne Rogerson Rand merchant Bank Rees Mann Sewtech Pauline &Frances Viruly JHI, Property Norman Makgato BOC Li Pernegger Southern Metropolitan Local Council Inner City Business Coalition Sheny Medani Market Decisions Debbie Sampson and John Dick Old Mutual Gavin Sacks JHI Spatial Charette Gerald Olitzki, Susan Fainstein & Soraya Goga Sharda Naidoo and Gordon Freer Alliance for Micro Enterprise Vivienne Zwenis MODE Gert Dry and Michael Joubert ABSA Hentie Grove and Anton Prinsloo Pentagon John Myburgh and Nigel Unwin Anglogold June Jacobs FED SMME workshop Economic Workshop Khetso Gordhna CEO, GJMC Michael Spicer Anglo American Janet Okeyo Karabo Finance David Proteous Gateway Robin Block MACs John Heeger Adtech Dr D Wolmarans. Kevan Kane, Vandana Chandra, FED, BCG-BEES, World Bank, Wits & Sewtech Chris Rogerson, Rees Mann Neil Fraser, Greame Reid, Erky Wood, Gerald Olitzky Dr Charles Landry, Avril Joffe, Robin Fee World Bank, DTI, JCWI Objectives Workshop First City Consultation Second City Consultation 135 interviews with clothing and manufacturing, SMME enterprises and immigrant entrepreneurs

Ref: Tomlinson, R & Rogerson, C (1999) An economic Development Strategy for the Johannesburg Inner City.

Case Study written by Rayna Taback, Johannesburg, South Africa

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“Youth and the City” in Kasserine,Tunisia

The Tunisian Context Recent demographic changes have had a significant effect on the Tunisian government’s ability to address urban poverty. Since the 1950s, the population has increased dramatically. In this time, the population has more than doubled, reaching 9,300,000 in 1997. At the same time, Tunisia is gradually becoming more urbanized with the majority of Tunisians living in the major cities, particularly the capital, Tunis. Official poverty estimates state that the poverty rate declined from 22% in 1975 to 7% in 1990 and to 6% in 1998. Looking more closely at poverty in Tunisia, however, reveals a more complex reality. Recent indicators show a steady deterioration in revenues and standards of living, especially in informal urban areas. Vulnerable groups include the unemployed and youth, two groups that often overlap. Urbanization in Tunisia has resulted in a dramatic increase in the numbers of urban youth (under 30) who now constitute 61.3% of the total urban population. Young urbanites in Tunisian cities are extremely vulnerable to urban problems and face numerous challenges, including: academic failure, unemployment, poverty, and social alienation. Many

young urban dwellers suffer from a sense of social malaise, exclusion, and marginalization that are expressed in crime and apathy. Kasserine Kasserine city, population 70,000, is the administrative and economic center of the Central Western governorate. The Kasserine region is predominantly rural, but urbanization is increasing as rural dwellers move to the city. Kasserine city is the major attraction. Employment rates in Kasserine, however, are among the lowest nationally, industry is underdeveloped and infrastructure is inadequate. This situation is likely to worsen with the constant flow of migrants coming from the countryside who are not being absorbed into the city’s socio-economic fabric. In addition, Kasserine has weak connections to the rest of the country. There is only one highway leading to the city, and communications are poor, which hampers its potential for growth. Poverty in the governorate of Kasserine is acute. In Kasserine city the poverty rate is 15% compared with 9% in the rest of the country. It is estimated over 50% of governorate inhabitants and over 40% of Kasserine city dwellers are disadvantaged.

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Basic City Inform ation City, Country:

Kasserine, Tunisia

Population:

70,000 (census year 1994)

Density:

42 inhabitants/km2

City Growth Rate:

5.4%

City’s main function:

Administrative and economic center of the Central Western governorate in Tunis

Poverty profile

For the Governorate of Kasserine (no data exists at the city level) Urban population rate: 37.6 1994 unemployment rate: 25.35% 1996 life expectancy rate: 70.8 yrs (national: 71.6) 1995 male illiteracy rate: 35.7% (age 15 and over) 1995 female illiteracy rate: 67.2% (age 15 and over) 1995 GDP: $3,512 (national GDP: $5,261) 1994 % not connected to potable water: 66.6% 1994 % not connected to sanitation: 82% 1994 % households more than 4 km from a healthcare unit: 32.8% 1995 regional Human Development Indicator: 0.503 (national HDI: 0.610)

Administrative structure:

The mayor and the municipal council are elected officials.

Spatial dimension of City Consultation intervention:

3 neighborhoods: Echarki, Ain El Khadra and El Gouahria

Focus of the City Consultation:

Kasserine “Youth and City” Consultation

Key stakeholders involved in the city consultation process:Union Nationale de Femmes de Tunisie (UNFT) – NGO Jeune Chambre Economique – Kasserine Centre de Defense et d’Insertion Sociale (CDIS) – Kasserine Governorate of Kasserine Youth leaders of the three selected neighborhoods

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The Kasserine city consultation process Selection ofKasserine In the early 90s, a newly elected municipal team was striving to find the means to strengthen relations between the municipality and the residents of Kasserine. The municipality, which was heavily indebted, did not have sufficient resources to undertake major infrastructure projects and had to devise other ways to impact the lives of its constituents. The municipality therefore decided to undertake small, low-cost but visible actions that mobilized alternative sources of funding and had the potential of fostering new relationships with local residents. Some actions were conducted in partnership with the private sector that, in exchange for the provision of municipal services, contributed equipment or materials to the municipality. Another initiative was the USAID-sponsored project designed to support community management of the urban environment (GESCOME). This project aimed at upgrading one of Kasserine’s informal neighborhoods using a participatory approach. The GESCOME project provided training in participatory approaches to several members of the municipal team, some of whom subsequently trained other municipality staff throughout the country. The UMP therefore found in Kasserine a municipal team that was not only convinced of the usefulness of participatory approaches but was also trained in their implementation.

Kasserine and Bou Salem. The principal objective was to help municipalities develop appropriate tools to fight poverty in cooperation with national agencies, civil society organizations and local communities. The consultation produced a framework for municipal poverty reduction efforts in both Tunis and Kasserine. The Kasserine action plan included two suggestions: expanding the role of the consultation stakeholders, including UMP-Tunisia, FNVT and their partners, and implementing a city consultation focusing specifically on youth needs and concerns. The objectives of the “Youth and the City” consultation, therefore, built on the findings of the previous consultation and can be summarized as follows:

The Mayor of Kasserine was first exposed to the UMP and the city consultation process during an executive board meeting of the National Federation of Tunisian Cities (FNVT), the UMP anchor institution in Tunisia, in 1997. Subsequent to that meeting, the mayor requested that Kasserine be included in the UMPTunisia work plan. For the UMP, selecting Kasserine presented the programme with an opportunity to build on previous successful experiences and test the city consultation approach in a middle-sized city facing many economic development problems.

• Equipment of the municipal team with the tools to implement a strategy directed toward youth between the ages of 15-30; • Continuation of the legacy of the GESCOME project by extending the participatory approach to urban management at a city-level; • Development of a strategy to integrate the city’s youth that builds on innovative ideas and supports actors involved at the neighborhood level without aiming at replacing them.

Consultation O bjectivesand Scope ofIntervention The Youth and the City consultation continues previous efforts of UMP-Tunisia and FNVT, in collaboration with the Municipalities of Tunis and Kasserine, on strategies for urban poverty reduction. A process of local and national consultations on urban poverty reduction was implemented in Tunis,

The municipality and the UMP consultants decided from the onset that the youth issues should be addressed in their totality, not from a sectoral perspective. Most approaches address one aspect of youth concerns at a time: employment, education, juvenile delinquency, family relations, sports or others. These fail to account for the interconnection between

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these and other issues and how together they impact the ability of young persons to find their place within society. There was therefore no attempt to limit the scope of topics discussed during the consultation process. The only limitation was that the consultation would target the needs of unmarried young men and women between the ages of 15 and 30. In contrast, it was decided early on to focus on a few selected neighborhoods representative of Kasserine, rather than on the entire city. The first motive for this decision is that it would have been difficult to mobilize youth from the entire city. The second reason related to the need to better understand the relation of the youth to their neighborhood and the role of neighborhoods as a space for social interaction and community action. Three neighborhoods were selected. The first, Echarki, is one of the cityâ&#x20AC;&#x2122;s oldest and most central neighborhoods with approximately 2,500 inhabitants. The two others, Ain El Khadra and El Gouahria, are isolated neighborhoods located on the outskirts of Kasserine with 800 and 180 inhabitants respectively. Common problems face the youth of these three neighborhoods including unemployment, criminality and high rates of school failure.

representing the municipal council and administration, the governorate and regional branches of concerned national administration, city-based NGOs and associations, local and national consultants and representatives of the youth. As the main locus of the consultation process, the EMT was responsible for making the principal decisions throughout the process including: selection of methodology and neighborhoods, hiring of consultants, review of all outputs and elaboration of the strategy and action plan. T he third step was the planning phase, comprised of a series of meetings to define the objectives of the consultation, identify the main actions to be undertaken and develop the methodology. The planning phase of the consultative process was by all accounts instrumental in setting the process on the right track and overcoming early difficulties.

T he firststep was to sensitize and inform Kasserineâ&#x20AC;&#x2122;s municipal council while simultaneously obtaining the support of the governorate. Members of the municipal team were able to muster the support from government officials at the national level as well as from the municipal council itself. Most decisive was the steady support from the governor of Kasserine throughout the process and beyond, in making resources available for the implementation of the action plan.

T he fourth step was concerned with mobilizing neighborhood youth around the project. This was done through a series of informal field visits and contacts with neighborhood residents. Following these preliminary contacts, a first meeting was held with about 30 young men and women, during which six youth mediators were selected (one man and one woman, from each neighborhood). Criteria for the selection of the youth mediator included: gender, age, ability to represent and speak on behalf of the youth within their neighborhood, capacity to understand the consultation concept and ability to mobilize their peers. The youth mediators received training in participatory techniques including how to approach their peers, how to present information and how to lead a discussion. It was decided that, due to their central role, the youth representatives would be incorporated as full and equal members of the EMT. Within the neighborhood the role of the youth mediators was first to act as representatives of their neighborhoods; second to be intermediaries between the youth in their neighborhoods and the EMT; and third to act as facilitators in the consultative process and assist the municipality and the consultants in accessing their neighborhood.

T he second step consisted of the mobilization of institutional actors involved in this field and the establishment of the Enlarged Municipal Team (EMT). The EMT was the principal mechanism for implementing and guiding the city consultation process. It was comprised of 20 to 25 members

In addition to the regular EMT meetings, several meeting formats were used during the consultation: large citywide meetings gathering all stakeholders and open to a larger public, and validation workshops gathering a selected number of young persons from the three neighborhoods. Only one large meeting was

The Consultative Process The consultative process took place over a period of approximately one year, from August 1999 to September 2000. The steps described below are presented in a sequential manner for easy reference. In reality, there was significant overlap between each phase.

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held during the entire process and with mixed results (see below). Validation workshops were held to discuss the results of the participatory diagnostic and the first draft of the strategy.

regional or national. Over 90% said that they had no relationship with the municipality and that they were not informed about the municipality’s activities, which in any case do not respond to their needs.

D uring the fifth step a participatory diagnostic on the situation of Kasserine’s youth was conducted. It consisted of a mix of quantitative and qualitative approaches designed to obtain a precise representation of the concerns and aspirations of the youths by allowing them to express themselves freely. All research tools were administered by youth mediators who had received training in conducting participatory research and were equipped with guidelines and methodological tools.

From a gender perspective, it appeared that young females were somewhat better off than their male counterparts and had a clearer view of their future as well as more critical analysis of their situation. Young women tended to be more articulate in their understanding of the problems they are facing, and showed a stronger desire to overcome them. Men on the other hand focused more on the outward symptoms of the problems in lieu of the root causes or possible solutions.

All surveys, focus groups and interviews were conducted with an equal number of men and women. The gender methodology applied was that women should not be targeted as a special category so as not to overemphasize the differences between young women and young men. Instead, the focus was on ensuring that the data-gathering phase accurately reflected both genders’ needs and that both had an equal opportunity to participate at all stages of the consultation process.

T he final stage of the consultation consisted of the elaboration of the municipal strategy for youth integration in the city. The strategy was developed by the EMT and validated through a series of meetings with the youth of the neighborhood. The strategy identifies concrete actions, some of which are under implementation.

The participatory diagnostic showed that the principal preoccupation of the youth is unemployment. High school drop out rates, inadequate job qualifications and skills, the absence of employment opportunities and difficulties in accessing financial support were identified by the respondents as factors contributing to the high unemployment rates. Poverty and poor living conditions are another important preoccupation of the youth, especially for those coming from the two peri-urban neighborhoods. The diagnostic also revealed a great deal of ambivalence in the attitude of the respondents toward their city and neighborhood. They tend to think that the city does not provide them with adequate public services, employment opportunities and leisure activities. A staggering 41% of those interviewed said they would like to leave Kasserine. One of the most important findings of the study revealed the extent of the existing gap between youth and the municipality prior to the implementation of the consultation. The youth of Kasserine had no contacts with any official institutions be they local,

Key Issues/O bstaclesFaced The Evolving Role ofthe Tw o M ain Partners:M unicipality and the Youth Throughout the consultative process the various stakeholders adopted new roles that were not always foreseen earlier on. In many cases such shifts required stakeholders to demonstrate flexibility and to be willing to adapt to new ways of doing things. The decision of the Mayor to implement an activity focusing on youth priorities raised the issue of the legitimacy of the municipality’s role in this field. The core members of the municipal team had first to persuade the municipal council of the validity of the approach and of the need for the municipality to be involved in the process. They then convinced officials of various regional administrations that the project was not there to replace them but rather to help them in better targeting their programs to reach out to youth. Initial misgivings subsided gradually as the process unfolded and, in the end, most public officials agreed that they had greatly benefited from the city consultation. The youth mediators came to acquire a special status and recognition within the neighborhood and the municipality. Within their neighborhoods the

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mediator were seen as “representatives” of the municipality who could be trusted to relay local concerns to city hall. They also felt strongly that they were mandated by their peers to ensure that the process to concrete results. The municipal council members involved in the activity faced a different dilemma. As leaders in the consultation process they tried to break down the barriers between themselves and the youth representatives. For this purpose, they had to foster a climate of free and uncensored dialogue by listening to them and showing that they shared and understood their preoccupations. However, as elected officials, members of the ruling party and representative of the local government, they could not overtly dissociate themselves from the official discourse, particularly during large public meetings. Building and M aintaining Trust Bridging the gap between youth and the municipality and creating an atmosphere of trust was one of the most immediate preoccupations of the members of the EMT. As expected, the initial reaction of the young men and women contacted for the activity was one of distrust. With municipal elections scheduled within a few months the instinctive reaction of the youths was that the municipality was out to get their votes. Trust was not built overnight. During the first citywide meeting organized by the EMT to introduce the project to all stakeholders, representatives of the various central administrations showed some contempt toward the youth and provided a laundry list of what the government was doing for them with the underlying assumption that they should be happy and show more gratitude. The dialogue was cut short as youth used their silence to show their refusal to confirm or contradict the official discourse. This rupture in dialogue was evidence of the deep mistrust between the parties and could have led to the end of the consultative process had the municipal team not immediately reacted. A smaller meeting was organized immediately following the plenary meeting with selected youth during which they were able to let out their frustrations at the way the process was unfolding. This was an opportunity for them to learn that they have to be able to deal with this type of attitude and should not let it derail the process. The youth came out of it with keener understanding of what participation entails and a stronger commitment to the process.

The ExtentofParticipation:W ho Participated and H ow Two important issues need to be investigated when examining the extent to which the participatory process was really inclusive and representative: who participated and what forms did that participation take? It can be safely said that all directly concerned stakeholders were involved in the process: the municipality, national and regional administrations, local associations, teachers, and the youth from the neighborhoods. The only notable absence was the private sector. The main remaining question concerns the extent to which the EMT was able to reach out to the youths and the “representativeness” of those who participated. Approximately 200 youth were involved in the process in one way or another This includes responding to the questionnaire, taking part in the focus groups and in neighborhood and citywide meetings. However, only six youth actually took part in the decision-making process as part of the EMT. Whether or not the youth selected as mediators duly represented their peers in the neighborhoods remains an open question. They were essentially co-opted into the process and were selected according to criteria defined by the EMT and were not chosen by their peers. Local informers in each neighborhood contacted the people they knew and told them about the activity, relying uniquely on personal contacts. Based on these contacts a first meeting was held gathering approximately 30 youth among whom the mediators were selected. While the above process is clearly not as democratic or inclusive as one may wish it does not seem that other, more democratic, options were available in the local context. The absence of any structure representative of the youth of Kasserine meant that the consultation organizers had to find other ways to reach out to local youth through direct and informal contacts. The decision by the EMT to select mediators according to specific criteria was probably the safest one given the fact that such an activity had never been implemented before in Kasserine. Finally, it is important to keep in mind that the municipality initiated the activity, not the youth. Before the consultation, the mere idea that they could be involved in municipal affairs was alien to Kasserine youth. It was therefore necessary for the EMT to play a more directive role in the process.

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The Function ofConsultationsin theTunisian Context Finally the broader function of implementing a participatory process in the context of limited democracy that severely restricts the participation of its citizens in public affairs must be examined. To address this issue, it is useful to review the attitude of local authorities throughout the process in Kasserine. Outside of some initial bureaucratic lack of enthusiasm, the consultative process did not face any significant resistance from official authorities. On the contrary, the governor of Kasserine provided strong support throughout the process and did not try to interfere in the activity. The local representative of the ruling party also provided his support. One reason for this support is perhaps that the institutional and political context was ripe to address the issue of youth. At all levels the issue of youth in the country and particularly of how to mobilize youth for the development of the country had become an important concern of officials. Another reason was that it was readily admitted that the traditional channels had failed in this respect. It seemed to have been understood that the process proposed was not threatening to the system and that, on the contrary, it may help in strengthening it. Participatory processes at the local level, such as city consultations, therefore provide an effective alternative for this purpose. Implemented in close collaboration with local and national authorities they provide a structured means for local population to express themselves that is unlikely to spin out of control.

O utcom es and Results The action plan adopted during the consultation lays out the framework of a municipal strategy toward the youth centered around three main areas: 1) institutionalization of the city consultation process and support to institutions; 2) support to youth initiatives and; 3) neighborhood-based municipal development and management. Significant progress has already been accomplished in the implementation of the two first axes and implementation of the third will start soon, as it is conditioned on the two first axes.

Institutionalisation ofthe City Consultation Processand sustainability ofefforts The first achievement of the consultation was the establishment of a successful mechanism for dialogue and decision-making, the Enlarged Municipal Team. The EMT continues to work and the creation of enlarged teams is now an accepted part of the city’s management practice. In order to further support local participation in urban management, the municipality has set aside a budget line specifically targeted to supporting neighborhood-based participatory projects. The action plan includes steps to institutionalize the municipality’s strategy toward the youth through two main structures: the creation of a Municipal Youth Office and of a Municipal Council of Youth. The Municipal Youth Office will be responsible for defining local strategies for youth development and for the regular evaluation of actions implemented and undertaken in this field. This office will be created with the support of the governorate and the FNVT and will be managed by a trained sociologist. The creation of the office has been delayed as a result of difficulties in attracting a qualified professional to Kasserine. It is now scheduled to begin in January 2002. The creation of a Municipal Council of Youth has been formally approved by Kasserine’s Municipal Council. The Youth Council will meet four times a year before the meeting of the Municipal Council and will deliberate on the same agenda. The results of its deliberations will then be presented to the Municipal Council. The modalities for the operationalization of the Youth Council are being developed and it is expected that it will meet for the first time toward the end of 2001. The provision of support to local and regional sociocultural institutions, including the Kasserine Center for Social Integration (CDIS), the Kasserine Youth and Culture Center and the public library among other cultural and athletic associations, is another way to ensure the sustainability of the municipality’s efforts toward the youth. As stakeholders in the city consultation process, these institutions have greatly increased their capacity to target their activities toward the youth. This is the case of the CDIS, a structure that was being set up when the city consultation began. The consultation enabled it to become familiar with participatory approaches, get to know the youth, and better target their programs.

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The same applies to the regional directorate for health services that has adjusted its reproductive health programs to integrate the results of the city consultations. Finally, all youth initiatives described below will be developed in collaboration with these institutions so as to provide them with continuous support.

Young men and women can be trained to provide care for the elderly and handicapped in their own homes • Microenterprises founded and managed by youth such as small bakeries, artisinal workshops, smallscale construction companies, gardening and cleaning services, etc.

Supportto youth initiatives A cornerstone in the strategy of the municipality to address the needs of the youth is the creation of neighborhood based “Youth Community Centers.” A project was designed for the creation of such centers in the three neighborhoods targeted by the consultation. The centers are meant to act as catalysts for youth mobilization and the locus of all activities targeting the youth. They will provide space for social interaction, cultural expression, school support and professional guidance and training. The centers are meant to be a safe space for dialogue within the municipality to provide the youth with an opportunity to speak freely and act as committed individuals not as representatives of an institution or organization.

The creation of neighborhood-based jobs will revitalize the community and provide a renewed sense of belonging among neighborhood youth. Central to the success of this initiative is the establishment of the community resource center for youth. Its role will be to inform youth about existing opportunities, link them up with the private sector and existing government programs, train neighborhood youth mediators and provide space for socio-cultural activities. Implementation of these activities will start once the youth center is built and operational. The governorate of Kasserine has set aside funds from regional and national programmes for the implementation of these initiatives.

An important characteristic of the centers is that they are to be managed by the youth themselves, who are in the process of constituting associations. Each neighborhood will create its own association and the governorate has set aside funds to support their activities. The municipality has mobilized funding from Japanese cooperation to build one center and it was decided that it would serve the entire city. Construction of the center has begun and it is expected that it will be operational by the end of 2001. N eighborhood-based m unicipal developm ent and m anagem ent This axis aims at the provision of social services while at the same time creating employment opportunities at the neighborhood level. It entails the creation of new employment opportunities that address the needs of groups hitherto neglected within the community. These needs often have more of a social than an economic nature but nevertheless provide incomegenerating possibilities for the unemployed in the target areas. Some examples include: • Daycare services and nurseries: Girls from the community can be trained to provide childcare services • Homecare help for the elderly and handicapped:

To date approximately $200,000 dollars have been mobilized for the implementation of the action plan. Efforts are now underway to leverage additional funding from private entrepreneurs particularly with regard to the employment component of the action plan.

Lessons Learned Lesson 1:Successbeginsw ith selection This lesson derives from the Kasserine experience as well as from other experiences in Tunisia. In Kasserine, all conditions were gathered for the success of the consultation: a dynamic and united municipal team, strong leadership from the mayor, technical capacity within the municipality, as well strong support from the governor. This explains why the consultation was successful in Kasserine but also why it never took off in Tunis. In Tunis the support of the mayor, while real, was not sufficient to overcome internal rivalries within the municipality and an unwillingness to collaborate with other institutions. Lesson 2:D ialogue generatestrust Building trust among stakeholders who have never worked together before, some of whom have been marginalized from public life, requires time and sustained dialogue. The dialogue with the youth of

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Kasserine took place throughout the consultation process through a variety of means. An important element in laying down the basis for dialogue was the participatory research process. The fact that the youth directly contributed to the creation of knowledge about themselves created the right conditions to pursue the dialogue under different fora. Lesson 3:D ialogue necessitates the creation of a safe space For dialogue to take place a safe space must be created that provides the stakeholders an opportunity to speak freely and act as committed individuals, not as representatives of an institution or organization. In this respect, the format of the EMT, i.e. small closed meetings, seemed most appropriate for this purpose, as the principal stakeholders were able to set aside their institutional hats (and discourses) and engage in a dialogue between equals. Larger, higher visibility meetings are not always conducive to this type of dialogue and, in fact, can be counterproductive, as officials tend to revert to the official discourse and are unwilling to participate in substantive dialogue. Lesson 4:M arginalized and unorganized segm ents of society are w illing and able to participate An important question mark at the onset of the consultation was whether the youth would be willing to participate and would have the necessary maturity to understand the process and contribute to its success. By allowing Kasserine’s youth to discuss their preoccupations and problems and asking them participate in the development of solutions the consultation demonstrated that they could contribute positively. The process revealed an important demand for participation from the youth. Lesson 5:G enderrem ainsa challenge Both members of the municipal team and FNVT consultants were aware that the consultation would raise significant gender issues. The methodology used was therefore gender aware and did its best to ensure that young women’s concerns would be integrated and that they would have an equal voice in the process. The consultation was successful in this respect but failed to devise adequate solutions to ensure that young women will benefit equally from the actual implementation of the action plan. For example, a key concern is that the youth resource center benefits men and women equally. Given the limited mobility of young women, attracting them to the centers, and

convincing their parents that they should go, will be a difficult challenge to meet. Lesson 6:U M P’sadded value The fact that the consultation involved representatives of organizations from outside of Kasserine (FNVT, Regional Office and UN) gave the consultation a great deal of legitimacy from the onset. The interest of an international program, managed by a national institution from Tunis, in solving Kasserine’s problem was received very positively by the various stakeholders, especially the youth. In this respect the role of the consultants hired by the FNVT was critical: they knew how to make the system work, were well respected by all stakeholders and, as outsiders, had the ability to bridge the differences between the various stakeholders Lesson 7:O bjectiveand m ethodologym ustbeconsistent There was a contradiction between the municipality’s overall objective for the activity and the methodology it adopted. Through the consultation process, the municipality attempted to find solutions and devise a strategy that would guide its policy toward youth at the city level. The methodology focused on three neighborhoods representative of the city in terms of their locations and socio-economic status. The consultative process did therefore not engage the entire city. It seems that it was never clear whether the selected neighborhoods were just samples or priority areas for municipal intervention. This led to some level of misunderstanding between the youth and the municipality. For example, the decision of the municipality to create one youth community center for the entire city instead of smaller neighborhoodbased centers in the targeted neighborhoods was not well understood. An expectation was created in the targeted neighborhoods, which was not fulfilled by the choice operated by the municipality. Efforts therefore need to be exerted to reconcile these differences and tackle the needs of the youth in the entire city while responding to the expectations of the youth in the targeted neighborhoods.

The Kasserine City Consultation and the H abitatAgenda Socialdevelopm entand eradication ofpoverty • Prom ote equalopportunities for a healthy and safe life, prom ote social integration and support

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disadvantaged groups,Prom ote gender equality in hum an settlem ents developm ent The objective of the Kasserine Youth and the City Consultation was to encourage the participation of marginalized urban youth (males and females equally) in the municipal decision-making process, thus enhancing their feeling of belonging and empowerment and decreasing social frustration. Econom ic D evelopm ent • S trengthen sm all and m icro enterprises particularly those developed by w om en,encourage public-private sector partnerships and stim ulate productive em ploym ent opportunities The action plan developed as a result of the consultation identifies several mechanisms to create employment opportunities within the targeted neighborhoods both by creating linkages with the private sector and by encouraging microenterprise development. G overnance • Prom ote decentralisation and strengthen local authorities, encourage and support participation and civic engagem ent, ensure transparent, accountableand efficientgovernanceoftow ns,cities and m etropolitan areas The consultation encouraged the development of a dialogue between the municipality and youth representatives thereby increasing their involvement in planning decisions. Internationalcooperation • E nhance international cooperation partnerships

and

The Youth Center is supported by the Japanese Embassy in Tunisia. The FNVT is member of international networks of municipalities and uses these networks to promote UMP’s approach to governance.

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“D ignified H ousing” in M aracaibo,Venezuela “The project D ignified H ousing is a possibility for the generation of spaces for com m unity involvem ent, resources, and adequate m echanism s for an effective im provem ent of the quality of life and in generalof the habitatofa city,w here m arginalneighborhoodsrepresent the m ostsignificantshare ofbuilt-up land.” G ustavo Chourio, Sociologist, Faculty of Architecture’s Research Institute, LU Z

Like many Latin American countries, Venezuela has experienced a swift population growth: its urbanization rate jumped from 48% in 1950 to 93% in 1998. This accelerated growth has fostered the establishment of marginal human settlements. Each day, in Caracas alone, more than 100 informal houses (ranchos) are built without any planning at all. This problem, related to the depletion of urban land and difficulties in accessing official housing systems or private developers, compound a situation already unfavorable for low-income families that live in informal settlements in substandard conditions.

involvement in activities of a public nature.

The city consultation in Maracaibo proposed to develop an action plan with a comprehensive programme to fight urban poverty. This programme, accordingly called “Dignified Housing”, seeks to consolidate local power through shared responsibility of actions undertaken by the municipal government and civil society (public, private, non-governmental sectors, communities, universities) to ensure the sustainable development of their habitat. The proposal implies not only developing new perspectives in the field of housing production, but also strengthening community organization and proposing a model of public policy in this area, in favor of the poorest sector of the population.

Of the city’s 360 neighborhoods (municipalities of Maracaibo and San Francisco - 1998 data), only 18% were served by aqueducts and 97% suffer deficiencies in water provision. In addition, 50% of the population living in irregular settlements lack sewerage services and only 25% have urban garbage collection services.

It should be pointed out that the idea of participation in local management and government is a new experience in the country and started with the first direct election of mayors and governors in 1989. This helps understand the setting for community

Social Maracaibo has a high unemployment rate. Around 70% of the EAP works in the informal sector of the economy, and the remainder in low-paying jobs, mainly as construction workers and vendors.

Territory and housing The urban growth of the municipality is characterized by illegal settlements that offer low quality living standards for its residents, and the municipality is unable to provide infrastructure and urban equipment services. As a municipality that borders with Colombia, it receives a considerable inflow of indigenous or foreign immigrants. It has a net structural deficit of 43,631 housing units, and 87,380 houses that need improvement.

These neighborhoods are predominantly built with “ranchos” (improvised houses made of tin and cardboard) and with houses that combine building elements, evidencing the progressive transformation of the “rancho” into a cement block and zinc house. “Ranchos” are occupied by low-income families.

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The level of community involvement in decision-taking has increased, but has not yet ensured a strong social organization. Social organizations and the local government have the political will to develop processes to assist the most vulnerable groups, promote involvement and foster organization through systems that can strengthen community self-management and develop cultural changes in the communities, for instance the culture of savings in loan systems and community training. Women-headed households are among the poorest population groups and face difficulties buying or building a house or obtaining loans or services in general. Women are also considered a significant group within the neighborhood’s informal economy - many of these women are informally employed, bear the responsibility of their family and perform incomegenerating activities from their own houses. There are 4 indigenous groups in Venezuela: the Wayuu, Anuu, Bari, and the Yucpa, representing 10% of the Venezuelan population, with a total of 50,000 persons, 20% of which live in Maracaibo. There is a large population group of illegal aliens, mostly from Colombia, who live in informal settlements without adequate infrastructure. These people are excluded from the formal system yet at the same time are part of a group of people that perform productive economic activities, mainly in the informal sector. M unicipalPolicy Given the significant increase of urban poverty in Maracaibo and its evident qualitative degradation that affects large sectors of the population (65%), the city’s Mayor’s Office decided to launch a process that would allow it to address the problem of access to housing

and loans, and provide a dignified standard of living for the entire urban population. Since 1996, the Municipality has developed a basic strategy around the promotion of full citizenship for all men and women, as the basic principle of participatory governance, which takes into consideration the gender perspective, so that resulting actions can reach the most vulnerable groups. The programmes launched by the Mayor’s Office of Maracaibo in the period 1997-1998 were aimed at improving the environment of the city and reinforcing the identity of the population with their city. They encouraged citizens to become more actively involved in the search for solutions to their problems and turned city residents into the key actors of social change. This initiative of the local administration required reinforcements through instruments that would also allow the incorporation of the poorest members of society in this new development perspective. Since 1998, local authorities have been developing a program of “promotion of full citizenship as a mechanism to overcome poverty”, with the main goal of ensuring the majority of the population has access to credit and strengthening community organization as a mechanism to overcome poverty. In 2000, after municipal elections in Venezuela, the Mayor of Maracaibo was replaced. The vision of the new Mayor was to continue with the Full Citizenship Program, especially the loan and community strengthening program, and to extend it to 4 other parishes in the municipality, consolidating this innovative model of municipal public management. A higher level of commitment has been observed among the persons responsible and in the institution itself.

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Basic City Inform ation City, Country:

Maracaibo, Venezuela. Capital of the State of Zulia, on the northwestern area of Venezuela, located on the western bank of Lake Maracaibo. Under the “Law of Political and Territorial Division of the State of Zulia”, Maracaibo consists in 22 municipalities, composed of parishes (Legislative Assembly of the State of Zulia, 1995).

Area:

567 km2. Divided in two municipalities: Maracaibo (north) and San Francisco (south)

Ecosystem:

Tropical-humid

Population:

1,461,013 (99. 02% urban) (1995)

Density:

2.318 persons/km2.

City’s main function:

Administrative centre of the western region of the country. It has the third largest port in Venezuela and the first in the western region. Economic activities are of a tertiary nature, with a prevalence of economic services (69% product of trade, transport and services). There are large areas for urban growth (23% of vacant areas).

Poverty Profile:

This city, in spite of being located in one of the richest regions of the country, with hydroelectric potential, farmland and cattle production, displays the highest levels of poverty in the country (more than 50% of the population is poor/Revista Sic, 1997). Because of its disorderly and substandard growth, it is considered a “city– neighborhood”. In Venezuela, a neighborhood is an area built following no regular structure.

Focus of the City Consultation:

Promotion of Full Citizenship to Overcome Poverty

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The inclusion in the process of groups of immigrants is a challenge, if we consider that these immigrants are mostly illegal, cannot have access to formal sources of public services and live in the poorest marginal neighborhoods of the city.

The M aracaibo City Consultation Process Challengesto be addressed during the City Consultation The programme goal is to address the issue of urban poverty. Access to credit is seen as a mechanism to fight poverty, in terms of giving opportunities for households to improve their living conditions, as well as loans for informal economy actors in order to provide an alternative for the development of productive activities. The vision and main function is to develop assistance alternatives to low-income residents within the municipality. The aim is to increase and democratize access to loans for housing improvement, after a process of community encouragement and training to assume savings as the key component in the creation of opportunities. This contribution attempts to develop the concept of habitat, incorporating public spaces as a basic element to improve the quality of life. This will be achieved by building low-cost housing and supporting development initiatives. The municipality has a role to play in the promotion of social development. It should be pointed out that the programme addresses a significant problem, which is the qualitative dimension of habitat. This means that it goes beyond economic, social and political limitations. What is important is to be able to build a dynamic process for the urban physical and social rehabilitation or equipment.

The City Consultation Process The programme is divided in 3 phases: city consultation, identification of action plan and development of top priority action programme. The consultation began in November 1997. During this period, institutions were identified and the pilot area were the work would take place was decided. This was the neighborhood called María Angélica Lusinchi, belonging to the parish Luis Hurtado Higuera, with an area of 10 ha. and occupied in three sectors. This settlement is located on the southwestern part of the city, in the parish Luis Hurtado Higuera, which is one of the peripheral parishes of Maracaibo. It is characterized by poor material consolidation (a large housing deficit), and a high poverty rate. Meetings with institutions involved and definition of action plans are part of the activities. This phase was executed until February ’99, when the action plan was developed. After the action plan was defined, a loan manual that would be used for the program was developed. Loans for housing improvement, loans for employment or production and financial support to improve productive capabilities and emergency loans were the three loan modalities. These funds include alternative financing for a maximum amount of approximately US$ 500 and short-term credit repayment not exceeding 1 year, for the improvement of houses of poor households (who earn between US$ 150 and US$ 300) excluded from the formal housing system. The priority action programme began in July 1999 with concrete actions in the form of loans given to the community. In total, 32 loans were granted in the first stage, which extended until August 2000. Follow-up was accomplished during the development of the proposal that would extend the pilot program to 4 new parishes: Olegario Villalobos, Idelfonso Vásquez, Antonio Borjas, and Cristo de Aranza, and continued its implementation in the pilot neighborhood in the parish Luis Hurtado, with the possibility of benefiting more than 1000 persons.

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G oals • To develop a financing system promoted by the Municipality and aimed at the low-income population. • To foster a local approach to alleviate poverty, especially among women. • to foster agreements between the local government and civil society organizations. S election criteria to ch oose th e first neighborhood for pilot experience The selection criteria for the community with which it was decided to work were established by the Mayor’s Office of the Municipality of Maracaibo. The criteria included choosing a community where the Mayor’s Office had already worked and also one where the social structure was sufficiently consolidated so the programme could be developed. Other aspects were also considered, such as the marginal location of the neighborhood and the evident signs of substandard building material, as is the case in the neighborhood María Angélica de Lusinchi. The loan program m e In 1998 a project proposal with a multidimensional approach to address the issue of urban poverty was launched. It was called “Promotion of full citizenship as a mechanism to overcome poverty”. The multidimensional character of the programme covers the various issues and instances related to housing and habitat improvement, employment-generation mechanisms and gender equity promotion. The main goal is to transform the paternalistic culture of the State into a model that implies strengthening citizen organization (Mayor’s Office of Maracaibo, 1999) In this context, the loan programme was designed and developed, divided in three different modalities, added progressively. The housing improvement loans programme has three different financing sources: • Household savings, contributed by the beneficiaries. 1/6 of the work’s cost • Government subsidy, contributed by the Mayor’s Office of Maracaibo. 1/6 of the work’s cost • Credit, represented by the loan, supported by UMP-LAC and CESAP. 2/3 of the work’s cost The training of borrowers is also part of the program’s

activities, building the capacity of all actors in order to strengthen community organization, improve the quality of life and foster active and permanent involvement of the households. This training is based on the encouragement of community self-management through the involvement of its members in training programs on self-management, social and organizational, legal, construction and financial issues of social organization, as well as on the issue of savings and the household. It is aimed at developing a cultural change for improved management of the community. In one of the assemblies held during the training process, the community proposed the establishment of a new Neighbors’ Association, and the implementation of a census to give the right to vote over the members of its steering board. Other tools were also used in the consultation process: consultations and interviews among community members and surveys to develop a diagnostic for the consultation. This allowed the community to become involved in the development of the products. In this way they were able to contribute with suggestions for the process, and their demands were taken into consideration. Actorsand theirroles Actors involved: • Local government: Municipality of Maracaibo and its secretariats • Community organizations: Association of Neighbors of neighborhood María Angélica de Lusinchi. • University: University of the State of Zulia, through the Faculty of Architecture’s Research Institute (IFA-LUZ) • Non-governmental organizations: Asociación Civil Nuevo Amanecer-CESAP (Centro de Acción Popular), Escuela de Vecinos, Hábitat-LUZ Foundation , CEARAH Periferia-Brazil • International organizations: Urban Management Programme for Latin America and the Caribbean, UMP-LAC(HÁBITAT), Ecuador Roles played: • UMP-LAC, the Municipality of Maracaibo and CESAP supplied financial resources to create the loan fund and provided follow-up and technical advice. • Mayor’s Office of Maracaibo, Nuevo Amanecer-

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•

CESAP, Escuela de Vecinos, and IFA-LUZ composed the Administration Council. Cearah Periferia provided advice and training with the transfer of experiences to CESAP/Nuevo Amanecer and the Municipality in the development of a loan system and the loan programme called “Dignified Housing”. IFA-LUZ, Mayor’s Office and Nuevo Amanecer/ CESAP, formed the Management Unit, worked in the selection, awareness-enhancement and organization of the community and its beneficiaries, executing feasibility studies and field work. The Neighbors’ School participated in some areas of the training of borrowers. In February 2000, Hábitat-LUZ started performing these activities. The Neighbors’ Association promoted the Programme in the neighborhood, made contacts among community members and organized logistics issues for meetings and workshops. It also participated in training activities. The University of Zulia (IFA-LUZ) played a key role as mediator and coordinator among partners. It also helped give visibility to local, national and international partners. It was in charge of the follow-up, documentation and systematization of the process.

Instrum ents used in the consultation process The instruments used in the process included consultations and interviews among community members and surveys for the development of the Diagnostic. Technical index cards were used to provide technical advice to the community with the purpose of developing architectural projects and metric calculations for the construction works. Household (socioeconomic) profile index cards were used for information on micro-credit. Presentations and interviews took place with local, governmental and non-governmental agencies, as well as with the actors involved. The training of borrowers is an interesting and essential component in the programme’s follow-up. This training was based on community work, savings and household economy. The approach included a perspective of social change through the training of citizens in order to improve their quality of life. The training process brought in a new element: the performance of a survey to establish a neighbours association in one sector of the neighborhood.

Results and O utcom es • A formal inter-institutional commitment on the sustainable development of the city among actors involved, including the Mayor’s Office of Maracaibo, the UMP-LAC, Nuevo Amanecer, the University of Zulia, the Hábitat Luz Foundation and the community, favoring a strategic alliance among the various actors of civilian society • Institutionalization of participation channels among actors for the development of the Programme, such as the programme steering and loan committee, involving all the partners in the consultation • Modernization of local management with innovative practices, through new issues included in the municipal routine, for example the involvement of civilian society in the establishment of programme aimed at fighting poverty, shared with the local government • Development of a methodology on the basis of the pilot project, to be replicated in 4 other communities of the municipality • Within the city consultation programme, the pilot experience “Dignified Housing” was developed as a priority activity. Thirty-two loans were granted ($13,936): 29 for housing ($13,283) and 3 for production ($653) in household enterprises, with average reimbursement periods of 10 months. Seventy-four per cent of all loans were given to women. Recovered loans total 65% (July 1999). The loan fund relies on a basis of 10% of community savings. • Establishment of the first combined fund at national level: Municipality and NGOs for loans in favor of the neediest. Future Prospects • The pilot experience “Dignified Housing” is inspiring new local and regional policies and strategies. The Mayor’s Office agreed to provide US$ 65,000 in order for the loan programme to be extended to 4 new parishes. There is an entire working perspective together with CONAVI- the National Housing Council- to work within the national housing policy. • Possibility of cultural change through the household savings culture and shared responsibility concerning loans - development of new social relations in the neighborhood: identification with the group and the

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neighborhood: group identity, self-esteem, lowered vulnerability of households, etc. W ritten Products • Basic diagnostic of Maracaibo. The document addresses general aspects of the urbanization of Maracaibo, and describes the neighborhood where the city consultation and the “Dignified Housing” programme were executed. • Report of city consultation in Maracaibo, related to the loan granting process and commitment of loans assumed by actors involved. • Report on training methodology of borrowers in the neighborhood María Angélica de Lusinchi. • Operating Manual “Dignified Housing”, which guided the process implemented in the neighborhood María Angélica de Lusinchi, and was also used for the extension of the programme at city level. • Report on systematization of experience. • Information documents on the prospect of extending the programme to other parishes.

Lessons learned Savings and loans programmes must be put in place, provided the actors and the local government have full conviction and are sufficiently willing to foster a debate about the specific (programme and projects) and general (municipal policies) forms to influence the social and physical structure of the city. The actors or institutions that operate as partners in the programme must make a commitment in terms of the quality of the work to be performed by each one, responding according to their level of responsibility. It should be a dynamic alliance, established according to criteria that seek social, operational and economic effectiveness and build on synergy. Replication must use the experiences and the expertise available to adjust to the new context. Consultation and reflection among actors is required in order to jointly decide how to interact with the community. It should have a structured notion of what the internal dynamics of the community are in order to recognize its social and economic potentialities, and thus be able to adjust the process to reality. The presence of a partner (Cesap) to promote the process and monitor its social dimension is essential.

This type of initiative, which goes beyond mere economics, includes variables and spaces to facilitate a change in the lives of low-income urban sectors. It helps build successful self-development of citizenship and provides the means to exercise it. The permanent monitoring of the outcomes of the experience by the University of Zulia has enabled immediate decision-taking. Loan projects must be accompanied by other complementary actions to foster a more comprehensive development of the individual and to strengthen local initiatives to fight poverty, such as training of actors, aimed at community self-management. The fact that 74% of loans have been granted to women may mean that an effective social and economic responsibility is being assumed by a sector of the population that has been traditionally excluded from the decision-taking process. The role of women as main borrowers and also as a significant economic group within the neighborhood is changing the actual social relations among local groups. The training of new leaders (creative, proactive, and independent) implies a positive impact of the project in the community, highlighting the quality of involvement. Therefore, consultations have to strengthen local organizations. Awareness-enhancement among several beneficiaries could be a sign of a more critical and proactive position in the face of physical and social poverty that affects this community. The “Dignified Housing” pilot experience aspires to originate local or regional policies and strategies, at the social, economic and environmental levels. In spite of its short implementation period, there are already signs of success: it is being considered in other plans and projects of strategic alliances, at various government levels. The development of the programme has allowed its partners to develop experiences to jointly orchestrate mechanisms or alternative ways to finance house building programs. This has been reinforced by the experience of CESAP in loan-related issues, a fact that has been essential for the loans that have been granted until now.

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The methodology used to train borrowers serves as a benchmark for other loan programme with the same perspectives. An interesting aspect is the treatment of several issues (savings, household economy, community work, etc.), favoring a more thorough training of the individual. It is important for the local government to assume responsibility in programmes such as these. Otherwise, they become isolated efforts that develop no further, nor do they go beyond the limits of the community, or succeed in becoming official policies. The maturity of the community is essential with respect to the organizational basis and the training of all partners involved. In order for actors to be able to help replicate the experience, they have to complete two growing stages: one of reflection, which allows them to put the ideas and concepts learned in order, and a second stage to build a theoretical model on the basis of an assessment of the practice and the experience.

The M aracaibo City Consultation and the H abitatAgenda Shelter • Provide security of tenure, prom ote the right to adequate housing, provide equal access to land, prom ote equal access to credit, prom ote access to basic services The proposal of the city consultation is to enable the development, via partnerships among different actors, of a comprehensive strategy to fight urban poverty, one of its key elements being the improvement of housing and the environment. Accordingly, this programme seeks to consolidate local power through shared responsibility in the actions of the municipal government and the civil society (public, private, non-governmental sectors, communities, universities) for the sustainable development of the living habitat. This implies not only developing new perspectives in the field of housing production, but also strengthening community organization and proposing a model of public policy in this area, in favor of the poorest sector of the population. Low-income families, excluded from the housing system, and mostly headed by women, have been able to gain access to loans to improve their dwellings. Close to

76% of the beneficiaries of the first phase were women. One of the key features of this project is that it promotes the idea of a municipal fund to be shared by several organizations. The loan programme for housing improvement has granted 29 loans during the first phase of implementation. The pilot experience “Dignified Housing” is inspiring new local and regional policies and strategies. It succeeded in obtaining the commitment of the Mayor to contribute 65,000 USD for the loan programme, which will be extended to 4 more parishes, with the possibility of benefiting more than 1000 persons. There is an entire program to work in cooperation with the National Housing Council (CONAVI) following the guidelines of a national housing policy. Socialdevelopm entand eradication ofpoverty • Prom ote equalopportunities for a healthy and safe life, prom ote social integration and support disadvantaged groups,prom ote gender equality in hum an settlem ents developm ent An important element of the city consultation is the training of borrowers, coordinating all the different actors in order to strengthen community organization and thus improve the quality of life and provide incentives for an active and permanent involvement of all households. This approach implies social changes, as it promotes the education of men and women in order to improve the quality of their lives. This training is based on the development of community self-management, through the involvement of its members in training programs related to self-management, social and organizational, legal, construction, and financial aspects of their social organization, as well as in aspects related to savings and the family. These training modules are aimed at fostering cultural changes in order to improve community management, the living environment, and social relations. On the other hand, the fact that 76% of loans were granted to women reveals that there is a reinforcement of the social and economic identity that is being transferred to this group, traditionally excluded from the decision process, and an improvement in access to better opportunities for both men and women.

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The actual premises of the action plan that resulted from the city consultation - including the culture of household savings and the training strategy of a unified group of borrowers- favors the development of new social relations in the neighborhood, including identification with the group and the neighborhood: group identity, self-esteem, lowered vulnerability of households, etc. Another issue to be taken into consideration is that, as a city that neighbors with Colombia, Maracaibo receives a significant inflow of illegal immigrants, mainly from that country. The program also caters to this population, favoring their social reinsertion. Also there are 4 indigenous groups in Venezuela, which 20% of the total live in Maracaibo, living in informal settlements. The strategy to extend the loan program to cover a larger number of persons can contribute to generate more impacts of change in the physical and social poverty of the communities. Environm entalM anagem ent • P rom ote geographically balanced settlem ent structures, m anage supply and dem and for w ater in an effective m anner, reduce urban pollution, prevent disasters and rebuild settlem ent, prom ote effective and environm entally sound transportation system s, support m echanism s to prepare and im plem ent local environm ental plans and local Agenda 21 initiatives The neighborhood where the city consultation took place is an informal settlement in Maracaibo. The consultation promotes a process of discussion among several institutions concerning the regularization of these families and analyzes the possibilities of managing this issue together with the municipality. Econom ic D evelopm ent • Strengthen sm alland m icro enterprises particularly thosedeveloped by w om en,encouragepublic-private sector partnerships and stim ulate productive em ploym ent opportunities

initiatives and improve the productive skills of the population. An additional modality considers emergency loans so that persons who have to cope with financial emergency situations don’t have to go to usurers for help. To the next phase some proposals are considering reinforcement of the economic development such as: capacity building in community organization and micro enterprises production, self-sustainable micro enterprises (sustainable working plans) and five local communication center with five responsible grassroots. G overnance • Prom ote decentralisation and strengthen local authorities,encourageand supportparticipation and civic engagem ent,ensure transparent, accountable and efficient governance of tow ns, cities and m etropolitan areas From the beginning of its design, the city consultation included a decision-making process with the involvement of all the partners. An administrative board and a programme management unit were established. During the consultation process, other tools were used, including consultations and interviews among members of the community and surveys to prepare the consultation diagnostic. This allowed the community to become involved in the development of the products and they were able to contribute with suggestions for the process, and their demands were taken into consideration. During one of the meetings of the training process, the community proposed the establishment of a new Neighbors’ Association and a census, in order to give them the right to vote over the members of the steering board. Internationalcooperation • E nhance international cooperation partnerships

One of the key features of the Dignified Housing programme is that it allows the improvement of productive households and thus strengthens the economic activities that take place in the neighborhood. In this sense, there is a second loan modality, destined for the generation of jobs or productive activities, which is viewed as a financial support to finance private

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This point will be reinforced in the next phase with further efforts to gather support from other international institutions.

M A R A C A IB O , V E N E Z U E L A

LIST O F CO N TACTS - M ARACAIBO CITY CO N SU LTATIO N A) Name: Contact:

Tel.: Telefax: E-mail: B) Name: Address: Tel.: E-mail: Contact persons: C) Name: Contact persons: Address: Tel.: E-mail: D) Name: Contact person: Address: Tel.: Telefax: E-mail: E) Name: Contact person: Address: Telefax: E-mail: F) Name: Contact person: Address: Cell phone:

Maracaibo Mayor’s Office Anaydée Morales, Dirección de Planes, Proyectos y Obras de la Ciudad Calle 96 (Ciencias), Esquina Avenida 4 (Obispo Lazo) frente a la Plaza Bolívar, Maracaibo, Estado Zulia, Venezuela. (58-61)222568; 223048; 223047. (58-61) fernandezl@iamnet.com, magonzal@IFA-LUZ.ve, acnacsap@telcel.net Urban Management Program For Latin America And The Caribbean (UMP-LAC/ Hábitat). García Moreno 751, entre Sucre y Bolívar, Casilla: 17-01-2505. Quito, Ecuador. (59-32) 282361; 364371; pgu@impast.net.ec emly@pgu.ecuanex.net.ec Yves Cabannes, Emly Costa. Asociación Civil Nuevo Amanecer/ CESAP Heidy Pino, Estela Peña Avenida 6 con Calle 13 #13-09, Sector Sierra Maestra, Maracaibo, Estado Zulia, Venezuela. (58-61) 349041/(58-61) 354579; Telefax: (58-61) 357424 acnacsap@telcel.net La Universidad de Zulia (IFA-LUZ), Instituto de Investigaciones de la Facultad de Arquitectura y Diseño. Andrés Echeverría, Marina González. Apartado Postal: 15399, Maracaibo, Estado Zulia, Venezuela. (58-61) 598478/(58-61) 598462 (58-61)520063 magonzal@IFA-LUZ.ve Escuela de Vecinos de Maracaibo Carlos Miguel Atencio Edificio Santa Ana, Avenida El Milagro, Piso A, Oficina 3, Maracaibo, Estado Zulia, Venezuela. (58-61) 233375 04721.2076@compuserve.com Asociación de Vecinos “María Angélica de Lusinchi” Caridad Zárate Municipio Maracaibo, Estado Zulia, Venezuela. (58)16-4609081; (58)16-8606455

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Addressing Poverty and G overnance in Colom bo, SriLanka “Our vision is that of Colombo being a model city in Asia providing a high quality of life to the people with a sustainable environment for the creation of wealth” Vision 2002 statement of the Colombo Municipal Council

Sri Lanka, with a total population of 18.5 million and an urban population of 4.24 million in 1998, ranks the highest on the human development index in South Asia. Given the rapid urbanization trends in south Asia sub-region, especially of its largest cities, Colombo’s urban demographic pace has been the exception. Its population growth rate has been 1.14 per cent. Despite this, the city’s civic infrastructure is unable to service the needs of the residents. The lack of municipal services in the city can be largely attributed to the low capacity of the Colombo Municipal Council (CMC) in the past. Poor resource mobilization by the Council and centralized administration led to the deterioration of service delivery and hence a poor quality of life in the city. After a change in leadership in 1997, however, the CMC made several attempts towards improving urban management practices within the Council and implemented many innovative approaches of good governance. There was a major shift from a bureaucratic and reactive system of municipal management to managerial and proactive system. The new administration had taken a number of steps to make Colombo Municipal Council a dynamic and progressive local government. First, prior to the elections, every effort was made to include several professionals as candidates while allowing for grass root level politicians. Second, all policies set out by the Councilors were based on the needs of the electorate. The executive handled the

implementation. There was a very high degree of delegation to the Deputy Mayor who coordinated the link between the elected representatives and the officials. Third, the old idea that democracy is equated to elections was changed by minimizing wasteful interparty conflict and political confrontation. Members of the opposition political parties in the Council were elected as Chairmen of 5 of the 15 Statutory Standing Committees. Together they formed the inner cabinet. This was a new concept with 33% of the inner cabinet appointed from the opposition. This inner council was able to draw up a four-year development plan for the city with the participation of all political parties. Fourth, the power and accountability of city managers was increased. Empowerment was implemented by delegation. Rather than being controlled administrators they became empowered managers so that they could exercise their own initiatives in responding to customer needs. This gave them managerial freedom, due recognition and responsibility and above all an opportunity for a pluralism of service delivery mechanisms. The Council used to have a rather dominant closed, secretive and anxious relationship with the public, especially when criticisms are laid. This image was changed by undertaking innovative measures. A 100Day Programme was introduced. The objective of this program was to create an impact in the community of the overall services of the Council with particular emphasis on providing better amenities to the poor, giving a facelift to the city, involving the private sector,

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and creating awareness among the people so that they join hands in providing an effective service to the city. With a progressive administration, the city council was able to achieve its targets for the programme. A 24 hours Information Centre and Complaint Desk was opened to help the citizens. Complaints were taken, recorded and a scheme to follow-up was introduced. A Public Day was institutionalized, when the Mayor, Deputy Mayor, Municipal Commissioner and all Heads of Departments were accessible to the public at one place on this day. In this way the people could get their problems resolved directly and quickly. An Advisory Committee was established â&#x20AC;&#x201C; inviting the leading citizens who were recognized for their expertise, experience and reputation in the relevant fields to contribute voluntarily to the development of the city. Fifteen such committees covering activities ranging from public health, sports, markets, planning to finance were formed. Similarly, a City Watch Committee was formed consisting of civic leaders and professionals who would initiate and maintain regular dialogue with the council on matters pertaining to the city. These committees have made and continued to make a most useful contribution to the city. Through these efforts the city government was able to win the confidence of the people. The citizens saw what was happening and felt that they were wanted. They realized that the Council was working with a purpose. This was also the beginning of a number of partnerships that were built. Through partnerships with NGOs and the private sector, the council was able to join hands in maintaining dispensaries and providing common amenities to the poor, making the city more inclusive. To ensure that this participatory approach was sustainable, there was a need to make every employee conscious of the fact that the customer is the most important person in the Council. An effective public

relations and customer focus-training program was introduced covering all sections of the Council. This brought in the much-desired attitude of the staff towards their customers and created a new atmosphere in the Council. Training became an important part of the Council agenda. Developing a vision, mission and a plan for the Council was essential for city management. The Mayor had a vision but was also conscious of the fact that a truly viable vision is a confluence of ideas from all stakeholders. The council developed a mission statement defining how it will get there. A sense of direction was determined with a valid Corporate Plan â&#x20AC;&#x201C; to know what is required in the management of the city and whether they were meeting our goals. This was the first time that a corporate plan was made public by a local authority in Sri Lanka. This new dynamism in the city brought several international agencies to Colombo. The Asian Development Bank initiated a regional technical assistance project on benchmarking of municipal services. DFID of UK prepared a diagnostic study of the financial management of the CMC and a poverty audit of the CMC. The Konrad Adenauer Stiftung sponsored a flexible demand-driven capacity building programme for a citizen friendly local government. In the area of urban environmental management, a number of studies as well as physical improvement programmes have been initiated. The UNCHS/UNEP Sustainable Cities Programme is supporting the Sustainable Core Colombo Project. The World Bank has assisted a slum and shanty dwelling upgrade programme under the Clean Settlements Programme. NORAD has provided assistance for an Environmental Awareness Programme. The Netherlands Embassy has funded the construction of tube wells in the under serviced areas. However, with the exception of the Sustainable Core Colombo Project, none of the programmes sought to advocate a participatory approach.

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Basic City Inform ation City, Country:

Colombo, Sri Lanka

Population:

800,000 (1998)

Density:

278 persons/p/ha (1998)

City Growth Rate:

1.14% (1995)

City’s main function:

Port and Administrative

Poverty profile:

Unemployment rate - 17.5%

(Source: CMC Budget Report, 1999)

Households below poverty line – 19% (Colombo District, 95/96) Households with access to piped water supply – 51.5% Households with access to sewerage network – 80% Households with access to electricity – 90% Collection of Solid Waste – 100% Population working in informal sector – 47% Population without security of tenure – 52%

Administrative structure:

The mayor and the city council members are elected by the people

Spatial dimension of City Consultation intervention: City Wide Focus of the City Consultation:

Governance and Poverty

Key stakeholders involved: SEVANATHA – Urban Resource Center, 23/1, Narahenpita Road, Nawala, Sri Lanka. Tel: 074-404259 Fax: 94-01-878893 E-mail: sevanata@sri.lanka.net Colombo Municipal Council Town Hall, Colombo 7. Sri Lanka Tel: 94-01-681198 Fax: 94-01-694640 E-mail: munici@slt.lk

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Local Partner Institution in the city of Colombo. Sevanatha had several challenging responsibilities: to publicize the programme and explain its facets to stakeholder constituents and to conduct research studies on municipal service delivery, decentralization and community participation. Sevanatha was also required to organize stakeholder workshops and manage the city consultation activities under the guidance of CMC and UMP South Asia. Sevanatha undertook a number of research studies as a background to the city consultation. These included a city profile of Colombo, a study on revenue enhancement and financial management of the CMC, and a study on the role of community-based organizations in decentralized delivery of municipal services.

The Colom bo city consultation process The Colombo Municipal Council approached the Urban Management Programme in November 1997, seeking assistance in building capacity of the Council in the areas of revenue mobilization, financial management and improved delivery of urban services, within a participatory framework. These issues eventually became the principal focus of the city consultation in Colombo. Colombo was well suited for a UMP city consultation. Besides being the national capital of Sri Lanka and its pre-eminent urban center, the Colombo Council showed immense alacrity to engage in such consultations, and this was equally backed by the provincial administration. There were capable NGOs to lend a hand to the UMP initiative through local operational support. And the work in Colombo promised good implementation within the city and replication in other cities because of the influence and visibility that Colombo enjoyed both among Sri Lankaâ&#x20AC;&#x2122;s smaller urban centers and donor agencies. It was also envisaged that the consultations would provide a link among various on-going programmes in the city and build broader consensus on development priorities. LocalPartnerInstitution Sevanatha, a local NGO working in the area of municipal management, decentralization and community empowerment, was selected as UMPâ&#x20AC;&#x2122;s

StakeholderConsultations(D ec.1998-Feb.1999) A series of stakeholder consultations were organized by Sevanatha to disseminate information about the programme and to identify major issues under the broad area of improved urban governance. The first meeting was held with the heads of the departments of the CMC in January 1999 to introduce the programme to the Council officials and work out the details of its implementation. Following the first workshop with municipal officials, a series of three workshops were held with NGOs and CBOs over the period of December 1998 to February 1999. The groups expressed a need for revival of participatory forms of local governance such as Community Development Councils and other community-based organizations, which were established in the 1980s. The efforts had since decayed, creating a void in the service delivery system of the CMC. The need to strengthen the CDCs and accept them as the lowest rung of local government, delegating to them both power and responsibilities, was emphasized. Cityw ide Consultation (M ay 1999) The City Consultation brought together various stakeholder groups in the city of Colombo on a common platform to discuss in detail the issues that had emerged from the preceding studies and smaller consultations. It was held in May 1999 and organized by Sevanatha in coordination with the CMC. Presentations focussed on community participation, strengthening the CDCs, municipal service delivery

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and municipal revenue enhancement. The presentations and the following discussion helped focus the entire forum on the three major issues of Municipal Revenue Enhancement, Strengthening CDCs and CDC participation in Municipal Service Delivery and Strategies for Partnership Building for Responsive Urban Governance. The meeting had active participation from all major stakeholder groups in the city. Over a hundred participants represented the CMC and other parastatal organizations, the private sector, Community Development Councils, other NGOs and CBOs, and academic institutions. Som e ofthe key recom m endationsand ideasforaction generated w ere: â&#x20AC;˘ Strengthening of Community Development Councils â&#x20AC;˘ Preparation and implementation of an annual development programme for a municipal district based on the needs identified at the community level, rather than implementing isolated activities at community level â&#x20AC;˘ Preparation of programmes to assist the Municipal Councilors of the CMC to plan and spend their annual allocation on development activities for improvement of low-income settlements (current allocation is Rs. One Million per Councilor per year). The community leaders should identify such programmes so that actual needs of the people could be addressed. Pilotprojects(July 1999 onw ards) These recommendations were translated into an action plan. The plan comprised establishing District Community Management Forums (DCMF) broadly representative of all major stakeholder groups and empowering them so as to activate CDCs in the district and delegate service provision and maintenance related activities to them. The action plan also called for the involvement of CDCs in some municipal functions that would achieve the twin tasks of larger efficiencies and hands-on experience for the community in handling municipal responsibilities directly. The action plan went further and envisaged community contracting to CDCs to erect small community facilities. These actions and plans went beyond mere community participation in deliberations to the more ambitious objective of council-community partnerships in civic performance. Actual work done in this regard is detailed in the next section.

O utcom es And Results The key result of the city consultation process was the establishment of a multi-stakeholder forum for broad-based civic participation in the development decision-making process. This forum comprised CMC and other parastatal organizations, the private sector, Community Development Councils (CDCs), NGOs, CBOs and academic institutions. This was possible due to the strong commitment of two successive Mayors and their elected colleagues and the effective leadership they provided. Senior officials of the Council and their subordinates were also involved and aware of the process, and through time and a conviction of the efficacy of the work they also developed a strong commitment to the process. The stakeholders outside the Council and in the community similarly appreciated the usefulness of these dialogues themselves and a sense of partnership evolved between the stakeholders and the Council, and between different constituents of the stakeholders themselves including the poor. These consultations were extremely important in ironing out differing perceptions within community groups. The process of stakeholder consultation was thereby effectively institutionalized and led to greater degrees of transparency in civic functioning. This spectacular achievement in a short span of time was backed by painstaking groundwork done by the Local Partner Institute (LPI). Bringing differing groups together on a common platform to address issues such as poverty, which had not necessarily been on their agenda, was a difficult task. But Sevanatha slowly overcame these difficulties, put the consultation philosophy across to stakeholders and established a successful interface between the Council and the community. In the process, there was also the evolution of an excellent working relationship between the CMC and Sevanatha. The UMP South Asia office facilitated the process with consistent support, advice and follow up. In the light of the recommendations of stakeholders, a policy framework for the Municipal Corporation to build its capacity for revenue mobilization was prepared. An institutional framework for community participation in development decision-making in general and service delivery in particular also emerged. It was realized that for urban service

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delivery, decentralized decision-making processes within the Council and partnership with the community were key instruments. The Colombo Municipal Council therefore initiated steps to add and delegate responsibilities and powers, both administrative and financial, to the decentralized and up to now disempowered district offices of CMC. At the same time, they were advised to seek constant community participation in service delivery. The District Community Management Forum (DCMF), including representatives of all major stakeholder groups â&#x20AC;&#x201C; CDC officials (especially those at the district level), NGOs and CBOs, CDC leaders representing the municipal wards of the District, and the councilors representing the district, were set up in two of the municipal districts of Colombo. This has also led to the revival of the Community Development councils (CDCs) that were lying defunct since 1980s. The city consultations emphasized the need to strengthen the CDCs and accept them as the lowest rung of local government, delegating to them both power and responsibilities. CDCs were also initiated in rate collection on a pilot basis in one ward to bring down the collection expenses as well as introduce community responsibility in the process. Steps for introducing community construction contract system have also been initiated. Alternative procedures to give out construction contracts to CDCs are being developed by Sevanatha and CMC so that small-scale service improvement projects can be implemented by the CDCs in their communities.

shown interest in obtaining UMP support for building participatory developmental processes. The UMP city consultations were instrumental in highlighting concerns that needed further support and resources. One of the most urgent was crafting an integrated programme for urban poverty reduction in Colombo. The DFID has agreed to support follow-up activities in this area. It pledged support to a comprehensive programme for urban poverty reduction through community empowerment over the next three years. The agency has committed resources of US $ 337,870 over the next three years. The poverty programme is now poised for a formal launch in the coming months and will be followed by intense consultative effort to develop a citywide strategic action plan for poverty reduction. Support for community-led pilot projects is an important hardware component of the programme. The Colombo experience is an excellent example of the large and sustained impact the UN can have through capacity and commitment of the city, the seeding of processes by the UMP and follow up by CDS and donors.

The District Offices, however, needed intensive capacity-building effort before they could effectively and independently handle developmental roles and deliver urban services. The Community Development Councils similarly required substantial inputs (training, awareness-building and organizational strengthening) before they could become the lowest rung of the government and manage bits of development and service delivery on their own. This is currently an on-going activity.

Colom bo City D evelopm entStrategy As a consequence of UMP activities and Colomboâ&#x20AC;&#x2122;s success in initiating and strengthening participatory urban governance, the city was selected for development of a City Development Strategy (CDS) under the UNCHS-World Bank Cities Alliance initiative. The CDS was developed for Colombo Core Area, which includes two additional municipal councils - Sri Jayawardanepura Kotte and DehiwalaMt. Lavinia. Under the CDS process, these two cities have also undertaken city consultations. The Colombo CDS proposed major policy, programme and institutional arrangements to respond to social sector needs, increase productivity and economic buoyancy of the city, develop environment, infrastructure and amenities and reduce poverty. The strategy emphasized the need for good governance as a vital first step to make any significant difference to the cityâ&#x20AC;&#x2122;s administration, livability, culture, and public image.

The example of Colombo has inspired other cities to initiate better urban management practices. Under CDS, the City Consultation process is being replicated and adopted already by two other cities of Sri Lanka. The city of Kandy, too, has repeatedly

Examples of Action Plan Implementation: E stablishm ent of a multi-stakeholder forum for broad-based civic participation [District Community Management Forum (DCMF)] established in District 4 in the development decision-making process. This

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was implemented by the Colombo Municipal Council (CMC) and Sevanatha. R evitalization of CDCs, orientation and empowerment of district offices for carrying out community development activities has also been undertaken Involvem entof CDCs in Rate Collection has also been initiated on a pilot basis in one ward. Alternative procedures to give out construction contracts to CDCs are being developed by Sevanatha and CMC so that small-scale service improvement project can be implemented by the CDCs in their communities.

Lessons Learned

The Colom bo City Consultation and the H abitat Shelter • Prom ote access to basic services Water supply, solid waste, drainage and primary health were the key services identified for delivery to the poor communities through the District Community Management Forum. Socialdevelopm entand eradication ofpoverty • P rom ote social integration and support disadvantaged groups,prom ote gender equality in hum an settlem ents developm ent

The UMP City Consultation process in Colombo pioneered and enlarged the dimensions of community participation and stakeholder consultations. The development problems of the city became issues of debate and concern not merely of municipal administration and elected representatives but also of a wide spectrum of stakeholders, and the value added by each stakeholder group became more evident as consultations proceeded. The Council learned to appreciate, accept and seek stakeholder consultation and participation as an ideal tool, both for the quality of attention to the problems as well as a platform for debate and consensus. It developed confidence in working with NGOs and stakeholders, and this in turn provided the community with confidence about the Council and its civic responsibilities. The Local Partner Institution developed the capacity and the confidence to deal both with stakeholders as well as the Council, and acquired skills to mediate in regard to the concerns of each. The poor of the city, for the first time, acquired a direct voice through their own organization with an opportunity to participate in city deliberations. Poverty and the issues of the poor became central to city concerns. The prolonged use of the UMP city consultation process, its promotion of all round empowerment and its efficacy in understanding and resolving issues convinced all stakeholders of its usefulness and led to the institutionalization of this process.

The services cited above were primarily aimed at poor households. Community representatives from the poor found opportunity to have a voice within the structure of DCMF. Empowering women groups in pilot districts was a major objective. Women representatives from poor communities were specifically selected to participate in consultations. Environm entalM anagem ent • R educe urban pollution The issue of solid waste disposal was addressed through the Sustainable Colombo Core Area Programme (SCCP) within a participatory framework. Econom ic D evelopm ent • E ncourage public-private sector partnerships and stim ulate productive em ploym ent opportunities In its reengineering process, public-private sector partnerships were actively sought. G overnance • Prom ote decentralization and strengthen local authorities, encourage and support participation and civic engagem ent, ensure transparent, accountableand efficientgovernanceoftow ns,cities and m etropolitan areas

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For effective service delivery, decentralization processes were set in motion. The DCMF were established and received administrative and financial powers. CDCs were revitalized as the

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lowest tier of decentralized governance and were empowered to collect rates. All action plans were developed through comprehensive stakeholder consultations and community involvement. Community involvement and participatory processes ensured larger degrees of transparency and accountability. InternationalCooperation â&#x20AC;˘ E nhance international cooperation partnerships

and

The city has not only been an active seeker of international cooperation through the implementation of several international programmes, but has also participated in various international seminars to spread and support international cooperation.

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Inform alSettlem ents U pgrading in D am ascus, Syria

D am ascus -generalurban trends In Syria, as in most Arab countries, rapid rates of urbanization, due to rural-urban migration and the influx of refugees, have had negative consequences on the availability of urban land for the low-income population. As land prices in major Arab cities continue to soar, the poor are being pushed to urban peripheries where a thriving clandestine land market offers them an alternative to official land delivery systems. In Damascus, the population increased by 67% between 1981 and 1994. Most of this increase took place in the informal settlements located at the edge of the city’s boundaries. Today, it is estimated that 40% of the population of Damascus live in informal settlements. A number of direct and indirect factors, such as the availability of economic opportunities and educational and cultural services, led to migration to city centers and urban areas in Syria. Upon arriving in Damascus migrants tend to settle at the periphery of the city where land is more affordable. For the most part, they settle on publicly/privately owned agricultural land that is not included in development plans, leading to a rapid growth in informal settlements located just outside city boundaries. These areas are characterized by high population densities and display a variety of problems including environmental degradation, the spread of epidemics, rising crime and social unrest, loss of agricultural land, hazardous/chaotic building methods and unemployment and low income levels. Tabala and D w eila Tabala and Dweila is an informal settlement located near the old city of Damascus. With an area of 165 hectares and a population of 154,000, it is considered a high density area by Syrian standards (over 900 persons per hectare). As in most informal settlements

in Damascus, deficient or nonexistent infrastructure, crowded buildings, narrow alleys, insufficient primary schools and lack of health and recreational services characterize the area. The population of the settlement is socially mixed, including the poorest of the poor as well low to middle income families that cannot afford housing on the formal market. It is estimated that 40% of the population could not meet their basic needs without government subsidies. The majority of the land in Tabala and Dweila is owned by the government. The current inhabitants seized the land using the traditional concept of w ada’a elyadd, which means literally, the “placing of the hand”. Under this concept, which is widespread in the Middle East, the occupation of previously vacant land gives the occupant a legitimate claim to ownership. The facts that Tabala and Dweila was built on illegally occupied land located outside the official city boundaries explains why the settlement had not been provided with infrastructure and why the houses are unlicensed. The majority of houses in the settlement have been built according to traditional building techniques without architectural or engineering support, and do not comply with official standards. In spite of this, the condition of the housing stock is in relatively good condition and residents have managed to construct dwellings that satisfy their needs for ventilation, lighting and access to the city services (due to the proximity of the settlements to the city center). Buildings have an unfinished appearance as the residents cannot afford coating and finishing materials and build incrementally when they can afford it. The most substandard buildings usually consist of small industries and workshops.

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Basic City Inform ation City, Country:

Damascus, Syria

Population:

17.5 million – Census Year 2000

Density:

Damascus: 200/hectare Tabala and Dweila: over 900/hectare

City Growth Rate:

2.5%

City’s main function:

Capital – cultural, industrial, touristic and commercial center of the country

Poverty profile:

Less than 7% in 1995

Administrative structure:

Governorate: Governor appointed by the President, 14 geographic planning and administrative divisions. Heads appointed by the Governor. District Committees and Governorate Council elected.

Spatial dimension of City Consultation intervention:

Damascus and Syria; Tabala and Dweila in Damascus

Focus of the City Consultation:

Urban development – Poverty

Key stakeholders involved: Ministry of Housing and Utilities, Syria Country Panel, Media Personnel

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The D am ascus City Consultation Process The consultative process20 described in this section differs in significant ways from the city consultation methodology described in the UMP guidelines. It consists of a series of activities that, together over a six year time period, have had a direct impact on the lives of the urban poor and have informed significant policy change toward preventing, upgrading and regularizing informal settlements in Syria. This process started in 1994 during Phase 2 of the UMP and before the concept and methodologies for city consultations were developed. At the onset of Phase 3 the city consultation approach was incorporated into the consultative process and adapted to the Syrian context. While this activity is not a typical UMP consultation it holds many lessons that are worth reflecting upon for programmes that aim at impacting the lives of the poor through field projects and policy change. Selection ofthem e,city and pilotarea In the early 1990â&#x20AC;&#x2122;s, the Syrian government came to grips with the fact that the development of informal settlements in the countryâ&#x20AC;&#x2122;s main urban centers had become an intrinsic part of the urbanization process in Syria, and that traditional approaches had failed to address the roots of the problem. At the end of 1993, the Syrian government therefore requested the support of the Urban Management Programme in devising new approaches that could help improve living conditions in informal settlements and prevent their uncontrolled development. It was decided that choosing a pilot site to test and implement an upgrading programme would be an important preliminary step toward changing policies toward informal settlements in Syria. Damascus was selected as the city for implementation of the project for several reasons: 1) as the countryâ&#x20AC;&#x2122;s largest city it was also the one most affected by the development of informal settlements; 2) as the capital city and the center of political and economic life in Syria it afforded the initiative a level of visibility that was essential to impact policy change and; 3) the governorate of Damascus supported the initiative from the onset as it was looking for new ways to address the growth of informal settlements. The settlement of Tabala and Dweila was selected for the implementation of the pilot activity for the following reasons: 1) the settlement was a long-standing

informal area and was in better condition than more recent settlements. This provided for some minimum guarantee of success of the activity; 2) the settlement is located close to old Damascus on the road from the airport and, accordingly, is very visible; 3) many lowlevel government employees live in the area; a population toward which the government feels it has a special duty. Im plem entation m echanism :the country panel At the beginning of Phase 2 of the UMP, the regional office for the Arab States devised an implementation strategy that relied on the creation of country panels anchored within existing national institutions. The country panels are composed of experts, decisionmakers and representatives of civil society and the private sector. They function as consultative bodies that decide on the key orientations of the Programme at the national level, design new activities and oversee implementation. In Syria, the country panel includes representatives of the various ministries responsible for urban matters, the governorate of Damascus, the media, various unions, academics and the private sector. This particular configuration enabled the panel to play a leading role in the consultative process by coordinating between different government agencies and stakeholders, helping them to reach consensus, and monitoring activity implementation. As a permanent UMP implementation mechanism, the existence of the panel was not directly dependent on the implementation of any of the activities described here.

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It was therefore capable to continue its role as a consultative body and advocate for policy change both during and after activity implementation. More details are provided below regarding the organization of the panel during the country consultation phase of the process.

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image of informal settlements, which come out as well structured areas where overall living conditions are better than expected. Finally, the study promotes upgrading over demolition unless there is a clear risk to the inhabitants. The study also initiated a reflection on the appropriate standards to be used for informal settlements.

The Consultative Process The PilotPhase During the pilot phase, the Urban Management Programme provided support to the Ministry of Housing and Utilities in planning and implementing a large-scale upgrading program in one large settlement in Syria: Tabala and Dweila. The role of the UMP was to finance an upgrading study, provide technical assistance where needed and facilitate coordination and consultation between government agencies and other stakeholders. The Ministry of Housing and Utilities was the key agency responsible for implementing the upgrading programme in collaboration with other concerned ministries.

An important component of the study was the development of an Implementation Programme to Provide Basic Social and Physical Infrastructure to the settlement. The programme covered the provision of roads, sewage, potable water, electricity, telephone, street lighting as well as health, educational and cultural services. The total estimated cost for implementing the program was US$ 10 million. The study, including the programme, was adopted by the Ministry, the Governorate of Damascus and publicized for thirty days to allow public comment. Partial implementation started in 1995 (see under impact section).

The upgrading study was conducted over a period of eight months and consisted of four different stages. The first and second stage focused on collecting the necessary data, evaluating the situation on the ground, and setting goals for the upgrading of the area. The third and fourth consisted of developing and formulating the detailed planning programme, and incorporating it into the city’s master plan. The study was a traditional physical planning exercise and involved only very limited participation from the residents of the settlement. It nonetheless played an important role in changing the policy discourse and perspective on informal settlements in Syria for several reasons.

In addition to the upgrading efforts, a women’s training program was implemented by the Women’s Union in cooperation with the Ministry of Housing and Utilities. A women’s training center was established in Tabala and Dweila to train women in potential income generating activities such as sewing and embroidery. Gender empowerment sessions were also held as part of the training course, providing information on issues such as legal rights and health care. The UMP provided seed capital for the first training cycle. Subsequently, the Women’s Union took over the activity and has continued to manage it successfully, holding four training courses every three months.

The first reason is that the study looked at informal settlements from an integrated perspective. It considered the physical and social infrastructure in the settlement and analyzed environmental as well as socioeconomic issues. This meant that it contributed to a greater understanding of the reality of informal settlements from a multidisciplinary perspective. This also enabled the study to play an important role in bringing together government agencies and ministries that usually operated in isolation of each other (for example utilities, education, health). These various agencies contributed to the development of the study, discussed its findings with one another and used it as a basis to determine their future interventions. Another reason is that the study promotes a relatively positive

The Consultation Phase:From pilotactivity to policy im pact and replication using the city consultation m ethodology. G eneralbackground Following the success of the initial activities and the fact that it had led to the upgrading of an informal settlement and to replication of the activity in Damascus and other cities, the panel started reflecting on the best means to ensure the sustainability of their efforts. At the same time, Phase 3 of the Urban Management Programme was beginning with the focus on city and country consultations. The consultation process as proposed by the UMP appeared to be an appropriate tool to achieve the policy changes needed to guarantee sustainability. It was therefore decided to initiate a city consultation that would focus on the Damascus

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experience but would engage national actors and representatives of other municipalities. The principal objective of the consultation was to develop national and citywide policy frameworks for the upgrading of informal settlements based on an evaluation of on-going efforts in the field. Methods for achieving this include: • Evaluation of the present situation in Syria on informal settlements • Evaluation of the suitability of the governorate’s planning programs • Evaluation of the impact of these plans • Adoption of solutions developed through the consultative process The city consultation process consisted of a series of activities that aimed at 1) consolidating existing knowledge on the situation of informal settlements in Syria; 2) reaching consensus among experts, stakeholders and decision-makers on policy reforms and; 3) engaging a national debate on informal settlements in Syria. Im plem entation m echanism The role of the country panel became even more crucial during this phase of the consultative process given the increasing complexity of the process and the need to take into consideration a great variety of variables. Five committees were created from panel members, experts and stakeholder representatives, each with a specific set of responsibilities. The Technical and Scientific Committee was responsible for supervising all studies, ensuring the quality of outputs and identifying needed policy and regulatory changes. The Media Committee designed and implemented a strategy to ensure media participation in the activities, as well as quantitative and qualitative media coverage. The Logistics and Administration Committee organised and co-ordinated the activity and handled all logistical matters. The Financial Committee co-ordinated the finances for the activity. Finally, the Steering Committee was responsible for reviewing the different outcomes and final report, monitoring the consultation process as a whole and identifying emerging areas of consensus among stakeholders. Planning and docum entation phase A series of preparatory meetings was held, with the direct and indirect participation of local community and

other experts, in order to set priority issues. As indicated above, this process of meetings took place under the helm of the country panel and within the specialized committees. In addition, a series of studies was prepared during the consultation focusing on different aspects of the informal urban settlements. These studies include: • Current economic, social and demographic situation in Syria • The current informal settlements situation in Syria • Field study in Esh el Wourour, on the role of the media and informal settlements • Comparative economic, social and demographic characteristics of informal settlements in three Syrian cities: Damascus, Aleppo and Homs • Methods of dealing with the informal settlement situation in Syria (Damascus, Aleppo and Homs) The research teams in charge of developing and discussing the studies were selected from the stakeholders. They include members of the Syndicate of Engineers, the Ministry of Housing and Utilities, the Ministry of Environment, the Municipality of Damascus, the private sector and the media. The role ofthe m edia Strengthening the role of the media in impacting policy change was considered a major component of the activity. A critical element in involving the media was the organization of a media consultation in May 1998. The consultation was held over a two-day period and gathered a wide range of media personnel, decisionmakers, development specialists, UMP panel members and other stakeholders. The consultation focused both on substantive urbanization issues, specifically informal settlements, as well as on the role that the media could potentially play in support of the efforts to improve living conditions in informal areas and in increasing general awareness. Participants agreed that the media should be an active partner in attempting to amend and change Syrian laws concerning housing regulation and regularization of tenure. The media consultation led to a series of media seminars, television and radio programs debating the state of urban settlements in Syria. An outcome of the media consultation was the implementation of the media survey in the urban settlement of Esh Al Wourwour. This survey was conducted by three journalists and its main objective

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was to conduct fieldwork so as to identify the possible role the media can play in solving the problems faced by the local community. It consisted of a survey of the living conditions and socio-economic status of 100 families with special emphasis given to the best means to provide information to local communities. The results of this survey were largely disseminated through the media and contributed significantly to increasing the level of public debate. Ultimately, media interest in the issue played a role in the Syrian parliament’s decision to review and amend the housing and land laws. The form alcity consultation The formal city consultation event took place in Damascus, between December 22 and 24, 1998. Participation in the consultation included both local and national stakeholders underlining the objective of developing a strategy for dealing with informal settlements in Damascus, which can be replicated in the rest of the country. In addition to the country panel, and members of the different committees, the following groups were represented in the consultation: • Government authorities: Ministry of Housing and Utilities, Ministry of Local Administration, Ministry of Environment, Ministry of Tourism, Ministry of Social Affairs. • Local authorities: Municipality of Damascus and Municipality of the Damascus Countryside, Municipality of Qenetra, Municipal Councils of Aleppo, Homs, Douma, el Nabk, and Qetna. • Research centers: Public Company for Research and Technical Consultation, Damascus University (Faculty of Civil Engineering and Architecture) • Other institutions: Women’s General Union, Union of Handicraft Workers, Syndicate of Engineers • Informal settlements: Members of neighborhood committees, representatives from the administrative authority. Key Issues/O bstaclesFaced Participation Issues The concept of participation had to be adapted to fit the political, institutional and legal context of Syria. Concretely, this means that the participants and stakeholders to the various stages of the process could only be selected from among officially sanctioned channels and organizations. Keeping the above in mind, one can assert that all

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directly concerned stakeholders were involved in the process in one way or another. During the pilot phase, limited focus groups were conducted among inhabitants of the areas under study in order to find out their perception of existing problems. Whether or not the focus group participants represented the majority of neighborhood inhabitants remains an open question as most were members of the Women’s Union, the Labor Unions and various syndicates. Participants during the consultation phase included representatives of academic institutions, government, the private sector, the media and the unions, which in Syria function as quasi-governmental NGOs. Inhabitants of the informal areas were represented by members of their neighborhood councils and local administrative authorities. The above process attempted to take maximum advantage of existing opportunities to bring about more inclusive urban management and development. The absence of an independent civil society in Syria meant that the consultation organizers had to find other ways acceptable within the Syrian context to achieve representation during the consultative process. The decision to select participants from within the existing framework of unions and professional syndicates was probably the safest one given the political constraints. Furthermore, it was very clear that, to achieve success, the UMP panel had to work from within the system and not from the outside. The lack ofinter-governm entalcollaboration One of the key issues that the UMP had to address was the lack of collaboration between agencies that have a role in the upgrading of informal settlements. The pilot phase highlighted the difficulty of working within a centralized framework where responsibilities are fragmented and where there is considerable overlap in jurisdictions. The City Consultation brought the different actors together, encouraged dialogue and was instrumental in building consensus on the major issues that needed to be addressed. Working together, representatives of the various government agencies developed practical recommendations subsequently incorporated by the agencies into their respective work programs. Such is the tradition of departmental/ ministerial isolation that the participants have described the meetings as the first of their kind. However, it remains to be seen whether cooperation will be adopted as a policy in the long term and, in fact, whether coordination will continue during

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implementation of the country consultation recommendations.

steam in a first step towards institutionalizing the participatory process.

G ender:the use ofa traditionalW ID approach In spite of efforts from the regional office, the gender dimension of the consultation and of upgrading informal settlements in general was not fully understood or taken into consideration by local partners and stakeholders in Syria. Efforts to incorporate this dimension yielded an activity that focused on women as a special category without taking into consideration the importance of male-female relationships and the imbalance of power within the household. The women’s training activity implemented by the Syrian Women’s Union was based on a traditional conception of a woman’s role and her potential contribution to economic and social development. While the activity contributed to enhancing income generating capabilities of the concerned women, it is unknown if it did enhance their status within the household in any way. Since the question was never raised, there was no effort to collect the data that could yield the answer.

Investm ent Im pacton the Poor A major output of the upgrading study is the Implementation Program to Provide Basic Social and Physical Infrastructure in Tabala and Dweila at an estimated cost of US$ 10 million. The Governorate of Damascus formally adopted the Implementation Program and, to date, has spent approximately US$ 5 million on infrastructure and upgrading activities in the settlement resulting in a palpable improvement in living standards. All households have been connected to electricity and to sewage; 80% of households now have tap water and connections, the 20% remainder have been provided with community taps. In terms of social and health infrastructures, the settlement was provided with two new clinics, three primary schools, two secondary schools, one cultural center and two educational and vocational centers.

The lack ofreliable data The research components of the consultative process highlighted the fact that there is limited accurate data available on issues such as demographics, population, housing, etc. Data from the national statistical agency are reasonably accurate but outdated, leading some of the researchers to rely on other, unofficial sources. This created some conflict during presentation of the research papers throughout the city consultation as government representatives refused to acknowledge data from unofficial sources and insisted that the only reliable source of information should be the national statistical agency. This issue remains to be addressed since effective planning has to be based on accurate, up-to-date information. Also, media coverage of this and other issues must be based on reliable facts to ensure credibility.

Im pacts Although the consultative process in Syria cannot be compared with others in the methodology, the range of impacts that have resulted from the process is considerable. Investments have been made to improve the lives of the urban poor, far-reaching policy and legal changes have taken place and Syrian authorities have implemented similar consultations under their own

Following the Tabala and Dweila experience, the Municipality of Damascus decided to replicate the upgrading process in the city’s 14 other informal settlements. To date, eight settlements have been partially upgraded, with 100% receiving electricity networks, 60% receiving potable water and sewerage networks and 30-50% receiving health, educational and cultural facilities. In total, approximately 750,000 residents of Damascus have been directly impacted by these upgrading programs. Im pact on w om en The Gender Training Program succeeded in establishing a training center for women in Tabala and Dweila, where 500 women received training in activities such as sewing and embroidery. Following the training sessions, a large percentage of the trainees were able to find employment in public and private factories, while others established small homebased sewing businesses, thus increasing their earning power. The Gender Training Program further contributed to the empowerment of the settlement’s women by raising their awareness of legal, political and health issues. The UMP contributed US$4,000 to the project while the Women’s Union provided in-kind contributions such as location, refreshments and transportation. After the first training cycle, the Women’s Union

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assumed responsibility for the project, carrying out regular quarterly training courses and guaranteeing the project’s sustainability. It is worth noting that some of the original trainees are themselves now trainers at the center. Legaland Policy Change Change in attitudes tow ard inform alsettlem ents At the start of the consultative process attitudes toward informal settlements and their inhabitants were very negative. Urban settlements were considered at the very least an eyesore but more often as breeding grounds for crime, violence and other societal ills. Initially, whenever the subject was introduced into discussion attitudes were antagonistic, at one point even suggesting the erection of walls or trenches to isolate informal settlements and protect the rest of society from them. Gradually, however, the negative perceptions of many stakeholders softened and, through dialogue and the provision of information, many came to understand that informal settlements are not a disease in themselves but that they are cause by the inefficient working of land markets, often as a result of misguided government regulations. This shift in perceptions was accompanied by the realization that inhabitants of informal settlements can make positive contributions to society and have rights equal to those of other citizens. The media played an important role in this transformation by explaining the root causes of the problem and “humanizing” the issue. Policy Change The change in general attitudes toward informal settlements over the course of the consultative process laid the foundation for policy change. At the outset of the consultative process the authorities in Syria had realized that existing policies were not solving the problem of informal urban settlements. The problem was too complicated to be solved by simple application of existing legislation, which, while adequate for formal developments, was ill-equipped to deal with the sheer size of the informal settlement issue. Informal settlements had become a reality in every city in Syria. Environmental and health conditions were poor and a large percentage of houses were in violation of existing standards and licensing laws. Evicting the tenants and tearing down each noncompliant building would create an even larger problem in a country plagued by housing shortages. In addition to the change of policy at the Damascus

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level which led to the upgrading of most of the city’s settlements, the consultative process helped the authorities realize that the only viable solution was the assimilation of existing settlements into the fabric of the adjoining Syrian cities by including them in city development plans and providing infrastructure services. In 1990, none of the country’s informal settlements were included in city development plans. Today, city development plans incorporate 90% of the total population. Legislative change Closely linked to the realization that policy change was inevitable came the acknowledgement that existing legislation required modification to deal with the modern-day reality of informal housing settlements. Many laws in force at the beginning of the process were quite old and often pre-dated the formation of informal housing settlements. Other laws, while applicable to the situation today, had never been implemented. A case in point is the Urban Expansion Law 60/1979, which addresses the status of land on the periphery of major cities where most informal settlements are located. One of the major recommendations to result from the City Consultation was the modification of Law 60/1979. On June 12, 2000, an amendment to Law 60/1979, drafted by the Ministry of Housing and Utilities, was ratified by the Syrian parliament and came into effect as Law 26/2000. This law explicitly allows the inclusion of informal settlements in the development plans of the neighboring cities, thus removing a major obstacle to the extension of infrastructure and services to these areas. Previously, cities had argued that these areas were outside their city limits and, accordingly, not their responsibility. Law 26/2000 also regulates land ownership and allows sub-division of existing plots of land and re-sale to different tenants. This provision is of special importance to the inhabitants of informal settlements, which in many cases have been built on agricultural land that previously could not be partitioned thereby preventing tenants from registering and licensing their property. A further recommendation of the city consultation was the revision of the law on rents, Law 111/1952. Many regard this law as one of the primary reasons for the proliferation of urban settlements. Rent controls discourage private sector companies from

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investing in the rental housing market and encourage them to invest in the high end housing ownership market. Syrian legislators have recognized the need for modification of the Rent Law. Amendments to the law were discussed, adopted by the parliament in 2000 and came into effect in January 2001.

consultative process has therefore been instrumental in building the capacity of the media to cover urban development issues and become a player in the policy transformation process.

Lessons Learned Institutionalization ofparticipation Given the above discussions it would be presumptuous to assert that this consultation, along with others implemented in Syria have led to an institutionalization of participatory approaches in Damascus or other cities in the region. It must first be recalled that in the Syrian context, which is marked by the absence of an independent civil society, the concept of participation must be understood as including stakeholders that are all, in one way or another, related to the government. Within this context, what the UMP-sponsored consultation achieved is an intensification of the collaboration between the various official actors of urban development which include line ministries, government agencies, unions and syndicates, neighborhood committee representatives. The consultative process also took advantage of existing official participatory mechanisms. For example, the plan for the upgrading of Tabala and Dweila was published and local residents had 30 days to react to it, oppose it and or suggest amendments. The fact that representatives of neighborhood committees coming from informal settlements participated is also a positive development. Finally, two city consultations on the issue of informal settlements took place in the cities of Aleppo and Homs. These were not funded by the UMP but used the same methodology as the Damascus consultation and were a direct consequence of the UMP activity. Another noteworthy development is the participation of the media in the consultative process. The media took on a new role that was not limited to mere reporting on government-sponsored projects. Journalists participated in the creation of knowledge through the research they conducted and were included as partners in the media consultation as well as the formal country consultation meeting. This is a radically new role for journalists in Syria and one that the UMP continues to encourage. All the persons involved in the consultation stressed the important role that the media played in changing perceptions of informal settlements and in shaping the terms of the debate that ultimately led to policy change. The UMP

Lesson 1:Policy change isa tim e-consum ing process It is tempting to underestimate the amount of time needed to effect policy changes, especially in areas where existing conditions are poor and policy changes can only be perceived as positive. There is often a tendency to ignore ingrained prejudices and governmental resistance to change leading to frustration when self-evident policies are not adopted immediately. The consultative process in Syria took place over a period of six years and built up gradually from a pilot phase to a full-blown policy discussion culminating in the adoption and implementation of policies and the enactment of new legislation. This gradual build-up is vital as it is designed to convince rather than impose. Participation of decision-makers at all stages of the process encourages a sense of ownership and eliminates the natural resistance to externally imposed change. It also ensures commitment of time and resources for implementation of policies. Lesson 2: The need for a m echanism for sustained engagem entatthelocallevel窶田ountrypanel As demonstrated in this process, urban development activities and the policy change process have different life cycles. It is therefore crucial that the involvement and commitment of a programme like UMP remain steady over the long run and not be dependent on the implementation of specific activities. A mechanism must therefore be found to ensure that efforts are sustained beyond the activity life cycle. The country panel, in Syria as in other UMP-ASR countries, has proved to be an effective such mechanism. It is a light, flexible and cost effective structure that ensures that the key stakeholders are mobilized for activity implementation and remain engaged throughout the policy change process. Lesson 3: Inter-governm ental collaboration is a prerequisite forbroaderparticipation In many developing countries, government entities do not coordinate among themselves, much less collaborate in the implementation of their agendas.

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In cases such as these, it may be premature to introduce the concept of participation/partnership between government and civil society and/or the private sector. The need to build trust and encourage dialogue between different ministries was an important lesson learned during the course of this consultative process. There is considerable overlap in the responsibilities of different government agencies and the process provided a suitable forum for their representatives to discuss areas of possible collaboration. Ultimately, the consultative process helped them realize that collaboration can maximize the benefit of increasingly scarce government resources. Lesson 4:Theim portance ofafavorable politicalclim ate One of the most significant lessons learned over the course of this consultative process is the importance of a favorable political climate and strong government support. This activity started at a time when policy makers were realizing that existing policies were inadequate to deal satisfactorily with the problems emanating from the rapid development of informal settlements at the edges of Syrian cities. The UMP stepped in at a point where stakeholders were ripe for suggestions and, acting as a catalyst for change, helped synthesize ideas already present in the minds of the participants and translate them into concrete policies and actions. Given that the need for change was clearly felt, it is possible that much of the policy transformation that took place over the past seven years may have happened without UMP intervention. It is however undeniable that the UMP was a major actor and partner in effecting and informing those changes. Lesson 5:Value added ofm edia participation The media played a very important role throughout the consultative process in Syria. They created and fuelled public debate about informal urban settlements keeping the issue in the public eye from the outset. Numerous magazine and newspaper articles as well as a variety of television shows gradually engendered a positive change in public opinion regarding urban settlements. Furthermore, media interest was a significant factor in galvanizing decision-makers into effecting far-reaching policy and legislative changes for the improvement of living conditions in urban settlements. The role that the media was able to play in this case is especially noteworthy in a country such as Syria where the media is completely state-controlled. The freedom granted

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to the media in this particular case highlights the importance of Lesson 4: the necessity of a political climate receptive to change. Lesson 6:Flexibility ofthe CC process The consultative process in Syria highlights the fact that implementation of the City Consultation methodology needs to be flexible in adapting to different country circumstances. Rigid application of the methodology regardless of context could potentially be counterproductive as in the case of Syria where participation is restricted within limitations acceptable to the government and civil society has a very limited role in decision-making. An important lesson learned during the Syrian experience is that we should not lose sight of the real goals – the improvement the living standards of the disadvantaged – for the sake of procedure or methodology. Sometimes it is better to find a way of working within the system and achieving real benefits and perhaps even effecting incremental changes to the system, even if we disagree with the principles, instead of seeking to change it and ultimately wasting a lot of time and effort.

The D am ascus City Consultation and the H abitatAgenda Shelter • Provide security of tenure, prom ote the right to adequate housing, provide equal access to land, prom ote equal access to credit, prom ote access to basic services Reform of land and property ownership laws (Law 26/ 2000); reform of rent laws to landlords to provide housing for rent at reasonable prices; inclusion of informal settlement areas in Syrian cities’ development plans; upgrading of informal settlement areas in Damascus including connection to water, sewerage, electricity networks and the provision of health centers and schools. Socialdevelopm entand eradication ofpoverty • P rom ote social integration and support disadvantaged groups,prom ote gender equality in hum an settlem ents developm ent Establishment of a vocational training center for women; implementation of activities to raise women’s

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awareness of their legal and political rights and to increase their earning capacity. Econom ic D evelopm ent â&#x20AC;˘ S trengthen sm all and m icro enterprises, particularly those developm ent by w om en, encourage public-private sector partnerships and stim ulate productive em ploym ent opportunities Training of women in crafts to help them find employment and generate income; policy reforms to promote the role of the private sector in the construction of affordable housing and in the creation of employment opportunities. G overnance â&#x20AC;˘ E ncourage and support participation and civic engagem ent Participation of all concerned stakeholder representatives during the consultative process.

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LocalConsultation on the M anagem entofBiom edical W aste in Bam ako,M aliand D akar,Senegal

Bamako, the capital of Mali, covers an area of 267km2. Itâ&#x20AC;&#x2122;s location between the Mandingo to the North and the Niger River to the south limits its expansion. The population was estimated at 1,016,000 inhabitants in 1998 with a growth rate of 9% between 1993 and 1998. The Bamako District is both a devolved administrative district and a decentralized community, with the status of a legal entity and financial autonomy. It is comprised of six communes. Since the revolution of March 1991, a decentralization process has been set in motion with the transfer of power from the District to the communes. Occupancy of urban space is unplanned with the multiplication of slums that cover over 2500ha. Bamako is affected by unhealthy living conditions due to poor wastewater and solid waste management. The financial crisis that has been raging since 1980 creates unemployment, under-employment and poverty.

hazard aggravated by the lack of adequate rainwater drainage system. The evacuation and treatment of domestic and industrial wastewater and household refuse constitute major challenges in Dakar.

The city of Dakar is situated in the western part of Senegal and covers an area of 217 km2. The population is estimated at over 2 million inhabitants, over 20% of the countryâ&#x20AC;&#x2122;s population. Dakar, the capital, constitutes the main economic, political and administrative pole of the country. The rate of unemployment in the city is very high, at 57.85% 1993; and 38% of households live below the poverty line. The concentration of over 90% of the countryâ&#x20AC;&#x2122;s industries in this small territory creates serious hazards while floods constitute the main natural

In view of this, the African Institute of Urban Management (IAGU) undertook an in-depth-study of the problem in order to find the most appropriate solutions. To this end, and in partnership with the Africa Urban Management Programme, a consultation programme on the management of biomedical wastes was initiated in the cities of Bamako (Mali), Cotonou (Benin), Ouagadougou (Burkina Faso) and Dakar (Senegal). The city consultation process in the cities of Bamako and Dakar are presented in this case study.

The management of solid and hazardous wastes represents one of the major problems facing the cities of Bamako and Dakar. While notable efforts have been made to improve the management of solid municipal wastes, the problem of biomedical waste management has been somewhat neglected. Indeed, the authorities have often considered biomedical waste management as the responsibility of the main producers, namely hospitals, clinics, care establishments, laboratories, pharmacies and veterinary services. Yet these institutions do not have the adequate technical and financial capacity to carry out a sound and ecologically sustainable management of biomedical waste.

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Basic City Inform ation City, Countries:

Bamako (Mali)

Dakar (Senegal)

Population: in thousands

1 016 (1998)*

2 165 (1998)*

Population Density / km2

3805

3936

Population growth rate of city:

9.07% (1993-1998)*

2.3% (1993-1998)*

Main function of city:

Administrative Commercial Industrial

Administrative Commercial Port, industrial

20 16.20

57.85 (1993) 38.2

38.4 (1998) 1.5 61.2 3 36.8

77 (1998) 43.1 89.3 40.8 35

Administrative structure: Is the mayor elected by the people, municipal council or appointed (if appointed, state by whom) Are the members of the municipal council elected or appointed (if elected, indicate by whom)

District council/community council

Municipal Council

Area covered by local consultation:

City

Components of local consultation:

Environment

Key actors involved in the local consultation process:

CAHBA, District town Hall, communes, DSUVA COFESFA,DHAMSP, COGIAM,CSCOM1 Point G Hospital

IAGU,CUD,DE-MEPN, SRH,DASS-VD, ERECO, HAD, Main Hospital, Health Districts

Poverty Profile*: Unemployment Rate % of households below poverty line % of population below poverty line % of households with access to basic services (year) Water Sanitation Electricity Telephone % working in informal sector % without land security

Elected

Source:*O bservatories des villes dâ&#x20AC;&#x2122;Afrique Francophone (O VAF) w w w.ovaf.net

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Contact addresses of actors: D akar IAGU n°2243 Dieuppeul 1,BP 7263 Dakar Senegal; Tel (221) 8244424; iagu@cyg.sn ERECO SA 118/B, Bd Gal De Gaulle, BP 21176 Dakar Sénégal ; Tel (221) 8218698; ereco@sonatel.senet.net DASS-VD Rue 15X8 Médina, BP186 Dakar, Sénégal ; Tel: (221) 8251594 DE-MEPN, 23 rue Calmette, Dakar, Senegal; Tel (221) 8210725 SRH Sandaga Dakar Senegal; Tel (221) 8218990 HAD BP 3001 Dakar Senegal; Tel: (221) 821 50 25 Hôpital Principal Av Nelson Mandela, BP 5158 Dakar Senegal; Tel: (221) 839 50 50 Bam ako CAHBA Rue 08 porte 1039 Missira 1, BP 1511 Bamako Mali ; Tel (223)216803 DSUVA BP 256 Bamako Mali Tel (225) 212454 Hôpital Point G Tel: (225) 225002 COGIAM Tel: (225) 220235 COFESFA rue 132, porte 851 Sogoniko , BP 2977 ,Bamako- Mali Tel: ( 223) 209127 Mairie du District BP256 Bamako, Mali, Tel: (223) 225540 DHA-MSP BP 233 Bamako, Mali, Tel (223) 222921 Centre de Santé de Référence Commune 1 rue 136, porte 439 Bamako, Mali Tel: (223) 246064 _________________________________________________________________________________________________________

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The methodology used to do this consisted of a documentary review, individual interviews, sectoral and mixed group meetings and environmental site trips (dumps, incineration places, health facilities etc.). A quantification and characterization campaign was held in Dakar based on a sample of health facilities. The documentary review was very useful for describing the local context, the current management of household wastes and the current health system. The interviews revealed the effectiveness of information gathering in this area, which had hitherto not been subjected to any exhaustive study. Health workers were very cooperative and constructive in the diagnosis and provided possible solutions for the sustainable management of biomedical wastes.

The LocalConsultations in D akar and Bam ako The consultation process started in January 1998 and lasted one year. IAGU initiated another phase known as the post-consultation phase that essentially focused on the implementation of action plans that began in the middle of 1999. The planning of the process occurred at the local and regional levels. At the regional level, IAGUâ&#x20AC;&#x2122;s role entailed the preparation of the Initiating Brief and identification and selection of partner institutions in each city on the basis of their expertise. It also included definition of the terms of reference, preparation of contracts, supervision and technical assistance for the partner institutions and the implementation of sub-regional tasks. They were also responsible for planning related to city profiles, holding of a methodological workshop, preparation and implementation of local consultations, preparation and dissemination of a documentary film and the holding of a regional consultation. City profile For each city, the city profiles described methods of managing waste in general and biomedical wastes in particular. They assessed the challenges related to the management of this kind of waste, identifying the actors and problem areas, listing health facilities and assessing and characterizing the management of biomedical wastes.

The profiles made it possible to identify the limitations of the current management systems, as well as gaining significant experience in biomedical waste. On the whole, hospital waste collected are not subjected to prior sorting and are removed with inappropriate equipment and often by unprotected and untrained personnel. This waste is mixed with households waste and is rarely incinerated. Instead it is often burnt at ground level or using artisanal implements or thrown into public or into makeshift dumps and, subsequently, handled by children and human scavengers. Furthermore, the legislative and regulatory arrangements concerning biomedical wastes are obsolete. This disorganized way of handling biomedical wastes increases the environmental and health hazards that have become particularly worrying with the AIDS pandemic and the emergence of haemorragic fevers. The city of Dakar has 7 hospitals, 10 health centres, 71 health posts, 10 health outposts, 2 isolated MCH centres, 22 clinics, 127 medical and nursing consultation offices, 77 pharmacies, 7 medical laboratories and 9 private catholic dispensaries. 1424 tonnes of biomedical waste is generated per year, including sharp instruments 4.5%; infectious waste 68% and general waste 27%. 300 000 tonnes of household waste is generated every year. Bamako has 2 hospitals, 102 health units, 6 municipal health centres, 34 community health centres and 87 clinics and private medical offices, medical laboratories, pharmacies. 50 tonnes of Biomedical waste is generated per year, including

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sharp instruments 29%; infectious waste 70%; anatomic waste 6%; and chemical waste 0.43%. 288 000 tonnes of household waste is generated every year. Localconsultation and Action Plan form ulation For the purpose of formulating plans of action at the local consultations, the IAGU organized a workshop for partner institutions responsible for the implementation of the process. The main objective of this workshop, held in Dakar, was to discuss the process of local consultation and provide the necessary tools for formulating the plan of action. An intensive preparatory phase was organized with the identification of key actors (municipalities, central administration, health sector, private sector, NGOs, youth movements and associations, training and research institutes, the media). Invitations and the environmental profile were sent out for a meeting with the local and governmental officials for their sensitization and organization. The local consultations were based on the following plan: presentation of the profile for its validation by the participants; presentation and discussion of various components of the management of biomedical wastes methodological discussion and formation of work groups; explanation of the tool for formulating plans of action; formulation of plans of action and validation at the plenary session. The results of the profiles were confirmed and enriched at the consultations. The presentations, which were highly instructive, resulted in an in-depth review of the various aspects of the management of biomedical wastes and exchange of views on concrete cases. The exercise involved the high-level participation of government and local officials. The private and public health sector and NGOs, as well as organizations such as WHO, were also heavily involved. Some of the key factors that accounted for the success of the local consultations, which enjoyed high media coverage, were the mobilization of actors and their readiness to participate, the support of authorities, preliminary awareness and information campaign on the process, involvement of stakeholders in the formulation of the plans of action, recognition by the producers of the limitation of their system of management and their willingness to know more.

Plan ofAction defined atthe local consultations Inform ation-Training-Aw areness Aspects: Bam ako: • Sensitizing institutional partners (ministries, parliament, donors); • Information and training for biomedical waste producers; • Training of collection agents; • Setting up of an IEC programme. D akar: • Advocacy with Ministry of Health; • Training of medical and paramedical personnel, junior staff, medical students, collection EIGs; • Information for health committees and communities; • Sensitization of medical and paramedical staff, pupils and students, health committees, EIGs and communities. Technicaland technologicalaspects Bam ako: • Establish a multi-structural common incinerator in a reference health centre; • Develop applied research. D akar: • Set up a system of selective sorting; • Procurement of materials (dustbins, containers, etc); • Creation of collection points; • Provision of internal transport facilities; • Put up a container for collecting biomedical waste at the dump site; • Provide health districts with incinerators. Institutionaland regulatory aspects Bam ako: • Supplement the services of the National Sanitation Directorate; • Prepare application decisions for some decrees; • Change some decisions and orders by including biomedical waste management. D akar: • Implement international conventions; • Draft laws and regulations on waste; • Enhance financial and technical resources of structures that produce biomedical waste.

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Form ulating and Im plem enting the finalplan ofaction Final plans of action resulted from the regional consultations held in Dakar from 9 to 11 November 1998. The consultation brought together participants including mayors and local officials, directors of research centres, officials from international organizations and non-governmental organizations and experts from technical services, ministries and local communities as well as IAGU’s institutional partners in the process. Following the introductory presentations by the IAGU, PGU, WHO, and the Mayor of Dakar, the consultation was opened by the director of the Cabinet of the Ministry of Health of Senegal. The results of the process by city and the post-consultation initiatives were presented. The film produced during the consultation process was shown and commented on by the participants. Thematic presentations were made by WHO, the Basel Convention, PGU-Afrique and ERECO. A field trip was organized to the central hospital and the public waste dump, and a panel discussion of FAGU mayors was held on municipal waste management strategies in general and hazardous wastes in particular. The final activity of this regional consultation entailed concrete actions to be undertaken in the short term. In Bamako, Commune I, Regional Health Directorate of Bamako, Health Structures, CAHBA, GIE and IAGU took part in the integrated pilot biomedical waste management project in the Commune I and the production of a documentary film. In Dakar, IAGU, ERECO, health structures, Health Committees, CUD, Ministry of Health and HAD were involved in activities around setting up of a special container at public waste dumps, separate collection by a private company, group incineration biomedical waste HAD and the organization of training sessions. A post-consultation programme was prepared by IAGU. This took into account the funding of the integrated biomedical waste management pilot project in Bamako Commune I in support of the Reference Health Centre Initiative. This commune has acquired an incinerator and accepted its use in a bid to eliminate the wastes produced by the health structures. The programme also included the creation and support of the Inter-sectoral Monitoring Committee (CIS) organ. The CIS facilitates the implementation of the plans of action as well as

activities such as the preparation of an advocacy paper on biomedical wastes, production of a postconsultation film and dissemination of reports on the city consultation process. The Dakar CIS set up in May 1999 made contacts with the major actors concerned with the various components of the plan of action in order to raise awareness and attract their support. They also organized work sessions and prepared draft contracts. The major obstacles that hampered the CIS’s effort were financial constraints of the Dakar Urban Community (DUC), red tape at the Aristide le Dantec (HAD hospital) and the lack of participation of private doctors in the CIS. This made it difficult to establish a specific system of biomedical waste collection and removal within the system of household waste management. The Ministry of Environment, the Aristide le Dantec hospital, the Ministry of Health and the CUD actively participated in terms of human resources, especially through the CIS. The Aristide le Dantec hospital included its incinerator in the project for organizing the elimination of waste produced by other health structures. A private waste transport company, ERECO, contributed to the financing of the test for quantifying the production of biomedical waste. The pilot project started in Bamako in January 2000. It entailed the building of a public and private partnership around the management of biomedical waste, training the actors of the system and building capacities in health structure facilities. Thus, the CIS identified health structures to be polarized and an Economic Interest Group (EIG) in charge of collection and incineration formulated protocols, procured equipment for collection and elimination and undertook the training of actors of the system. Regarding participation, the staff of the Health Centre provided support during the process, as did the local and governmental authorities and NGOs. The health centre also made a financial contribution toward the project by procuring an incinerator. The municipal council provided tricycles for the transportation of the biomedical wastes. O bstacles and solutions: • The first EIG invited to participate in the project declined the offer for financial reasons and after a long period of delay in the start up of activities.

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The CAHBA followed the recommendation of the COGIAM for the selection of the Djella Walle EIG. â&#x20AC;˘ The inspection carried out on one type of incinerator acquired by the Reference Health Centre and made available to the project found environmental shortcomings and areas requiring costly improvements. In view of this, the project was obliged to procure an incinerator built by the Mali AJA EIG. â&#x20AC;˘ The carts used by the EIGs were not suitable for conveying biomedical wastes. Therefore, a more appropriate replacement was sought. The choice was the tricycles used by the district council for the collection of household wastes in Bamako. The district council was approached for their use in the pilot project. Capacity building Anchor Institution: the process enabled IAGU to have better control over the local consultation and planning process. It also helped build its administration and programme management capacities as well as those for running the network of partners. Finally, it enabled IAGU to enhance its negotiation and lobbying capacities in coordinating the work of various actors, and its capacity to administer, manage outreach activities. LocalPartnerInstitution:CAHBA developed its capacity to conduct a consultation process for the city and gained better knowledge on the issue of biomedical waste. It further enhanced a number of participatory approaches and built its capacity to lobby at the decision-making level. The CAHBA also acquired the capacity to formulate agreement protocols and contracts. Local G overnm ent: Mayors in the sub-region have a better knowledge of the status of management of biomedical waste in the cities. In Bamako, participation in a public-private sector partnership for the management of biomedical wastes developed the capacities of the city council in this area. The participation of municipal decision-makers as well as the technical staff in a training session on biomedical waste management enhanced their management skills and knowledge about the issue. In Dakar the municipal staff involved in the consultation process improved their negotiation skills with an increased understanding of participatory planning approaches. G roup of actors: In Bamako, the staff of the Health

Centre and the EIG improved their understanding of the management of biomedical wastes through the training activities. In Dakar, the staff of the health centres enhanced their biomedical waste management skills through the exchange of technical information during participation in the focus and working groups.

Results Resultsin D akar The initial action concerned the creation of a special container for receiving biomedical waste at the public dump. Following a field trip organized with the company responsible for the managing the dump, it became very difficult to create a special sector to observe the standards for eliminating biomedical waste. On the other hand, the truck drivers dump part of the biomedical waste on an area managed by scavengers who, after sorting, burn the remaining waste on the ground. The CIS ensured that the biomedical waste was separately collected by enterprises involved in the Dakar refuse disposal system and conveyed to this site. Proposals made to the latter with regard to responsibility for waste managed by the municipal institution were accepted. However, a provision requiring that additional costs would be borne by the CUD (specialized refuse collectors, remuneration of tonnage cost price) was not implemented due the financial difficulties of the CUD. Following this, the CIS was actively engaged in the facilitation waste management by the Aristide le Dantec hospital incinerator and the elimination of the biomedical wastes of public and private health structures. The hospital director confirmed the readiness of the hospital to entrust the management of the incinerator to the private sector and the acceptance to destroy the wastes of the structures using conveyance and elimination acceptable environmental and public health norms. At this point, work sessions were organized to encourage other health structures to join the project and discuss contract proposals. The aim of such contracts is to formalize the nature of the partnership between the private company and the hospital and secondly between this company and the health structures for the collection, transportation and elimination of biomedical wastes.

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In order to determine the per kg waste destruction cost and finalize the contracts, an operation to test the biomedical waste collection system was conducted in August 2000 involving 4 clinics and 4 laboratories. The protocol submitted to the hospital is still under review there. The CIS was informed that the Institute of Social Hygiene was going to be provided with an incinerator by the AIDS programme and that it could serve public structures. Resultsin Bam ako Following the recommendations of the local consultation, a national sanitation, pollution and noise monitoring department was created. The latter drafted laws and the application orders specifying the responsibilities of the various actors in the management of biomedical wastes. These are expected to be passed in 2001. A district decree, based on the pilot management system implemented in Commune I, has been formulated to ensure the effective management of biomedical wastes at the Bamako district. With regard to the pilot project, four health structures, two public structures and two private clinics have been involved. CAHBA has developed training modules on the management of biomedical waste. The staff of the health structures and the Commune I Djeya WallĂŠ GIE have been trained. The GIE has also received specific training in the operation of the incinerator. GIE staff have received safety equipment and the health structures have been strengthened in equipment collection (dustbins of various colours) based on a survey carried out to determine their needs. These dustbins are meant for various contaminated and uncontaminated waste. An incinerator has been procured from the Mali Youth Action Group (AJA Mali). Upon reception, a test was carried out and recommendations made for its improvement. The Commune I municipal council has provided two tricycles to the Reference Health Centre for the transportation of wastes. The following contracts were prepared by the CAHBA: a contract between the GIE and health structures for the daily collection, removal and elimination of wastes; a contract between Commune I Reference Health Centre for the use of tricycles; a protocol agreement between Commune I Reference Health Centre and the Commune I municipal council for provision of tricycles. These contracts were signed by various parties at the

preliminary stage to assess the operating costs, financial contribution and responsibility of each entity. Currently the system is operational. Waste is collected daily and conveyed by tricycle to the incinerator located at the health centre and eliminated. There are plans to extend the project to other structures in Commune I until the loading capacity of the incinerators is attained and then to other communes of Bamako. The Mayor of the Bamako District has already agreed to provide tricycles.

Lessons learned The pilot project played a crucial role in the success of the consultation. It showed that a visible and direct impact at the municipal, private and community level can be obtained with little action that can be duplicated and extended. However, the period required for the vision can be long. In Bamako, for instance, this took one year. Despite the commitment of actors, facilitation in a partnership process is a protracted process that is fraught with many constraints and difficulties, especially since the facilitator has no decision-making power. Thus the functioning of the CIS must be viewed from all angles, notably through its activities that can help in driving the development of the plan of action. The involvement of the municipality can facilitate the implementation of various actions and result in successful implementation. In Bamako the municipal council actively participated in the acceptance of contracts since it supervised the action of the GIE and Health Centre. The support of the municipal council serves as a guarantee for the fulfillment of the terms of the contracts and the municipal council serves as arbiter. This was also the case in Dakar where the DASS supervised the activities of the Health Centres. The private sector is open to partnership and presents opportunities worth exploring. Private clinics readily participated once the objectives of the programme for the elimination of biomedical wastes in Dakar and Bamako were clearly defined. In view of the success of the pilot project, the other mayors of the Bamako communes have agreed to replicate the process in their areas. IAGU was

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established as the Training and Technology Transfer Centre for the ecologically rational management of hazardous wastes in French-speaking Africa. A WHO/ IAGU partnership was developed in the study on the management of biomedical wastes in Côte d’Ivoire.

Bam ako and D akar City Consultations and the H abitatAgenda Environmental management, social and local development and good governance were issues that were addressed at the local consultations of Dakar and Bamako and the regional consultation.

to support regional initiatives through the activities of the sub-regional Francophone centre on the management of hazardous wastes. The creation of a network of experts will make for North-South and South-South information exchange. The raising of the awareness of mayors in the subregion resulted in securing their commitment, through the Dakar Declaration, to implement the recommendations of the consultation and mobilize local resources to implement the activities of the plans of action with community participation.

This case study was prepared by Djibril Doucoure In view of the fact that the main theme of the consultations was biomedical waste management, the discussions were chiefly geared towards the management of the living conditions and health protection in relation to laws and practices as well as poverty reduction. Thus, the objectives include the reduction of urban pollution through a change in behaviours, particularly the formation of unauthorized biomedical waste dumps in the cities and the possible air pollution resulting from them. Communities are now involved in the management of biomedical waste. The Dakar local consultation highlighted publicprivate partnership as a way of improving the management of biomedical wastes. This was particularly true with regard to addressing the issue of under-utilization of the incinerator of the Aristide le Dantec hospital in view of the fact this structure does not have the necessary financial resources for its optimum operation. The proposal to involve the private sector in the management of the incinerator and the financing of the disposal of biomedical wastes were favourably received by the Director of the hospital. In Bamako, the involvement of the GIEs in the disposal of the wastes of public and private health facilities by using the equipment belonging to the Health Centre was advocated as a solution. These micro-enterprises are strengthened and specialized in the framework of partnership comprising public and private actors. The local and regional consultations also helped improve, with the involvement of the NGOs, international cooperation and partnerships between local communities and international organisations. Thus, for example, the Basel Convention undertook

U rban M anagem entProgram m e City Consultation Case Studies

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ABBREVIATIO N S A JA -M ali: CAH BA: C IS: C O FE SF A : C O G IA M : CU D : D A SS-V D : D E -M E P N : D H A -M SP : D SU VA : E IG : E R E C O SA Etude Réalisation Conseil: FA G U : H AD : IA G U : IE C : W HO: NGO: PG U : A ID S: SR H :

Youth Action Association Mali Amadou Hampaté Bâ: Centre Inter-sectoral Monitoring Committee Women’s Health and Family Education Cooperative e Sanitation Grouping of Mali Dakar Urban Community Directorate of Health and Social Welfare of Dakar Directorate of Environment - Ministry of Environmental Protection Hygiene and Sanitation Division- Ministry of Public Health Directorate of Urban Services, Highways and Sanitation Economic Interest Grouping (Consulting Firm) African Foundation for Urban Management Aristide le Dantec Hospital African Institute of Urban Management Information, Education and Communication World Health Organization Non-Governmental Organization Urban Management Programme Acquired Immune-Deficiency Syndrome Regional Hygiene Service

U rban M anagem entProgram m e City Consultation Case Studies

U rban M anagem entProgram m e Publications List UMP 27

Participation to Partnership: Lessons from UMP City Consultations. (U S$18.00) ISBN 92-1-131-476-3, 75 pages, May 2001

UMP 26

Guiding Cities. Babar Mumtaz and Emiel Wegelin. (U S$18.00),May 2001

UMP 25

Participatory Urban Governance: Practical Approaches, Regional Trends and UMP Experiences. Edgar Pieterse (U S$18.00) ISBN 92-1-131-460-7, 91 pages, October 2000

UMP 24

Household Responses to Poverty and Vulnerability. Volume 4. Confronting Crisis in Chawama, Lusaka, Zambia. Caroline Moser, Jeremy Holland (U S$18.00) ISBN 0-8213-3850-1, 125 pages, March 1997

UMP 23

Household Responses to Poverty and Vulnerability. Volume 3. Confronting Crisis in Commonwealth, Metro Manila, The Philippines. Caroline Moser, Cathy McIlwaine (U S$18.00) 120 pages, March 1997

UMP 22

Household Responses to Poverty and Vulnerability. Volume 2. Confronting Crisis in Angyalfold, Budapest, Hungary. Caroline Moser, Cathy McIlwaine (U S$18.00) ISBN 0-8213-3848-X, 104 pages, March 1997

UMP 21

Household Responses to Poverty and Vulnerability. Volume 1. Confronting Crisis in Cisne Dos, Guayaquil, Ecuador. Caroline Moser (U S$18.00) ISBN 0-8213-3847-1, 146 pages, March 1997

UMP 20

Policy Programme Options for Urban Poverty Reduction: a Framework for Action at the Municipal Government Level. Franz Vanderschueren, Emiel Wegelin and Kadmiel Wekwete (F /S -U S$18.00) ISBN 0-8213-3716-5, 55 pages, September 1996

UMP 19

Participation and Partnership in Urban Infrastructure Management. Peter Schubeler (U S$18.00) ISBN 0-8213-3650-9, 101 pages, June 1996

UMP 18

Toward Environmental Strategies for Cities: Policy Considerations for Urban Environmental Management in Developing Countries. Carl Bartone, Janis Bernstein, Josef Leitmann, Jochen Eigen (U S$18.00) ISBN 0-8213-2827-1, 116 pages, June 1994

UMP 17

Strategic Options for Urban Infrastructure Management. William F. Fox (U S$18.00) ISBN 0-8213-2826-3, 88 pages, June 1994

UMP 16

Decentralization and its Implications for Urban Service Delivery. William Dillinger (U S$18.00) ISBN 0-8213-2792-5, 39 pages, May 1994

UMP 15

Rapid Urban Environmental Assessment: Lessons from Cities in the Developing World. Volume 2. Tools and Outputs. Josef Leitmann (U S$18.00) ISBN 0-8213-2791-7, 144 pages, May 1994

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UMP 14

Rapid Urban Environmental Assessment: Lessons from Cities in the Developing World. Volume 1. Methodology and Preliminary Findings. Josef Leitmann (U S$18.00) ISBN 0-8213-2790-9, 78 pages, May 1994

UMP 13

Private Sector Participation in Municipal Solid Waste Services in Developing Countries. Volume 1: The Formal Sector. Sandra Cointreau-Levine (U S$18.00) ISBN 0-8213-2825-5, 52 pages, May 1994

UMP 12

Land-use Considerations in Urban Environmental Management. Janis Bernstein (U S$18.00) ISBN 0-8213-2723-2, 99 pages, January 1994

UMP 11

Elements of Urban Management. Kenneth J. Davey (S -U S$18.00) ISBN 0-8213-2424-1, 55 pages, November 1993

UMP 10

Utility Mapping and Record Keeping for Infrastructure. David Pickering, Jonathan M. Park, David H. Bannister (U S$18.00) 69 pages, April 1993

UMP 9

Urban Applications of Satellite Remote Sensing and GIS Analysis. Bengt Paulsson (U S$18.00) ISBN 0-8213-2266-4, 60 pages, October 1992

UMP 8

Conditions de Mise en Place des Systèmes d’Information Foncière dans les Villes d’Afrique Sud-Saharienne Francophone. Alain Durand-Lasserve (U S$18.00) ISBN 0-8213-2267-2, 103 pages, March 1994

UMP 7

A Framework for Reforming Urban Land Policies in Developing Countries. David E. Dowall, Giles Clarke (U S$18.00) ISBN 0-8213-3642-8, 48 pages, August 1996

UMP 6

A Review of Environmental Health Impacts in Developing Country Cities. David Bradley, Carolyn Stephens, Trudy Harpham, Sandy Cairncross (U S$18.00) ISBN 0-8213-2194-3, 58 pages, August 1992

UMP 5

Reforming Urban Land Policies and Institutions in Developing Countries. Catherine Farvacque, Patrick McAuslan (F -U S$18.00) ISBN 0-8213-2092-0, 114 pages, May 1992

UMP 4

The Land Market Assessment: A New Tool for Urban Management. David E. Dowall (F / S -U S$18.00) ISBN 0-8213-2703-8, 68 pages, September 1995

UMP 3

Alternative Approaches to Pollution Control and Waste Management: Regulatory and Economic Instruments. Janis D. Bernstein (F /S -U S$18.00) ISBN 0-8213-2344-X, 64 pages, May 1993

UMP 2

Energy Environment-Linkages in the Urban Sector. Josef Leitmann (F /S - U S$18.00) ISBN 0-8213-3641-X, 38 pages, August 1996

UMP 1

Urban Property Tax Reform: Guidelines and Recommendations. William Dillinger (F /S U S$18.00) ISBN 0-8213-2065-3, 47 pages, May 1992

U rban M anagem entProgram m e City Consultation Case Studies

W orking Paper Series (W PS)

UMP-WPS 18

Street Children and Gangs in African Cities: Guidelines for Local Authorities. Lynette Ochola, AndrĂŠ Dzikus, Franz Vanderschueren (U S$16.00). 88 pages, May 2000

UMP-WPS 17

Violence Against Women in Urban Areas: An Analysis of the Problem from a Gender Perspective. Soraya .Smaoun (English/French - U S$16.00). 44 pages, April 2000

UMP-WPS 16

Understanding Environmental Problems in Disadvantaged Neighborhoods: Broad Spectrum Surveys, Participatory Appraisal and Contingent Valuation. Gordon McGranahan et al (U S$16.00). 143 pages, July 1997 Reappraising Urban Planning Process As An Instrument For Sustainable Urban Development and Management. Giles Clarke. 48 pages, October 1994

UMP-WPS 13

Valuating the Economic Impacts of Urban Environmental Problems: Asian Cities. Euishoon Shin et al (U S$16.00) 105 pages, June 1997

UMP-WPS 9

Conceptual Framework for Municipal Solid Waste Management in Low-Income Countries. Peter Schubeler, Karl Wehrle, Jurg Christen (U S$16.00) 59 pages, August 1996

UMP-WPS 7

A Practical Approach to Dealing with Municipal Malfeasance. Robert Klitgaard, Ronald MaClean-Abaroa and H. Lindsey Parris (U S$16.00) 40 pages, May 1996

UMP-WPS 6

Regularization and Integration of Irregular Settlements: Lessons from Experience. Alain Durand-Lasserve, Valerie Clerc (F - U S$16.00)93 pages, May 1996

UMP-WPS 5

Urban Poverty Research Sourcebook: Module I: Sub-City Level Household Survey. Caroline Moser, Michael Gatehouse and Helen Garcia (S -U S$16.00),145 pages, September 1996

UMP-WPS 5

Urban Poverty Research Sourcebook: Module II: Indicators of Urban Poverty. Caroline Moser, Michael Gatehouse and Helen Garcia (S - U S$16.00) 66 pages, September 1996

UMP-WPS 4

Public-Private Partnerships in Urban Infrastructure Services. Philip Gidman with Ian Blore, Jens Lorentzen and Paul Schuttenbelt (U S$16.00) 68 pages, January 1995

UMP-WPS 3

Multi Sectoral Investment Planning. George Peterson, G. Thomas Kingsley, Jeffrey P. Telgarsky (U S$15.00) 68 pages, June 1994

UMP-WPS 2

The Life Cycle of Urban Innovations. Elwood M. Hopkins (U S$15.00) 52 pages, June 1994

UMP-WPS 2

The Life Cycle of Urban Innovations in Mega Cities - Seven Case Studies - Volume Two. Elwood M. Hopkins (U S$15.00) 92 pages, September 1994

UMP-WPS 1

Environmental Innovation and Management in Curitiba, Brazil. Jonas Rabinovitch, Josef Leitmann (U S$15.00) 62 pages, June 1993

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* N ote:

F/S indicates that the publication is also available in French or Spanish.Charges for publications w illbe levied from countries thatfallinto the H igh Incom e Econom ies category as defined by the W orld Bank1. All other applicants,i.e.those from developing countries and allbona fide students,regardless ofcountry,are exem pted from paym ent.

To order,w rite to:

The Coordinator,U rban M anagem ent Program m e U nited N ations Centre for H um an Settlem ents (H abitat) P.O .Box 30030,N airobi,KEN YA Tel:254 2 623214;Fax:254 2 623536/624264;E-m ail:um p@ unchs.org Cheques should be m ade payable to U N CH S (H abitat)in U S$.

The World Bank â&#x20AC;&#x153;The State in a Changing World: World Development Report 1997â&#x20AC;?, June 1997 p215. These countries are defined as those with a GNP per capita of US$9,386 or more. They include the Republic of Korea, Portugal, Spain, New Zealand, Ireland, Israel, Kuwait, United Arab Emirates, United Kingdom, Australia, Italy, Canada, Finland, Hong Kong, Sweden, Netherlands, Belgium, France, Singapore, Austria, United States, Germany, Denmark, Norway, Japan and Switzerland. Visitthe U M P W ebsite athttp://w w w.unchs.org/unchs/english/um p/hom e.htm

U rban M anagem entProgram m e City Consultation Case Studies

The work of the Council president, Maria Antônia Soares Salgado, stands out; she was responsible for motivating the inhabitants of the neighbourhood, making suggestions for action, supporting the collection of data and visiting the areas for the preparation of the study.

The case study is based on information and documents provided for the local partners of the city consultation, most of them available at UMP-LAC office.

Bremner, L (2000) Bremner, L (2000) Reinventing the Johannesburg Inner City. Cities Vol. 17(3) 185-193.

Sandton is a region in the Johannesburg Greater Metropolitan Council, it lies towards the north of the City. Sandton is often described as the new CBD.

Tomlinson, R and Rogerson, C (1999) An Economic Development Strategy for the Johannesburg Inner City. Strategy prepared as part of the UMP City Consultation Process, University of the Wiwatersrand, Graduate School of Public and Development Management.

Luiz, J (2000) Johannesburg City Centre Performance Indicators. Department of Economics, University of the Witwatersrand. Summary of Inner City Housing Research. Conducted by the Inner City Housing Upgrading Trust, Inner City Office, Johannesburg Inner City Office.

Its Happening In the Inner City. Presentation by the CEO of the Inner City Office, 2001

Greater Johannesburg Demographic report. www.joburg.org.za/dsimp/html

Bremner, L (2000) Reinventing the Johannesburg Inner City. Cities Vol. 17(3) 185-193.

Luiz, J (2000) Johannesburg City Centre Performance Indicators. Department of Economics, University of the Witwatersrand.

Beall, J; Crankshaw O, Parnell S, (1999) Local Government, Poverty Reduction and Inequality in Johannesburg. Urban Governance Partnership and Poverty in Johannesburg.

Its Happening In the Inner City. Presentation by the CEO of the Inner City Office, 2001

Initial plans to carry out the UMP City Consultation were based on working with the city council structures. This was rejected by the public officials. Reason given for this was that it would necessitate and coerce different political parties reaching consensus over potential objectives. This was not seen as a favourable position for opposing parties to be in, as it would reduce bargaining power amongst the different political players.

Ibid

Its Happening In the Inner City. Presentation by the CEO of the Inner City Office, 2001

Neill Fraser, Central Johannesburg Partnership – Interview, 2001

Currency - South African rands.

For clarity the terminology “consultative process” will refer to the entire process beginning with the pilot phase that began in 1994 and the terminology “country consultation” will refer specifically to the consultation started in 1996 at the start of Phase 3 of the UMP.

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