Today there are nearly one billion slum dwellers worldwide of a total world population of slightly under seven

billion (UN,
Department of Social and Economic Affairs, 2011). While 220 million people have been lifted out of slum conditions over
the past 10 years, the number of people living in slum conditions is likely to grow by six million every year, to reach a total
of 889 million by 2020.

In order to address this, it is necessary to equip cities and their practitioners with the tools and capacities to anticipate and
control urban growth. In this light, municipal staff will require knowledge, skills and methodologies that will allow them not
only to upgrade existing slums but also prevent the appearance of new ones.

This Guide, A Practical Guide to Designing, Planning and Executing Citywide Slum Upgrading Programmes, advocates for a
citywide approach to slum upgrading. This approach represents a fundamental shift from piecemeal project interventions to a
citywide programme approach. While singular projects are relatively limited in scope, scale, duration and geography, citywide
programmes are longer in duration, broader in scope, and involve multiple settlements and simultaneous interventions.

This Practical Guide is part of a trilogy 
on citywide slum upgrading that includes Streets as Tools for Urban Transformation
in
Slums: A Street-led Approach to Citywide Slum Upgrading and A Training Module for Designing
 and Implementing Citywide
Slum Upgrading. Together, these publications present a UN-Habitat approach to slum upgrading, encouraging an approach
that is both street-led and citywide. Along with the other two partner publications, this Practical Guide provides 
an accessible
tool for practitioners, leading them through UN-Habitat steps towards a successful citywide slum-upgrading program.

HS Number: HS/039/15E
ISBN Number: (Volume) 978-92-1-132660-4

A Practical Guide to Designing,
Planning, and Executing Citywide
Slum Upgrading Programmes

UNITED NATIONS HUMAN SETTLEMENTS PROGRAMME
P.O.Box 30030,Nairobi 00100,Kenya;
Tel: +254-20-76263120; Fax: +254-20-76234266/7 (central office);
infohabitat@unhabitat.org

A Practical Guide to
Designing, Planning, and
Executing Citywide Slum
Upgrading Programmes

A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes

Practical Guide to Designing, Planning and Implementing Citywide Slum Upgrading Programs

All rights reserved
Copyright © United Nations Human Settlements Programme 2014
United Nations Human Settlements Programme (UN-Habitat)
P. O. Box 30030, 00100 Nairobi GPO KENYA
Tel: 254-020-7623120 (Central Office)
E-mail: infohabitat@unhabitat.org
Website: www.unhabitat.org

HS Number: HS/039/15E
ISBN Number:(Volume) 978-92-1-132660-4

DISCLAIMER
The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the
part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the
delimitation of its frontiers of boundaries, or regarding its economic system or degree of development. The analysis, conclusions, recommendations
and views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements Programme, the United Nations,
or its Member States.

Information contained in this publication is provided without warranty of any kind, either express or implied, including, without limitation,
warranties of merchantability, fitness for particular purpose and non-infringement.

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Excerpts may be reproduced without authorization, on condition that the source is indicated.

ACKNOWLEDGEMENTS:
This practical guide is closely associated with the strategy paper ‘Street-led Approach to Citywide Slum Upgrading’. A first version of this guide was
presented and discussed during a public session involving many UN-Habitat staff. The final version of the publication went through many internal
reviews, receiving suggestions and comments and was peer-reviewed by a number of external experts who provided useful advice and substantive
suggestions. Katja Dietrich and Kerstin Sommer of UN-Habitat from the Slum Upgrading Unit provided useful comments.

Peer Reviewers: Florian Steinberg (Asian Development Bank), Liliana Marulanda (Consultant, Colombia), Prabha Khosla (Development Consultant,
Canada), Adriana Larangeira (Housing Secretariat of the Municipality of Rio de Janeiro), Kwadwo Ohene Sarfoh (Institute of Local Government
Studies, Ghana), Maria Marealle (Polytechnic University of Namibia), Sheela Patel (Sack Dwellers Internation).

Principal Authors: Reinhard Skinner in collaboration with Matthew French, Claudio Acioly jr. and Jane Reid.
Supervisor: Claudio Acioly
Task Manager: Matthew French and Katja Dietrich
Editors: Jane Reid, Matthew French and Claudio Acioly jr
Design and Layout: Jinita Shah/UNON

Cover Design © Jinita Shah/UNON
Printing: UNON, Publishing Services Section, Nairobi, ISO 14001:2004 – certified.
Job No: 14-01732/ 200 copies

2

3 .

1. WHAT IS THE SITUATION? MAPPING THE CITY’S SLUMS 34 2. WHAT APPROACHES HAVE BEEN TAKEN TO THE CHALLENGE OF SLUMS? 13 1. Planning.1. IMPLEMENTATION 107 4. STAKEHOLDER IDENTIFICATION 29 2. GETTING THE PROGRAMME PUBLICLY KNOWN 57 2. WHO WILL COORDINATE AND LEAD THE CWSU PROGRAMME? 27 2.3.4. SETTING (PROJECT) ELIGIBILITY AND SELECTION CRITERIA 80 3.2. PROGRAMME OBJECTIVES 80 3. PROGRAMME COORDINATION 78 3. WHAT IS CITYWIDE SLUM UPGRADING (CWSU)? 20 CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION 26 2. SUMMARY: KEY ISSUES FOR SUCCESSFUL CWSU 59 CHAPTER 3: SETTING UP THE CWSU PROGRAMME 68 3.4. COMMUNICATIONS 92 CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS 96 4. CONFLICT IDENTIFICATION AND CONSENSUS BUILDING 32 2.5.5. PROGRAMME MONITORING AND EVALUATION (M&E) 119 4 .4. SLUMS: FACTS AND FIGURES 9 1.5. DESIGN AND ESTABLISHMENT OF THE PROGRAMME MANAGEMENT UNIT 78 3. FEASIBILITY STUDIES 69 3.1.6. WHAT IS SLUM UPGRADING? 16 1.2. Adapting THE CWSU STRATEGY TO THE PROJECT SITES 99 4. SELECTING the Project Manager and ESTABLISHING the Project Management Team 97 4. OPENING AND CLOSING PROJECTS AND PROGRAMMES 110 CHAPTER 5: POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION 114 5.9.4.6.6.10.3.7.8 FINANCIAL STRATEGY 85 3.7 INSTITUTIONAL FRAMEWORK 81 3. PLANNING AND DESIGN 105 4.2. IDENTIFYING PARAMETERS FOR INTERVENTION: SELECTION OF PROGRAMME TYPE 75 3.2.3.1. CAPACITY DEVELOPMENT 90 3.2. WHAT CAN BE DONE: AGREEING ON A PLAN FOR THE PROGRAMME 36 2.3. A Practical Guide to Designing. SETTLEMENT PROFILING 101 4.1.5. WHAT ARE SLUMS? 10 1. POST-IMPLEMENTATION MANAGEMENT FOR SUSTAINABILITY 115 5. and Executing Citywide Slum Upgrading Programmes Table of Contents Acknowledgement 2 Foreword 7 CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE 8 1.

1.2. INDONESIA 137 FAVELA BAIRRO. Tanzania 135 KAMPUNG IMPROVEMENT PROGRAMME. VIDEOS 161 8. RIO DE JANEIRO. THE DO’S AND DON’TS OF CITYWIDE SLUM UPGRADING 129 6. ISMAILIA 152 CHAPTER 8: Bibliography and Useful Websites 154 8. BIBLIOGRAPHY 155 8.2.3. BRAZIL 139 PRIMED: PROGRAMA INTEGRAL DE MEJORAMIENTO DE BARRIOS SUBNORMALES EN MEDELLÍN (PROGRAMME FOR THE INTEGRATED IMPROVEMENT OF SUB-NORMAL NEIGHBOURHOODS IN MEDELLIN) 140 BAAN MANKONG. SLUM UPGRADING CHECKLIST & QUICK GUIDE 128 6. MOROCCO 149 PARTICIPATORY SLUM UPGRADING PROJECT. SLUM UPGRADING CHECKLIST 130 6.CHAPTER 6: THE DO’S AND DON’TS OF CITYWIDE SLUM UPGRADING. USEFUL WEBSITES 161 Endnotes 163 5 . QUICK GUIDE 131 CHAPTER 7: CASE STUDIES OF GOOD PRACTICE 134 Country & city: Dar es Salaam.1.3. THAILAND 143 CITIES WITHOUT SLUMS.

A Practical Guide to Designing. Planning. and Executing Citywide Slum Upgrading Programmes 6 .

Practitioners need knowledge.Foreword The appearance tips to practitioners and policy makers. slums and preventing the appearance of new ones. stability. the population living in these conditions is likely to grow by six million Most importantly. The combination of these three during those ten years. I am pleased to share with Joan Clos a wider public this publication that translates this Under Secretary General of the United Nations knowledge into practical guidance. phenomenon namely Streets as Tools for Urban Transformation that has proved in Slums: A Street-led Approach to Citywide Slum to be a current Upgrading and A Training Module for Designing and persistent and Implementing Citywide Slum Upgrading. but efforts have anticipate and plan for urban growth. citywide slum-upgrading program. and offers useful Executive Director of UN-Habitat  Photo: Korogocho. an accessible tool for practitioners. encouraging an approach that is and policy both street-led and citywide. skills and most pressing problems and the most important methodologies to address both the upgrading of considerations in slum upgrading. which is included in the publication. Over the emphasizes the need for slum-upgrading programs past 50 years. This guidance of slums in cities becomes even more relevant as it is released in the all- has become important period when the international community is the physical discussing the post-2015 development agenda. Urban Policies and Planned City Extensions. conditions during the decade 2000-2010. The Quick To address this problem and harness urbanization Guide. urban development is the sustainable way to make a difference in slum areas of cities. Photo: Gates Foundation 7 . The guide draws on the wealth of knowledge and experience that has been accumulated during the last 50 years on how to establish and implement successful citywide slum upgrading programs. the necessary steps to design. and investment. manage and implement successful slum upgrading programs. Despite these gains. is part of a three pronged approach. % in 2010. leading them The result of this growth pattern is that slums will through UN-Habitat steps towards a successful continue to be a problem in cities in the 21st century. manifestation of spontaneous This Practical Guide is an integral part of a trilogy urbanization. which targeting slums with mixed results. The present guide developed by UN-Habitat responds to this need. and urban economy. The integration not been sufficient to curb slum formation and guide of slum upgrading programs with countrywide planned cities towards a planned urban growth pattern. thus providing land. provides for sustainable development. combining the 220 million people have been lifted out of slum components of urban planning. urban legislation. plan. The trilogy unequivocally makers. housing and infrastructure within This publication will serve urban practitioners as well a planned urban environment to prevent new slums to as policy makers in the developing world to undertake appear and improving the ones that are already there. we will need to equip an important reference tool that can be accessed cities with tools and capacities to anticipate urban quickly by practitioners in order to help address the growth. Nairobi. to be synchronized with strategies such as National governments have implemented a variety of programs. Moreover. This planned growth According to the data assembled by UN-Habitat. the proportion of the urban components provides not only physical plans but also population living in slums in the developing world the rules and regulations and the financial plans which has declined from 39 % in 2000 to an estimated 32 generate good growth. These concern for urban publications together present a UN-Habitat approach practitioners to slum upgrading. this Practical Guide provides every year. a on the topic that includes other UN-Habitat studies. to reach a total of 889 million by 2020.

and Executing Citywide Slum Upgrading Programmes 1 CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE 8 . Planning. A Practical Guide to Designing.

in part 0 Latin America & the. and this is something that requires urgent attention. Finally. 1990-2010. 1990-2010. It examines different approaches governments and other actors have used to tackle slums. however.1.7 34. 1.8 39.3: Urban population living in slums.1: Population living in slums and 200. As this guide will show. one effective population living in slums approach is through slum upgrading coupled with slum prevention policies and programmes. 200 Amongst them is Millennium Development Goal 7.000 2010: 62).  Photo: Slum apartment complex Dhaka. Sub-Saharan Africa Region has the largest number of slum dwellers (roughly 200 Note: 2010 figures are estimates (UN-HABITAT 2008a:32) million).. especially slum upgrading.3 600 35. (000s) 1990 2000 2010 Figure 1. (UN-HABITAT 2008a: 32) 250. However.2: Proportion of urban population living in slums.1). Sub-Saharan Africa Southern Asia Eastern Asia South-Eastern Asia North Africa Oceania Western Asia Population in slums (Millions) slums (Percentage) 900 60 800 46. Department of Social and 60 50 Economic Affairs.7 500 30 At the Millennium Summit of the United Nations in 400 September 2000 world leaders agreed to establish 300 20 a series of goals for humanity in the 21st century.3 40 Region 32.3). In Latin America the figure stands at just over Figure 1. 100. Bangladesh.. followed closely by Eastern and Southern Asia. the different types of slums that exist. and looks at what causes them. SLUMS: FACTS AND FIGURES Figure 1. the number of 40 people living in slums has increased every year (Figure 30 20 1. the reality in many developing countries is that slums remain a large and growing feature of the urban landscape. CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE Chapter Summary This chapter defines what slums are. one hundred million (Figure 1. 10 Target 11 which aims to “significantly improve the 100 lives of at least 100 million slum dwellers by the year 0 0 2020.2).1 50 700 42. Since 1990. The good news. 50. 1990-2010. Sub-Saharan Africa Southern Asia Eastern Asia South-Eastern Asia North Africa Oceania Western Asia thanks to robust programmes to improve existing slums and increase the supply of new affordable housing at scale to prevent new slum formation (Figure 1.000 Urban Slum Pop. Today there are nearly one billion slum dwellers 80 Urban Slum Population (%) worldwide of a total world population of slightly 70 1990 2000 2010 under seven billion (UN. Zoriah. is that the proportion 10 of urban dwellers living in slums is decreasing. the chapter explains the importance of preventing new slum development by supporting the provision of new affordable housing at scale.000 slums in developing regions. (UN.” This global call to action underscores the 1990 1995 2000 2005 2007 2010 importance of addressing the living conditions of Percentage of urban Population in slums slum dwellers. The chapter makes a case why slums should be upgraded and why cities should implement citywide slum upgrading (CWSU) programmes...000 Propotion of urban 0 population in Latin America & the. Flickr Creative Commons 9 . 2011).000 proportion of urban population living in 150.

citiesalliance.1: A Checklist to Determine Whether a Home is a Slum Yes or No Amenity Description X Durable housing A permanent structure providing protection from extreme climatic conditions X Sufficient living area No more than three people sharing a room X Access to improved water Water that is sufficient.1. and waste collection). It focuses on two key issues: the growth of slums A slum is therefore deemed to consist of a household and the management of cities where slum or a group of people living under the same roof growth is taking place. A Practical Guide to Designing. WHAT ARE SLUMS? municipal services (such as water.2. 2002c: 12): Developed from his Latin American field experiences. and Executing Citywide Slum Upgrading Programmes 1. universal definition in use. to the universal fulfilment of the right to adequate housing.1 The only the community to meet and socialize (Cities Alliance. The “description” column can be used local and national governments generally falls as indicators of what constitutes a slum for use in within three broad categories: citywide and monitoring changes and improvements during slum nationwide slum upgrading programmes. however. are neighbourhoods that are in some respect sub- standard. UN-Habitat and the major • insecure residential status. and widely used around the world. problems and attributes. While a global Charles Stokes (1962) proposed a distinction between definition may fail to account for the nuances of “slums of hope” and “slums of despair” where the particular slums in certain cities and countries. a former represented poor neighbourhoods in which definition with relevant indicators is important when the residents were aspirational and over the course of attempting to measure the growth or decline of many years made measurable progress in improving slum populations. DEFINING SLUMS Over the past five decades typologies of slums have been devised in an attempt to categorise and identify UN-Habitat’s definition of a slum is the most common their underlying processes. characteristic that is generally accepted is that slums 1999: 1). and national policies on strongly underpinned by a rights-based approach urban development and local government. To the above definition the Cities Alliance Source: http://www. or a public one shared with a reasonable number of people facilities X Secure tenure De facto or de jure secure tenure status and protection against forced eviction 10 .1. UN-Habitat defines a slum as an area that number of social or economic reasons. Planning. sanitation.1) adds that slums do not have basic Table 1. schools and clinics within easy Ideas vary greatly about what “slums” are. monitor the effects of policies their homes and environments. He argues that the • overcrowding Box 1. lacking one or more of the five amenities listed in Support provided by the Cities Alliance to cities. The latter. John Turner (1976) emphasizes the positive aspects • poor structural quality of housing of low-income neighbourhoods.2.2. and programmes and will permit cross-country were slums which were in continued decline for a comparison. has one or more of the following five characteristics (UN-Habitat. city upgrading. and there reach.2. international associations of local authorities. safe areas for children to play and places for is no single. 1. It infrastructure was created in 1999 by 10 donor governments and the World Bank. affordable and can be obtained without extreme effort X Access to improved sanitation A private toilet. SLUM TYPOLOGIES 1.org/ca/about-cities-alliance (see Box 1. Table 1.2 The UN-Habitat definition is therefore development strategies.1: The Cities Alliance • inadequate access to safe water The Cities Alliance is a global partnership for urban poverty reduction and the promotion of • inadequate access to sanitation and other the role of cities in sustainable development.

They slum were distinguished by the respective authorities: are obliged to accept sub-standard accommodation or “slums proper.and so their development goals and produce cities without slums. “consolidators” in infrastructure. spontaneous housing and urban development. TIP 11 . This Guide uses the term ‘slum’ because Another major factor in the formation of slums is a it is currently the internationally adopted usage in shortage of affordable land. are seekers” (aiming to legalise tenure.g. periphery.when they can afford them . This “catch-all” definition characterises classifies the dwellings as ‘illegal’ and this brings all slums as failing to meet established standards. an ineffective urban planning system (occupying a piece of land on the fringes of the city and a misdirected regulatory system as well as the and consolidating its place in the city). on the one hand.5 At present the regulatory system in many countries It has been argued that the homogenisation of poor favours the rich at the expense of the poor. choose generalised eradication rather than upgrading as strategies. urbanisation or land sub-divisions on the urban to projected needs for the population as a whole. the poor will not invest in permanent efforts to meet the challenges of the millennium materials . Housing settlements of all kinds in the category of ‘slums’ standards and building by-laws are achievable for fails to recognise their distinct characteristics and the well off but are not attainable for the poor. with it insecurity and the fear of eviction. Turner’s views on housing and slums have been very influential Rural-urban migration has contributed to the over the last 35 years and provide the logic behind housing shortage. Poor families in each of these phases he calls “bridge. Governments have been unable to many programmes to upgrade slums. possibilities for improvement. and therefore do not recognize the need ago but which. acquire urban often cited as causes of slum formation. the failure of the market and headers” (a migrant family whose priority on arrival government to meet the enormous demand for in the city is to find a [temporary] place to live close decent and affordable housing. 2011: Construction outside these regulations automatically 2-11). services and extend and improve its housing). government policies. Some more The causes of slum formation are many and varied. when governments are making great circumstances. Poor Slum formation has a number of causes. through property law or planning regulations). law protects it from use by the poor (e. houses and settlements are condemned to remain a universally applied name like this may lead them to sub-standard. (Huchzermeyer.2. global development organizations. These are Stokes' “slums of networks. The majority of rural-urban (UN-Habitat. In such Therefore. Physical planning should be integrated with despair”. 2003) reviewed 29 case studies of cities migrants tend to be poor and are unable to compete worldwide and found that in general two types of successfully for good quality land and housing. on the other” (196). low state investment to employment opportunities). have progressively become to share citywide physical and social infrastructure physically dilapidated. WHAT CAUSES SLUMS? move from living in slums to lower middle income neighbourhood (which they develop themselves). but this does not it is often under-utilised (or held speculatively) or the deny the controversial nature of the term. and “status more general causes of urbanisation and poverty. It is useful to identify the key causes of the formation of slums in your city in order to be better prepared to offer productive solutions. Land is difficult to obtain.3. Urban planners and government term ‘slum’ frequently refers to inner-city residential officials often do not see slum neighbourhoods as part areas that were originally legally built several decades of the city. CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE urban poor typically pass through three phases as they 1.4 In this typology the slum formation. and shanties or seek relatively cost-free solutions such as squatting. The category of spontaneous housing city development planning and match economic and refers to squatter invasions and illegal or semi-legal social development plans. including housing delivery.3 anticipate and meet the housing demand of the vast numbers of migrants who have arrived in a relatively The 2003 Global Report on Human Settlements short space of time. The report noted that this distinction The urban planning system in most developing was often made on the basis of combinations of countries is not geared to preventing or coping with physical location and legality. over time.

Yaoundé. rural building materials which Photo: © World Bank / Francis Dobbs do not conform to city building standards (city centre). and Executing Citywide Slum Upgrading Programmes Figure 1.4: Different types of slums San Salvador: deteriorated formal housing in city centre. with different histories and processes of land occupation and settlement consolidation. Pakistan: Flooded slum. Photo: © Reinhard Skinner Thailand: Dilapidated condition of informal settlement in Bangkok. Planning. Not all have the same needs and priorities. Photo: © Reinhard Skinner Photo: © World Bank / Maseru Gotu South Africa: illegal housing in a settlement on the urban periphery. Before deciding on any public intervention check the status of land tenure and property rights. Cameroon: use of traditional. 12 . Cambodia: deteriorated formal. A Practical Guide to Designing. TIP Find out which types of slums exist in your city and what their needs and priorities are. multi-storey buildings. Photo: © UN-HABITAT There are many different kinds of slums and informal settlements.

CHAPTER 1:
CITYWIDE SLUM UPGRADING PROGRAMMES –
ADDRESSING SLUMS AT SCALE

flexible and progressive approaches to land are 1.3. WHAT APPROACHES HAVE
explained in Chapter 2 (section 2.7.1). BEEN TAKEN TO THE
The supply of low-cost housing needs to be increased. CHALLENGE OF SLUMS?
The market generally fails to provide for the poor
because there is relatively little profit to be made and Historically governments have responded to the
the risk is perceived as too high. One way to stimulate problem of slums in seven main ways: ignoring
housing supply is through self-help construction them; using slums for political purposes; eradication,
either in the form of sites and service schemes or slum eviction, and displacement; relocation; public housing;
upgrading. In both cases government is required to sites and services schemes and upgrading.
make land available (directly providing it or through
the legalisation of illegally occupied land) as well as Ignoring slums
providing physical infrastructure. The first way slums have been dealt with is less of
a response than the lack of one, with governments
Investment in urban infrastructure lags behind the ignoring the presence of slums, often with the belief
growing need for it. As long as settlements are that slums are a temporary phenomenon which will
classified as illegal local authorities will often claim disappear once the expected economic growth takes
they cannot provide infrastructure. off.7

Both the public and the private sector need to Using slums politically
cooperate to devise mechanisms which produce a In other countries slum dwellers are actively courted by
financial market that can provide mortgages and politicians seeking popular support and they attempt
loans for low-income people to buy or improve their to extract as much advantage from them as possible.
homes. In 1977 Chile launched its National Housing This may lead to improvements for slums. Collier
Programme which focuses on financial subsidies, (1976) was one of the first to detail how several
obligatory savings and housing loans. In Thailand governments in Peru have supported the formation
poor communities are provided with state loans and of squatter settlements since the 1940s through such
grants which they manage themselves under the Baan means as protection of squatters from eviction or the
Mankong programme. The Moroccan government has promise of land titles.
established a mortgage guarantee scheme for banks
lending to lower-income groups and has created a Eradication, eviction, and displacement
guarantee fund to support micro-credit lending for Another approach has been to carry out campaigns
housing to the poor. Unfortunately, these innovations of eradication or forced evictions The Centre for
are the exception rather than the rule. Housing Rights and Evictions (COHRE) has estimated
that between 1998 and 2008 forced evictions affected
The overall poor management of the housing 18.59 million people worldwide (UN-Habitat 2011:
sector by governments is also a major factor in slum 17). Evictions occur for many reasons: large-scale
formation. The seminal report The Challenge of Slums development projects such as dam construction, the
noted that slums “are not just a manifestation of a staging of global events such as the World Cup or
population explosion and demographic change, or Olympic Games,8 and economic evictions such as for
even of the vast interpersonal forces of globalization. reason of non-payment of increased rents. Natural
Slums must be seen as the result of a failure of disasters such as earthquakes, hurricanes and tsunamis
housing policies, laws and delivery systems, as well as can also cause mass displacement, Some evictions
of national and urban policies (UN-Habitat, 2003: 5). are also directly caused by government’s urban
development plans, urban regeneration or renewal
In the following chapters we will show how policies strategies and the action of urban land markets. This
aimed at slum upgrading at citywide scale raises the includes land clearance to make it available to private
level of existing slums to habitable, good quality investors or to implement master plans with strict land
neighbourhoods; in section 1.5.1 of this chapter we use zoning (Durand-Lasserve, 2005).
look at the policies and measures which are needed to
prevent the formation of new slums. Without alternative affordable housing options,
these attempts are invariably unsuccessful as those
evicted find new locations, often in other slums. These
evictions prove to be costly in financial, social and
human terms for the women, men, young and old
who are forcibly evicted.9

13

A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes

Relocation the 1960s and 1970s that completed housing for
Relocation has been a common way to attempt low-income groups was often too expensive and was
to address the challenge of slums. Slum dwellers inappropriate in design (Turner 1969; 1976, Sardjono
are relocated to new housing and the slum land is et al. 1973 Martin 1977). Furthermore, relocation sites
redeveloped. In some cases it is nothing more than were often on the periphery of cities which increased
inhumane eviction consisting of simply dumping transport time and cost for households. In many cases
slum dwellers outside the city limits without any households moved back to slums, preferring the
recognition of a right to housing. In other cases, central location and lower housing costs.
however, it involves some element of new housing
provision, such as in the form of public housing for However, small-scale relocation can be a necessary part
rent or sale. However, it was pointed out during of upgrading, for example when environmental hazards

Figure 1.5: Different types of slums

Newly constructed houses in Aceh, Indonesia Bulldozer crushes home, Istanbul, Turkey, 2009
Photo: © UN-HABITAT Photo: © UN-HABITAT / Cihan Baysal

Public rental housing for relocated slum dwellers, Bangkok, Thailand Sites and services (core houses with services), Villa El Salvador, Peru.
Photo: © Reinhard Skinner Photo: © Reinhard Skinner

Sites and services (plots with services), Villa El Salvador, Peru Upgraded road, Yaoundé, Cameroon
Photo: © Reinhard Skinner Photo: © Reinhard Skinner

14

CHAPTER 1:
CITYWIDE SLUM UPGRADING PROGRAMMES –
ADDRESSING SLUMS AT SCALE

cannot be mitigated and residents need to be moved to • Regulations: income generating activities and sub-
a safer location. This is discussed again in section 3.1. letting on residential plots are often prohibited
and this limits residents’ income earning and
Public housing payment capacity.
Some attempts to re-house slum dwellers in public
housing have been more successful. The cases of • Standards: unless construction standards are
Singapore and Hong Kong are probably the two best relaxed, house-building can be too expensive for
known cases where appalling slum conditions were the target population. (Buckley and Kalarickal,
transformed into good standard accommodation for 2006).10
the majority of the poor in the course of thirty to forty
years through state intervention. According to the Recognising the value in upgrading
2006 census 3.3 million people or 48.8 per cent of the The recognition of social and financial costs of the
population of Hong Kong live in rental or subsidised- approaches to slums described above caused public
sale public housing (Hong Kong, 2007). In Singapore policy towards slums to change in various countries
the figure is 85 per cent (Yuen, 2007: 1). during the late 1970s. One critical consideration was
the amount of financial and social investment slum
However, governments of developing countries should dwellers made in their homes and communities and
note that these are not realistic models to emulate as which would be lost in any attempt to clear slum
the two countries have enjoyed special advantages neighbourhoods. A policy had to be developed which
including the fact that both countries are “high built upon these investments rather than squandered
income” according to the 2012 World Development them. Slum upgrading gained prominence as a valid,
Report (World Bank 2011: 391) and, as a consequence opportune and cost effective way to improve the living
of sustained high economic growth they have conditions and urban environment of cities.
enormous budgets which they dedicate to subsidising
both rental and housing purchase. Singapore’s Housing Slum upgrading remains the most financially and
and Development Board, for example, had an annual socially appropriate approach to addressing the
operating budget in the year 2003/4 of USD 3,460 challenge of existing slums
million (Yuen, 2007: 7), sums which are unlikely to be
available in developing country housing departments. This brief overview of approaches to slums highlights
that unfortunately eradication and eviction continue
Sites and Services Schemes in many countries but they do not represent
Sites and services schemes represent another type coherent approaches to dealing with slums.
of housing development used in combination with Eradication, eviction, and involuntary relocation
relocation (though it may also be a low-cost project represent insensitivity to the complex social and
which is open to applicants from throughout the city). cultural dynamics in slum settlements and the loss of
Following a planned settlement layout they can take community that occurs during these types of initiatives
different forms of which the following are typical: is just as damaging as the physical destruction of
homes. Public rental housing is a luxury for most
• A plot with no house but infrastructure is provided. developing countries and is only a real option in
countries which are rich enough to afford to subsidise
• A plot with a core unit (e.g. one room) and a wet tenants and/or where tenants can afford to pay.
cell providing drinking water and basic sanitation. Relocation is a useful tool of housing and urban policy
The plot holder is expected to extend the house. but only if it is voluntary, such as when slum dwellers
agree to relocate to a serviced plot as consequence of
These have variations in which the number of rooms the upgrading of their settlement, which may involve
may be more and the level of services higher. In addition providing financial or other incentives such as free
there is usually the installation of a road network and housing. For such residents, sites and services schemes
some level of community facilities such as schools, health represent a desirable and feasible alternative but issues
clinics and community centres. Other common features of gentrification should be seriously minimized. As we
are access to credit for house extension and some may shall see, slum upgrading remains the most financially
include employment generation components. Building and socially appropriate approach to addressing the
standards are often relaxed in sites and services schemes challenge of existing slums.
in order to allow occupants to build with affordable
materials. Sites and services have encountered their own
difficulties, such as:

• Location: cheaper areas on the urban perimeter
may contain affordable land but raise travel costs
for residents to commute to their places of work.
15

problems emerged in these programmes. education • The participation of slum dwellers and community and social support programmes to address issues organizations is critical. waste responsibility. social. programmes and strategies to achieve synergies 16 . WHAT IS SLUM UPGRADING? The evolution of slum upgrading The first slum upgrading programmes during the The narrow definition of slum upgrading refers to period between 1970 and 1990 adopted a physically- improvements in housing and/or basic infrastructure in led approach. etc.). road networks. storm drainage and poor. and this shaped the direction of initiatives community open spaces. communal sanitation fell into disrepair.000 per housing unit and sites and cooperatively and locally among citizens. security lighting and became contaminated and water supply and public telephones. solid waste was uncollected. upgrading also includes in some of the pioneering programmes.000. loc. • construction or rehabilitation of community Much was learned from the first two decades of slum facilities such as nurseries. and Executing Citywide Slum Upgrading Programmes 1. housing policy and upgrading programmes must be integrated with city level and country policies. organizational study by the World Bank estimated unit costs to be and environmental improvements undertaken around USD 10.’ working with households and communities so that they can • removal or mitigation of environmental hazards.000 for a core unit. cit. electricity. be by far the lowest cost at approximately USD 38 per household (UN-Habitat. health posts and upgrading. designed from the ‘bottom up. A Practical Guide to Designing. Four key lessons were: • improvement of access to health care. and involvement in maintenance). 2003: 130).USD groups. • building of social capital and the institutional framework to sustain improvements • Upgrading cannot be the only component of a (Cities Alliance.4. by residents rose dramatically and Tondo Foreshore in Manila. is affordable to the community and to the local government. community services were somewhat cheaper at USD 1. Werlin (1999: 1527-1530) gives some of the reasons for this as lack • regularisation of security of tenure. Early results were extremely encouraging slum areas. violence.000 squatters Thus the term ‘slum upgrading’ covers a wide range of benefitted from a better environment and health and potential interventions. 2004: 3). weak cost recovery (both men and women) dislocated by the mechanisms (resulting in. Projects need to be of security. sanitation. Any specific upgrading project recreational facilities (UNCHS. businesses. Maintenance became a major issue • installation or improvement of basic infrastructure with neither government nor community taking such as water reticulation. Planning. • The long-term success of upgrading interventions requires that consideration be given to the costs • enhancement of income-earning opportunities involved and to designing a level of service that through training and micro-credits. and national governments and city 2. economic. improvements. At its most comprehensive it approaches. 1999: 2). such as public rental housing. Philippines where 200. in Jakarta where subsequent house improvements Habitat. Slum upgrading interventions typically include the following: In later years. of tenure (residents are less likely to maintain services where they do not feel themselves owners and may • relocation of and compensation for the residents not even pay service charges). substance abuse. Environmental conditions became very collection. however. • provision of incentives for community management and maintenance. lack of resources for maintenance) and low levels of community participation (leading to lack of ownership • housing improvement. amongst other things. have an input into decisions regarding what levels of service they receive. from the 1990s onwards. or programme may include one or more interventions though it is increasingly recognised that the broader Such programmes recognised that slum upgrading and more integrated the approach the more successful was a much cheaper alternative to previous it is likely to be. In a broader sense. water systems flood prevention. The study showed upgrading to authorities. A 1980 consists of physical. These enhancements in the economic and social processes included the Kampung Improvement Programme (KIP) that can bring about such physical improvements (UN.

at neighbourhood level. UNICEF and UN-Habitat. Upgrading all aspects not (PSUP) – UN-HABITAT only improves quality of life but may also produce http://www.asp?cid=6819&- Two important programmes have been established catid=592&typeid=70&subMenuId=0 by UN-HABITAT since 2000 which are focused on Millennium Development Goal 7. TIP 17 . The final phase sees PSUP support to HABITAT. establish networks financial help and managerial advice. 2004 in Barcelona. Following the first two.org/categories. institutional three phases: in the first it assists countries in and regulatory environment and ensuring the assessing their needs. PSUP – Summary of Programme http://www. but also in decision. Seek partnerships with other actors and do not underestimate the potential of slum dwellers. The other main lesson learnt was that settlements are not only physical entities but have social. Caribbean community participation not only in the construction and the Pacific) countries. the European Commission and UN-HABITAT organized a Joint Regional Workshop in 2005 (Cities Alliance. In parallel. The Programme works with 63 cities in 30 economic and institutional aspects all of which form countries mainly in Africa (23) as well as the a vital part of the whole. synergies whereby the physical. identifying challenges availability of housing finance for all sectors of society. This was by implementing Rapid Urban Sector Profile what is called the enabling approach. economic and asp?catid=592 institutional components mutually reinforce each other. CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE with other supporting interventions addressing Box 1. facilities and cultural activities. undertake capacity be provided by the government but in many cases building activities and identify funding it falls to civil society organizations and NGOs (UN- sources. and response mechanisms. and UN agencies such as Vancouver in 2006. organizational assistance. Avoid falling into the trap of the government as sole provider because it has seldom worked. goods and services and concern itself with providing It has three main lines of activity defined in support by creating an appropriate legal. This support may for slum upgrading work. Indonesia. micro-enterprises and community organizations.unchs. 1999: 14) on urban challenges which recommended the reinforcement of the cooperation between The main lesson amongst these was the need for UN-HABITAT and ACP (Africa. It implied that to reduce by half the number of people living the state would withdraw from the delivery of housing in slum areas by the year 2020. and organizations. prioritise interventions in the form of training. NGOs. Upgrading only the physical Participatory Slum Upgrading Programme characteristics ignores this. UN- processes of slum improvement. social. 2011b). In the second For slum upgrading this meant enabling a far greater phase PSUP works with cities to understand role for communities in projects and programmes the city slum situation.2: UN-HABITAT’s Participatory Slum poverty. set up in 2004. Target 11: “To make a significant improvement in the lives of 100 million four Local Finance Facilities (in Ghana.” The first is the Slum Lanka and Tanzania) which will create revolving credit Upgrading Facility11. HABITAT decided on 2004 to develop a making and design processes that establish priorities concrete programme in 15 ACP countries for action and support for implementation. They include community Caribbean (4) and Asia (3). which has funded funds for demand driven slum upgrading projects Before starting the programme learn from history and find out about previous policies and approaches in your city and country in order to prevent repeating mistakes. The PSUP states its purpose as embodied in the 1996 Habitat Agenda. • Upgrading programmes are most effective when The Participatory Slum Upgrading Programme led by the municipal authority and implemented (PSUP) was launched in 2008 but its origin at the community level through a broad set is to be found in the World Urban Fora held of intermediaries including community based 2002 in Nairobi. implement the projects they identified in the previous phase. vulnerability and promoting economic Upgrading Programme (PSUP) growth.org/content.unchs. Sri slum dwellers by the year 2020. which was Studies (RUSPS). even if they are poor.

3). 18 . Therefore. There are few streets which permit circulation. for the same time as they are becoming better integrated example). This upgrading interventions with a view to integrating includes meetings and social interactions. grey areas of underdevelopment on simple strategy uses streets not only as thoroughfares the city fringes or pockets of neglect in the middle and networks along which water and sewerage pipes. Planning. economic slums into overall city planning and management. The other programme is the Participatory into the city fabric. physical components of a settlement or of the city which seeks to strengthen the capacity of local. This does not require governments to build housing for their In this way the streets focus is integral to the citywide entire population but to create the conditions in upgrading approach: individual slums are improved at which adequate housing can be provided and made Figure 1. and Executing Citywide Slum Upgrading Programmes (for house improvements and service connections.2). This marginalised. of urban advancement. where they become part of the overall UN-HABITAT is advocating the opening of streets as network of city infrastructure and services rather than the driving force in citywide slum upgrading. to adequate housing (see Box 1. in slum activities are articulated. confirm slum dwellers’ citizenship at the city level as their formal existence is underlined in official A new focus on streets and public space city maps. States are enhancing the connectivity of slum areas to the rest of obliged to achieve the full realization of the right the city.6: Dense occupation in a slum in Nairobi. good governance and management and them. They enhance the settlement’s identity and policy development (see Box 1.6). central but as public spaces which bring together social and regional institutions and key stakeholders’ in slum and economic activities and facilitate and reinforce improvement. opening streets. power lines. should be considered a sine qua non. Social and Cultural Rights. Photo: Dennis Rainaldi. Flickr Creative Commons. cultural and economic accesses. launched in 2008. Streets are not treated solely as Slum Upgrading Programme (PSUP). activities such as shops and a feeling of greater public safety as new streets open up often seemingly Slum Upgrading and Housing Rights impenetrable networks of narrow paths and alleyways Under the 1966 International Covenant on (Figure 1. and drainage systems are laid but as a or reinforcing and improving existing streets and common good where social. reinforced and facilitated. It also sees a developed street network as Economic. A Practical Guide to Designing.

occupants’ enjoyment of other human rights markets. regardless of their cause. parks. Some components may also be achieved The right to adequate housing contains freedoms progressively. sidewalks. to arbitrary destruction and demolition of one’s better protect and promote the right to adequate home. it is acceptable to start implementation in some • The right to choose where to live. This might include the promotion such as (but not limited to): of upgrading to reach all slum settlements. education.g. International human rights law recognises • Location: it must be within reasonable distance everyone’s right to an adequate standard of of employment opportunities. In The State of the World’s Cities 2010/2011 (UN-HABITAT. such as non-discrimination. within available resources. forced evictions housing. This would mean. childcare centres and other housing was recognised as part of the right social facilities. • Habitability: such as protection against the weather. political spaces. traditional housing forms). facilities Municipal authorities must develop and implement and infrastructure: i. • Participation in housing-related decision-making The right to the city includes a gender rights at national and community levels. to an adequate standard of living in the 1948 • Cultural adequacy: it must respect and take Universal Declaration of Human Rights and in into account the expression of cultural identity the 1966 International Covenant on Economic. (e. workspaces. some components of the right to adequate entitlements such as: housing. for example. including adequate housing. Social and Cultural Rights (UN-HABITAT & UNCHR.g. energy for cooking. slums and progressively attain full city coverage. they fully benefit from the ”urban advantage” – heating. upgrading all slums may be impossible in the short term. decent employment. public transport. The right to adequate housing also contains However. it must. But governments must at least show that they are making • Protection against forced evictions and the every possible effort. adequate housing. 2009). materials. safe drinking water. participation in city planning and governance is critical to any balanced. lighting. • Availability of services. dimension. streets. schools. meet the the following: following criteria: • Security of tenure: including legal protection The Gender Equality principle states that women’s against forced evictions. food storage and refuse including health. to food and education). toilets (both public and private). • Accessibility: disadvantaged and marginalised Box 1. • Security of tenure. disposal. equitable urban development. that while are considered a gross violation of human rights.3: The right to adequate housing groups must be able to acquire it. must be achieved immediately. Source: UN-HABITAT & UNCHR (2009: 3-4) Check what legal rights slum dwellers have which are protected in laws and constitutional provisions in order to prevent court cases and problems with upgrading interventions and ensure you promote and respect people's fundamental human rights. (e. Adequate services. equal access to both public and • Affordability: its cost must not prevent the private spaces. all in a safe environment. policies in close consultation with women to ensure adequate sanitation. and community spaces.e. at a minimum. TIP 19 . 2008) under the “Principles Under international human rights law for housing Underlying the ‘Right to the City’” (ibid: 133) appears to be ‘adequate’. CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE accessible. health care living.

Its scale can motivate development actors who will be able to help address 20 . attract the involvement of a broader range of city including slum dwellers. private. needs. streets are not only thoroughfares and out by the same municipal administration as is networks along which infrastructure systems are answerable to the electorate and therefore has an laid but also shared spaces for social. duration and on piecemeal smaller project-based interventions geography. connecting A CWSU has three key underpinnings: settlement conditions. rather than a single-sector approach to slum improvement so that public investment is directed to • SYNERGIES: citywide slum upgrading connects a wide range of sectors such as basic infrastructure slum improvement processes with activities and (water. cultural and incentive to be responsive to slum dwellers’ needs economic activities and a street network better and priorities. will be made to ensure upgrading is designed HABITAT. for example urban planning and land regularization. social. opportunity to knit slums into their surrounding urban fabric in an integrated manner and make them. settlement level that aim to improve the quality of urban life of their residents through investments in Citywide slum upgrading has the following advantages: basic infrastructure. in selected slums. settlements in a city aiming at the physical. housing (re) planning. Investment in citywide longer in duration. etc. It is a programmatic way of reaffirms the spatial dimensions of urban addressing the challenge of slums and informal development and slums. urban responsibilities cities have. compared to the settlement level. land of the city. for example geographic information systems (GIS). legally and socially part of the planning response to unplanned developments city and its official planning and management systems. and service and infrastructure multiple and simultaneous interventions at the provision in cities. ordinances. according to slum dwellers’ preferences than if it were carried out at national level. citywide slum upgrading offers the and environmental protection. and • COMPREHENSIVENESS: citywide upgrading is a their dwellers. A Practical Guide to Designing. • STREETS: the citywide approach utilises streets as the entry point to slum upgrading. It takes the entire city challenges and needs in slums.5. Projects are development strategy rather than concentrating relatively limited in scope. infrastructure development. involve multiple infrastructure allows economies of scale which can settlements and simultaneous interventions and make services affordable to slum residents when usually have a multiple and sizeable source of finance. 2011c). and priorities of poor residents with those of the city as a whole. piecemeal provision would either be relatively Citywide slum upgrading also requires an integrated expensive or require unsustainable subsidies. The spatial dimension reinforces limited to a few slum communities but becomes the essential links between settlement upgrading a programmatic process encompassing all slums and wider processes of urban planning. academic and community sectors. and urban informality. WHAT IS CITYWIDE SLUM the private sector and NGOS to take a more UPGRADING (CWSU)? active role in upgrading. drainage and pavements). sanitation. juridical and economic integration of all slums to document and map slum conditions. Planning. Citywide slum upgrading promotes management. development of fiscal and physical cadastre. One may assume that more efforts connects slum areas to the rest of the city (UN. transport Importantly. Programmes are institutionally complex. and utilizes spatial tools. and it promotes greater connection and exchange between slum dwellers’ Citywide slum upgrading can be defined as: organisations and community groups. • SCALE: slum upgrading at the level of the whole city provides greater opportunities for ‘going Citywide slum upgrading (CWSU) represents a to scale’ with a slum upgrading strategy that fundamental shift from piecemeal project interventions is embedded into the overall planning and city to a citywide programme approach. land management and land use construction and so forth. scale. an alternative to piecemeal project-based slum • SPATIAL DIMENSION: the citywide approach improvement. and prioritise as the planning unit such that upgrading is not interventions. it can public. It provides a platform for the overall improvement of the city. As explained • RESPONSIVENESS: as upgrading is carried above. and Executing Citywide Slum Upgrading Programmes 1. analyse into the official planning and urban management the particular environmental and socio-economic systems that govern the city. settlement planning and local economic and social development processes. broader in scope. physically. • PARTICIPATION: The citywide approach facilitates participation of many stakeholders from the Furthermore.

ones frameworks. will not find it easy to achieve. at the before an election and do not materialise. PREVENTING THE FORMATION programme. giving them a path to become formal neighbourhoods in the future. maintaining a considerable institutional. Too often be geared more closely to the characteristics of the political promises for upgrading which are made just cities and settlements concerned. land. which many cities do not possess to invest in industry or vocational training systems and will need to develop. CWSU therefore external sources.g. infrastructure and economic activity that will benefit not only the inhabitants of slums but the city as a whole. This requires establishing and infrastructure markets to improve access by the poor. plan. health and education require housing solutions as well as subsidised home citywide responses. normative access to affordable formal housing solutions. regulations that allow appropriate organisational and regulatory environment that building and servicing standards that the poor can supports the programme design. development corporations seeking the programme.2 summarises how CWSU differs from CWSU also faces challenges. For example. but also implement upgrading OF NEW SLUMS activities. settlement level the impact of upgrading will be restricted in the ways already explained. In many countries financing for urban development comes from the national level. level will be configured by the level of municipal autonomy that city governments enjoy. needs to be complemented with other policies and measures to prevent the emergence of new slums or • AUTONOMY: intervention options at the city the growth of existing ones.5. technical and human larger scale (e. Establishing this environment those among community groups. While CWSU offers attempting to create a supply of trained labour to benefits to cities in many countries it is not always meet the demands of the city’s employment market). implement and monitor for housing. and While slum upgrading can bring very important the scale of finance needed for upgrading far benefits to poor populations it does not alone solve outweighs a city’s budget so they need to access the underlying problems they face. and slum upgrading often has an purchase were more suited to the city’s and important role to play in facilitating a broad-spectrum country’s needs. governments to create practical solutions responsive to political continuity and commitment. of local authorities in taking decisions and leading slum upgrading interventions significantly and Scaling up affordable housing supply requires targeted adversely affects the impact of these interventions action in several key areas: • SCALE: a citywide approach is a programmatic Policy reforms for housing. Table 1.1. Do not look at slums as an isolated sole element of a problem but look at their potential connections with nearby neighbourhoods. This constraint on the autonomy that are attractive alternatives to slums. • FINANCE: cities must mobilise financial resources so that they can not only design and plan the 1. Here. etc. response to such issues. TIP 21 . At the national • POLITICAL WILL: mayors and local authorities need level upgrading is likely to be slower and probably to acknowledge the presence of slums and have a more standardised than at lower levels where it can genuine political will to improve them. In many The most effective and lasting way to prevent slum countries national policies and programmes define formation is to provide low-income households with the scope for establishing local by-laws. banks with the offer of credit facilities capacity to design. Some cities the needs of the urban poor. Citywide slum upgrading is about integrating slum settlements into the urban fabric of the city. with the availability of massive financial resources project scale and require a citywide approach. CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE a greater number and more widespread issues. five of which are: national upgrading programmes and project or community upgrading programmes. These • CAPACITY: a citywide approach requires actors may well be more willing to participate at a considerable institutional. a scarcity of land coupled Some city problems cannot be addressed on a small. implementation afford. Issues created conditions in which high-rise public rental such as violence. However. NGOs and local takes time and requires institutional capacity. This will facilitate active partnerships such as and management. finance and approach. We have mentioned the case of Singapore. an appropriate approach.

and Executing Citywide Slum Upgrading Programmes Table 1. City (CWSU) • Integrated planning to address slums at scale. Another example is revising regulatory Activities that improve these dimensions of urban life policies to discourage sprawl and settlement of unsafe may not be directly related to slum upgrading. may not (but should) be linked to wider planning processes.12 networks. • Integrated approach possible. • Upgrading adapted to city needs and circumstances. which should reduce corruption and finance and social capital. that some of these measures could be Improved governance and management of incorporated in citywide slum upgrading programmes cities requires transparency and responsiveness to such as some of those relating to sectoral reforms. • Upgrading tailor-made to settlement priorities and needs. A Practical Guide to Designing. There is still much that promoted. Settlement (community) • Project-based. Make sure that CWSU Programmes are part of a broader twin-track strategy that offers sufficient housing supply to meet demand housing options at scale. Cities often have housing. settlements and might usefully be transferred to formal settlements such as for low-rise housing through Other targeted activities would include mutual aid or cooperatives and micro-credit. In particular revenue generation and micro-credit for households.g. social safety nets. Planning. employment generation. especially significant fiscal resources at their disposal which they financing for developers and infrastructure providers. deliver prioritised and affordable housing and services to the poor. etc. which should be improved. • Cannot address citywide issues (e. • Upgrading often not tailored to specificities at settlement level. child care land. for working parents. • Enabling legislation possible in some major sectors (by-laws). are not exploiting. services. Increasing the access systems in many cities would benefit greatly from of low-income groups to formal housing should be reform and better enforcement. • Enabling legislation possible in all major sectors (land.). however. centralized decision-making. and business development. Housing finance should be promoted to provide More effective mobilization of local resources access to credit which needs to be extended for also offers scope for improvement. but or environmentally fragile areas. hard to scale up. public works employment.2: Summary description of slum upgrading at different administrative and geographic scales Slum upgrading at each Level National • Slow. Urban planning and the supply of affordable training and educational opportunities. stakeholders. and promotion of health care. These are common in informal working in partnership. for example. help sustain upgrading improvements. for example programmes to improve the can be done by local authorities to forge partnerships savings and investment capacity of households by with private investors and with communities that have such means as promoting savings in construction organizational and human resources which could be materials and the use of self or community help and put to the service of their communities better when family contributions. and efforts to combat crime infrastructure which reduces the costs of extending and violence especially against girls and women. activities for vulnerable youth by setting aside basic rights-of-way for primary (including street children). poor mobility systems). It should be noted. unemployment. which can provide alternatives to slums and TIP reduce gentrification pressures in upgraded slums 22 .

decentralized urbanization strategies should be pursued. 23 . This is a more acceptable and effective way of managing the problem of rapid rural-to-urban migration than direct migration control measures which have seldom worked. However. decentralized urbanization can only work if pursued within the framework of suitable national economic and spatial development policies. inclusive of poverty reduction (UNCHS 2003: xxvii-xxviii). CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE At the broader national scale. thus preventing congestion in primary cities. to ensure that rural-to-urban migration is spread more evenly. where possible.

coordination evaluation • objectives setting • setting up task force • project selection • planning • construction • communications • analysis of alternative • building alliances • institutional • stakeholder strategies coordination team framework participation • shelter & services setting programme management resource • programme • sustainability • standards allocation management • communications • supervision • communications • financial strategy • community • sustainability participation • communications • technical assistance • financial support A Practical Guide to Designing. Cambodia. and Executing Citywide Slum Upgrading Programmes Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5  Photo: Photo: Train tracks. Flickr Creative Commons .24 Figure 1.7: CWSU Programme Cycle. Planning. Zoriah. Key Issues at Each Stage and Chapter Location in this Guide Policy Building support Programme Project Programme & Feedback formulation design design project implementation Key issues: Key issues: Key issues: Key issues: Key issues: Key issues: • problem definition • identifying champions • types of intervention • management • institutional • monitoring.

CHAPTER 1: CITYWIDE SLUM UPGRADING PROGRAMMES – ADDRESSING SLUMS AT SCALE 25 .

2 INITIATING A CITYWIDE SLUM UPGRADING PRO- GRAMME AND UNDER- STANDING THE CITY SLUM SITUATION .

buyers implement the projects together Government or developers control the finance and the Communities implement the process and manage the finance implementation process themselves Beneficiaries or buyers purchase and own (or lease) the Communities as a whole own and manage the housing housing units individually projects collectively Maintenance is by hired companies Maintenance is by the communities Source: ACHR 2010: 5 Contd. organizations. The key messages are: • To effectively plan a CWSU programme you need to have an up-to-date understanding of the city slum situation – for example how many slums there are. location. setting up a task force and agreeing how to carry out the programme together. resources and constraints.1: Citywide Community-Driven Slum Upgrading in Asia The Asian Coalition for Housing Rights (ACHR) 1. • All cities are different and the guidelines need to be adapted to their own realities. The key steps are identifying stakeholders who will commit to the programme..1). and others should be encouraged even at this early stage. are important.  Photo: Women in Myanmar participate in a community consultation process. Partnerships therefore upgrading at a city level. • A wide range of stakeholders should participate in the programme design. Government of slum communities. The necessary implementation. it does not believe that 2. and play a role in the management Box 2. If not. Their approach attempts should be a partner but should not lead to show residents and government that the the process. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Chapter Summary This chapter shows how to start a CWSU programme. The chapter shows how to understand the current slum situation through mapping such aspects as the size.. WHO WILL COORDINATE AND persuasion can come from civil society organizations LEAD THE CWSU PROGRAMME? as has been the case in several Asian countries where NGOs have worked with communities to show local The idea for a CWSU programme will usually come governments what is possible (see Box 2. slum dwellers.1. Similarly. implementation and maintenance and actions rather than trying to impose their that governments should support participatory professional opinions. government will need to be convinced of the need for it or it will Local governments must lead the design and be extremely difficult to carry it out. the planning and implementation of upgrading Asian Coalition for Community Action Program on a small scale in their own communities (ACCA). However. Upgrading must be community driven and the people should be left to solve the problems not controlled by government. Photo: © UN Habitat 27 . the results of which should inform the programme’s design. professionals are poor have a major contribution to make to the important to the process but need to upgrading of their settlements in such areas as support slum residents in their decisions and planning. Slum dwellers need to create or strengthen is a regional network of grassroots community representative community organizations. where they are. population and land occupation patterns. government. undertake in 16 Asian cities. 2. Participation of CSOs. NGOs and professionals actively link these through networks or federations involved with urban poor development processes to other slums in the city. Supply-Driven Demand-Driven Government or developers plan and implement the projects Urban poor communities or needy target groups plan and and select the beneficiaries. One of its programmes. from the local government. promotes citywide slum upgrading and together demand government support which is driven by slum communities themselves for their efforts and to bring them to scale rather than by municipalities or central at city level. and what the conditions are.

economics. Source: ACHR. programme is designed so that implementation can start. ACCA members intention is to support the initial planning persuaded the Mayor to negotiate free private and implementation process which will build land for land-sharing as a start to the upgrading confidence amongst poor communities to process. high standard. This will include taking necessary to draw on the resources and competence into account existing local development plans and of a range of city and national stakeholders as well as strategies. public It is normal to set up a task force to lead these efforts. where inner city “people’s process” of housing and development slums have been improved through community which UN-HABITAT has promoted for many years upgrading rather than through contractor–built. Solutions can only be found at city scale. obtained on city housing boards. The a steering committee should also be established where scale and complexity of CWSU is such that it will be such interests are represented. and the social sciences. of members of the organizations promoting the programme such as the local or central government 2. The city. unaffordable housing which involves substantial demolition of existing ACCA provides minor funding to get the homes. finance. implementation is developed. Task forces are usually composed reports directly to the Mayor. however. Before the CWSU has started and is still only an idea While it will not do all the work alone it is important or intention. sustained. municipal engineering. housing departments will be the most suitable for this role as they have a relatively high level of authority The first question. A Practical Guide to Designing. from the start. After only improvements. In most cases the urban planning and hiring in specialist skills as required. (see Box 2. government funding can be spread further to the problem needs to be addressed at scale reach all poor communities in a city. They should be headed by a senior The main tasks this unit will need to carry out are: professional though co-directors may be appointed ensuring that the appropriate organisations and where each of the sponsoring organizations prefers to other stakeholders are involved. it is important to have committed and that it has the full range of competencies required competent leadership to ensure it becomes reality. 2010 of upgraded settlements. scaled-up and are motivated to participate in planning. Indonesia. ACCA is also working to change policy at 4. and Executing Citywide Slum Upgrading Programmes 3. of urban planning. two years ACCA could report some successes Many of these features are the same as the such as in Vinh in Vietnam. that the programme message is disseminated to the population in general The task force needs to be small and able to act and to key stakeholders in particular and that the CWSU quickly so may number around seven to eight people. SETTING UP A TASK FORCE who may be partnered by an international donor AND STEERING COMMITTEE organization. It does not need to include members drawn from all stakeholder groups but it does need to involve them in The task force is responsible for ensuring the tasks the process and be accountable to them.1. In two Philippine cities (Quezon City & continue upgrading and to put pressure on Iligan City) representation of the poor has been government to support them. For this reason are achieved and not for executing them all itself. In Makassar. Planning. The local government has agreed to development process started on a small scale adopt this model in many similar areas in the (such as by improving a few footpaths).8). Communities are encouraged to form self- Pilot projects which are intended for managed savings groups and mobilise their replication are judged to have failed to make own resources while the available donor or an impact on the majority of slum dwellers. This in the CWSU exercise. that a framework for be represented. For this reason it is advisable need not be the same leadership which implements to include members who are skilled in the fields the programme itself but which gets it off the ground. is who should be in and could most effectively coordinate a task force that the task force.1. institutionalized as part of a larger structural implementation and the maintenance of change process in these countries. 28 . Improvements must be demand rather municipal and national levels in order to than supply driven so that the real needs of allow community -driven slum upgrading to residents are addressed and communities be implemented. administration.

This is a stage at understand who the opponents are and why they feel which the municipal apparatus is mobilised and its the way they do. federations of men and women slum dwellers. For example. At first contacts will be made with potential partners informally as they are sounded out about • How important is the stakeholder for the success their views of the planned intervention. tries to convince other key actors to support it too. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION This will probably consist of central. heads of major public bodies or The latter includes understanding the financial and even leaders of corporations. it will show it is prepared to “put its money The task force will need to identify potential partners where its mouth is”. If they are also particular city. must be questions (which are seen reflected in the columns): done. especially those with links to slum areas. microfinance institutions. specialists who government agencies. They should committee should provide the CWSU exercise with include the commercial private sector (such as banks. able to commit significant resources to the CWSU this is a bonus. of communities which are likely to be affected such as elected leaders of overall community governing Once the local government is clear about its vision. All stakeholders Once the vision is agreed. NGOs. can use their influence in favour of the programme. sector (e. materials The task force will benefit immensely from the support and equipment providers. consensus and divergence amongst critical actors that must play a role in the programme. the power and ability to assign equipment for physical works. ministries and public utility companies). This will not only allow the task concept note of the programme: what it should look force to approach the possible partners but also like and what needs to be done. The following matrix (Figure 2. It is important that the task force manages different actors and stakeholders and does not try to undertake all tasks itself. specialized service and infrastructure providers. STAKEHOLDER IDENTIFICATION A first step will be to identify all stakeholders and assess whether they are in favour or opposed to the The task force’s first assignment is to design a CWSU programme. adjudicate plots or extend credits? 2. elected officials will need to be involved. civil society organizations and representatives These can all be individuals or organizations. possible contribution assessed as well as the possible opposition of other stakeholders (for example. women slum dwellers’ organisations and a public consultation should be organized. Although this will should be drawn from target communities. so that it can act quickly and consistently. It should be The champion should be respected by those likely to noted that this list of partners is far from exhaustive be approached and command sufficient authority to and will need to be added to or adjusted in any persuade others to meet and discuss. Good champions are therefore and assess the type of contribution they might make. professional The combination of competencies and representation associations and personnel from service facilities in brought about by the task force and its steering the affected slums) and donor agencies. Partners local micro-business associations. with probably over a dozen members. this is less civil society (such as community based organizations. media. including funding institutions. private landowners and of a ‘champion’ – an individual or organization which developers.2.1) is a useful tool for landowners who fear they will formally lose their doing this. universities. the comprehensive mapping will be included and assessed against the following of partners. employers of residents of slum areas). the public mean the size of the committee may seem quite large. organizational resources and legal powers that where they exist and carry sufficient weight. important than its representativeness. religious organizations. The taskforce can use such a tool to map illegally occupied land as a result of upgrading). it should not potential partners have. It is important that the task force has a clear and unified vision of the goals of the program. But there is no reason why. do they have be a charismatic figure from the non-profit sector. the Chamber of Commerce). a representative of the can contribute their expertise. private utility companies. credibility and legitimacy. It is important of the programme? to involve all stakeholders: those who have an interest The task force is an essential part of a successful CWSU programme. structures. likely to be city mayors. and power brokers who business sector (e. donors. TIP 29 .g. regional and local in the programme being implemented.g. puts its weight behind promoting the programme and Finally.

payment of fees. . execution. Persuade residents to Show benefits for residents and institutions upholding religious values boycott project their support Etc.g.1: EXAMPLE OF STAKEHOLDER Stakeholder Analysis .30 Figure 2. decent. (Low-Med- High) High) High) Ministry of High High Medium Change land legislation Increased and improved housing Not prioritizing new Convince that upgraded Housing and stock. Planning.g. Lands Housing Banks Medium High Low Extend house & microentreprise credit High level of loan repayments Refuse to give loans Provide guarantees for loans Mayor High High Medium Policy commitment Fulfilment of campaign pledges. Persuasion by responsible government and residents ing in country strategy Minister Cadastre agency Medium Low Low Coordinate cadastral surveys Comprehensive. sanitary Insistence on developing Show low-cost alternatives in Department for poor housing for the poor turnkey housing other cities Donor agency Medium Medium High (Partial) funding Satisfaction of local/ central Non-priorisation of upgrad. (Low-Med. Application and testing of theory designs) in practice Religious Low High Low Act as trusted interlocutors Fair treatment for residents. Prioritisation of other Show key stakeholders and re-election pledges or policies voters support CWSU Municipal High High Medium Coordinate planning process Orderly and controlled urban Dissuade Mayor from Show positive experiences in Urban Planning growth prioritising CWSU other cities Department City Treasurer Medium High Low Design systems for user fees and Low costs / revenue collection Dissuade Mayor from Show positive experiences in property tax prioritising CWSU other cities Water & High Medium Low Installation of service network Level of costs. training) residents Universities Low Low Medium Technical support at local level (e. and Executing Citywide Slum Upgrading Programmes UN agencies Low Medium High Targeted technical assistance Satisfaction of local/ central government and residents Slum dwellers High Low High Participation in planning.Interests and Possible Actors Stakeholder How Level of Current What do you want from Stakeholder’s main How could Strategy for Names and Important Influence Level of stakeholders? Interest stakeholders block enhancing stakeholder Role Support your efforts? support (Low-Med. regularised land legislation houses are “units”. accurate cadastre of city A Practical Guide to Designing. safe. Cheap housing loans and clean Show positive experiences in (CBO) maintenance drinking water other cities NGOs Medium Low High Coordination and technical support at Increased standard of living of local level (e. Non-inclusion of CWSU in Show positive experiences in sanitation maintenance operational plans other cities company Municipal Housing High Medium Low Affordable long-term housing strategy Affordable.

subsidy administration. These could the slum and the city? include gatekeepers such as City Treasurers. Actual values will • Tenants vary in different cities). providers if they were to receive training? but not be limited to: Technical • Central government ministries • What is their competence in the required technical areas (e. urban planning. Finally. Social Those who are very important to the success of the • Do they work with communities in the programme but are not influential may include marginal programme area? or particularly vulnerable groups who may need additional support for them to adequately participate • How well organized are they and what is their in the programme. work? The stakeholders to be considered will be many but • Is their approach participatory? the importance of identifying and engaging with them correctly is of such importance that it is worth • Could they become good socio-technical support spending the time to do so.g. If they are opposed. senior officials and urban economics. • Local government (the Mayor. their opposition will need to be addressed. Stakeholders who have little level and record of achievement? importance for the programme but who wield influence will need careful attention and possibly monitoring as • Do they represent the diversity of social groups in they could harm or hinder the programme. engineering. sociology. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION • What level of support does the stakeholder • Property developers currently show? • Landowners • What is it we would like him/her to do for the programme? • Traditional leaders • What are the stakeholders’ main interests? • NGOs (numerous) • How could they oppose and block the CWSU? • CBOs (of various kinds) • How will we need to address the stakeholders • Slum dwellers’ federations and networks to increase their support and likelihood of their contributing what is hoped? • Faith based organizations (Note: the level of importance. A list of key questions to ask of potential partners It will be essential to engage with those who are very when considering their suitability is (Imparato and important and highly influential either to support the Ruster. They will probably include. information and departments) communication. and loan recovery? 31 . social work)? • Donor organizations • Do they have staff with hands-on experience in slum upgrading? • Micro-finance organizations Institutional • Commercial banks • What is their experience of area-based planning and management? • Utility companies • Which of the existing agencies would be a likely • Regional authorities coordinating agency? • Private service providers Financial • What is their experience regarding cost recovery. those who score low in influence and importance are • Do they have experience in upgrading or similar not a priority and will require only limited attention. 2003: 175-179): programme or to overcome their resistance to it. • Construction companies taxation. influence and so on • Owner occupiers attributed to the various stakeholders in the matrix is only for the purpose of illustration.

The purpose could be to • An institutional mission and mandate that legally explain the idea of the CWSU to participants and to allows the agency to play the coordinating role show positive experiences of similar activities in other countries in the region or other cities in the country. A Practical Guide to Designing. Their agencies who will agree to work under its purpose is to obtain their initial ideas about what CWSU coordination. 32 . Later to discuss. the programme)? It is essential that all stakeholders feel that their With respect to which potential partner might make views are taken into account and that they are as a good coordinating agency the following are the key much a part of the process as anyone else. The following are some of the different ways stakeholders have grasped the issues involved in which information can be provided in an effort to in the future CWSU programme. adequate information so that participating parties have a clear understanding of the purpose and nature This is a stage when possible conflicts are identified of the CWSU programme which they are being invited and strategies put in place to resolve them. programme might look like in their city. The consensus building stage must take account of political and organizational rivalries. Brainstorming sessions with key stakeholders form • Legitimacy and authority in the eyes of other another way of engaging potential partners. This will characteristics to look for: require the use of other techniques of engagement such as personal interviews. Mapping all city development actors will also help identify existing initiatives. and Executing Citywide Slum Upgrading Programmes • Which potential partners would be best placed Study tours can be organized to other cities where to coordinate financial matters (or would it be CWSU has already successfully taken place and where preferable to devolve financial management to a representatives or slum dwellers (both women and new body specifically created for the purposes of men) are on hand to answer questions and allay fears. urban planning and management. coordinate internal actors coming from different departments and organizations? One or more workshops can be held to which all interested parties are invited.3. Apart from the potentially useful insights obtained one of the benefits is • A good image and reputation for past identification of stakeholder biases and misconceptions achievements that make it a strong advocate which can be addressed at this early stage. Territorial jealousies will be another AND CONSENSUS BUILDING issue to be handled carefully at this stage to prevent problems later. help avoid duplication and All these activities should be accompanied by indicate potential for synergies. CONFLICT IDENTIFICATION and priorities. those who are approached will want to know more than these initial contacts permit and more formal By the end of the support and consensus building presentations of plans will be required from the task activities the task force should find that key force. The programme must be designed taking into account differing views 2. cleared up any build support and achieve consensus: misunderstandings and misgivings and have committed themselves in principle to the project. focus group discussions. and catalyst of resource mobilisation for the programme. • Do they have the capacity and authority to workshops and brainstorming. Such a concise vision is very important for political decision both TIP at the Mayor’s level as well as the executive levels of municipal government. potential partners that the CWSU programme will be tested in demonstration projects before large scale • A good track record of experience in area-based resources are dedicated to its broader application. The task force’s first assignment is to design a concept note of the programme outlining what it should look like and what needs to be done. • Core technical capacity in at least some of the disciplines involved and willingness to procure any In order to gain support it may be necessary to assure elements that may be missing. Planning.

It is a process which consists of the following steps. and (b) if they feel unsafe while accessing In the case of New Delhi. Rapid situational analysis by mapping of the group discussions and brainstorming are inclusive of essential services in the community (e. girls. workshops. importantly. how they perceive womens’ and girls’ Sometimes this means that they are unable to problems. young and old. In-depth interviews with women and the life in the city. At about the same time as the stakeholder analysis is being carried out. solid waste disposal (other) stakeholders so that a diversity of viewpoints is points. providers towards them or any particular group women in slum areas were trained to carry in the community. This is accessibility. including maintenance. A focus group needs to be held to gender-based violence they adapt their with men and boys too in order to understand behaviour to the need to protect themselves. parks. community areas. through areas identified as unsafe for women A group of women walks around public and girls. of harassment faced by women and girls while accessing the essential services. size. complaints are active in these areas. Focus group discussions to gain deeper insights into problems faced by women Box 2.. Public announcements that the government will upgrade all slums in the city can induce densification and newcomers. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION It is important that study tours. or even enjoy leisure activities. Also. This includes how many slums there are. population. The next women and girls – and what is being done to section discusses how this can be obtained. Interviews with key informants (such as consensus built. basic information on slums is needed. 3. local leaders. and 2. girls to gain insights into their problems of work. better access to water and sanitation facilities are. level of services and tenure situation. Make sure to have a proper mapping of the areas. A group The audit is carried out in public spaces. This is done by asking them and services and the public and private agencies which about the state of the services. including streets. As part of the campaign. have an enumeration of the population and the shacks. study.g. to participate in 4. improve the situation. a local government official) walks rubbish dumps and other open spaces. noting which represented. This information should be about them by the community – including available when designing the programme.. CBOs. the general level of housing service providers. The ‘safety audit walk’ to observe the safer neighbourhoods which communities dimensions of safety and the different forms could present to their local governments. Enumerations will minimize the number of ‘free-riders’ who TIP can create conflicts between existing and new residents. carry out their daily activities. their size and etc. drains and power supply). The aim is to identify (a) how true in many slums but may be equally true of successful or otherwise attempts to obtain non-slum neighbourhoods. these spaces feel safe or unsafe. of 7-8 women. dwellings and buildings.) to understand the perspective of the distribution in the city. The walk should be undertaken spaces in their neighbourhood to identify the once in daytime and once after dark and physical or social characteristics that make notes made and photographs taken. A checklist is used during the walk. agency is responsible for each service. 33 . India. when and the response of the police in 2005 to draw public attention to the issue to any complaints and behaviour of service of women’s safety. focus 1. move around freely. slum dwellers and points. toilet complexes. preferably. conflicts are identified. NGOs. service providers.2: Women’s Safety Audits in India and girls while accessing services in their Where women feel unsafe and vulnerable community. water women and men. if so. out a Women’s Safety Audit which would identify dangers as an input to proposals for 5. men and boys (and. which services. JAGORI launched the Safe Delhi Campaign where. the NGO essential services and. The following is only a summary but it emphasises contd. defining their location.

(2010). This will allow the programme design to bushes or trees) blocking the light? Are all take place when overlay maps are made of existing lights working? infrastructure and service provision as well the mapping Vacant land: is it possible to see clearly when of any location-specific socio-economic characteristics. Aerial photographs.T. and there are near any essential services so women and girls many ways to do this.. do women have privacy.2. The community agrees with the local • Sanitation government how to share roles and responsibilities in making the improvements.4. A Practical Guide to Designing. WHAT IS THE SITUATION? are. Drainage: when drains overflow do women/ girls have to walk through an isolated area to The kinds of information which should be obtained avoid them? about the slums are: Toilets: are they well-lit and easily accessible. roadside Mapping the size. MAPPING THE CITY’S SLUMS Condition of roads and streets: what would One of the first and most important pieces of data to happen if someone chases me? Would I be be obtained will be where the city’s slums are located. location. K. Travers et al. you look ahead while walking? An example of mapping based on the Favela Bairro Are there any police stations: how far away programme in Rio de Janeiro is given in Figure 2. Khosla. is there an attendant • Residential density present? • Household income 6. Community members working with local government. P. and boundaries of slums is eateries and other vending shops: are they a major step in planning the programme. increase safety for all • Water supply residents of the community. providing another source of information for to walk through isolated areas to get to them? compiling a citywide mapping of the current situation. have to pass this area to use them? satellite images and cartographic mapping are all widely available nowadays and should provide the basis for a Water supply areas: are there queues? Is city slum map.g.2) Source: Mehrotra.. After the walk • Age of area recommendations for improvement are delivered to the relevant authorities. and Executing Citywide Slum Upgrading Programmes how widespread potential dangers for women 2. These will • Road access to make communities safer for women and girls and in doing so. • Electricity • Flooding/risk areas • Schools • Health facilities • Land ownership • Zoning for residential use • Attitude of women and men residents to improvement • Impact on city • Community 34 .S. • Safety and security for women (see Box 2. able to escape? and so they will need to be identified and placed Streetlights: are there any obstacles (e.. Planning. are they? Cigarette and liquor shops. on a map. Google maps. Utility companies have maps for electricity there harassment? Are there arguments? and water meters: where they are and whether they are Refuse disposal areas: do women/girls have connected.

2010b).. facilitate discussions where it is city map.3: Community Mapping in Asia The process is applicable at different levels Community mapping is a participatory data including the settlement and the city as a whole. Community mapping is city to participate in the process. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Figure 2. The following is adapted from It is carried out by community members rather than ACHR’s description of the process. also intended to create learning and understanding between the community and sup¬porting agencies 4. • On-going and planned CBO and NGO In Asia community mapping has been developed over improvement initiatives several years and is not limited to the settlement level as Box 2. Preparation of a city map and profile (in this case prepared by the Municipality). Source: Acioly 2012b. • Building condition enumeration which can help get primary data about the target population: where they live and who they • Demolitions are (IIED.2: Low-income settlements in Rio de Janeiro. Municipality in their efforts at community mapping at a citywide scale. 2012. agreed what information needs to be obtained. The EXAMPLE: City-wide surveying and mapping kind of data collected is broad ranging: it covers in Bharatpur. showing all the amenities and in the analysis of results. UN-HABITAT. Members of a community are supported in the process by NGOs or other partner agencies who 2. gathering technique which provides information necessary for the planning of improvements. available and locating the community on the city map. Nepal the physical (settlement and plot boundaries and location of infrastructure and services) but also the In Nepal the Asian Coalition for Housing Rights social and cultural (e. 1997. outside experts because it aims not only at gathering data but also empowering the communities Steps taken concerned as they learn that they are able to take an active role in the planning process. community organization (ACHR) supported communities in Bharatpur and beliefs). Invitation of 8 women and men how this might be done and provide forms in which representatives from each community in the the data will be recorded. contd. 3..g. In some cities communities.3 explains. for example. Drawing by each community team of their and government officials both during the process community layout. CBOs and slum dwellers’ federations are doing their own mapping and Box 2. Identification of informal settlements on the may. 1. 35 .

However. federation is the Secretariat for the Fund The role of the external actors was to organize the which will support projects conceived and platform for people to work together and facilitate implemented by the urban poor in Bharatpur. These probably already exist in the minds of FOR THE PROGRAMME the executing agency and partners will have formed an idea during the preliminary discussions explained 2. It can be seen that they are by no means identical. Detailed mapping of each community by Fund in 2010 with the equivalent of USD groups of young women and men. the process rather than providing the answers.5. public spaces. The national squatter community architects and the local development agency. Sources: ACHR. Objectives are also will be the most important actors to be involved important: what the programme wants to achieve. roads. This is a decision made on who will coordinate the programme. UN-HABITAT. This resulted their original rough versions. Planning. planning. general statement of the new reality that partners another important decision needs to be made: who see the programme will produce. Potential resettlement land for new housing to accommodate households that must TIP be resettled should be identified and mapped as part of the citywide slum mapping task. The establishment Once the task force has been established and a of a vision is the first agreement to reach.5. WHAT CAN BE DONE: First the basic principles of the programme need to be AGREEING ON A PLAN defined. 36 . 2007 2. OBJECTIVES above. VISION.3: Community Mapping in Asia 5. A Practical Guide to Designing. Presentation by each team of their community 2. execution and post-occupation13 programmes around the world to give an idea of their management. etc. these now need to be formalised in a way that all partners can agree to. process. Upgrading is likely to require the relocation of some residents to make way for infrastructure. The concept note will outline these ideas on AND COMPONENTS paper. Data for use in the upgrading planning services.1.000). 2010: 33 and 2011. Presentations were also made to the communities and government representatives. in the different phases of the programme – the Box 2. Addition of more detailed information about the Outputs and Impacts community: number of households and their members. Distillation of each community’s information of a broader ACHR upgrading programme to bring them all together in an informal which contributed to an improvement in settlement database covering the whole city. Municipality.4 outlines statements taken from CWSU design. 6. and Executing Citywide Slum Upgrading Programmes Box 2. Creation of a network between communities to the other gathered communi¬ties. objectives. community 75. understanding between poor slum dwellers Architects helped participants scale maps from and the municipal authorities. 3. learning to identify common problems and the together and sharing common problems establishment of a management committee and discussing potential ways to overcome for a Slum Upgrading Forum which included them. in the Mayor supporting upgrading though the creation of an Urban Community Support 8. The community mapping process was part 7. PRINCIPLES. land ownership and acces¬s to basic 1.

non- renewable resources and energy. a refuse collection system. granting of security of tenure and the provision of affordable houses or serviced sites. (ii) the improvement of living conditions: park areas. micro-credits for shelter and latrine construction and economic activities.mit. local and central government. household waste. Mauritania (2002-2011) To improve basic living conditions.pdf 37 . Cameroon (1995-2000) financially and physically). forests.mit. sewage. Priority interventions were the provision of basic services. and public facilities.. air quality. LUSP’s main components were: • tenure security through the granting of leasehold titles. • provision of community facilities (schools. B. • provision of building material loans. waste disposal. markets and health centres).pdf Sanyal. http://web. Policy objectives: • Tenure security through formalisation of tenure rights informal settlement residents. 1987: 287 downloadable at http://www.china-up. and Micro-Initiatives).html Upgrading of Informal Settlements Programme To facilitate the structured in situ upgrading of informal settlements as opposed to (UISP). • provision of essential services (sewer and water mains. South Africa (2008-present) relocation. Zambia (1974-1981) and service system. housing.4: Objectives of Different CWSU Programmes Programme Summary of Main Objectives AFRICA FOURMI (Phase 1): Fonds d’Appui aux To improve the urban environment in the disadvantaged neighbourhoods of five Organisations Urbaines et aux Micro-Initiatives main towns and cities through micro-projects that would create infrastructure (Funds for the Support of Urban Organizations according to residents’ felt needs and in a participatory manner (organizationally. • Improved health through affordable and sustainable basic municipal engineering infrastructure to the residents of informal settlements.edu/urbanupgrading/upgrading/case-examples/overview-africa/ country-assessments/reports/cameroon. NGOs. building social capital through participatory processes. health care.html Nouakchott. http://web. economic infrastructure. • Empowerment of communities to address social and economic exclusion. http://web.edu/urbanupgrading/upgrading/case-examples/ce-MU-Nou. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Box 2. • provision of technical assistance to households for self-construction of homes and community centres.mit. (iii) the conservation of natural resources: ecosystems.edu/urbanupgrading/upgrading/case-examples/overview-africa/ country-assessments/download/ZAMBIA. Lusaka Upgrading and Sites and Services Project To absorb the growing squatter population of Lusaka into a coherent urban housing (LUSP). farmland. access roads. promote employment opportunities and strengthen capacities of CBOs.com:8080/ international/case/case/1548. FOURMI-I had three priorities: (i) the promotion of public health: drinking water.

38 .present) physical infrastructure which is connected to city networks and to improve the socio- economic conditions of slum dwellers. IIED London.4: Objectives of Different CWSU Programmes Programme Summary of Main Objectives ASIA Slum Networking Project. A Practical Guide to Designing.alliance21.in/news. • land ownership granted to slum dwellers at subsidized rates. planotes. India (2011. it may create overlapping and unnecessary competition and institutional uncertainty.gov. Indonesia Objectives started as the provision of basic infrastructure in individual slum (1969-present) settlements (1969-74). India To integrate slum dwellers into mainstream society through the provision of basic. • the relaxation of building norms. The focus of activities is: • improved basic physical infrastructure and social services for individuals and the community.org/documents/plan_02114.pdf Kampung Improvement Programme.1990s). Work with existing institutions and organizational TIP frameworks and tune them to be more efficient and well staffed. and Executing Citywide Slum Upgrading Programmes Box 2. • enhanced community development and community participation • environmental upgrading in the city as a whole.php?id=458). Downloadable at http://www. Ministry of Housing and Urban Poverty Alleviation downloadable at http://mhupa.PDF http://www.org/2003/article2211. Issue 21 (91–96).gov. (1995 . The main focus of the programme was: • the provision of micro-loan finance to households. Rajiv Awas Yojana (RAY). • the self-building of houses. New Delhi. Ahmedabad. • the capacity building of communities to carry out Community Action Planning. The most important focus is the provision of property rights to slum dwellers (See http://indiagovernance. Government of India (2010). Million Houses Programme. RRA Notes (1994). Planning. Otherwise.html Pay attention to institutional and organizational management. Avoid creating an artificial or hybrid agency to coordinate the CWSU programme.in/w_new/RAY%20Guidelines-%20English. Sri Lanka (1984-89) To assist households and communities to build and improve their houses and community facilities.present) To bring existing slums into the formal system and enable them to access the same level of basic amenities as other urban dwellers. grew into the linking of slums to city infrastructure networks (1976 onwards) and became community empowerment and management of integrated neighbourhood development planning (from the mid.

Sao Paolo.pdf . Essential to the programme are: tenure regularization. http://www. land tenure regularization and social inclusion. Brazil To improve the quality of the city’s main water reservoir by redirecting sewage entering (1994-2000) it and improving refuse collection systems. (2002): http://www. Sao Paolo. violence and crime).org/ SHE/22_15_mejoramiento_lima.full. • Slum upgrading (domestic water and electricity connections.org/node/728 Mejoramiento Integral del Hábitat en el Centro To contribute to an increase in the quality of life of families living in the centre of Lima. Municipality of Metropolitan Lima (2006) at http://www. de los Rios. M. • Preservation and rehabilitation of buildings of historic value. Brazil (2001-present) To turn all slum areas in the city into neighbourhoods. (1999).pdf and http://www. community leadership training. employment creation and housing improvement).gob. • Strengthening of CBOs.com/doc/68793862/22- 15-mejoramiento-lima.sagepub.uncrdlac. Almansi (2009) downloadable at http://eau.munlima. (1997. 39 .citiesalliance. formal markets.scribd. environmental problems and Argentina irregular ownership.pe/Descarga/ Informacion%20Institucional/PLAN%20ESTRATEGICO%20PROLIMA%202006%20 -%202035. Peru the institutionalization of strategic and participatory management processes. S. (1996-2010) The programme includes the following components: • Recovery of public space and improved road and pedestrian access through the relocation of street sellers to new. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Box 2. del Pilar.4: Objectives of Different CWSU Programmes Programme Summary of Main Objectives LATIN AMERICA PROMEBA (Programa Mejoramiento de Barrios: To improve the quality of life for the population with unmet basic needs living in Neighbourhoods Improvement Programme). Cities Alliance 2008: 39-54. pdf+html Guarapiranga. through a combination of physical upgrading.com/content/21/2/389. and monitoring of community activities). Cities Alliance (2008: 8) Bairro Legal.present) PROMEBA has two main components: • a social component (promotion of community organizations. • a physical works component (complete neighbourhood infrastructure and property regularization activities). neighbourhoods with insufficient basic infrastructure. Habitat in the Historic Centre of Lima). Histórico de Lima (Integrated Improvement of through actions aimed at solving critical problems of development and human security. • Social programmes (aimed at reducing drug use. physical upgrading and social development (especially the provision of social services and facilities and the reduction of violence and crime). Since much of the impairment was caused by informal settlements built in the water catchment area an upgrading programme was implemented to divert their sewage and solid waste.

as far as possible. Key issues government administration and an improved road that must be considered are: network. Municipal Works the city in question and the stakeholders involved in Department. the list on the left might.g. These principles will reflect values. Slum Community Organization. The matrix is a useful making house improvements) rather than exclude planning tool as it can be used during the workshop or hinder them. Beneficiary selection is an area where slum • Sustainability: programme interventions will need communities can make an important contribution.2. STAKEHOLDERS’ ROLES. Federation of Slum Residents. of course need to be made together with the • Regulations: programme and project regulations stakeholders themselves. The task force women. a programme which includes upgraded to be too low. City Health Department. Solid Waste the process. older women and will need to define which stakeholders are responsible men and women and men with disabilities. • Environment: the programme will be designed and implemented to avoid causing harm to the Note that the stakeholders listed in the matrix will be environment and. improve it. visiting slum environmentally. AND EXPECTATIONS • Target group: benefits will be targeted to include The matrix in Figure 2. Their input is essential to ensure the CWSU programme targets the real needs of the community. • Integration: improvements will not be sectoral but 2. Planning. The decision will. instead read: Again. For example. it may be that educational provision is particularly poor in certain • Finance: the cost of improved services will be settlements and that these communities feel that shared between beneficiary communities and local primary schools should be included in any upgrading government. programmes.3 summarises the main marginalised and vulnerable groups such as components of CWSU (in the top row). It is even better if community members child care facilities and public spaces is likely to are also involved in implementation of what they have Ensure the community is included in consultation when discussing primary beneficiary selection. in access to loans and its proposals for discussion. It should be noted that some combinations of Next. TIP 40 . adapted to the real circumstances. the nature of its components will affect maintenance. In dwellers will be prioritised. they should also be involved in planning different sectors of the population unequally. areas and discussing with residents. and Executing Citywide Slum Upgrading Programmes The programme will be governed by a set of principles benefit women and children more directly than one which should be made explicit and agreed to at this which focuses on improved effectiveness of the local stage. where the task force can present residents’ participation (e. it is easy to understand that Recycling Corporation. which might take place. officials and staff working in social service centres. a decision needs to be made about which slum roles should be encouraged and others avoided. For or the sense of ownership and commitment is likely example. children and youth. A Practical Guide to Designing. be taken into account. involve the full participation of all stakeholders. it should be ensured that if the community that the upgrading be citywide and by no means members are expected to participate in monitoring or exclusionary.5. in a certain city. By naming the prioritised slum dwellers we are in a better position to select programme • Participation: programme and project design will components which will address their specific needs. it will be possible • Transparency: decision-making. By to be sustainable financially. A workshop is useful for and procedures should facilitate men and women this purpose. comprehensive. However. what the precise principles are will depend on Ministry of Lands and Housing. For example. organizationally and undertaking a participatory enumeration. for or will contribute to each of them. RESPONSIBILITIES. Although it is intended particular. and will provide a summary of the main programme responsibilities of all participants. City these issues are sine qua non for the success of CWSU University. planning to identify those sectors of the population who are and implementation processes will allow all most in need or who have special needs which should stakeholders to follow what is being done.

CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION helped plan. NGOs and many other organizations involved in Central (CBO) Local slum upgrading. Materials • the acceptability of designated actors to other actors. community participation in more detail. it is probably expecting too much. For this reason it is worth looking at NGO Etc. COMMUNITY PARTICIPATION The participation of the community in planning. Evaluation For example.5. It can be seen that the scope for participation of the community and Equipment household increases significantly under upgrading. Community members are key stakeholders in the CWSU process and should be involved from the very earliest program design phases. vision & Super- The matrix should be seen as an example that outlines responsibilities which will be detailed in the programme design stage (see next chapter). Finance Figure 2. structure • the special skills that each actor can offer. Criteria for distribution of roles How roles are in fact distributed will depend on a Services Utilities number of considerations: and • the interest stakeholders have in some parts of the upgrading rather than others. development Community Household banks. Infra- • experience and local knowledge which are needed for some areas of CWSU. The community is a potentially Stakeholder enormous asset and is today increasingly recognised as Private Sector Government Government such by governments. as this is likely to strengthen community commitment to the program. financial) at the time they are needed. Labour The position of the roles shown by the dots is only hypothetical but is not very different from what takes place in the two types of programme.3: Partnership Matrix – Programme Level • the stakeholders having the resources (human. physical. While they will undoubtedly want to participate and be willing to take on responsibility they are unlikely to have Monitoring sufficient time to do everything. Organizers should be wary if roles assigned to some actors are too broad.3. technological. design. 41 . if an individual household is expected to participate in or be responsible for all columns in the matrix. Land stages of project: planning – implementation – maintenance).g. Design 2. municipalities. Planning implementation. and evaluation stages is very important. donors. tenance Main- Figure 2.4 shows how the scope for participation of actors (stakeholders / partners) changes between programmes which deliver completed housing units (here called “conventional”) and slum upgrading. • the interdependence of some roles (e.

A Practical Guide to Designing. & Improvement)  Materials Provision    Finance Provision   Land Preparation   Settlement Planning  PLANNING PARTNERSHIP MATRIX Shelter Design  MAINTENANCE Labour   Management   Labour   Community Services   CONVENTIONAL Physical Infrastructure IMPLEMENTATION   Housing (reconst. and Executing Citywide Slum Upgrading Programmes Source: author’s own notes MAINTENANCE Labour    Figure 2. & Improvement)    Materials Provision  Finance Provision  Land Preparation   Settlement Planning   PLANNING Shelter Design  PRIVATE SECTOR GOVERNMENT GOVERNMENT COMMUNITY HOUSEHOLD Elements CENTRAL LOCAL Actors 42 . Planning.4: Partnership Matrix – Comparing the Different Scope for Actors’ Participation in Conventional and Slum Upgrading Programmes Management    Labour    Community Services   IMPLEMENTATION UPGRADING Physical Infrastructure   Housing (reconst.

they have to make. • ensuring that by establishing a strong community such as securing land. and post. evaluation. the organization will determine and and washing facilities). planning. • reducing project costs and. decree or alike. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Definition of participation • ensuring that the improvements which are made Community participation in slum upgrading can be correspond to their priorities (if participation defined as: includes planning and design).5. TIP 43 . planning organization to undertake tasks it would agencies and residents (Skinner. The coordination of the programme and the executive responsibility are best assigned by the Mayor or the highest authority of the city. federations of slum and shack dwellers and the homeless • maximizing the efficiency of project have become important actors in poverty implementation by giving the community reduction. to As for residents. the project area continues to and improving community services and develop even after the withdrawal of the agency infrastructure (such as community toilets staff. managed by women. determining what local improvement priorities are. otherwise have to do itself (especially in labour and maintenance). not all the apparent advantages described and thus expenses by having a community above will be felt equally by all governments. Latin America the community leadership. • for community politicians. and the Caribbean. committed and effective leaders and organisers as can be seen in Box 2. upgrading homes organization.. These are founded on savings organization those functions which it can groups in local neighbourhoods.5: The Importance of Women in Urban Slum Dwellers’ Federations • increasing political or social control by co-opting In 15 countries of Africa. they created not only manage savings and credit but also undertake many initiatives. persuading residents to participate and policing The savings groups and the Federations collective activities). supervision. some of the main benefits they may facilitate exchange programmes and their perceive in participation can be listed as: negotiations with international agencies. When talking of residents we should be aware we are talking to women and men and not only men. a process in which slum residents significantly • with an organization which persists after the influence the decisions taken about project design withdrawal of the official agency. these undertake new projects which it will be able to Federations visit. Do not start the programme if roles and responsibilities are not defined by an executive memo. initiated and often fulfil better than the project agency (e. learn from and support each implement and manage largely on its own.g. therefore. It is important to have this clear right from the start. with reduced dependence on outside agencies. implementation stages (operations and maintenance). Asia.. • making political capital by demonstrating the people and the government are working hand-in- hand. They have formed a network called Slum/Shack Dwellers International (SDI). establishing some local autonomy in development timing. • the saving of the agency’s scarce human resources Of course. Box 2. 1983: 126-127). other. participation The importance of participation may provide the basis for local power in the The benefits of community participation can be community organization and the fostering of summarized as follows: patronage relationships with city politicians. repayments contd. • promoting social development by increasing local Women have often proven themselves to be extremely self-reliance. In addition. the chance of and implementation including identification.

000 preferences will enhance the likelihood that plots. 54. post-project operations and involved in the design to ensure that their needs maintenance): are met – for instance by providing separate toilets and queues for women and men. This can be done in community washing and toilet blocks serving hundreds of meetings in order to get overall agreement on thousands of people. are.” house enumerations to gather the information Having community meetings at different times of the and develop the maps required to support day. Poor intermediation and poor The first women-led slum dweller Federation management of the project cycle may mean that originated in India. services for thousands they will participate in implementation and in of additional plots. Not ensuring that all participate often keen to join once the construction phase runs the danger of prioritising some residents’ views begins. These risks: mainly arise from poorly conceived or poorly managed participatory initiatives. toilet blocks. the authors believe that upgrading is these areas men had given up. Women now form the majority of severe loss of credibility…another risk is that a the leaders of many slum dwellers’ federations. women’s safety Residents are the best placed to decide what their is explicitly considered in design discussions. based on savings groups stakeholders’ expectations are first raised and then formed by pavement-dwellers in Mumbai in frustrated by long delays or changes of approach. priorities will have to To date. outweighed by the benefits. This situation women began to want to join other community is unfortunately all too common and leads to a organisations.000 houses. Box 2. needs and priorities are.g. the SDI be established. ranking of settlement priorities. real risks to participation. and over 600 communal maintenance. If the upgrading budget is limited. 1986 and was named Mahila Milan (Women compounded by lack of information on their Together). providing transport for the disabled or elderly. In constructing community throughout the project cycle is very broad (design. however. in a site and service area will know best what their The main cost may be seen as the time and expense housing needs and preferences are. as it usually is. it is important that the lead in Federation initiatives to acquire all community members are able to participate. and Executing Citywide Slum Upgrading Programmes may paralyze it. over others with the guise of being “participatory. regarding formulation and preparation phases.6 shows an example of community participation Imparato and Ruster (2003: 15-16) point out that there in re-blocking in South Africa. in part because in However. women’s savings groups are implementation. Women-dominated savings groups also take Although participation is necessary. Planning. across fifteen nations. impossible without participation 2003:37. For new housing having special sessions aimed at children are a number programmes. Without competent intermediation. and and develop land for housing. came from the lowest-income and most socially marginalised neighbourhoods. The savings groups carry out house-by. In the • Identification of needs and priorities development of neighbourhoods. including planning the layout with architects and choosing The scope for community participation building materials. the design and construction of houses. Project staff entailed in setting up participatory processes and from the socio-technical support unit can assist the additional staff time required for the programme them with construction advice (e. and the proposal for upgrading. even if men are not just a select few. Respecting the community’s Federations have secured a total of 108. A Practical Guide to Designing. the conflicts of interest that arise during a project 44 . While there extending the house) or by adapting standard is some truth in this most agencies working with plans for new houses or core units to residents’ participatory processes see any costs as by far preferences. Adapted from: Patel and Mitlin (2011) • House design and settlement layouts Those who are living in an existing house or those Along with benefits one should be aware that there who are to be resettled and who are going to live may be costs whether these are real or only perceived. for example. project may be hijacked by political parties or Many of the most powerful women leaders special interest groups. cause or discussion of alternative remedies to the As a result of their membership in savings groups situation with the stakeholders. it includes their engagement in of ways that ensure that everyone can participate.

Re-blocking map drawn by Thorsten Deckler.za/sites/default/files/Informal%20 for participatory slum upgrading. Over a period of seven weeks the area was mapped in detail and a re-blocking proposal made which was discussed and approved amongst residents.aspx 45 . as well as to African government towards mass housing representatives from the various participating for the poor which started with the National NGOs. and was involved throughout as was the NUSP. various experience in upgrading. Alex Opper based on student / resident collaboration University students and Ruimsig residents working together The plans did not remain as academic during university studio.6: Participatory Planning with Community Architects in South Africa Informal Studio: Ruimsig is a practical Master’s degree project in Architectural Technology at the University of Johannesburg. aspxInformalStudioRuimsig. Studio_%20Ruimsig-A4. The re-blocking map showed how small Aerial photograph: Ruimsig Prior to Re-blocking. 2010. project partners and officials Upgrading Support Programme (NUSP) in 2008. It is a project in which 16 students.uj. The course helps prepare architects and planners Sources: http://informalcity. support of the participating NGOs. reduce overcrowding. Photo: Thorsten Deckler exercises but were implemented with the The project was based in a community building.pdf http://www. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Box 2. NUSP. For the university this exercise was a means were drawn up in the same collaborative of linking theory and practice. Photo: Azur adjustments in layout can lead to a more equitable distribution of space.za/EN/Faculties/fada/departments/ The City of Johannesburg supported the process architecture/Pages/InformalStudioRuimsig.ac. It was also a manner and presented to community leaders response to the new approach of the South and residents of Ruimsig. and create of space for recreational facilities. water and electricity supply. In addition. their supervisors and experienced NGOs worked together with 8 community members (or ‘community architects’) from the small Ruimsig informal settlement in the city of Johannesburg to produce a plan for the settlement’s upgrading.co. roads and future provision of sanitation. proposals for short and long-term upgrading and sustainable growth of the settlement. from the City of Johannesburg. 134 Here the data collected by the community – structures were relocated to better locations student teams were analysed under the guidance in the settlement and / or were upgraded as of grassroots organisations and NGOs with part of the reblocking.

g. • Social infrastructure guarantee funds to attract private bank lending In Villa El Salvador in Lima. 2008: 8). Where cement is unaffordable small the target population rejected the housing credits or grants could have a significant effect on units which were offered. satisfaction when technical assistance and Residents who want their houses built prefer them participation are allowed and spatial and to outside contractors because they feel they comfort aspects are addressed.8). In the Baan Mankong CWSU programme in Thailand there are many ‘community builders’ This process demonstrates the difference in who are contractors from the community. • Land • Building materials production Residents can help identify owners of plots in Traditional materials can be produced by many upgrading areas where ownership is unclear. The project will not be cheated and they also cost half what proved acceptable although it faced severe external builders charge (CODI. ability to pay. may also give training if technologies are not yet well known. After completion that he could with stabilised soil blocks using of the resettlement of around 2. They had not been improvements. For example. traditional materials may not always be the best solution for residents and the socio-technical Land preparation can require heavy equipment support unit has a role to play in advising but where physical labour is required residents can home improvers of the availability of affordable alternatives or modifications of the traditional materials. These identification in case of dispute.5) as well as by the community). the community banking (internal savings managed building of a pharmacy – see Figure 2. the man making soil Box 2. Communities in many countries have shown they are able to manage variety of aspects Source: Magalhães & di Villarosa. ignores the community’s organizational and supervisory resources. and preferences and discussed the designs with • Construction the affected families. into account family composition. The implementing agency agreed.000 was available per unit) but user participation achieved a more • Management and decision making suitable design result. However. A Practical Guide to Designing.6) knew Housing Design in Brazil that he could not construct a second floor to the The Bacia do Una programme (1993-2004) was house he was building with these blocks and implemented in Belém.000 families cement. constraints (only USD 2. revolving funds (using internal or external funds and managed by CBOs). school classrooms. Brazil. The socio-technical support unit involved during the design stage. These have been explained in financing the construction of a small number of more detail in Chapter Three (section 3.7) • Physical infrastructure • Finance In the Community Infrastructure Upgrading CBOs in many countries have shown that they Programme in Tanzania residents committed can serve as generators and managers of slum themselves to contributing five per cent of the upgrading funds. This will cheapen the cost of upgrading socio-technical team will then need to verify the if permitted by local building codes. and Executing Citywide Slum Upgrading Programmes In some cases upgrading cannot proceed without often provide it (if they consider it to be a priority community participation as shown in the case of the or if they are paid). internally). Bacia do Una project in Brazil (see Box 2. This is often incorrect as it community. medical services were to communities for upgrading (external) and provided with major community inputs (e. In the Luanda Urban Poverty Programme in Angola the programme included 46 . These include mechanisms capital cost of neighbourhood infrastructure and such as savings and loans schemes (generated 100 per cent of its maintenance costs. The residents. The issue was resolved with the assistance of the Urban Reform Programme of the • Labour Federal University of Pará (or PARU UFPA). The Unskilled labour is what is often considered residents asked the University to develop a new to be the community’s main contribution to project and provide technical assistance to the implementation.7: Resident Participation Improves blocks in the traditional way (Figure 2. 2012: 32 of upgrading. Planning. labour is an The PARA UFPA team prepared studies taking important resource.

process.. of the upgrading process. Community pharmacy built with community funds. The same is true of building The “people’s process” involves the residents of materials.list.. follows: contd.” It is based on evolving professional org/bp/bp. but can be gradually improved over time. Villa El Salvador (right) a community management model for the water Box 2. it can be Above we mentioned that service levels need not applied in all communities where development always be of the highest standard from the start needs are substantial.8. results faster. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Figure 2. communities themselves have of a conflict or a disaster. 2007: 5) in Rio de Janeiro (the Favela Bairro programme) and Ahmedabad in India. development process: Residents themselves are best placed to decide what service levels they can afford. Social mobilization is taken on the responsibility for the operations and practiced in many different ways by development maintenance of citywide slum upgrading such as practitioners.” (UN-HABITAT. They should “. This is the “people’s maintenance and repairs (http://www. community participation in settlement and citywide upgrading is that of UN-HABITAT’s The main characteristics of the process are as “people’s process” which is explained in Box 2. In this way it is expected that the community will be empowered to take control of its own A coherent and comprehensive approach to development.details. Lusaka Photo: © Reinhard Skinner (left).5: Trench dug with community manual labour. 47 . while at the same time enhancing their solidarity and capacity to undertake • Maintenance development initiatives.. This action is one of the Chapter Five covers this subject in detail. they may start out being temporary a poor community taking charge of their own and will graduate into more permanent forms. in the communities that take charge of their also be permitted to select the building materials own recovery will make informed decisions. Communities selected the site for water stand pipes and their Water Based on its worldwide experiences in slum Management Committee assumed overall upgrading UN-HABITAT has developed a responsibility for its operation and maintenance community based approach to housing and as well as setting user fees to meet the costs of settlement development.8: UN-HABITAT’s “People’s Process” supply component. In a large most effective means of overcoming the trauma number of projects.aspx?bp_id=1121). norms and has been developed furthest in post-disaster standards and post-conflict situations.unhabitat.. However. and achieve better references.. which best reflect their payment capacity and reach sustainable solutions. thinking since the first United Nations Conference on Human Settlements in 1976 and • Establishing service levels.

a community organization will be plan.apart from community organization’s own settlement level but can be scaled up to achieve members . dominate or control the process which must be demand. In the assist in drawing up detailed designs and costings support paradigm people are in control and are for the selected actions. The community will also supervise to be facilitated by the project agency or an NGO the execution of the works since they have the the first time it is tried. Participants in the CAP workshop will usually The “people’s approach” need not stop at be . The following three conditions. non-community actors are created with the support of the implementing expected to contribute and to facilitate but not to agency or strengthened if it already exists. decide on a preferred set of action (taking into account the In the control paradigm development is driven by advantages and disadvantages of each option) the authorities. to produce a well-considered necessary. ideas and skills it for meetings and collective actions as well as of all the relevant actors are taken into account representing it before outside authorities. However. 2010: 4 Contd. define different ways of solving them. organizations which will possess the resources to probably and preferably local construction groups support actions decided upon by the community. project staff. greatest interest in their success and live nearby. legitimate community organization to convene This will ensure that the interests. the Local however. the implementing agency will facilitate a community action planning (CAP) process The figure below illustrates the difference in which community members produce maps between a conventional planning process in and descriptions of their settlement (social which the authorities take control and the mapping). been drawn up the community organization takes government authorities and development partner charge of implementation by hiring contractors. A Practical Guide to Designing. a community needs a representative and Authority and other organizations concerned.8: UN-HABITAT’s “People’s Process” First. “people’s process” where residents take the lead.(or people-) driven. The “people’s approach” does not mean that the people have to do it all on their own. As such they are at the centre of and plan and organize the implementation. Planning. 48 . placed at the centre of the process of decision making and action. Where and. When the CAP has taken place and the plan has There an important role for professionals. the process which is designed by professionals Professionals such as architects and engineers will with controls established by bureaucrats. supported by the authorities.. identify and prioritise its problems. groups in the settlement. and Executing Citywide Slum Upgrading Programmes Box 2. Second. in that way. under “community contracts” signed between it and Indeed. the community action planning will need the contractors.representatives of the various interest greater impact.5: Contrasting the control paradigm with the support paradigm Control Support Source: UN-HABITAT. apply: Figure 2..

how to organize teams delivery ignore payment capacity. Planners are unlikely to detect these important segments of the population unless they talk to communities. not pay. the disabled and half the slum population represented by women. UN-HABITAT (2007: 11-12) has shown that the establishing federations of community “people’s approach“ is quick and is conducive to organizations at city and national level and massive implementation. sufficient attention to what residents want they can hardly be expected to maintain them.16 the people’s process as the main methodology of settlement development or. in post-disaster Sources: UN-HABITAT (2010e). organizations have. if improvements have been made without • how to identify and access funding opportunities. • Residents stop paying: if upgrading does not reflect community priorities or standards of service • management skills (e.g.6: Fabrication of stabilised soil blocks in Kissy. • administrative skills (e. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION 1. residents may effectively. • writing proposals and plans. Figure 2. Sierra Leone © Reinhard Skinner Constraints on community organizations’ ability to participate What can go wrong if there is insufficient Many community organizations will lack some of the community participation? skills required for effective participation. Policy changes: governments need to adopt houses were completed in a 4 year period. book-keeping). reconstruction. Without it things can go badly wrong. UN-HABITAT (2007) and –conflict situations. Attitudinal changes: professionals and who were tasked to support families to rebuild decision makers must accept that community their houses to earthquake resistant standards. • monitoring and evaluation. The following are some common examples of this: • understanding of planning procedures and techniques. Empowering people to create a movement should be taken to ensure marginalised and through methods such as facilitating vulnerable groups are included in upgrading the horizontal exchange of community and reconstruction plans. It is easy for plans to make general assumptions about slum populations and not seek out the interests of the most vulnerable such as young children.000 3. conflict resolution). • The community does not maintain project benefits: again. Vulnerable groups are marginalized: without intending to do so planners can ignore the most vulnerable. organizations so they can learn from each other as well as exchange visits to other countries. 49 . These will Upgrading can be done better with community commonly fall into the following areas: participation. In Pakistan’s Post Earthquake establishing community banking to pool Rural Housing Reconstruction Programme the community resources. Care • Residents encroach on public spaces: respect for private and public spaces and keeping the two separate depends on the community’s acceptance of how the space has been planned as well as on a means to enforce this separation. This is examined further in Chapter Five. Where the community has not been involved in planning they will not offer the control that they are best able to provide. UN-HABITAT carried out a massive information sufficient capacity to address the problems they and training programme for the homebuilders and face and that their own most useful role is to artisans and developed technical guidelines were facilitate and support rather than to dictate and developed for standards that are affordable and also prescribe.g. for local construction technologies. youth. approach was adopted by all development partners 2. including holding conversations directly with them. Over 460. or can easily develop.

but also with empowerment of women. this information must be French. not need to be justified. about the location and effect of possible changes such as re-blocking. Some of the techniques can also be applied at programme level in such exercises as city The general information which was used in making consultations (e. The approach links the by developing capacity. etc. approach that merges many of these participatory tools and links a wide range of stakeholders whilst When programme partners have been identified and retaining the community at the centre of upgrading agreed on their roles within the programme it will be decisions.1: Techniques for Participatory Planning Name of Brief Description Possible Uses in Slum Upgrading Technique Transect walks Systematically walking with a guide through an To determine the best location of a project component such as area. The strengths should be used. A Practical Guide to Designing.g. Techniques used include are and where there are gaps. mapping. activities of the programme. Maquettes A form of model which accurately shows settlement To facilitate discussion with groups of residents or individuals features such as topography and structures. All ideas views are valid and do of selection.1). Frediani and Nunez (2011: 51) describe an supplemented with site specific data (see Section 3. Modelling Rough models made of wood. the opportunities exploited and the threats defended against. children Table 2. effort to achieve sustainability and scale-up upgrading plans whilst retaining community involvement. For on unexpected replies. dwelling (house) scale. models. Semi-structured Using a short mental or written list of topics as a To find out what key persons in a community think about an interviews basis for open-ended interviewing and following up issue. initial contacts with participating parties needs to be However. For example. which project components should be included or how best to address a problem issue. the local government. it is at project level that the most specific supplemented to allow for the assessment of the three data will be collected. SWOT analysis Small groups analyse the strengths. example. and the city scale (institutions and policies) in an capacity development of partners. Change by Design: Building Communities time to analyse in more detail what their capacities Through Participatory Design. regarding physical project components. drawing identified training can be provided as one of the and interactive street installations. The three pillars are the organizational capacity (technical.5. Later. The table is not exhaustive and many other techniques social and financial) of the actors. Planning. and Executing Citywide Slum Upgrading Programmes Where these weaknesses exist the project should assist and people with disabilities. whether or not an intervention is deemed successful and why. The group may provide insights into aspects of an would be. Brainstorming A discussion with a group of residents in which To gather as wide a range of ideas and suggestions as their initial opinions and reactions are asked for in possible in order to later analyse and group them for purposes an open-ended way. an intervention. water post or road.1 presents some techniques which can be used 2. neighbourhood (settlement) the CWSU programme should include a component of scale. pillars upon which the programme will be built. weaknesses addressed or avoided. with all residents. When these gaps are observation. investigating the reasons and probing for proposals. talking to people who would be affected by school. To identify an economic development strategy for a settlement opportunities and threats affecting an organization or to improve the effectiveness of a community organization or or community. Focus group Small groups of people sharing some characteristic To discuss with women or youth what the possible or desired discussions are questioned about a topic and allowed to discuss impact of a community centre or shared water standpipes it. 50 .9.4. As we will see in Section 3. issue they consider most relevant. Techniques for participatory planning Table 2.17 and the availability of land (including its tenure and legal status). defining improvement priorities. weaknesses. interviews. To show the preferred relative size. to make the planning of a slum upgrading project THE LEGAL FRAMEWORK AND LAND participatory. plastic clay. brainstorming and SWOT analysis). PREFEASIBILITY STUDIES: ACTORS. the legal framework exist which may be applicable to a particular project. number and location of produced by residents to portray their preferences rooms in a house which is yet to be built or extended.

Micro-planning A small group of residents holds a workshop This technique has been designed especially for settlement with a small team of experts for a few days using level upgrading. Important questions regarding land slum dwellers’ organizations such as those who tenure and availability must be considered: does the are potential partners in citywide slum upgrading state have power to acquire the land compulsorily? programmes. What will be the cost of paying compensation? What is the availability of suitable public or privately owned land which can be used for relocation. to be aware of for different purposes. develops overall plans and action plans plans. It covers all and any aspects of upgrading. women. have valid inputs to make into the process. first to know what is possible under understood. key problem and its causes. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Name of Brief Description Possible Uses in Slum Upgrading Technique Problem / Groups of people identify problems together. widespread mutual help labour contribution. on a group basis by community self-help inputs were limited to a few replacing shared with individual water supply areas in which residents were organized to take and on an individual basis by constructing their over some of the least skilled aspects of a job. 1970s it was hoped that residents would large scale in the case of roads and utilities. 1989) and for formal tendering procedures.net/methods/microplanning_ workshop. Organisers should ensure that the complete TIP population is engaged during the participatory process. the disabled. which it submits to the PMT to consider for inclusion in the settlement’s upgrading plans. and utilities and infrastructure.9: When participatory programmes go wrong In the Lusaka upgrading programme in the Most infrastructure was installed by contractor. The first is to undertake the what advocacy may be necessary to build into the upgrading itself. If included. second. 51 .10) by infrastructure. etc. by World Bank requirements for rapid disbursement of funds and implementation (Rakodi. In several countries legislative change ownership may determine the feasibility of providing has been successfully achieved (see Box 2. The programme will need access to land existing conditions and. if they are not sought out and made a priority. All residents. implementation by specialist agencies in addition to actions undertaken by the community.php Box 2. if necessary? It is important when undertaking a participatory planning process to seek out people from all different parts of the community. the elderly. The objective tree is a similar identification of desired outcomes. does a based planning neighbourhood and links it into local and national situation analysis. finding The two types of tree are useful inputs into project planning at objective trees the links between the problems and locating the its problem identification and design stages. mainly newsprint and marker pens to draw charts.communityplanning. small participate as a community in the installation of scale in the case of community buildings. Micro-planning entails members of the socio-technical team diagrams and plans Residents prepare plans and joining community representatives to work out a plan together decide on the programme’s content and structure which would then be adapted as required for purposes of themselves. which they could then use for a infrastructure installation was prohibited community project of their choice. The legal and regulatory frameworks also need to Next. The status of land occupancy and programme. http://www. the CBO and PMT agree the means of implementation. children. men. own houses. They also each may have varying degrees of opportunity to voice their opinions. Community The community carries out planning for its A community based organization holds meetings. in return for building materials to the value of the In practice. links made between them and the means to achieving them agreed. generally trench digging for drains or water supply. the supply of land needs to be analysed and be understood.

This is an important example because the Namibian Source: McLeod. supported by their accepted that building standards would take time NGO the Namibian Housing Action Group. Limited resources mean control  accessibility and transport (road levelling)  it will usually be impossible to achieve all goals at once water and sanitation  street lighting and domestic and upgrading will need to be phased. The problem was that this When families were relocated from alongside did not meet local building bylaws which limited the railway tracks in Mumbai’s Urban Transport ceiling height to nine feet. For example a typical sequence of medium. the local authority The Namibian Federation. programme and serve as a sign of good faith. The fourteen foot rather than 225 sq. construction of a mezzanine floor (or loft). CWSU actors will require capacity development and some elements of the programme which depend on Impact and visibility: highly visible improvements the increased capacity of these actors will need to wait at an early stage may help create confidence in the until training is under way. Box 2. The Indian Federation. available immediately and upgrading work will need to be matched to when it is. should be carried out first and which later. Windhoek: settlement in Buenos Aries. particularly for wall was eventually officially sanctioned after families whose previous option had been to live four years of persistent lobbying by the Slum in 80 sq. In Huruma. foot houses immediately adjacent to the Dwellers’ Federations and Mahila Milan as well danger of the rail tracks. Priorities: needs and priorities at settlement level need to be balanced with the priorities of the city as a When the participants are ready: some of the whole. Barrio San Jorge. an informal The Namibian Federation. inviting professionals and officials to come and discuss the Pamoja Trust. 52 . by building the first transit This design innovation had been tested in a camp themselves were able to demonstrate variety of upgrading scenarios including high to state officials and to the World Bank that a rise construction.5. the City Council took a One of the important features of the models. Mumbai: increase in the cost. Nairobi: designs that they had created. Planning. Here are some electricity connections  solid waste collection  guidelines when deciding which elements of CWSU community level facilities. were to improve and they tied allocation of secure able to persuade government to reduce plot tenure to improvement in standards over a time size requirements so that developments would period acceptable to families living in the barrios. Note that all cities are different so the answers will not all be the Funding flows: not all funding commitments will be same. be affordable to Federation members. Programme they needed transit accommodation. nearly doubling the available living space for only a 30% The Indian Federation. 2003: 15-16. PHASING THE CWSU PROGRAMME Settlement design and engineering: technical considerations mean some improvements have to The CWSU programme should be seen as a precede others. To achieve this the Council made the with a sloping roof. house models and later full size models. However at each stage there reduced spatial standard of 125 sq feet per family was a battle with officials. was a fourteen-foot back wall residents. They constructed small-scale cardboard requirements that were considerably larger.5. A Practical Guide to Designing. as considerable financial resources to produce practical demonstration models. that similar approach accepting that plots would need were eventually judged to be both acceptable to be reduced in order to accommodate all the and affordable. women pavement dwellers in Mumbai Federation and the Windhoek City Council took who had formed an organisation known as a collective risk in establishing a new standard Mahila Milan began to dream about improved for plot sizes in spite of national plot size housing. and Executing Citywide Slum Upgrading Programmes 2. ft worked well. one of the Nairobi slums where the Pamoja Trust works.10: Successful Campaigns by Slum Dwellers’ Federations to Change Planning and Building Standards In 1987. Buenos Aries: In Argentina. This feature allowed for the area a special development area.or long-term process in which incremental infrastructure delivery would be: drainage and erosion improvement is contemplated. in Barrio San Jorge.

tenure advisory services. One way to overcome this is to ensure that the programme be 4. improvements will be important. turning the settlement income generation can start by supporting existing into a ‘quick-win’ for programme output. BE UPGRADED FIRST? 6. for example. In the Favela Bairro Programme Some general criteria will identify settlements to be in Rio de Janeiro the ideal size was between 500 excluded from upgrading. The public profile of the settlement: it might be politically advantageous to show that a 7. what starts out as an integrated programme extremely needy households? may end up becoming piecemeal. India all considerations are important to determine slums are eligible but communities are expected whether small settlements can be upgraded or to form an association and indicate commitment large settlements are included in the programme. CBOs and slum upgrading responsive. WHICH SETTLEMENTS SHOULD overall formal city systems. connectivity. Larger 5. Proximity to trunk infrastructure: this integrated from the very start even if this means starting allows for cost efficiency and easier solutions in at a micro level and developing slowly. There is no universal to other measures: ‘ideal’ size. will only be forthcoming when land has in terms of coordination and community cohesion. This criterion is cities will need to develop their own criteria to reflect their unlikely to lead to upgrading favouring the poorest own priorities. increasing its chance of success. The tenure status of the targeted slums and the land tenure laws must be fully confirmed and understood. but may be an overriding consideration if representing the interests of residents will make political influence is brought to bear. Proximity to other settlements to be scale training and credits can come later. An ideal size or range per number of costs. Active CBOs mobilizing and representing particular settlement is being improved. and and security of tenure may determine this choice. microenterprises by helping them identify markets and improve their cost control on a one-to-one basis.000 households. as well as the other criteria away. For Or does the settlement concentrate many example. listed here. cannot happen right and housing types. Need and level of deprivation: is improvement an urgent need for reasons such as manageable The danger of phasing improvements: phasing environmental hazards or unhealthy conditions? of improvements carries with it certain dangers. and integration of slums into the 2. 1.6. TIP 53 . legitimate and legally established CBO make. 3. In an 2. by payment of a small fixed contribution per The size of a settlement has different cost household to cover both overall and maintenance implications. objectives and resources. This is not the interests of all residents: the existence of a choice the technical staff of the task force will an active. normally leads to well-established post-upgrading community-based management processes. infrastructure provision. The implementing agency will also need to consider what size allows it to achieve Some things happen later: property tax. For example. though they may be subject and 2. Ability to pay: if cost recovery is a key concern for There are some general criteria for selection of settlements the programme the ability of residents to pay for which are likely to be applicable in most cases. In addition. upgraded: this allows for improved city planning. but it can help reduce pressures of gentrification in upgraded settlements where households cannot General criteria: afford an upgraded environment.5. been regularised and cost recovery will follow the installation of services. participative and active community mobilization for improvement consultative. The size of a settlement: technical upgrading programme in Ahmedabad. households or number of residential units may be a useful criterion. for economies of scale while remaining manageable example. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Some things take time: setting up new systems and between settlements and will be determined by structures such as credit funds and technical and social many interrelated variables such as density. The preferred population size will vary The issue of land tenure is one of the most important elements to confirm before the program moves forward.

temporary materials (katcha houses) and the nature of water supply. Otherwise. Burra (2005: 81) has suggested six other areas where funding is needed if slum upgrading is to be carried out at scale and these should be included in cost estimates: Before making any intervention a comprehensive settlement design (area-based plan) must be made and agreed. Davidson and Payne These are applied by means of the following matrix. • if the site is illegal or occupancy is contested in court by legal owners and it seems unlikely that The criteria and system for scoring used in Jakarta this can be changed or resolved during the period in the Kampung Improvement Programme (KIP) was of the upgrading programme. expropriated or constructed for it which is calculated on the basis of: compensated. THE FINANCIAL STRUCTURE the criteria in the Argentine PROMEBA Neighbourhood Upgrading Programme are settlements where there At this stage the programme needs to: are at least 50 minimum-income families with unmet basic needs who have lived in the settlement for two • Make an estimate of how much the programme years or more. is used in Hyderabad. criteria and shows how they were scored according possibly by opportunistic households squatting to to most and least favourable: 3 points for most benefit from programme investments. then this cost must be budgeted for. Planning. objectives and resources. 54 .5. the proportion of the population which belongs Infrastructure: What is the cost of providing different to the legally recognized especially vulnerable groups levels of service to target populations? of “scheduled castes” and “scheduled tribes” and the level of literacy.g. At the present stage of initiating the programme the key criteria are poverty and lack of infrastructure. this must be budgeted for. India. The top left cell indicates the • if the land on which the settlement is located is highest priority. scoring highest on the combined indices are prioritized as shown in Figure 2. the proportion of families living below the poverty line.000 (with the exception of the capital Buenos Aires and its metropolitan region) and that • Identify sources of funding. where out. 1 for least. more than 20. situated in localities with populations of will cost. you may risk wasting resources when the plan is defined and planners realized that water pipes are laid where new houses need to be constructed. This primarily involves the delineation of what is public and what is private space and defines the urban configuration and street network. Calculations of costs can only be accurately made later A more recent approach. endemic flooding).3 provides an outline of selected • if the site has only recently been occupied.7. Table 2. Phased works can then be implemented following TIP this plan. and 2 for an intermediate situation. For example. and Executing Citywide Slum Upgrading Programmes • if the settlement is precariously located (e. An infrastructure deficiency index is Buildings: If relocation is considered and building new constructed using the parameters of houses built with houses is needed.7. (2000: 13) recommend particular care be given to: Each slum is numbered and a poverty index Land costs: If land must be acquired. within the programme. meet the conditions described in Table 2. favourable. Do not invest in basic infrastructure provision and the laying of pipes and networks without a settlement plan. Since the slum upgrading programme reserved for alternative uses which will benefit the has a five year duration the priorities are similarly city as a whole. The eligibility conditions must be met in two phases: (1) • Set the general rules and principles for financing preliminary project for commitment of federal funds. based on over 15 criteria that were weighted and scored. general estimates are sufficient. unsafe or subject to slum number is entered into the matrix and slums environmental problems (e. A Practical Guide to Designing. The weighting allows for adjustment City-specific criteria depending on the overall importance of criteria. drainage and roads. and (2) final design for contracting the works. 2. When the calculations for each have been made each on steep gradients).2 below.g. under the Rajiv Awas Yojana when feasibility studies of individual slums are carried (RAY) Programme. Each city is likely to have specific criteria to reflect their own priorities. sewerage. phased: top priorities are addressed first and the lowest priorities at the end of the programme.

occupants. paying loans with 25 percent of their income. Technical and • Neighbourhoods must be located within the urban • Investment costs must not exceed the following economic boundary and connected to the urban centre by limits per plot: means transitable at all times. • Agreement to transfer services to providers and commitment by the latter to take over operations and maintenance.18 Figure 2. • Residents must have lived in the settlement for two • A relocation plan has approved by the beneficiaries. compromise areas of ecological importance. Legal • Neighbourhoods must be located on land that is • Land ownership must have been legalized to permit publicly owned or that has been acquired by the the process of issuing individual titles. it must be feasible to equip the neighbourhoods with drinking water. Supplementary funds must be provided to house relocated families. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Table 2.7: Prioritisation and Selection of Slums for Upgrading in Hyderabad. Environmental • The neighbourhood must not be highly vulnerable to • Environmental data sheet and environmental natural or anthropological problems and must not management plan has been approved. • Evidence that environmental studies have been published.300 must not exceed 10 percent of the number of families living in the neighbourhood.500 electricity and sanitary solutions (b) Water and sewer systems US $ 1. Institutional • A fund transfer agreement must have been signed • Agreement with the Province on project cofinancing and financial with the Province. years 75 percent of residents must have shown their • 70 percent of the households must be capable of agreement with the project design. Source: adapted from Brakarz. 2011: 72. and execution. India 1 2 3 4 5 6 7 8 1 Infrastucture Deficiency 2 3 4 5 6 7 8 Poverty Index Source: Subhani.700 • The number of lots developed under the programme (c) Street and drainage system US$ 2. (a) Total investment US $ 6. (2002: 110-114).2: Project eligibility criteria used in the Argentine PROMEBA upgrading programme Phase I Phase II Social • 75 percent of the population must have unsatisfied • An accompanying social programme must be in basic needs progress. • Community mobilization and consultation • Finance and guarantees for scaling up • Exchanges: sharing knowledge and experience • Pre-finance and guarantees for accessing loans • Pilot projects/precedent-setting activities • Pre-finance for accessing subsidies 55 .

It should also be integrated with national housing policies and approaches. roofs. strategic plan. A Practical Guide to Designing. price often managed by a bank and funds for infrastructure by and location). Table 2. While Consideration also needs to be given to which national housing policies define the overall framework stakeholder will manage funds. donor agency. For example. building and actual physical involvement such as in the Baan Mankong programme in transformation takes place. doors have 1/3 permanent between 1/3 and have more than and windows materials 2/3 of permanent 2/3 of permanent materials materials Income group Average income in all More than 2/3 of Between ½ and 2/3 Less than 1/3 1 settlement families have less of families have less of families have than average income than average income less than average income Demolitions Number of existing Less than 103 10-201 demolished More than 201 4 houses to be cleared demolished demolished Flooding Not included as all sites subject to flooding are to be redeveloped 0 56 . typology. Indonesia Tests Criterion 3 2 1 Weighting (most (least favourable) favourable) Gross residential Area divided by More than 600 300-599 persons per Under 300 persons 3 population persons per hectare hectare per hectare Attitude of Positive attitude 2/3 of people want Few people want People resisting 1 residents to improvement improvement improvement improvement Building Permanent materials in 2/3 of buildings 2/3 of buildings have 2/3 of buildings 3 condition walls.3: Selected scoring and weighting factors for selecting settlements for upgrading in the Kampung Improvement Programme. COORDINATING CWSU WITH OTHER of programme partners and is likely to consist of a CITY PLANS AND STRATEGIES combination of the state (ministries or municipality). standards. floors. India PRIORITY MATRIX 1 2 3 4 5 6 7 8 1 1/1 2/1 3/1 4/1 5/1 6/1 7/1 8/1 Infrastucture Deficiency 2 1/2 2/2 3/2 4/2 5/2 6/2 7/2 8/2 3 1/3 2/3 3/3 4/3 5/3 6/3 7/3 8/3 4 1/4 2/4 3/4 4/4 5/4 6/4 7/4 8/4 5 1/5 2/5 3/5 4/5 5/5 6/5 7/5 8/5 6 1/6 2/6 3/6 4/6 5/6 6/6 7/6 8/6 7 1/7 2/7 3/7 4/7 5/7 6/7 7/7 8/7 8 1/8 2/8 3/8 4/8 5/8 6/8 7/8 8/8 Poverty Index Source: Subhani. 2011 Funding is likely to be provided from a combination 2. Thailand (Boonyabancha. Agreements need to be made and and should be fully integrated into the city’s overall signed about who will provide what. private sector and beneficiary CWSU is part of the municipality’s housing programme communities. it is at the city and municipal level the municipality but there is also scope for community where investments. 2005: 45-46).5.8. It is possible that this will and programmes to bring housing options to scale fall to more than one. Planning.8: Priority Matrix Used in RAY Slum Upgrading Programme. and Executing Citywide Slum Upgrading Programmes Figure 2. housing credits are and diversity (in size.

planning umbrella as other programmes from the start. This and comprehensive in nature. the city core. • Disseminating information to populations as a once in the plan.20 Box 2. Make sure that the eligibility criteria are made public before the programme starts so that manipulation and opportunism is minimised. CWSU programmes also provide for the backward and forward linkages of the housing sector with other parts of the economy. development strategies.e. • coordination difficulties can be reduced as slum • Controlling the accuracy of information received by upgrading resources are brought under the same the population (i.org/ca/node/438) feedback from the intended programme population.6.11 provides an institutional. This will increase trust between the programme and the citizenry. allocation is an important consideration when aiming at sustainability. CWSU to include citywide slum upgrading since the PRSPs programmes actually provide an increase in housing are expected to be both participatory in formulation supply without necessarily building housing. By the integrated planning and financing of activities regularizing land tenure and improving security of to reach national development goals. TIP 57 . For the same reasons. is a programme document between a government and the United Nations country team that coordinates CWSU programmes are part and parcel of this development efforts in the particular country to ensure overall housing and city development framework. One that the task linked to land use planning (availability and location of force should bear in mind is the United Nations land for new housing). Communication needs to be two-way: in addition to disseminating information it is important to receive Source: (http://www. a City Development Strategy (CDS) to identify city priorities which leads to producing a workable plan At the programme development stage the main purpose for the upgrading programme within broader city of the communications strategy will be to prepare people development. programmatic and financial connectivity example of a citywide slum upgrading strategy which must be well-arranged in order to maximize impact was integrated with both poverty reduction and city and overall involvement in the quality of life in cities. The intention is that. city expansion areas. The focus of communications will differ of managing and improving the city and its economy. In some cases tenure. participate and an invitation to consult. opportunities to ongoing programme. at programme development and project stages of the An effective tool to define these plans is to draw up CWSU process as shown in Table 2. thus boosting employment 2. an attempt and to get their ‘buy in’ to the CWSU programme. PUBLICLY KNOWN The Cities Alliance highlights two key reasons why It is important to maintain good communications at all slum upgrading programmes should be integrated stages of the CWSU process with the aims of: with city development plans: • Gaining support for the programme from • slum upgrading being firmly on the city communities and the broader public (and perhaps development agenda and receiving a budget changing public perceptions). expansion of the infrastructure Development Assistance Framework (UNDAF) which networks and the overall city development strategy. A municipal housing programme is inexorably and development initiatives. GETTING THE PROGRAMME opportunities and poverty reduction. The way to achieve this is to create a strategy and plan (Monitoring is also part of this and is explored fully in how to transform slums as part of the core business Chapter Five). housing policy to make land available in existing residential areas. There are other linkages between slum upgrading etc.5. slum upgrading will remain an whole: the programme concept. to dispel any false rumours). CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION The implementation of national programmes within should be made to incorporate slum upgrading municipal jurisdictions should be part of a municipal programmes into broader poverty reduction strategies. creating area-based planning interventions Poverty Reduction Strategy Papers are and have where slums are located and connecting these been prepared and these provide the opportunity areas to the city fabric and formal planning.citiesalliance.

medium. cross-subsidies and Don’t expect residents of slums to be the only risk takers in beneficiary contributions to ensure financial viability of upgrading developing new approaches to upgrading programmes Develop a process for sharing risk analysis and planning for risk Don’t assume that lending for slum upgrading will necessarily mitigation and management with key stakeholders be asset-based. for example community-based savings and loan Don’t assume that one financial product fits all systems and look for ways to support and scale these up to increase local capital and slum dwellers’ ability to contribute to upgrading Recognize that financing for slum upgrading requires a mix of Don’t rely on government subsidies or on full cost recovery short. readjustment and sharing Don’t place unnecessary restrictions on land use methods to release finance for upgrading Do not start the programme if finance is not secured. Where financial institutions do lend for this purpose lending is more than likely to be revenue based Plan projects on a mixed-use basis with revenue generating elements Don’t assume that all problems of a slum can be addressed such as saleable residential units and rentable commercial space in order quickly within the framework of a single project to maximize financial viability Ensure that subsidies are effectively targeted so that the benefits reach Don’t insist that interventions should only benefit low-income those for whom they are intended and build on the basis of long term households engagement Recognize that not everyone who lives in a slum is poor. Where an area Don’t restrict interventions to developments based on clear upgrading strategy is to be implemented provision needs to be made for land title and private ownership of property a range of income groups with steps taken to ensure that the poorest are not excluded Make the real cost of finance very clear so that people clearly understand Don’t hide the real cost behind misleading promotional the commitments they are making to loan repayment messages Where appropriate establish local upgrading finance facilities so that Don’t assume that existing finance institutions will have the funding is locally available capacity to deliver the full range of financial services required Explore options to use land allocation. A Practical Guide to Designing. This emphasis should be reflected in a slum upgrading budget line within local authority budgets Encourage and give incentives for financial institutions to become active Don’t rely on housing or governance finance institutions participants in financing upgrading as part of their core business Ensure that guarantees are available to encourage financial institutions Don’t provide guarantees that support interventions based on to lend to slum upgrading programmes and projects political patronage Tap into local initiatives. The worst that can happen to a CWSU programme is the raising of false expectations amongst residents and participating parties. The TIP project will roll back to the drawing table and people will become frustrated with a lack of progress. Planning.4: Do’s and don’ts of financing slum upgrading Do Don’t Ensure that financing for slum upgrading is recognized as a priority Don’t rely on one-off poverty-focused upgrading projects within city development planning and as a key investment element of the municipal budget. and Executing Citywide Slum Upgrading Programmes Table 2. 58 . integrating finance for building from slum dwellers infrastructure and livelihoods Provide mechanisms to blend municipal finance. and long-term loans.

and known Mughal monuments. renew and adapt traditional livelihoods. Each of them is Communications should be two-way. There need to be examined in more detail in the following chapters but mechanisms by which the population can contribute are worth introducing briefly here. citywide data on its City Development Strategy (CDS) as part of the informal settlements that it can use to develop Jawarharlal Nehru National Urban Renewal Mission demand-based slum upgrading plans and monitor (JNNURM). which effectively established information system that makes citywide data a demonstrable model for inclusive planning for easily accessible to municipal staff. the city Municipal Corporation with a grant to develop a now has access to accurate. them in city planning.7. Without this residents may be reluctant to invest in Box 2. for upgrading and mainstreaming slums. a map-based ting Agra Project. • The development of the Mughal Heritage • Create an enabling environment for sector Walk. City engineers have an inclusive slum upgrading and community participated in community discussions on service development project also implemented by CURE. and participated in at benefitting the city’s poorest residents. The process has also helped the Municipal The CDS process was implemented by the Centre Corporation engage positively with the city’s for Urban and Regional Excellence (CURE) and slum dwellers and actively seek to include linked in with USAID’s Cross-Cutting Agra Project. In Chapters Three and Four we return to the The essential problem of land in slum settlements question of programme and project communications prior to upgrading is the lack of tenure security. In addition. India’s massive urban reform and slum upgrading activities. including: planning exercises. This need not always be created by the 2. 59 . integrated citywide introduce residents to new livelihoods. that need to be planned and managed well if the programme is to be successful. SUMMARY: KEY ISSUES stage. Agra Municipal to implement participatory slum upgrading Corporation has developed the capacity to respond projects. and voice their concerns or complaints once it is underway. to the needs of informal settlements in the city Source: Cities Alliance.7. India In 2006 the Cities Alliance began to support Agra Through the CBIS information system. http://www. undertaken joint site visits with CURE to The CDS incorporated a number of activities aimed understand local concerns.11: Integrating CWSU with Poverty Reduction and City Development Strategies in Agra. LAND CWSU programme itself. the emphasis will change. district and other urban local bodies have begun interacting with • Citywide slum mapping of 378 slum local community groups and involving them in neighbourhoods.1. There are several aspects of a CWSU programme This is covered in more detail in Chapter Four. as the example in Box 2. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Later. slum upgrading and sustainable livelihoods – laid the groundwork for a second major activity: the • An inclusive slum upgrading and poverty development of a citywide slum upgrading plan for reduction strategy that gave Agra a roadmap Agra. a one-kilometre walking loop that reforms to facilitate the implementation of links the Taj Mahal with some of Agra’s lesser such a plan.12 shows. at the project planning and implementation 2. comprehensive city planning. • Integrating that data into the Community The CDS process – in addition to the Cross-Cut- Based Information System (CBIS). issues. • A strategy for local economic development The activity aims to: designed to broaden the economic activity in the city.org/ca/ and is better prepared to implement reforms that node/2696 benefit its poorest residents. development initiative launched the same year.citiesalliance. • Strengthen the capacity of local institutions As a result of the CDS process. and slum upgrading plan. providing accurate data programme advocacy and awareness building on on Agra’s informal settlements for use in key issues such as hygiene. and • Formulate an inclusive. The communication FOR SUCCESSFUL CWSU will become more specific and will deal with the contents of the upgrading in their own settlements. and look at some of the challenges involved.

and Executing Citywide Slum Upgrading Programmes housing improvements and may be subject to the Security of tenure can be achieved in a number of risk of eviction. make sure that the CWSU programme is part and parcel of the overall urban planning and city development strategy. 2006: 86). government land managed by it (Acioly. when) Making a broad statement of intent (what is going to happen. possession” and “real right to use” instruments. ways. eviction remains a or enforce and provides secure tenure pending full possibility. As long as residents Under the PREZEIS (Plan for the Regularisation lose the fear of eviction. institutions TIP and actors on the ground. who. connecting agencies. even though in the long term. or central allows a squatter to remain on and use the land. The second instrument allows for the aim may be to provide titles to residents. “adverse forms of tenure can be considered as a continuum. Recife. need to legally own their plots. The first allows residents shown in Figure 2. legislation was likely to invest their savings and time and effort in their enacted which later became part of the City Statute homes and neighbourhoods. which land belonging to the local government. with Each continuum provides different sets of rights and which to intervene in informal settlements that have degrees of security and responsibility”. This Network (GLTN) advocates that “the range of possible gives the municipal government two tools. good condition). why and Explaining what benefits are available. has developed innovative Tenure security does not necessarily mean residents land legislation which favours low-income dwellers. More 50 year land leases to be granted to those occupying important than land titling is security of tenure. This is a useful measure in tenure will be able to acquire improved infrastructure cases where land occupancy is contested and titling is because this would legitimise their occupation or delayed and in danger of subverting the authorities’ because service company regulations prohibit the intention to upgrade a settlement. that they have lived this concludes that full regularization of land tenure on it for at least five years. to whom and under when) what conditions Preparing communities for change (the implications for the lives of those Explanation of project regulations and residents’ rights and involved) obligations Starting the process of participation (invitations to public consultations. and that the residents through land titling is not essential in the slum have ownership of the house and are keeping it in upgrading process. (UN-HABITAT been declared “social interest zones” and with regard & Global Land Tool Network. Even if they are not at risk of eviction. 60 . It is unlikely neighbourhoods without legal titling being achieved.) participate Organise consultative workshops with all stakeholders including CBOs Organize meetings with CBOs at settlement level and and NGOs working in slum upgrading promote street-based representation and residents councils to increase dialogue To avoid duplication and promote aid coordination. Another Brazilian city. The Global Land Tool (Estatuto da Cidade in Portuguese) in 2011. A Practical Guide to Designing. to acquire rights over privately owned land. they feel secure and are more of Special Social Interest Zones). This ensures that these areas are not overburdened with standards Security is partly an issue of legality.5: The Focus of Public Communication at Programme and Project Stages Programme Project Selling the concept (to general population and potential partners) Explaining what will happen (what. provision of infrastructure to illegal plots.9. Table 2. while land that are costly or otherwise impossible to implement occupation remains contested. up to a maximum size of 250 square metres subject to certain Handzic (2010: 11) has studied the renowned conditions (for example. Planning. Inviting residents (men and women. young and old ) to etc. The continuum is to illegally acquired plots. 2008). In the Brazilian case it was the state of exception residents are less likely to invest in their own housing which is the creation of separate regulatory controls improvement if they do not feel secure. and planning methods for informal areas. being able to prove the land Favela Bairro Programme in Brazil and based on was occupied without violence.

The results of the data. such as reports from seminars and forums. 2003: 23). public spaces. It was founded in 1997. Other strategies adopted included publishing a drafts evaluation reports. civil society to assess progress made by successive public finances. Corona Foundation. citizen Bogota?) is a monitoring mechanism developed by responsibility. but also houses in overspill sites and services schemes. libraries.list.9: The continuum of land rights (UN-HABITAT and Global Land Tool Network. In some cases outright purchase is not possible and Hernando de Soto has been influential in the field leasing provides an alternative (Boonyabancha. This is not only a reflection of the renting out of rooms in improved houses or extended collective efforts to gain secure land tenure.040.aspx?bp_ id=2403 The areas of performance which are monitored are health. It newspaper El Tiempo. and high collected provide views as to performance but also schools.430. Representatives of the city administration are Sources: http://info.000 on Sunday. to experts.worldbank. the poor who Figure 2. php?idCnt=2 http://www. is also a way for plot owners to to outsiders and therefore a means of preventing increase the income they have available in house and gentrification. universities. Saturday. research and The thematic experts who comment on the data documentation centres. education. the newspaper with the was founded by El Tiempo Publishing House. mayors of the capital of Colombia in delivering on their election promises.Bogotá Cómo Vamos? Bogotá Cómo Vamos (or How Are We Doing. housing and utilities. It collects data from the municipal administration.000 people from Monday to Commerce. These are the exercise social oversight of public administration. environment.900 people. in evaluation and local government. publications. and the Bogotá Chamber of reaching 1. analyses them. traffic. 61 . Upgrading the solution found it is always communal rather programmes should not focus entirely on the house than individual: the community as a whole buys or owner nor should it employ regulations prohibiting the leases the land. public management. experts’ observations. For him. the analyses and comments The 1991 Constitution had mandated citizens to are published in the mass media. justifiably or not.org/etools/docs/ library/19099/BogotaComoVamosEnglish.000 copies for distribution experts and commissions an annual opinion survey to grassroots citizen organizations. and economic development.org/scripts/contenido. consults with thematic Quarterly Bulletin with 3.details.bogotacomovamos.pdf also invited to comment on the analyses and the http://www.21 various federations of the urban poor (McLeod. and the local television station City TV with an audience of The Bogotá Cómo Vamos project includes an expert 2. A similar approach has been adopted by plot development. why targets are being met or not met. 2008: 8) Perceived tenure Occupancy Adverse Leases approaches possession Informal land rights Formal land rights Customary Anti evictions Group tenure Registered freehold Box 2. 2005: of land tenure for the poor.unhabitat. citizen security. and other to see how citizens feel the Mayor is performing.905. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Some poor residents cannot afford to acquire title and 27-31). In many cases communities do seek ownership. The a precautionary measure against the sale of land latter. What is important though is that whatever for them an option to rent is important.12: Citywide Monitoring of Progress . incidentally.org/bp/bp. the largest circulation in the city and nationwide. and 3.

blogs and cell phone text messages can all supplement traditional forms of communication such as posters. if land is privately owned. or belongs to public institutions. short films. because the land of it. FINANCE of wealth. it is what he calls ‘dead’ capital since it cannot be used to leverage Finance is one of the five main inputs to housing and more capital by using it as collateral for loans to invest as such it is crucial to an effective CWSU programme. demolition. and the private that an urban poor community faced with eviction sector).7. groups: When mapping all the slums in the city. 2011. implementation. CBOs. However. and Executing Citywide Slum Upgrading Programmes occupy plots illegally have in their houses a source 2. agency and the programme coordination team must have a land tenure map as well. it was usually the landowner. Videos. STAKEHOLDER PARTICIPATION public or municipal land. and ensured If the targeted slum population of the CWSU is going that the settlement was exempted from building to benefit it needs first of all to be able to afford regulations. in-situ upgrading may not be participation of the slum dwellers concerned and possible or it may take much longer to be executed other stakeholders. It means that the • Cost recovery. the executing • Credits.3. The government played an enabling role in the land. a form of capital. Communication of the programme design and its status can take many forms. design. The National Housing Authority would provide Affordability to slum dwellers infrastructure subsidies or housing loans. Bromley. He advocated giving The subject will be taken up in more detail in Chapter legal titles to these landholders to stimulate access Three. with an NGO as intermediary. Gilbert. For now. the developer or their representative that negotiated • NGO or community equity. community for the design of the new settlement and houses. 1994) Where will the programme find its funding? Amongst others it needs to consider and approach the following A novel form of land tenure.2. reconstruction and investment in infrastructure on 2. • Private sector credit financing. TIP websites. Land sharing meant governments and possibly. NGOs developed this approach as an alternative to forced evictions that • Central or regional government through grant could produce a win-win situation for the landowner or loan programmes (co-financed with local and the urban poor community. Planning. town hall meetings and city consultation workshops. 2000). 62 . flyers. in their homes and businesses. legal and tenure status of the land where the slum settlements are located must be classified. the community was sometimes so small that the slum The following are some of the ways these costs can households had to resettle in three-storey row houses be defrayed. easiest to undertake area-based planning. sharing projects. It will be • Grants and subsidies. Local organisational and human since land must be cleared for development. when the CWSU programme is being to finance. resources (in planning. although these and to the population as a whole the following should ideas have stimulated massive titling programmes.7. revenues. reduced or made accessible to target on 24m2 plots. 2002. be the main concerns of the programme’s advocates: especially in Peru. several authors have questioned the existence of a connection between title and access Sources of funds for upgrading and maintenance: to credit and investment in housing (Skinner. land sharing. But. economic activity and thereby urban ‘sold’ as an idea to the government and its partners upgrading (De Soto. A Practical Guide to Designing. or is under Successful CWSU is impossible without the litigation in court. CWSU’s different components carry real costs. The NGO provided assistance to the • NGO or community credits (savings and loans). This was necessary. Be creative and utilize modern approaches to getting your message across to your target audiences. However. would share the land it occupied with the landowner who would be able to develop his or her share of the • Property tax and percentage of municipal land for commercial use. was possible sources: pioneered in the 1980s in Bangkok. with the urban poor community.

and so on. This is linked to the empowerment created through participation will provide low. In addition. food. in programme and project design. These can be used to form planning it may end up benefitting the strongest groups since groups which also execute the decision reached. be as follows: Slum upgrading programmes and projects need • Community participation will help better identify to be responsive to women’s needs and overcome community needs and priorities and therefore obstacles to their participation. CWSU is intended to benefit all slum dwellers. will deliver. water. However. justifications concerning stakeholder participation will and even labour. monitoring and evaluation and financial being identified and brought on board. it can help reduce making processes at programme and project levels. demands for community labour should consider the physically impaired but offer them Apart from the lead agency a structure has to be alternative channels of participation such as supervision set up for the practical management of the CWSU of community facilities like clinics and child care centres. They are often the core of projects and this can be achieved. Women identify the usually small organisations which work with have the primary responsibility for sustaining families. depending on Upgrading can have a particular impact on women their numbers throughout the city. Women’s contribution in terms of time. They should their leadership so a lead organization has to be be designed to reflect differences while avoiding chosen which carries sufficient weight and authority. their active involvement in the Decisions have to be made about the appropriate form regular participatory processes should be sought.g. as with many development projects. young and old and those with disabilities. so provision must be made for this accommodated within general planning and decision probable outcome.4. their role as mothers. to consider are children and refugees. at this stage in the take leadership in community mobilisation. project process. care for the home. For example. INSTITUTIONAL FRAMEWORKS and how they should be designed their participation is vital. to decide what these should be 2. are likely to be willing to pay and contribute to understand the positive role women play in to maintaining. when potential partners and supporters are management. In some cases this the services for which beneficiary communities means training men. of programme delivery. EQUITABLE ACCESS they are more able to express useful opinions about preferences than was earlier realised. is often greater than that of men. someone has to take the lead. Other Projects and programmes should not assume that important stakeholders must be prepared to accept the groups involved are homogeneous. ethnic minorities. programme. • Participation of stakeholders contributes to It is important to ensure that women are able to citizenship and transparent governance which participate in the projects and not prevented by family brings broader benefits than just the CWSU and household responsibilities. 63 . exclusion. by providing easier access to clean drinking water) or health risks (by providing improved A good way to work with vulnerable groups is to sexual and reproductive health services).7. the main contributions. bind them. Refugees and IDPs often have ethnic similarities which Unfortunately. vulnerable groups need special consideration income communities with the skills and self. through awareness raising. While it is certain this must be participatory. They focus on the vulnerable while the overall They are the ones who are responsible for providing settlement level organizations may overlook them. Other vulnerable groups and disadvantages of each in Chapter 3. however. special sub-programmes are established to meet their special needs. they should be (Box 2. the sick and The following two chapters describe in detail how the elderly. In the case of young children there is growing evidence that 2.7. them. by the upgrading project with their jobs. In other cases it means stakeholders and they need to be invited to aiming at reconciling the extra activity brought about participate in processes such as city consultations. children. Similarly. We will look at the advantages poorest in the community. The same applies to other settlement development. These include the confidence to enter into future negotiations with physically impaired.13).5. young children government and utility companies. they are often the most visible and vocal. For example. their workload (e. There are various options here including a specially created and autonomous Programme Some groups are vulnerable on account of their Management Unit (PMU) and an agency within an income and there should be greater subsidies for the existing organization. and their responsibilities in the home. Care should be taken. not to marginalise refugees from the overall process and. make their and youth. The programme needs to ensure that own development plans. women and men. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION etc) should be harnessed in the CWSU programme.

housing Access to • Women and girls lose time and experience stress when negotiating access to inadequate water and infrastructure toilets. Continuity is impossible to guarantee. less assets and less credit. lights. gender and urban development men. frequent and affordable transportation is often missing. • Small plot sizes and small dwellings expose women and children to indoor air pollution from cooking. Box 2. The following summary of an into account if they to reach both women and analysis of women. • Below official wage rates and piece work compromise minding children in congested living environments. Insecurity of tenure means poor women have fewer resources. likely to want to be seen to support it. in detail. Planning. This is particularly important administration which initiated it has left office. raises health costs and limits their income generating possibilities. drainage. • Lack of employment and insecurity of informal sector wages make women and girls vulnerable to sexual harassment from landlords and ‘middle men’ and leaves no option to make ends meet except by engaging in the sex trade. adding to women’s domestic responsibilities. • Lack of secure tenure or shared tenure increasing women’s poverty and vulnerability in situations of security of tenure & domestic violence and family breakdown. • Access to safe. • Lack of a political voice denies women and girls their human rights to choices over their lives. • Limited or non-existent health. At the present stage of building support However. A Practical Guide to Designing. insofar as successive administrations and consensus around CWSU the most important are convinced of the popularity of CWSU they are issues are agreeing on what should be sustained. and Executing Citywide Slum Upgrading Programmes 2. recreation services increase women’s care-taking responsibilities. • Lanes overflowing with waste water and garbage are difficult for pregnant women. Adapted from Khosla. Safety and Security • Inadequate and inappropriate access or affordability of water. flies. This will how sustainability will be ensured and who will be require the communications strategy which we have responsible for it. • Informal sector activities bring little income for high investments of time and labour – piece work.7. people with disabilities and older women and men to navigate as well as when carrying water. carried out by Khosla shows some of them. useful but so will building the capacity of CBOs in slum upgrading areas which can be counted upon Also important in this respect is continuity of political to push for the continuation of CWSU even after the will to support CWSU. P. clogs Environments drains and brings ill health. Slum Issues Implications for women and girls Access to land. Livelihoods • Lower employment options and low incomes prevent security of housing. Compromised living • Poor drainage and lack of solid waste management fosters mosquitoes. Partners will have to be convinced discussed about above to include elements of popular that their investments will be safeguarded and will mobilization. unpleasant spells. (2011: 3-4) 64 .6. toilets.13: How Slums Impact Women and Girls Poverty impacts women and girls differently to upgrading strategies and plans should take them men and boys. school. lanes. selling of cooked food. SUSTAINABILITY AND CONTINUITY since upgrading will take place over many years and probably across the lives of several municipal Chapter Five deals with the issue of sustainability administrations. and sewing. Gaining media attention will be very bring in social dividends well into the future. and transport puts women and girls at risk of sexual harassment and assault. and services • Unsafe water increases women’s care responsibilities. Lack of political voice • Women and girls are excluded from participation in local government structures and decision making including in community groups. They face harassment and rape when there are no toilets.

Or. provide information on what could and could not be achieved. These actors were not included in decision making. monitoring activities. The communications plan did not do enough to spread a positive message. carrying out maintenance).g. they would (e. Myanmar. in terms of time or skill).10: Citizens' participation. implementation). Some actors do not carry out certain roles it was expected. where and when. Some actors who have agreed to carry out certain roles do not do so Unrealistic estimate of their capacities to discharge these roles (this can appear at the planning and design stages or later during (e. CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION Some things that can go wrong Possible causes Some key stakeholders do not show interest in the programme or Insufficient care has been taken to ensure that all key stakeholders actively oppose it. Figure 2. Significant numbers of slum residents do not show the expected Slum residents were not adequately represented at the start of the interest in the programme. programme when its broad outlines and objectives were being drawn up. Photo: UN-HABITAT/Veronica Wijaya 65 . significant parts of them were left out (certain slum areas or sections of residents). who was eligible to participate and under what conditions.g. are represented in the Steering Committee to which the Task Force starting up the programme will report. or hoped. engage slum dwellers and obtain and react to feedback and to present a credible image of transparency and accountability. making repayments.

principles. Stakeholder participation. city approach Public consultation Personal interviews Comprehensive profiling Task force brainstorming ‘People’s process’ Financial analysis consultations options sessions Desk research Stakeholder analysis Focus group discussions Community action Participatory budgeting Videos. objectives. Agreement on programme Defining the Financial Structure Coordinating with other Communications force and steering identification consensus building mapping slums in city vision. Identify sources of National housing policy Two-way communication context construction labour funding (message and feedback) Upgrading criteria and Land for relocation Infrastructure. density extensions perceptions responsibilities Policies and institutional Phasing Finance. house infrastructure and Strategies approaches things to relevant stakeholder Assess their Capacities design. land. short films. norms & standards Decision making. understanding the city slum situation and building support Set up task Stakeholder Conflict resolution & Situation analysis . websites City consultation Brainstorming on Slum networking Donor and development City development Civil society/ community previous successes and Women’s safety audits agency interviews/ monitoring mechanisms strategies failures Transect walks. building Municipal housing prioritization materials production strategies Service levels. SWOT analysis Donor and development Community mapping agency interviews/ Problem / objective trees consultations Enumeration Semi-structured interviews Micro-planning Task force membership Stakeholder map List/outline of Spatial map of city with Definition of community Outline financial strategy Document identifying Draft communications Deliverables/ outlined with roles and champions and critics all data incorporated roles role of CWSUP in strategy outcomes responsibilities overall city development Partnership matrix strategy Summary citywide slum profile Draft programme Programme concept document note  Photo: Public consultation. management. maintenance Support of a ‘champion’ Institutional mapping Study tours Sectoral profiling Focus groups Community architects Desk research Inter-departmental Posters. size. settlement relocation costs (if any) Identify and placate Location. Master plans . Define role of major Analyze financial needs Coordinate with city Gaining public underway with the right involved in supporting and implement the slum situation so objectives. and Executing Citywide Slum Upgrading Programmes Community Focus groups Technical workshops enumerations Brainstorming.66 Initiating a CWSUP. and Identification of needs Estimates of land. goals stakeholder and main and feasibility development strategy and support and informing Aim participants the programme programme planning is well targeted. consultations modelling A Practical Guide to Designing. flyers. Ghana. Planning. role of community city plans and strategies committee and analysis objectives. DIVatUSAID . components participation Ensure the process gets Identify who should be Gain support to develop Determining the real Outline broad vision. Spatial (GIS) mapping planning Interviews blogs. beneficiary national housing policy stakeholders Encourage broad Identify stakeholders Identify and promote Legal and tenure status Vision. town Tool / meetings hall meetings.City Monitoring of public consider groups layout Agree roles and critics populations. Poverty Reduction Multiple and targeted Principles/ membership from champions of slums goals and priorities.

CHAPTER 2: INITIATING A CITYWIDE SLUM UPGRADING PROGRAMME AND UNDERSTANDING THE CITY SLUM SITUATION 67 .

A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes

3
SETTING UP THE CWSU
PROGRAMME

68

CHAPTER 3:
SETTING UP THE CWSU PROGRAMME

Chapter Summary
This chapter describes how to plan the CWSU programme (the next chapter explains how to set up the individual
projects).

It looks at the preparatory works that need to be undertaken to set-up the programme and the different kinds of
programme activities that have to be launched. Not all settlements can be upgraded and a choice has to be made; this
chapter shows how to decide which to include in the CWSU programme by defining clear eligibility criteria right
from the start. The way the programme should be managed is also covered since this directly affects efficiency.

The chapter explains how the overall institutional framework should be built up and a financial strategy devised.

Finally, it explains how a communications strategy contributes to informing about the programme and receiving
feedback and what a strategy should look like.

The programme is a strategic plan and as such it significant numbers of slum dwellers are too poor to
should be designed with the long-term in mind. It repay small house construction loans, a programme
should not be planned for period of 4-5 years; this is which plans to utilize construction loans may have to
a typical project timeframe. Its horizon needs to be set consider subsidising this component. If it is found from
at a minimum of ten years. The programme should a technical feasibility study that seasonal flooding will
aim for much larger results and improvements in the make proposed access roads or footpaths unusable
lives of a considerable number of slum dwellers. for substantial parts of the year, the programme may
decide to add a component of flood mitigation or
The programme must set up the vision, the goal, storm water drainage.
and the strategy to realize them, but must have
an incremental character. It is unrealistic to seek to Feasibility studies are carried out to allow a quick
implement the whole plan at once at the city-scale. testing of the ideas the programme is based on (the
Priorities will need to be set and upgrading carried programme ‘concept’) and to avoid spending large
out in phases, each of which will work with additional amounts of resources on more detailed research
slums. Some improvements will be made before others and design before the programme has even been
with the later interventions only being possible when approved. The feasibility studies will allow this
additional funding has been obtained. decision to be taken. Once this has been decided, the
programme will need more feasibility studies at the
Some of the changes the programme is seeking to settlement level to help it select settlements to include
make will require changes in the way things have been in the upgrading programme. When they have been
done in the past and they will inevitably meet with selected further detailed studies will be needed to
some resistance. It will require persistent advocacy work allow settlement level plans to be drawn up.
if changes in bylaws or legislation are pursued. One
typical change is the need to adjust planning regulations Table 3.1 shows the type of information the programme
and urban design standards to allow for such things as will need during its different stages. Some of the
narrower roads, smaller plots in land regularization and feasibility studies mentioned in the programme and
higher Floor Area Ratios (FAR) in plot occupation. project columns appear to be duplications but are
not. At the project level the study needs to be more
In order to start planning the programme the task detailed. For example, “residents’ ability and willingness
force will need accurate data so a number of feasibility to pay for different types of infrastructure and service”
studies should be undertaken. The next section at the programme level is intended to find out their
outlines some of the major data needs at this stage. willingness pay or not; at the project level it is about
The reader is directed to further detailed references to how much they will be able and willing to pay.
help when intending to carry out studies.
In this chapter we are considering only the information
required at the stage of programme design; data
3.1. FEASIBILITY STUDIES needs at the project design and implementation stage
is dealt with in the following chapter.
Feasibility studies are short studies of key topics which
provide insight into whether a project is likely to meet Feasibility studies will need to be carried out in the
its objectives, or whether they have to be changed. For following areas:
example, if an economic feasibility study shows that

 Photo: Nairobi. Gates Foundation

69

A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes

1. The policy, legal and regulatory frameworks that the programme respects them but also to identify
These frameworks will already have been studied any aspects which may damage the upgrading effort
at a more general level as a pre-feasibility and to consider if trying to get the laws changed.
study. Now the feasibility study will detail the
implications of the information already gathered The study will look at land ownership in the
and, where necessary, obtain more details. settlements which it is considering upgrading and
An example might be to identify the kind of what the different types of settlement are (squatter
support residents need in regularizing their plots settlements, illegal subdivisions and central city slums).
(e.g. by obtaining security of tenure or land title). A This may establish a typology of slums and which
fundamental analysis to be made is the status of land possible solutions are fit for their cases.
tenure and whether one can expect barriers to the
upgrading and consolidation of the settlements on the A policy study can show which areas of the city or
land where they are located. which populations should be included in the CWSU
programme. The study will also help identify the planning
The feasibility study will look at existing policy and instruments which could be used by the programme to
national and local laws (bylaws). It will include analysis of: involve residents in the planning of the settlement, areas
for relocation, and legal issues regarding compensation
• land; and expropriation that may be necessary to use.

• development and planning codes; 2. Socio-economic conditions and characteristics
The programme needs to understand the residents
• design and construction standards (including in the areas where it will potentially work. It needs
which building materials can be used); and a range of reliable information about them in order
to plan appropriate interventions and help it select
• infrastructure and service standards. eligible settlements for upgrading. For each settlement
the following socio-economic conditions should be
These analyses will be more detailed than at the pre- explored with the data subsequently presented in
feasibility stage and are essential to know not only so tables, graphs and maps:

• the age of the settlement;

• how long residents have lived there (in case it is
decided to give priority to the men and women
who have lived there longest);

• number of residents, their age, sex distribution and
household composition, number of women-headed
households, people with disabilities, members of
different ethnic and religious groups, etc.;

Figure 3.1: By-laws which prevent the use of traditional building • residents’ income levels (this will help to assess the
materials block possibilities for house improvement. affordability of different upgrading options);
Photo: © UN-Habitat/Reinhard Skinner
• how many households have domestic infrastructure
connections (this will tell us what the need is);

• housing quality (of roofing, walls, floors,
etc., which illustrates the need for housing
improvement);

• type, location, and number of social services and
facilities (the need for their improvement).

If the programme has decided to target particular
groups of vulnerable or disadvantaged people it is
Figure 3.2: Technology research is making traditional building necessary to know the number of residents who fall
materials more suitable than some conventional materials (shown into these groups (e.g. pre-primary children, elderly,
here: earthquake resistant stabilised soil blocks). refugees, IDPs, ex-combatants, illiterates).
Photo: © UN-Habitat/Reinhard Skinner

70

4: Houses which are vulnerable to hazards. when looking situ upgrading. pre- occupy land which is protected environmentally. • What powers do local governments have which can contribute to the upgrading programme or which need to be taken into account when designing it (such as the authority to design and implement local development plans).g. Technical and environmental options This is what the programme needs to find out to allow it to make solid technical and environmental decisions: • Settlements’ population density needs to be known (to help calculate how many residents need to be relocated so that space and health standards can be met). Photo: © Reinhard Skinner and community groups in the design and execution 71 . should be excluded from upgrading (but not other housing options). and networks or federations of slum dwellers located and what are their different types? Some will be rooted in. The same considerations apply to whether settlements are connected to different utility networks (electricity.3: Houses which are vulnerable to hazards. feasibility studies helped to identify which partners and different agencies existed and which skills and • How physically accessible is the settlement (how easily resources would be valuable to the programme. • Are there any sub-levels of government that one should consider for CWSU? • Where are the CBOs. At the can the external upgrading works teams get there?). measure how suitable the land is for housing and infrastructure development. Institutional Capacity hazards? If so. ravines programme may decide for this reason should be and low-lying land subject to flooding) will prioritised. CHAPTER 3: SETTING UP THE CWSU PROGRAMME Residents’ willingness to pay for different types of infrastructure and services will also be a factor in deciding what to include in the overall upgrading programme and for individual settlements. 3. whereas others have a landslides. these settlements will not qualify for in. NGOs. Figure 3. if type and number? an improved main road is being built to which the settlement’s own network can be linked). such as in child health or Figure 3. • Is there any vulnerability to natural or human-made 4. There is a series of additional questions which are water. The same applies to settlements which for support and consensus on the CWSU. particular settlements. During the initiation of the programme. Photo: © Reinhard Skinner • Density information will also allow for the calculation of costs of infrastructure and service provision per household. others will specialise in different sectors. The study should help identify neighbourhoods where few improvements have been made and which the • Topographical features (such as gradients. programme design stage more detail is needed: • How close is the settlement to other planned • What are the particular kinds of skills and improvements? The other improvements may make expertise which the programme needs in terms of it easier to improve the target settlement (e. should be excluded from upgrading (but not other long track record in technical assistance to CBOs housing options). such as employment generation. • What is the type and quality of solid waste collection in settlement (should this be a feature • The street ratio index is important in order to of the programme?)? assess the level of connectivity and availability of public space. and serve. such as recurrent or flash flooding. sewerage) and will affect the cost of providing necessary to ask: these improvements.

in the programme • What are the city’s main economic activities and design stage the key questions for the feasibility where are they located? studies are: • Are they growing or declining or expected to do so? • Where can funding for CWSU be obtained.g. associations cover staff size. Profiles of local government administrations relevant to slum neighbourhoods will need to be built up which • Levels of economic organization (e. cooking food for sale. to invest in local economic development. Planning. they are key to the implementation of local government programmes or as capacity builders • The number of men and women involved in these to the administration (such as in Lima. Peru. decision making flows.). administrative and of micro-enterprises). etc. The role different types of infrastructure and service? of NGOs and CBOs in local / community administration and their experience of working with government are This data will inform such planning decisions as where also significant in this respect. Local government powers (e. This will minimise the chance of stalemate situations arising later.or Training needs for those directly involved in the unemployment in the neighbourhood as a whole. slums (carpentry. masonry. • What role do NGOs and CBOs play in local/ community administrations? In some cities • Where these activities are located. are engaged in income-generating activities from On the community’s side the availability of institutional their homes). • The levels of employment and under. 5. 72 . see activities. 2006). skills. resources can be ascertained by the location and type of CBOs and networks or federations of slum dwellers • Residents’ willingness and ability to pay for who can contribute to the upgrading process.g. their lending policies and conditions. R. if not. A Practical Guide to Designing. and Executing Citywide Slum Upgrading Programmes of piecemeal slum upgrading. Skinner. At the programme design official or informal? stage the feasibility study will make proposals for how training and technical assistance is to be delivered. • What skills resident men and women bring to the labour market. designing and implementing local development plans) • Women’s informal sector activities (many women will tell the programme what their competencies are. All have a possible • The types of economic activity taking place in the role to play in CWSU. Economic Analysis 6. Financial Analysis The kinds of questions that need to be answered at While at the pre-feasibility stage we were interested to the pre-feasibility (support and consensus) stage were: know what the main lending institutions were. what are the chances that this can be At the programme design stage we will build changed? upon this with more detailed information on slum neighbourhoods such as: • What is residents’ ability to pay for different types of infrastructure and service? Scan the institutional and regulatory environments well so that all bottlenecks and opportunities are identified and documented on records.. budgets. at what cost and under what conditions? • What are their investment plans and what effect will this have on the city economy? • Is international donor funding available? • How many people (women and men) do they • Is lending at lower (concessionary) rates available employ? and if so what kind of purposes? • How much tax revenue do they contribute? • Can subsidies be granted from municipal funds and. sewing. programme were identified by the pre-feasibility study how many small-scale enterprises exist? Are they described in Chapter Two. flow charts before the programme starts its execution TIP phase. small industry. maps.

• By-laws applicable to building settlements (squatter settlements.. of the physical environment. ex- combatants. size and types priorities. conditions and levels. midwives. etc. • Number of persons belonging • Housing conditions: quantitative • Overall quality and types of to specially targeted groups: and qualitative deficits. sewerage). • Location and types of public services and facilities. • Aggregate data as much as • Residents’ income levels (men possible. hospitals. Socio-economic • Education: overall educational • Demographic profiles of • Household data: composition. conditions houses. morbidity. the elderly. etc. combatants. Contd. to specially targeted groups (e. • How long residents have lived tenure patterns (home ownership. pre-primary children. picture of the conditions. age. CHAPTER 3: SETTING UP THE CWSU PROGRAMME • What is the tax base of the city and how city • What are the chances to propose a law allocating revenue is used for public investment? a percentage of city revenues to support a CWSU fund? Table 3.1: Summary of key information needs at different stages in the programme Stage of Programme Initiation of Programme Programme Project (Pre-feasibility studies) (Feasibility studies) (Feasibility studies) Importance of the Studies The information below makes a case for This information supports decisions The information below is critical the approval of CWSU on programme design and for decisions at the project operational approvals level: selection. family and household • Households’. etc). in the settlement. • Location and number of social doctors. secondary sex. the elderly.) and of residents and state where they are located. for upgrading slums to create an • Number of persons belonging inclusive and equal city. number of educational settlements: numbers. refugees. etc). laws. • If possible. city population as a whole and whether households are for the slum population: a large connected to different utilities difference can strengthen the case (electricity. nurses. occupancy rates (persons per room). rental. families’ and and tertiary). number of health of houses and their tenure: • Plot sizes. characteristics establishments (primary. economic and social activities. shapes. community’s improvement • Health: overall health levels and • Overall quality. and implementation Key Specific Data Needs Policy. location. composition of residents. entitlements. resident involvement in and ownership in different types of governance. legal • Map legal and regulatory • Land tenure situation in target • Land/ plot ownership and regulatory frameworks and identify settlements. ex. and disputes. materials and construction.. • Legal rights and obligations central city tenements. illiterates). illiterates. Security of frameworks constraints and opportunities to tenure and legal provisions/ • Local governance systems support the programme. design. shared. establishments and other forms rental. ownership. shared. • Planning and environmental agencies.g. clusters and groups. • Legal and political viability of land tenure regularisation. of provision (clinics. 73 . preventative services). and laws that strengthen or • Identify and locate on city maps provide a legal basis for the • Local administration and the legal status of land occupancy programme. spaces and public buildings. water. socio-economic data across slums. pre-primary children. refugees. both within and and women). to obtain a clear should be aggregated for the • Level of service provision.

Institutional • Stakeholders involved with • Profiles of local government • Profiles of local government capacity slum upgrading in the city. city water sources. • Trunk infrastructure availability. etc. • Residents’ domestic access environmental areas. • Role of NGOs and CBOs NGOs and networks or in local / community federations of slum dwellers. dwellings in hazardous areas. powers. water. environmental protection areas. deficiencies (skills and resources) designing and implementing • Provisions of current local amongst participating agencies local development plans). 74 . to infrastructure and services • Existence and type of solid (with attention to the specific • Location of settlements (on maps) waste collection service in problems faced by women vis-à-vis risk areas. • Risks such as location of environmental protection areas. • Density of settlement (people environmental coverage in the city: electricity. catchment • Main risk factors for areas. • Quality of housing (size. catchment areas. skills and budget). activities. studies.. hectare. drainage. households (hazardous location. • Topography. ground conditions. • Institutional capacities and • Local government powers (e. administration.g. roads and street index. green areas. sewerage). • Availability of land for relocation/resettlement. density of existing settlements per hectare. availability and location vis-à-vis public transport and basic urban services. community savings groups. • Location and nature of connected to different utilities public spaces and protected (electricity. Contd. size. risk areas. (area) development plans. areas. and slum neighbourhoods (staff to the slum (authority and experience. housing per options water. etc. Planning. conservation settlement. materials). street index. etc. age. site and public transport.. mandate. sanitation. and girls). • Academic/research institutions • Role and capabilities of faith- undertaking slum related based organizations.1: Summary of key information needs at different stages in the programme Stage of Programme Initiation of Programme Programme Project (Pre-feasibility studies) (Feasibility studies) (Feasibility studies) Key Specific Data Needs Technical and • Deficits in overall infrastructure • Size (land area) of settlements. their administrations relevant to administrations relevant size. skills and budget). A Practical Guide to Designing. and Executing Citywide Slum Upgrading Programmes Table 3. • Location and type of CBOs. • Whether settlement is etc. staff size.). coverage/floor area ratio.). and institutions. structure. • Role of NGOs and CBOs • Role and capabilities of in local / community federations of the urban poor/ administration. • Accessibility.

including the informal property market and both the rental and sales market. • Numbers of employees. forecasts). who are rehoused in FOR INTERVENTION: SELECTION another location. size and activities at settlement level transformations. These may include sites and services housing (located near to • Settlement redevelopment focuses on the the upgraded area). • Total redevelopment involves temporary 3. etc). and the political viability of budget of administration reforming it.2. • Size of tax base of the city and volume of potential property tax • Available funding sources and • Residents’ ability and situated in informal settlements their conditions and relative willingness to pay and slums. • Settlement regularisation focuses on legal There can also be provision of alternative affordable provisions to regularize land tenure and rights in housing options to those who are (voluntarily) relocated favour of women and men slum residents. because of (hopefully minimal) demolitions.). slum dwellers’ livelihoods and economic security. trends. numbers and • Formal land and housing types of business (formal and • Their growth rates or decline (and prices. infrastructural. • Sectoral (‘piecemeal’) upgrading focuses on different dimensions (social. of employment. This can be incremental increasing the quality of and access to services whereby upgrading starts as sectoral but adds such as water and electricity and improving the more components over time. etc. etc. street lighting. governing the slum. • Size of the informal sector. quality of the hard infrastructure such as roads. • Land and housing property market in the city: values. public spaces.22 75 . for different types of infrastructure and service. • Size and importance of • Investment plans and effect on the • Informal land and housing informal sector economic city economy? market: values. • Infrastructure improvement focuses on infrastructural. collected by local government. Financial • The main lending institutions. home enterprises. shelter construction) or new houses in a new settlement (possibly free as compensation for relocation).g. their • The existing subsidy structure • Recurrent and discretionary analysis lending policies and conditions. • Residents’ ability and willingness to pay for different • Current payments/taxes/ types of infrastructure and certificates of occupancy services. construction sector). unserviced plots (also nearby and physical improvement of degraded existing coupled with compensation grants to facilitate new structures in central city slums. (e. types of analysis and their location (including targeted settlements: types employment. and the redevelopment of the OF PROGRAMME TYPE original site.1: Summary of key information needs at different stages in the programme Stage of Programme Initiation of Programme Programme Project (Pre-feasibility studies) (Feasibility studies) (Feasibility studies) Key Specific Data Needs Economic • The city’s main economic activities • Economies of potentially • Commerce. • Integrated upgrading focuses on the concurrent social. prices. There are various types of interventions that can be • Housing improvement focuses on technical considered when designing a CWSU programme: assistance and credit for house expansion and improvement. analysis and trends. industry. advantages. CHAPTER 3: SETTING UP THE CWSU PROGRAMME Table 3. streets. local industry. economic. economic. spatial and legal • Local economic development focuses on improving integration of all slums in a city. property market informal). IDENTIFYING PARAMETERS removal of slum dwellers.

The programme will achievable in the short term. it does not have to be. it is important to know how many different whether subsidies should be used. A Practical Guide to Designing. Planning. while overcrowding will require consideration in any slum upgrading intervention.4. Figure 3.one or two programme components street network and settlement planning • Less resources required • Requires resources • Less pressure on existing capacity to deliver in • Requires capacity to deliver in multiple slums multiple slums simultaneously simultaneously 76 . 3. illegal subdivisions and central city may have grown up which would make tenements are there in the programme area. integrated upgrading should Deciding which intervention approach to choose will not be pursued. we strongly of de-densification (and resettlement) to allow recommend that a crucial programme component for house expansion and the development of is the street network and settlement planning of access routes. In some cities types of settlement there are: how many squatter a culture of non-repayment and of entitlement settlements. and amount of. steep slopes subject to integration of slums into the city fabric.5 shows. or will not.g. pay for an integrated programmatic interventions. and Executing Citywide Slum Upgrading Programmes CWSU as it has been described so far in this Guide is quality of existing structures suggests a house integrated and comprehensive in nature but. have gathered information in the feasibility studies to help it in making its decision. importance of each of these settlement types will Integrated upgrading is not recommended if influence the appropriateness of different types of residents cannot. quality and • Access to. Depending on legal your programme considers its primary objectives. This may be for housing improvement. interventions can have different primary objectives. are the social and economic dimensions. size and quantity of slums in the city: can afford to pay and will require discussion of first. as the improvement component would be appropriate above list shows. disadvantageous land programmes focus on physical upgrading. Risks such as location of dwellings slum settlements. Furthermore. It is important to be explicit about what have touched on above. available funding: crowding of existing houses and risk factors are if funding is available at attractive terms for all important. Low pursued. but as has tenure conditions may make upgrading of a been discussed in the Guide so far.5: The continuum of upgrading programme scale Comprehensive upgrading programme Sectoral upgrading programme • Multiple programme components • Relatively concise and incremental • Many physical interventions underpinned by • Targeted . or cannot be created. Otherwise landslip) require planning to include relocation programmes can vary in terms of scale as Figure strategies. Incremental sectoral interventions may be more appropriate to cultivate a sense of city • Environmental conditions of slums: density inclusiveness and contribution. which will help ensure the sustainability (maintenance) of the • Policy and regulatory environment: if a upgraded physical improvements. Dense settlements may require certain kinds of improvement it will have an significant demolitions in order to implement influence on the upgrading intervention to be basic infrastructure and the street network. equally important particular settlement unfeasible. which will reflect the • Residents’ ability and willingness to pay for following factors: an upgraded environment: the disposable income of residents will tell us how much they • Types. existing infrastructure and service levels. this is a requirement for the full in hazardous areas (e. materials. The interventions requiring cost recovery difficult. of existing settlements. as we showed in Box 2. supportive regulatory environment does not exist. (c) of land tenure regularisation is something we economic. • Land tenure: the land tenure situation in existing and can focus on different dimensions of slums such settlements and the legal and political viability as: (a) (built) environment improvement. upgrade. Most frameworks and options. Sectoral upgrading may be more depend on a number of factors. (b) social. However.

improvement process. that political rhetoric people’s federations exist. problems faced by women and vulnerable groups in the city’s slums may have an influence on which Figure 3. however. CWSU is adapted to the particular needs of each city by involving communities. This • Special needs and groups: the socio-economic is not the same as choosing which slums to feasibility study may find a particular issue that implement projects.13 in the previous chapter). This will help to prioritize programme components and turn the programme into a demand-driven initiative with a greater degree of support from slum residents. CHAPTER 3: SETTING UP THE CWSU PROGRAMME micro-enterprise development or infrastructure is backed by adequate government resources development (for the programme agency). one should involve these Figure 3. particular political patronage of selected slums.6 shows how the mix of interventions components are included in the programme. (See is decided in the Baan Mankong programme in for example Box 2. It should will be more appropriate than integrated be noted that this discussion is particularly upgrading. which can help avoid corruption and programme may be taken. If and required policy and regulatory reform to funding is limited. and/or where urban poor It is important. the In cities where there are active NGOs working in programme should harness this and push for some form of community-based upgrading and integrated upgrading to make the biggest impact. which should be based on should be urgently addressed and therefore the transparent criteria set at the beginning of the a decision to address this need through the programme. for upgrading. piecemeal upgrading be able to implement the programme. sectoral. search for suitable for all Reblocking & Municipality solutions together communitie in the city readjustment Flat Other Resettlement Row houses development actors Mixed approach Establish a consultative process with target populations via CBOs and representatives prior to defining the scope of the programme. the municipality • Political will and public perceptions: politics and other development actors in carrying out a and public perceptions may also play an important survey and planning (the left sphere in the diagram) role although these should be carefully navigated. For example. Thailand. On-site Community upgrading Row houses Community Land sharing & reconstruction Flat Detached house Citywide survey / joint Find various solutions planning. If there is strong political will to improving the lives of slum dwellers. and collectively identifying a range of appropriate There may be popular or influential views of interventions such as upgrading and resettlement (the which low-income communities are priorities right hand sphere).6: Participatory decision making about the appropriate components of CWSU. TIP 77 . concerned with political will and public perception shaping programme intervention choice.

This is a danger which can be reduced by arrangements MANAGEMENT UNIT with participating organizations to second their staff to the programme under the management. CWSU selected will depend in part on the weight of technical programmes are politically sensitive because the competencies or responsibilities an organization has. well paid or from management who feel that the PMU is encroaching on its area of competence. marshalled support behind the concept and reached agreement with partners on Here we consider in more detail the location of the the overall shape of the programme. separate agency or part of an existing institution. It can generate jealously. are very visible. A disadvantage may be that support comes at the price of influence on the PMU’s decision Model 1 shows CWSU as part of the Department making. But worst of all is the danger that the PMU will develop 3. Although CWSU programme administration and existing larger organizations. executive body. The at when defining the institutional position of the latter may be project managers and/or functional programme and the assignment of responsibilities and managers. resource gained during the preparatory first stage of the allocation and staffing and the overall success of the programme. actions regarding slums are perfectly embedded into One is the freedom to make decisions without an existing administrative and functional structure. Where does it have the best opportunity the programme. and to the functional department where the programme is likely The composition of the PMU depends on the nature of to be placed. corresponding disadvantages: governments. of a Programme Director. municipal entity (authority). particularly if these positions are occupied by programme and the PMU is likely to become a real politicians or individuals with political ambitions. The CWSU programme will be coordinated by a of the PMU where their skills will develop but will be management team which we here call the Programme returned to the permanent organizations responsible Management Unit (PMU). thereby associating it directly with as a specialized agency. and Executing Citywide Slum Upgrading Programmes actors in programme design and make them genuine without the bureaucratic delays encountered in public development partners. There is nothing PMU within the municipal administrative structure. It can be an autonomous. undue influence and to be able to implement them The PMU will draw on staffing from housing as well as 78 .3. success of the programme and its political leadership which is why the municipality is often chosen. to stop task force members becoming part of the Its location may have implications for the way it PMU and they would bring with them the knowledge works. or giving it an independent status of Housing. Head of Administration and hierarchy. It is not the same thing as the task force which 3. or as part. teamwork and duplication of mandate are managers with overall responsibility for the operation all dimensions and variables to be carefully looked of the different components of the programme. a line agency or semi-autonomy the Urban Planning or Public Works Departments.7 depicts the CWSU programme integrating the PMU in a municipal department or management unit situated within the Department municipal agency. for city development at the end of the programme. a central office and combine one or more the respective units and the political decision of the offices nearer the project areas. The PMU will be the programme’s overall coordinating unit.4. design and implementation is a prerogative of city There are. In principle. Careful consideration should be paid the organizations from which they were seconded and to the formal and informal organizational culture of a new team will have to be recruited. All There are advantages to autonomy of the PMU. of Housing despite it being a citywide strategic programme of the entire municipal government. however. the municipal government as a whole. Planning. PROGRAMME COORDINATION initiated the programme. It can operate from the This will depend on the existing delivery capacity of town hall. DESIGN AND ESTABLISHMENT its skills to a high level which are invaluable during the OF THE PROGRAMME programme but which are lost as soon as it ends. involving these partners will increase organizational jealousy may lead to lack of efficiency and responsiveness of the programme and cooperation from operational staff who are not as greatly increase the chance of programme success. It can be integrated into housing policy. staff recruitment. However. There are advantages and disadvantages to Model 1 in Figure 3. its efficiency in decision-making. Which option is Mayor and his or her management team. A Practical Guide to Designing. it should consist at least to be institutionalized? Issues such as authority. It could also be well-placed within the municipality. political battles and unnecessary competition amongst One of the advantages of this arrangement is that the municipal departments and their directors and host organization will have a greater ownership in the leaders. they may be needed back in programme.

it might vanish after changes of the Housing Department. Since this hybrid/new unit is established within the The manager of the programme reports to the head municipalities’ structure. of Urban Dept. create direct lines of coordination. of Dept. It is highly recommended to Model 2 depicts an organizational model in which look very carefully at these models and options to host the CWSUP is placed at the same level of municipal the programme before the programme actually starts. of Social Dept. public works. In this case. accelerate resource allocation and ensure political support. the manager of the CWSU Programme management unit reports directly to the Mayor. Affairs Housing Planning Works CWSUP planning.7: Two options for positioning the location of the PMU in relation to existing municipal organization chart Model 1: Municipal/City Government Mayor Dept. and social affairs departments. in the political leadership thus affecting its continuity and institutionalization. of Housing Dept. of Public PMU Etc. This results in the creation of a hybrid organisation or an extraordinary department with full power. Affairs Planning Works PMU CWSUP Model 2: Municipal/City Government Mayor Dept. such a specialised unit directly subordinated to the Mayor may create a superstructure that overlaps other functions valid in other departments. This may speed up decisions. cause conflicts. CHAPTER 3: SETTING UP THE CWSU PROGRAMME Figure 3. departments. Social Dept. However. of Urban Dept. duplication and clashes for dominance in decision making on municipal plans of action. This can create risks of entering in others’ competencies. authority and mandate on everything related to slums. of Public Etc. 79 .

drawn from strategic for defining and refining the programme’s objectives planning methods. involving key stakeholders. It is very common to decentralized field offices geographically located to underestimate the power of administrative with executive powers and delegated authority to resistance when proposing fast-track methods of implement the programme. to be articulated in a programme document laying out its objectives. focus group meetings and If tendering public works depend on decisions community-based action planning workshops are elsewhere for resource allocation and contracting. Citywide programmes programme strategy and plan. project approval and budget allocation that often requires a big change in the status quo. People’s Federations Whatever approach is taken. inspection. Figure 3. slums in the city and providing a legal provision to secure land rights to all residents within a given There are different ways to gather data and there timeframe may not be attainable. been refined to that degree but during this stage they will need to be. available funds and human feasibility studies as described above. slum(s). the definition of the programme’s strategy and set of activities.5. and the means available or required to authoritarian ways. The data needed to make a decision • Attainable in view of means and resources: about qualifying settlements will have been provided programme objectives are consistent with the either through existing data or gathered during the institutional capacity. regularizing ‘X’ number very specific and they would probably not yet have of plots. Another popular method is the carry out these activities and actions. in what order and over consider the time required to achieve each what period of time. For example. ‘problem tree analysis’ which is commonly used in public consultations and working group sessions.6. CBOs. The team in charge of defining the programme needs to clarify both the problem analysis and the setting of Defining programme objectives: objectives. etc. The PMU now can be measured and verified by observation. 3. legal. all informal settlements in the city. This needs time variable must be considered. actions. One must step in the process of programme design. is a substantial role for community participation. some of the available tools to support programme outside the programme coordination. etc. then this design. from participatory activities and actions required to achieve the stated and bottom-up approaches to more top-down and objective(s). Many of the chances of success: programme objectives need same techniques shown there are also applicable at to consider existing institutional. 80 .2 are in fact kilometres of water pipes. quantifiable results that eligibility of settlements for upgrading. how to do it. Consultations with various stakeholders are likely to Involving different stakeholders in this exercise will help refine these objectives and facilitate therefore increase the value-added of the result formulation.8 shows resources. SETTING (PROJECT) ELIGIBILITY slums. groups of 3. results. objectives need to be and private academic stakeholders will be instrumental defined through SMART criteria. the wide range of methods to do so. SMART stands for: and goals. Upgrading all Bairro programme. has to refine and apply these eligibility criteria. keeping a high degree of realism and the selection criteria which were applied in the Favela not over-optimistic in character. A Practical Guide to Designing. Consultative workshops imply multiple and simultaneous interventions. capacity the programme stage and should be applied when drawing up the programme objectives. Planning. AND SELECTION CRITERIA • Measurable in performance /output terms: During the initiation and consensus building stage the the programme defines verifiable indicators to task force will have defined general criteria for the measure achievement. thus creating an ‘objective tree analysis’ that Defining the programme objectives is a fundamental will help in the final objective statement. There is a consider the strategies to achieve the objective(s). problem analysis and goal setting. The research. PROGRAMME OBJECTIVES • A timeframe which is feasible for concrete results to be achieved within the development A CWSU programme needs to define what it wants framework: the programme objective must to achieve. and Executing Citywide Slum Upgrading Programmes These models of coordination might be connected and financial bottlenecks. This should be written up in a step and outline this. Involving NGOs. • Specific in place: the programme focuses on specific spatial/territorial units. In Chapter Four this guide will describe how to engage • Realistic in view of existing obstacles and communities and what they can do. measurable impacts. laying down ‘X’ examples given from Argentina in Table 2.

000 households (2.8: Slum Selection Criteria in the programme area and the expressed demands of the Favela Bairro Programme slum dwellers for whom the programme was intended. Indicators were defined for: It is generally a good idea to make use of existing • the degree of ‘urbanization’ (urban institutional frameworks where possible. in the Ciudad Bolivar Institutional and Bogota the strengthening of inter-institutional Community Development Programme. CHAPTER 3: SETTING UP THE CWSU PROGRAMME Figure 3. If they function well consider placing the CWSU programme within this framework. before creating new ones. the sponsoring bring institutional representatives together. In other organizations had already decided the general cases. 81 . They will also probably have more legitimacy than • numbers of domestic connections to water a newly created structure if they have worked with any and sewage networks success.000 inhabitants) way in which all parties work together. Size of the favela brainstorming and problem tree analysis to identify 2. they are there for a reason. legal mandates and governance defining the 11. But this is not always possible and it may be • percentage of household heads earning necessary to adapt existing frameworks. In this case a new committee was created to in the south of Bogota. If there are existing institutional frameworks that include agencies with the mandate over slums and urban development. Colombia. In the Ciudad Bolivar programme in For example. upgrading may be new and represent a major objectives and six types of interventions to be made challenge to existing institutions. Workshops were similarly 3. private Don’t reinvent the wheel.000 people areas. during the initiation and consensus building stage. 3. the task force identified administration and local women’s groups. 1. This is because development) of each favela partners will be used to them and know how they work. Selection criteria for upgrading Workshops were held with local government officials and residents and used techniques such as 1.g. It undertook a number of indifferent to the programme. The degree of difficulty in upgrading problems existing in the municipal administration and how these might be solved.000. The PMU stakeholders in the programme and selected those was charged with writing a plan to show how it felt were the most important likely contributors. Avoid creating hybrid agencies that have little chance to survive political changes and thus affecting sustainability and continuity. an upgrading coordination was identified as one of the intervention programme for a settlement of almost 350. design and implement the CWSU programme. It these interventions would be carried out in order to will also have identified others who were hostile or achieve the objectives set. The socio-economic needs of the residents which was drawn up as a result was presented to participants for verification. People also probably respect them.500 households. The high cost of upgrading small settlements = the exclusion of small The PMU will work with different organizations to favelas. The degree of infrastructure already in held with women’s groups for the same purpose place regarding the intervention aimed at them.7 INSTITUTIONAL FRAMEWORK 2. During the initiation and consensus building stage These included strengthening the local government of a CWSU programme. Where opposition might participatory activities with the population to help it impede the programme it needs to be addressed and identify the outputs that were needed to achieve its where indifference is found amongst stakeholders objectives in a way that reflected the reality of the who are important to the programme (e. A legal and regulatory framework is part and parcel of this step. under one minimum wage (US$100 per minth) The PMU itself is a new entity and others may be needed in order to achieve the programme’s objectives. An institutional framework has to be set up with its IDEAL SIZE: 500-2. The plan 4. agencies. with or without some modifications. The high cost of upgrading larger settlements = the exclusion of 114 favelas with over 2. One of these reasons TIP is probably that they work.

CBOs. Together with the Institute of Architects Figure 3. One should if possible be turned into support. faith-based on its own circumstances and the above example is organizations. 2003 82 . teams in each intervention area in terms of the roles and responsibilities of each. Central government provides funding to the Municipality who Partnerships or alliances need to be built to support signs an agreement with the community to manage the Programme. as a matter of In Figure 3. Residents pay 30% which the relationship is longer term and strategic. only one of many options. and the corresponding municipal departments. These are discussed in more detail in and stakeholders as well as project management Chapter Four.10 the PMU is decentralised though part of urgency. concrete and fairly short-term results or alliances in hires and supervises contractors. and Executing Citywide Slum Upgrading Programmes landowners and other ‘gatekeepers’) this indifference different upgrading programmes in Latin America. Partners and allies can be found in many forms. Mexico CONTRACTOR FEDERAL & STATE GOVERNMENTS Flow of funds Earmarked budget Contract transfers Contract COMMUNITY MUNICIPALITY 70% subsidy • Requests work • Programme promotion • 30% cash contribution • Decentralized PMUs • Selects and hires contractor • Grant funding • Collects cash contributions from • Planning residents • Design • Manages 100% of project funds • Supervision • Helps oversee works • Adds own resources to federal and state budget transfers Source: Imparato and Ruster. including decision making Another example is that of the Favela Bairro Programme at programme level. It is the community which selects. the initiator and placed the programme within the Department of Housing which takes the lead in Imparato and Ruster (2003: 182-184) have described five articulating the programme with other municipal different roles and relationships between stakeholders in departments. Socio-technical shared risk on the basis of common objectives and support is provided by the programme via the PMU. academia. relationship of partners should be in any city depends private companies. Most of them can contribute Of particular interest is the role of the community. central government ministries. In of project costs themselves with the local government each case there is a pooling of valuable resources and subsidising the remaining 70%. A Practical Guide to Designing. NGOs.10 below. something to getting the programme set and running. Funds management and responsibility for hiring contractors are just two of the many potential roles The PMU should define its relationship with partners to be played. What roles and responsibilities. Mexico. will include vested interest groups who stand to lose from the upgrading. The partnership matrix presented shown below in Figure 3. utility companies (private and public). often of values and vision. to develop a strategy to bring them on board. They may include the Mayor. Opponents of them is presented in Figure 3. The municipality was in Chapter Two will be useful in this respect. Planning. people’s federations and unions.10: The institutional framework for programme implementation in Tijuana. They may be partnerships to achieve all project funds. the media. the Municipal government of Tijuana.11. international NGOs. The PMU needs.

notably computer software. Sustainability for 40 per cent of its budget. each agency also had to take into account methods can also be used such as the logical the requirements of all the other infrastructure types framework (Reed et al. time in each settlement being upgraded. are likelier to coordination of different infrastructure and service be committed to sustaining what the programme has provision a lot easier. and possibly implementation. execution to private parties. Programme the agencies involved had its own technical standards management tools are available to assist in this. though more traditional Of course. Imparato and Ruster (2003: 176) delivered.1 IMPORTANT TOOLS FOR THE roads. This management information system (MIS) to inform it of could have led to big coordination problems as each of progress in the completion of activities. These tools allow for (e. CHAPTER 3: SETTING UP THE CWSU PROGRAMME of Brazil.11: The Programme Management Structure of the Favela Bairo Upgrading Programme. and engineering design for each type of infrastructure.. It set up a PMU and commissioned both in all the infrastructure sectors while the responsible the development of the upgrading plans and their agencies provided supervision. Stakeholders structure is indispensable and. coordination and monitoring of the To complicate matters further some of these CWSU programme. as long as all which have been involved in planning and decision parties agree. The seeds need to have been sown at the start and if this is done properly sustainability will be This decision on the institutional and management a natural conclusion of the programme. The PMU has overall responsibility for the management. goes a long way to making complex making. Brazil Allocate budgets Municipality Develop policy Public tendering Select target & Development of Housing Department priority slums methodologies Contract Architectural Project Building firms Management contractors Community 83 . programme. Rio de Janeiro. like any other in the country. maintaining road quality depended on good activity plans to be drawn up and completion dates drainage and the sewerage system relied on a solid across a multiplicity of actions to be identified visually.7. the municipality managed to acquire a loan programme benefits at this early stage. Despite these challenges. Here the municipality. programme in Brazil. 2011). The programme went on for more than ten years. was responsible for providing 3.g. After starting with its own The PMU needs to start planning for sustainability of resources. PROJECT MANAGEMENT UNIT Water and sanitation was a State level responsibility and was executed through utility companies. raising the total budget does not simply arrive automatically at the end of a for the first phase to USD 360 million. Chapter Five Figure 3. drainage and solid waste management services. the Housing Department launched a national problems were held to a minimum because all parties tendering for the development of the methodology accepted the Municipality’s coordinating role which of the programme and recruited the best ones to allowed it to hire a single contractor which would be piloted in 12 favelas before it was enlarged to carry out (and therefore coordinate) improvements nearly 100. The issue of sustainability is discussed in explain this in the case of the Guarapiranga upgrading more detail in Chapter Five. For these it will need a solid companies were being privatised at the time. waste management system which prevented refuse This includes progress made in all activities at any one from blocking the sewers).

local authorities networks. UN-HABITAT and development Units (SPIUs – see below). and Executing Citywide Slum Upgrading Programmes shows in detail how a monitoring system should be least frequent (perhaps quarterly). It provides a mechanism for mobilizing actors and coordinating their for coordinating all KENSUP related activities and activities at the settlement level. of the programme are being effectively reached. The PMU will itself hold frequent meetings. in co- the execution of the Programme including NGOs ordination with PIU and Programme Secretariat. As an example Box 3. cooperatives. and construction of required reports to the President. and CSOs. While this example is specific to the probably weekly. At the level of inter-agency coordination meetings may The vehicle for corrective action is mainly the regular take place monthly. A Practical Guide to Designing. They are responsible and KENSUP operations. logistical and centre of national decision-making and provides resource support to SPIUs. There are many different project management software packages which can greatly simplify coordination and monitoring. the work of the Settlement Project Implementation local authorities.1: Management. Most of them are proprietary but a few are open source. Government. opportunity for fundraising. and assist in the partners. with its field managers in different Kenyan programme. The SPIUs identify monitoring of inputs in slum upgrading. all CWSU programmes will have settlements to monitor and discuss local level progress a number of levels where progress will be discussed. It consists appropriate settlement stakeholders and grassroots of representatives of the agencies participating in organisations. 84 .1 describes to identify how the different agencies can assist to the various levels at which coordination takes place improve performance and remove obstacles. to solve them. here the PMU will designed and implemented including a description of be expected to demonstrate that the overall objectives the important roles which residents can play. The IASC gives policy direction and planning. if any in the Kenya National Slum Upgrading Programme exist.ke/?p=124 coordination and tracking of the day-to-day running of the Programme. it is also an opportunity for the PMU different levels. between the Programme Implementation Unit and comprising representatives of development settlement communities. Settlement Executive Committees act as a link A Multi-Stakeholder Support Group (MSSG). The Settlements Project Implementation Units The Inter-Agency Coordinating Committee (SPIUs) link the Programme Secretariat and the (IACC) is the intermediary organ between the IASC PIU with the community. Programme and provide feedback which the It also charged with advocacy for community KENSUP Secretariat can use to improve operations. Planning. Ministry of Housing website . Although this is an accountability coordination meetings which the PMU holds at mechanism.housing.go. (KENSUP). rights and seeking full community participation in decision-making. and agree on any modifications in planned actions. It also builds the capacity of local authorities and other local actors and manages information and communications about the Programme.http://www. design. The KENSUP Secretariat is the ‘programme management unit’ responsible for management. At the top (policy) level meetings will be Box 3. and resource mobilization and communities is a broad forum to review the processes such as savings and credit schemes. They are not TIP all identical and technical advice should be sought to ensure the most appropriate package is obtained for your programme. Source: Adapted from Government of Kenya. their potentials and activities. civil society. This brings KENSUP to the facilities and provide technical. They facilitate community partners. Coordination and Monitoring in the Kenya National Slum Upgrading Programme (KENSUP) Inter-Agency Steering Committee (IASC) is Project Implementation Units (PIU) are the supreme Programme organ composed mainly established within local authorities and co-ordinate of representatives of key relevant Ministries. if problems analysed and agreements reached on how appropriate.

This can be done in various ways such as residents’ monitoring committees (see • donor agencies such as the European Box 5.g. infrastructure. Guinness and the Multi-Stakeholder Support Group concept which is Gates Foundation). The PMU needs first to estimate the financial • Local partnerships with business communities requirements of the programme and then to draw where corporate social responsibility funds may up a financial strategy that will ensure financial be encouraged into various components of sustainability. described in Box 3.e.g. which may be limited to a single settlement. amongst others. the interest that has to be paid on sector. How will upgrading be paid for? • Public-private-community partnerships where There is no standard formula for programme all parties contribute to the CWSU Programme financing. shelter and the government harnesses the resources of the private financing cost (i.12: Upgrading in Yaoundé Funded. upgrading. the PMU should ensure that there are programmes in Latin America in this way). In addition there are the costs associated with social Cordoba (Argentina) and Stutterheim (South Africa) and economic programmes. and broader processes which look at the • international companies and private programme as a whole. have benefited from private sector involvement in municipal service provision.12). similar in part to KENSUP’s foundations (e. • twinned cities and regions or those working in solidarity (e. The sources of finance available for the financing. Photos: © Reinhard Skinner 85 .2 for a description of the Citizens’ Watchdogs Commission (EC) or central government. in Colombia). There are four main cost items that have to be • Public-private partnerships whereby local provided for: land. fora in which residents. Coca Cola. Poverty reduction and water and sanitation the financing obtained to implement the programme). percentage of the tax base or the percentage of the total annual revenue. Barcelona’s support of 3.8 FINANCIAL STRATEGY upgrading in Yaoundé see Figure 3.1. programmes in cities such as Kathmandu (Nepal). This can be set up by Slum dwellers in the programme may contribute law and guarantees so that programme has a through: sufficient flow of resources for implementation. programme may include one or more of the following: • Reorganizing budget distribution of local budget • Taxation: A municipal slum upgrading fund through participatory budgeting which reflects can be set-up and be supported by a certain residents’ priorities for slum upgrading at city level. CHAPTER 3: SETTING UP THE CWSU PROGRAMME In addition. the Inter-American Development Bank has funded many upgrading • Local taxes (generated from the formalisation of Figure 3. civil society organizations and NGOs can express their opinions which are a valuable • Grants from: form of monitoring. by Barcelona and Yaoundé VI Municipalities and Implemented by the Cameroonian NGO ERA-Cameroun and The Catalan Enginyeria Sense Fronteres. • User charges (payment for some or all of the • Loans from central government or a development newly provided infrastructure and services) bank (For example.

g. Photos: © Reinhard Skinner land ownership and property taxes and possibly (it may be more important to provide services than some form of betterment tax or levy) to recover costs from all those receiving them). PARTICIPATE IN UPGRADING When applying subsidies it should be considered One aspect of the social and economic costs is that of how long it will be for as indefinite subsidies are providing financial services for slum residents. One of those used in the case of Mumbai’s upgrading is presented in Box 3. physical or organizational – see Figure 3.13: Community members participating in upgrading. communities are to fulfil this role: Decisions about levels of payment and the application External grants for financing basic capacity of grants or subsidies should take into account: among CBOs Grants can help community based organizations • residents’ ability to pay. • what contributions in kind residents have made. • ‘Sweat equity’ (the contributions community Governments have developed a range of financing members make in kind to the programme be they mechanisms which PMUs would do well to learn about.13). 10 de Octubre slum in San Salvador.8. to the activities of community organizations 3. These unlikely to be sustainable in many cities. undertake capacity building which they could not afford to finance themselves.2. concepts of what is just (equity) and the full cost of an improvement or service or the weight of different political opinions. Below we look at some • Grants: some services simply may not have examples of how this has been Done after a brief to be paid for. It should also will include community driven attempts to participate be considered how the recipients of subsidies will in the upgrading programme. McLeod (2003: 18- afford to pay once the subsidies are withdrawn. The following are a may lead to the inclusion of an income generation selection of the grants she identifies as necessary if component in the programme. and Executing Citywide Slum Upgrading Programmes Figure 3. There will have to be creativity in Residents may be charged for all. Examples include. A Practical Guide to Designing. FINANCING CBOS TO described at the start of this section). part. grants are given to residents as consideration of financing of CBOs so that they can compensation or incentive (typically for relocation participate in the upgrading process. or part of the financing system. or none of the the design of the financial strategy but what is adopted improvements they receive. Grants for financing learning. knowledge • what the social objectives of the programme are creation and capacity building 86 . to a new site) or as non-repayable contributions (e. through ‘internal cross-subsidies’ by means of which some residents pay less than the cost and Another way in which communities may participate in others pay more (usually the poorer and less poor the financing of slum upgrading is to take control of groups respectively). base the community will use in drawing up plans to present and negotiate with state organisations. • what the payment norms are in the rest of the city establishing networks of communities to exchange (e.g.1. should services supplied in upgrading sites be knowledge and experiences and data collection such more or less expensive than other parts of the city as mapping and enumeration which will form a data where better off residents live?). Planning. This 19) has compiled a list of these. There is usually an element of: will ultimately depend on the financial resources available to all stakeholders (from state to private sector • Subsidies: either in the form of paying less than and community).

treatment systems and storm water drains. amongst other drainage. The they would be obliged to build flats for a Slum Rehabilitation Authority (SRA) was set up specific number of the poor slum dwellers too. from the fund was used to help cover monthly maintenance costs and municipal taxes. the Government of Norway and several major foundations in this way. It was made the planning authority for slum areas. make a corresponding profit on them. A TDR housing societies of slum dwellers. Kroo Bay. access roads and Dwellers’ International (SDI) which. Sierra Leone. NGOs and members of the private sector upgrading for themselves such as toilets. would get improved living conditions. Photo: © UN-Habitat/Reinhard Skinner Photo: © UN-Habitat/Reinhard Skinner 87 . Shack/Slum water. (2005) in slum areas for higher income groups and The learning which comes from the pilot projects Grants for the development of small scale pilot needs to be documented to allow it to be shared and demonstration projects within and between settlements. Grants will make it possible supported by grants from SIDA (Swedish International to undertake these risky investments until they have Development Agency). as the coordinating authority. amended to give it the power to make changes to the development plan of the city and to provide Any developer who undertook a slum rehabilitation building permissions. The SRA designed a mechanism to attract private developers to slum to upgrade them in a way that The new middle and low income apartments ensured they would make profit and the poor would put pressure on the existing water mains. scheme also had to contribute Rupees 20. There would be If a developer was willing to build flats for slum multiple executing agencies such as private sector dwellers beyond that minimum he would receive a developers. Freetown. municipal to make small scale investment projects in slum staff. disseminates information about upgrading successful they can represent important contributions practices amongst its affiliates worldwide. The interest lives on land owned by the state.000 (approximately US $400 at March 2012 exchange In Mumbai more than half the slum population rates) per family to a central fund.2: Financing of upgrading in Mumbai From 1995 the state government began an in. This learning is These grants would allow community organisations not limited to community organizations. NGOs and cooperative Transfer of Development Rights certificate. solid waste management. Developers were allowed to build flats (apartments) Sources: Burra. and the municipal and state legislation was The flats were free to slum dwellers. can also learn from participating. CHAPTER 3: SETTING UP THE CWSU PROGRAMME Box 3. These projects are experiments but if activities. has been to the upgrading process. Figure 3. the needed expansion in infrastructure capacity. However. can be used either for construction in another part of the city or sold on to other developers. situ slum upgrading programme in Mumbai. sanitation.14: Kroo Bay Community Centre. through the use of a device called the Transfer of so the developer was also expected to pay Rupees Development Rights (TDR) which worked in the 840 (US $17) per square foot of built area to fund following way. public bodies. This it did sewers.

operation Agency. These demonstration projects result in improved The mechanism was established to address the housing and sanitation for significant numbers problem that the urban poor and their support of people. YMCA (Young Men’s Christian explained here. upgrading. Planning. 2005: 45-46). It is due to continue until March 2014 Guarantee Fund and other providers can also help by which time it will have received donor funding access loans from financial institutions of £28. international development agencies. and the Swedish International Development Co. land.8 million) civil society sectors. Capital Grants represent around 75 per CLIFF is co-ordinated internationally by Homeless cent of the CLIFF budget. and financial institutions.8. In addition. Kenya and The Philippines. including project Sources: http://www. they are used to CLIFF was established in June 2002 through support new projects. When Capital Grants are repaid. local and national government.2 COMMUNITY PARTICIPATION previous chapter the Community Organizations IN FINANCE Development Institute (CODI). CLIFF plays a special role in • Capital Grants to enable partners to provide plugging and bridging this gap. DFID (contributing over £6. As explained in a 3. 88 . • Revolving funds The financial framework for government support of community upgrading projects is as follows. Association) – Sierra Leone receives grant funding from the British-based charity Comic Relief for small Savings and Loans Schemes projects it has set up in the Kroo Bay slum in the In the Baan Mankong upgrading programme in capital Freetown (see Figure 3.dfid. The • Guarantee funds government provides: • Community banking • a grant of US $625 per family for regular physical and social infrastructure improvement. The programme provides financial support through Recognising that sustainable access to affordable grants: finance from financial institutions is a key piece of the scaling-up puzzle.uk/work-with-us/funding- opportunities/countries-and-regions/cliff/ preparation and management and the http://www. infrastructure and skilled human resources.3: Financing Communities’ Capital Investments in Slum Upgrading – The CLIFF Programme The Community Led Infrastructure Finance Facility The Capital Grants help communities to establish (CLIFF) provides loan finance for slum development their own revolving loan funds to finance initial projects that are implemented by the urban poor in slum redevelopment demonstration projects. International • Operational Grants to cover the costs related to CLIFF implementation. and Executing Citywide Slum Upgrading Programmes Box 3.gov.org/document_1. A Practical Guide to Designing. Thailand communities manage their own finances (Boonyabancha. a semi-autonomous public agency which is responsible for Thailand’s urban CBOs can serve as managers of slum upgrading funds. they are used to influence organisations have traditionally been unable to the policy and practice of relevant organisations access affordable capital in the form of loans from such as banks. This includes managing their own • Savings and loans schemes funds. Government various parts of the world are through: believes community organizations should drive the upgrading process.homeless-international.aspx?id=0: documentation and dissemination of lessons 59668&id=0:59663&id=0:59166&id=0:59153 to allow the learning from projects to be shared widely. been refined and improved to such an extent that Each of these can be applied to upgrading and are they are replicable.8 million (pounds sterling). private and Development. These projects mobilise a funding from the UK Department for International range of resources from the public. cost recoveries. such as loans.14). receives a budget from central government Four ways in which communities have done this in which it passes directly to communities. Sida (contributing approximately Loan guarantees from Homeless International’s £3 million). India. loans for project construction and related costs.

subsidy from the their own savings and outside finance collectively and municipality or a national ministry. Guarantee Funds CLIFF bridges a gap in the financial market and makes funding available to poor communities for slum upgrading. • housing loans to community organizations to This is a one-time grant used to set up revolving credit purchase land or for housing construction at a enhancement funds. CHAPTER 3: SETTING UP THE CWSU PROGRAMME • a grant of US $31. local schemes. In the latter group members simply save until they of a wider range of sources of finance for an equally have enough for a house and then they stop.asp?catid=542). coordination. seminars. Ghana. which has been done so far in rate of interest of 2% per annum. secondly to work collectively and third. developing whatever the community prioritises and to have the confidence that It also delivers the processes which make these they are capable of achieving their goals. In this way the Local Finance Facilities are able to attract external funding Somsook Boonyabancha. what it calls the Local Finance Facilities Concept (http://www. to teach communities to manage combination of community savings. on an ongoing basis.unhabitat. It improves local government efficiency. meetings. Development of Ciudad Bolivar in Bogota in the late 1990s also set up guarantee funds to attract bank It is a skill which has to be learned which the financing of microenterprise and housing components government agrees with and provides a capacity of the slum upgrading programme. If a community cannot manage money. domestic banks. While CLIFF is a specific case which has been implemented in India. Indonesia. development grant to that end. Director of CODI.org/categories. learning. commercial bank lending. Community Banking CODI does not believe savings and loans groups Another approach is to establish a community bank. accumulating capital. exposure banks to start lending in poor communities in the trips. process of upgrading. should focus on housing. says: and achieve a leverage of on average 3. information dissemination. Kenya and The Philippines the use of revolving funds is of more general applicability. UN-HABITAT’s Slum Upgrading Facility has also developed a mechanism with the same purpose 89 . benefits possible. it establishes partnership between to the sustainability of upgrading if it means that stakeholders to plan and implement and it strengthens community members are constantly identifying and implementing improvements. first as a way to commit to saving and municipalities and relevant national ministries. Sri Lanka and Tanzania. CODI wide range of upgrading purposes.3. and most importantly according to former The Facility aims to finance projects with a Director of CODI. it is doomed forever to having its development The Programme for the Institutional and Community process determined by someone else….5 (external funds) to 1 (the guarantee fund).25 for local administrative and but this time using the tool of guarantee funds in joint management costs.4 presents believes this wastes the opportunity to work together an early example of community management. responsiveness to constituents and revenue The community approach is also likely to contribute generation. and local domestic thereby become key actors in development. Revolving Funds The Community Led Infrastructure Finance Facility (CLIFF) is an initiative to provide loans allowing poor communities to set up revolving funds for the upgrading of their communities as explained in Box 3.700. as many other such groups an approach which seeks community management do. supporting business with a board of directors drawn Communities are required to set up savings and loans from community groups. Box 3. Each Local Finance Facility operates as a self- The total subsidy per family is US $1. The funds mainly serve to offer guarantees to attract domestic • a grant for capacity building.

lighting and cooking through their community organization. planning. management and technical assistance). the installation of three Peru but the Community Bank was to be financed communally owned kerosene pumps (for the and administered by residents themselves. to collect individual residents' financing of the construction of 70 schoolrooms. economic and social development.. departments) • Adapting policy and procedures.g. 3. through training and on poor which make them able to effectively analyse the job technical assistance focused on specific problems. • Adapting policy. • Training of staff and management in new governance officialsand and financial techniques. a civil construction company.356. many organizations and institutions in the public and • Adapting policy (to allow the new skills. A year after its It aimed to capture internal and external funds in inauguration it had received savings and deposits the rapidly growing settlement (at that time with of approximately US$426. Planning.000 residents) to invest in local deposits which were service collections and had development and to create jobs. plan for their future and produce solutions. mainly to be passed on. acting supply of cheap heating.. and Executing Citywide Slum Upgrading Programmes Box 3. senior processes. had been given by the Popular Bank of electricity connexions. need to develop new skills and capacities if they are to contribute optimally. a payments for public utilities and to act as a community health centre.4: An early example of participation in finance – the Community Bank of Villa El Salvador The Community Bank was founded in August 1974.9. fuel). A Practical Guide to Designing. products and processes of CWSU. educational of a common meeting hall. (knowledge of facilitating policies). a financial intermediary in any state investment in building materials depot and the establishment of the settlement. physical. the financing of the community’s Second Convention. reorganization. Once in operation the Community Bank Sources: Skinner (1981: 105-107). penetrated nearly all spheres of Villa El Salvador's existing capacities in the organizations of the urban • Increasing skills (e. • Adapting policy.g through the application of new techniques. processes private sectors and in slum communities. and a loan creation and expansion of industry and the to an area organization for the construction financing of projects to tackle health. (the Mayor. the community's contribution to The Bank's main declared tasks included: the the road construction programme. a commercial centre. Apart from those approximately 130. Initial aid. By January 1976 and employment problems. Sustainability therefore is about safeguarding the management and execution). Though all participants need new skills they will not all need the same. Donor organizations How to ensure participatory processes inform • Donor meetings and workshops. Contd. CAPACITY DEVELOPMENT • Increasing resources (financial. • Improving organizational processes (e. They will all and resources to be utilised effectively). Local government How to promote and work with participatory • Study tours to CWSU programmes in other cities. 90 . loan and grant agreements.2 is an outline of what some Capacity development may consist of any the following: of the likely stakeholders will need – what knowledge Table 3. organizational and the ability to manage funds. human. The citywide slum upgrading approach will be new for multiple projects and financial reports). these funds were used for such in the form of a building loan and the training of purposes as paying the initial bill for domestic personnel. Table 3. aspects of programme design.2: Capacity Needs of CWSU Stakeholders and How to Develop Them Stakeholder Required capacities (examples) How to be obtained (examples) Central government Ability to facilitate housing and service • Study tours to CWSU programmes in other cities ministries improvement. to give credit for these projects had been extended to cover the house construction.

g. networks Owner occupiers Awareness of new financial obligations (e. to the poor (e. physical.g. commercial banks. Traditional leaders Assuming/sharing responsibilities with elected • Meetings with Councilors and elected community community and city councilors. NGOs (numerous) How to advise and facilitate participatory • Study tours to NGOs in other cities with CWSU processes with CBOs. community based organizations. enterprises). Small (slum) landowners Awareness of changes in tenure and ownership • Communications strategy (e. Private service providers How to coordinate with and utilise resources of • Study tours to other cities with CWSU programme. • Adapting professional role.g. engineers. • Training (workshops). drinking water). • Conferences / seminars. • Increasing human. (e. experience. • Information meetings with NGOs/CBOs payment of utility fees and property tax). • Community engagement. Construction companies Development of incremental housing design • Training options. management. federations and citywide scale during design stage. Tenants Awareness of new rights and responsibilities • Information meetings with NGOs/CBOs. • Participatory data collection/enumeration. • Community engagement. leaders. • Adapting policy. large funds from banks or donors. • Exchange visits with CBOs already experienced in for solid waste. • Community engagement. • Training Slum dwellers’ Negotiating with programme planners on a • Study tours to CWSU programmes in other cities. • Increasing human and organisational resources devoted to low-income sector services.g. with information sheets / flyers). • Increasing human. financial and organizational resources. • Study tours. Commercial banks The design of financial services appropriate • Joint workshops with micro-finance institutions. Property developers and Awareness of non-conventional land tenure and • Training large landowners development options.g. workshops and seminars. CHAPTER 3: SETTING UP THE CWSU PROGRAMME Stakeholder Required capacities (examples) How to be obtained (examples) Micro-finance Coordination with large. community meetings and their implications. • Adapting policy and systems. tenure). • Adapting policy and systems. Architects. • Increasing human resources devoted to management of new. Utility companies Working with community based utility • Study tours to other cities with CWSU programme. Street-led settlement design. CBOs (of various kinds) • Management of service organizations (e. for housing and micro- • Study tours. • Conferences. 91 . • Adapting policy and operating systems. • Adapting policy and systems. CWSU. physical and organizational resources. • Training institutions • Joint workshops with commercial banks. Appropriate and affordable housing design. • Training planners building materials and planning standards.

improvements and services will be available normal communication channels. enumerations) or at least be prepared opinions and this is something our communications strategy needs to take into account. the production of flyers and TV broadcasts). strategy (Table 3. This might be part of the work of existing the flow of information between actors and establish staff but their job descriptions should specify this. 3. advice. This is because while feasibility studies will take place and that there will they are principally used for this purpose we should be data collection exercises in which they can actively not forget that they also provide feedback on people’s participate (e. specialist are an essential part of the CWSU package to allow if possible. Residents should be invited to apply for those A simple matrix can be used which indicates the types components of the project in which they are interested of information and communications methods which or to find out more about their eligibility and how they can be used and combined in a communications can participate. processes.3). The project will be implemented according to certain and lacking. these need to be explained. Communications need to be devised which will One of the communications methods is what we prepare residents to participate in the upgrading of would normally refer to as a data collection method their neighbourhood. building materials.g. A Practical Guide to Designing. COMMUNICATIONS As at the programme level. feedback systems between slum residents. It gives examples and does not cover to cooperate with. These will depend on the nature of the CWSU which is to be implemented and the existing. 92 . plots. and Executing Citywide Slum Upgrading Programmes and which skills. • general (regarding programme content. Which Some groups. process. Planning. is there a responsibilities – such as cost recovery). may not listen to the benefits. structure. they will need (e. etc. The way in which the interests of women and monitoring and evaluation) and especially vulnerable residents are to be met needs • specific (about access to different components to be explained. rules and regulation and all stakeholders. all possibilities. skills and capacities of the participating procedures. the PMU.) and specific communications actions which are directed at which not? them.e. and rights and specifically directed at them? For example. management and decision making. The programme will need attention and is not treated as an ‘add-on’ which will to develop a communications strategy which will have be done when and if there is time.10. Residents need to know what is expected of them but also what their rights are. focus group discussions). There will be an explanation that (i. credits.g.g. However. This will ensure that communications receives due partners and other actors. Are there any project components of upgrading – such as loans. some two components: communications work must be specialised (e. there should be dedicated As already mentioned in Chapter Two communications communications support at project level too. project for the training of women’s savings or building groups? Is there training for maimed ex-combatants? It needs to be explained what will be included. such as youth.

detailed information in attractive and Online complaints about services or downloading of accessible form.g. rights and responsibilities (e. Focus group Gathering opinions and feedback from relatively Assessing impact of women’s organizational support discussions homogeneous sectors of population. how reblocking will take place and its implications for individual families). Repetitive character of messages can lead to them ‘clean water is coming’). Explaining processes and procedures. micro-entrepreneurs’ the CWSU process. TV Allows showing of films across city of successful Publicising benefits of CWSU at start of process. Social media Appeal to young. Posters Attention grabbing. Informing communities of what has been done and what making statement of intent. do not be tempted to cut corners and push ideas through ‘top-down’. audience. etc. Delivering practical messages from community leaders. becoming ‘slogans’. Workshops Coordinated focus on specific. 93 . agreed problems or Training CBO leaders in social violence reduction. More support might also be needed from the Mayor to overcome staff resistance. Events Can be designed to attract specific sectors or Support raising. Holding interviews with participating slum dwellers on effect of CWSU. grants. credits). planning. Newspapers Articles: in-depth explanations and descriptions. possibly PMU agreeing with Advisory Committee on the next steps leading to agreement. etc.). to be taken. This risks rejection on the part of stakeholders and/or communities and will cost more time and money in the long run. up-to-date. Internet blogs Up-to-date. Publicising citywide events. proposed. most relevant issues discussed and ideas Discussing effectiveness of new community policing policy. However. Booklets Written record of details for future reference. gaining general impression of is to come and when. Community radio Repeated. CHAPTER 3: SETTING UP THE CWSU PROGRAMME Table 3. easy and attractive to read if they have a lot of Informing of the existence of new services (e. Meetings Focus on single issue with exchange of views. motivation building at strategic points in population in general (rap music. issues leading to proposals. viral potential. CWSU.g. pay the PMU staff is receiving. Things that can go wrong What can go wrong The programme management unit (PMU) finds that it The PMU was set up independently of the existing municipal departments does receive the cooperation it needs from municipal who believe they have the skills to do the work and are resentful of better departments.g. community feeling or response (feedback). Communications and consultations were considered by the PMU to be too time consuming delaying implementation. Can be kept. leaflets and Quick. Internet website Stock of records. Folder. market. inviting Advertisements: detailed information to citywide applicants for specific sub-programmes (credits. Radio Wide audience. Underlining key messages (e. Assemblies Community assemblies: getting general messages across. housing flyers images. Video reporting recent citywide festival of handicapped youth (YouTube). ‘get tenure security now’. locally relevant messages.). progress of CWSU. difficult to miss messages. Informing community of forthcoming events and and notice boards interventions. A better alternative may have been to set up the PMU as part of the municipal structure or to include existing staff in the PMU.3: Some Communication Methods for Citywide Slum Upgrading Method Strengths Possible Uses (examples) Consultations Conducive to serious analysis and reflection Drawing up framework of overall city or settlement Involve broad and varied range of actors. conditions for micro-enterprise loans or how to get a site and service overspill plot.

leaflets. groups blogs Written feasibility Report on city Outline of PMU Documentation of List of criteria Institutional Financial strategy Capacity needs Communications Deliverables/ studies consultation structure. focus group approach Participatory analysis CBOs as financial Functional Problem tree analysis discussions. Devise needs of actors between key possibilities and how included relationships plan to mobilize funds participating in programme Principles/ Policy. Detailed Revolving funds paper notice boards questionnaires in Stakeholder selected slums consultations Guarantee funds A Practical Guide to Designing. Nairobi. legal Sectorial Embedding SMART objectives: Size of settlement Which LEGAL Taxation Increasing Programme content. measurable. things to and regulatory Integrated in municipal specific. Difficulty of exist? decision making. social media. The Gates Foundation. objectives framework (diagram) assessment report. loans. components of upgrading. realistic. options enumerations managers Develop proposition TV and radio. monitoring and time-­ bound upgrading Grants Improving evaluation Settlement Socio-­economic regularization Independent Development of organizational Local partnerships specialized partnerships and processes How to access different Technical and Existing Redevelopment agency alliances Public-­private. community radio. strategy outcomes personnel with priorities Documentation. posters. Flickr Creative Commons. and Executing Citywide Slum Upgrading Programmes Newspapers. structure. meetings. frameworks already Loans participants’ skills process. management and consider frameworks department attainable. booklets City consultation Community banking Interviews and focus Events. Planning. Calculate financial Identify capacity Establish communication systems Aim programme concept from a range of CWSU programme be achieved. when settlements will be responsibilities and needs. responsibilities. cost Housing Increasing resources recovery Technical and Institutional Socio-­economic need environmental Public-­private- Infrastructure of settlement community Economic analysis improvement partnership Adapting policy Roles of different Financial analysis partners LED Participatory Planning for sustainability Desk research Feasibility study Matrix Log-­frame Financing CBOs Capacity needs Consultations Tool / consolidation and matrix Assemblies. websites. etc Documentation Deliverables mapping of intervention type of roles and chosen responsibilities Programme document  Photo: Kibera. resource centre/ Documented analysis organogram. .94 CWSU Programme Set-Up Feasibility Selecting Establish Define Setting Set institutional Financial Capacity Communi studies intervention Programme Programme eligibility framework strategy development cations type Management Unit objectives criteria for settlements Quick test of Select approach Coordination of Defining what is to Define which Establish roles. folders. functions. environmental infrastructure partnerships rights and responsibilities.

CHAPTER 3: SETTING UP THE CWSU PROGRAMME 95 .

A Practical Guide to Designing. and Executing Citywide Slum Upgrading Programmes 4 DESIGNING AND IMPLEMENTING THE PROJECTS 96 . Planning.

Preparing the layout design and options for and coordinated with residents. 2. This chapter also describes aspects related to community participation in planning and implementation. SELECTING the Project limited to. it is common residents. Flickr Creative Commons 97 . Defining and communicating project components complexity. Agreeing on an implementation modality: and achievement of the goals of the Citywide Slum arrangements for project execution and Upgrading Programme. large-scale designs stages of the project design and implementation and illustrations and project briefings. electricity and road networks to which 1. accessibility. 5. and so on. The latter can take shape stakeholders and the general public such as through direct participation of residents in various models. prioritization. There are steps that are quite similar to those at the programme level but within which the content is different. the quality of the organization and management the project will be connected to. decisions on the philosophy come to fruition. Project preparation. utility companies and the entire institutional environment of municipal governments which is critical for efficient implementation and optimal use of resources.1. area-based street network and setting priorities in terms stakeholders.g. The steps are described in this chapter. Management wise. layout design and project components and the implementation arrangements all come into place at this level. and implementation. of the project design process. establishment of channels of participation and communication with residents and identifying The process has a clear sequence of tasks and all community-based organizations existing in activities that need to be performed for successful the settlement and having legitimacy amongst implementation. standards and phased government apparatus. design. CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS Chapter Summary This chapter focuses on project design and implementation of slum upgrading projects. including mapping the urban configuration At the settlement level. but are not 4. water. Because the slum upgrading project is in fact an area- based planning intervention. the tasks involved in preparing to undertake the work include. maquettes. and the project implementation arrangements. location and specificities of the slums. the success of the slum of the settlement. utility companies and the entire local of levels. sewerage. At this stage a project manager needs to be identified and management teams established for better coordination with residents. It is at the slum/settlement decisions on whether to place the project level where actions and execution takes place and package for bidding or to implement through where the entire preparation and programme local government institutions. or through their established community-based organizations where local leaders and appointed representatives of residents and interested groups play a role. Alex Eflon. Preparing communication tools to support of the residents in project formulation and dialogue with residents as well as municipal implementation. ESTABLISHING the Project combining the social and economic but also the Management Team physical and spatial profile of the settlement. participation and involvement of women and men residents. which are actually programme components. It shows how the CWSU programme delivers interventions at the slum settlement level which is the on-the-ground materialization of the citywide slum upgrading policy and programme. The slum upgrading project is the ultimate realization 4. Preparation of the settlement profile. the following: Manager and 1. and the way the on-site execution works are managed 2. drainage. to have coordination mechanisms and project coordination committees depending on the size.  Photo: Favelascape. the level of participation and involvement 3. posters. and mapping the existing upgrading project depends on two fundamental infrastructure networks passing through or elements: adjacent to the settlement e.

A Practical Guide to Designing. these • How security of tenure will be achieved. and/or through an existing management contracts). Utility companies.) support its implementation. the economic development. 98 . etc) and housing (demolitions. The Project Manager (PM) can be chosen in different Identifying Who Should be Involved in ways such as: Project Design and Implementation Slum upgrading projects include a wide range of • assigning a staff member from one of the activities requiring the involvement of a variety of departments or agencies directly involved in the service providers. those in charge of these issues that are likely to be important and for which components from the utility companies and/or private communications materials need to be developed: contractors commissioned to do this job are invited to sit in planning and coordination meetings and regular • Project plans (how they are to be drawn up and project management meetings. faith-based organizations. Planning. PM will draw up similar plans for his/her own project physical/infrastructure (water. etc. private companies. community • assigning a staff member from within contractors are usually involved. etc. for the whole programme period and will draw up demand surveys. grant support for youth groups. size all those involved in project implementation. a series of operational manuals and • Eligibility for different aspects of the project guidelines needs to have been prepared by the PMU (credits. schedule and log-frame to compensation. and Executing Citywide Slum Upgrading Programmes Project Management and Staffing residents are to be involved in decision making. In particular. programme coordinator/implementing agency or be They will complement what has already been developed formed on an ad-hoc basis according to the needs of at programme level as explained in Chapter Three. housing in an overspill or resettlement in order to guide the decisions and procedures of the area. etc). There is actually a decided and what their main components are). etc. building contractors. It is very common to have a team Preparing Time Planning & structured by responsibilities divided by the nature of Implementation Schedule work being executed. building materials and technical procurements need to be pursued. Some may not the professional cadre of the programme have experience with slum upgrading projects which implementation agency. Project Support Communications Project support communications are needed to explain The project management team can either be set different aspects of the project to stakeholders. up by the project manager in consultation with the especially slum dwellers involved in the programme. road.). A slum upgrading project requires a properly drainage. sewerage. are needed for cases when public bidding needs to launched for a particular project component or its • Support for housing improvement (regarding entirety including project design. designed time plan. For example.). local detailed plans annually to cover the coming year. once the project reaches the stage of opening streets and executing networks of At project level the following are the types of water and electricity supply. electricity. That means one representative In the same way as the PMU will have drawn up plans per project component such as social (participation. area. state and civil programme. small businesses. reconstruction. 2003: 475-478). Often. All these procurement and same project manager who supervises the project legal procedures must be in place and well known by implementation phase as well. society organizations. it is the apparatus are made. when to be applied). A project manager must be assigned to lead when approvals and endorsements by the municipal the project formulation process. PM and PMT (for a detailed example see Imparato and Ruster. whether a project management team should be established as well. when particular finance. By this stage. or normally involve work taking place on a site where people have been living for many years and where • through open recruitment and public tendering cartographic and topographic information is not (an announcement placed in local newspapers commonly accurate. economic (finance. wide range of modalities and one needs to choose what best fits the organizational culture of the locality • Regular briefings on progress and feedback from where the CWSU programme is being implemented. the project. The complexity. etc. communities on their perceptions of progress. There of the settlement and range of activities and project should be no gap by the time the project goes to the components being implemented will determine execution phase. when decisions assistance available as well as building regulations need to be made on project components.

• institutional and financial capacity of partner • Project regulations and their enforcement (e. goal and objectives. youth and women’s must reflect this. This is because it is a useful forum • A settlement profile (similar in many ways to the for the generation of feedback about progress feasibility studies at city level) which includes: made. libraries and playgrounds. will include the following: The PMTs will find it useful to form a multi-stakeholder • Vision. the very • socio-economic conditions and characteristics.g. organized. The PMT can present • demographic and socio-spatial data. It may hire a provider will even differ between projects. an institutional each of these issues. • The development of public facilities and spaces • legal and regulatory frameworks. Finally. Objectives should be formulated so that they are SMART. development plans and projects. based on the citywide local residents. CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS • Types of infrastructure to be installed. Even when the specifically to coordinate the various ‘soft’ inputs stakeholders are the same.2. quality. settlement. It provides the socio-technical support. 4.3 in settlement strategic plan will identify the types of Chapter Three will help in selecting the types of intervention to be implemented along with selection communication method which might best be used for criteria for those who may benefit. The contents of the local plan which involves placing control of the project entirely in will be similar to those for the CWSU programme and the hands of local residents. as in the case of the CWSU programme. framework to carry out the upgrading. An extreme form would be full control plan. In some well-organized communities the central A strategic plan will have been drawn up by the community organization may be able to provide the time settlement planning takes place.g. its intentions to the committee to sound out their reactions and invite suggestions. a model in which project be implemented in each settlement. This would be a form of guidelines for CWSU but does not detail what is to community management. The The matrix which appears as Table 3. Local strategic management is shared between external actors and planning will be carried out. encroaching on public spaces and who will police this). PROJECT SITES Establish project level coordination frameworks The PMU will have established an institutional Socio-technical support: the PMT may decide itself to framework at programme level by means of which develop some of the socio-technical skills described the roles and responsibilities and lines of authority above through its own process of internal capacity between the different stakeholders are described. the airing of misgivings and complaints and an opportunity to seek advice. At building but its main role will the coordination of project level the stakeholders will be different and services from other providers. as well as a plan to develop capacity where shortfalls have been identified. This provider is known as a social achievement will have a different role from that intermediary or socio-technical support agency (if of organizations which are inactive. notably the community. maintenance and who is to pay how much. a financial strategy to pay for it. such as those relating to capacity building of their capacities and resources will vary and their roles community organizations (e. existence of a functioning committee is likely to disseminate an image of transparency and co- • an analysis of stakeholders active in the operation. and advisory committee even though it receives guidance from the PMU. • an inventory and analysis of existing area location and cost to the household. A dynamic and well-organized organizations) and their coordinated participation in community organization with a long history of planning processes. technical and environmental • Responsibilities for implementation and constraints and options. Adapting THE CWSU STRATEGY TO THE The following pages explain how this planning can be carried out. new or poorly technical as well as social functions are involved). 99 . not institutions (including CBOs). • spatial. which details this. such as parks.

The overall coordinating agency and other partners such as academics and NGOs. for slum upgrading is CODI (the Community The partners advise the communities through the Organizations Development Institute) which CDC but the communities decide what they will receives a budget from central government which prioritise and how they will spend their budget. Com. will explain the objectives of the CWSU step in assuring its sustainability.8). Thailand Local Authorities Government Academics Community Development NGOs Committee CODI Ministry of Social Development and Social Security Others Community Network Com. Source: (no author) http://www.5. A series existing area development plans of working meetings will then be held with a view to Slum areas will be subject to local development identifying aspects of the local development plan which plans. draw up a plan and establish financial government and the slum network in each city. Com. their constituents. management mechanisms in their communities.1 shows how the Baan Mankong CWSU The Community Development Committee (CDC) programme was adapted to each individual project brings the municipality together with communities in Thailand. and Executing Citywide Slum Upgrading Programmes Box 4.1: The Project Coordination Framework in the Baan Mankong CWSU Programme.com/UrbanKnowledge/d/79355090-City-Wide-Community-Upgrading Coordination of planned activities with programme and its main types of intervention. Com. It is therefore essential to attempt to coordinate plans for These meetings should take place at the very upgrading with these plans in the same way as the beginning of the project before an upgrading plan programme at city level has to integrate with city and has been drawn up. The latter will present the contribute to it reaching its own goals and gaining its local development plan and the PMT. ideally. Showing the local This coordination will require the PMTs to meet the local administration that the upgrading project can government administration. Figure 4. with the support commitment to the programme will be an important of the PMU.1: Project Coordination Framework in Baan Mankong CWSU programme Figure 4. it allocates directly to communities as advised The advice they receive includes how to carry out by its upgrading partners especially the local surveys. The meetings can be inputs into national strategies for city development and poverty the CWSU planning with the local administration.scribd. 100 . as a major local stakeholder. Com. playing a role in the participatory planning process. A Practical Guide to Designing. Planning. local governments and. These reflect the development priorities of the upgrading project can support and complement. reduction (see section 2.

business locations.9.). numbers of people falling into vulnerable categories.g. infrastructure provision. household size. Key aspects to include in the settlement profiling are the following: • Environmental impact assessment. (In the Lusaka upgrading area-based plan requires the collection of key data programme residents’ leaders formed part of and information. • Stakeholder analysis: of CBOs. etc. the willingness of residents • A preliminary picture of the level of to pay for which services). e. topography. size of • Topographical and geological studies to assess households. rules and regulations govern what Once the PMTs have been set up and the CWSU can be done and how. but now it is all residents. the information at hand.g. often done in conjunction with efforts for community mobilization and • Potential capacity development needs listed in engagement in project initiation and development. Developing baseline information to support • When a preliminary road network design has project planning and design been produced it will indicate if there is a need The development of the project and particularly the for resettlement. • Demographic and socio-spatial data: accurate mapping of the settlement (identifying plots • Feasibility studies of off-site infrastructure with and houses.. • Institutional capacity and financial analysis of partner institutions: • Social and economic conditions and characteristics: socio-economic surveys to • Capacity of NGOs to provide technical establish the characteristics and priorities of the assistance or manage project funds. storm drainage systems as well as residents etc. configuration. NGO. • The community's priorities and aspirations. • Existing area development plans and projects: The analysis in the settlement profile will inform the government. inside and adjacent to the called settlement profile or slum profile – can help settlement. academia. CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS 4. settlement spatial cost estimates. etc. SETTLEMENT PROFILING • Relevant legal and regulatory frameworks: what laws. plot sizes. compensation in the Key sets of baseline information are: form of free plots elsewhere. to coordinate programme what the project options are. houses and/or resettlement grants). land tenure aspects.3. 101 .2 outlines potential data what needs to be done to ensure resettlement collection methods.g. is as positive an option for the resettled families as possible (e. all parties have the full package of relocated). Thus resettlement became important to get more accurate information to help voluntary). Some information will the settlement to agree on road routing which have been collected already in the previous phase. (This will ensure that once the plan is made and goes for may identify households that have to be implementation.1 outlines key baseline • There will then be further studies to identify information and Table 4. community organization. private sector. Section 3. This is vital for a successful project design and who are occupying hazardous terrain. etc. technical and environmental plan/map that incorporates all sets of information constraints and options: possible and takes into account the intrinsic difficulties arising from a slum settlement reality. developing detailed settlement profiles. Activities at this stage should focus upon drawing up an area-based • Spatial. community (e. Some are of statistical nature while Road Planning Groups and walked through others of a qualitative nature. the need for erosion control and determine accessibility. in producing a set of thematic maps or map overlay containing all information ranging from income. services. and avoid replication and delays in implementation. aimed at reaching a consensus amongst when setting up the Programme. existing infrastructure. Table 4. housing typology. public and strategy adapted to settlement level. Building baseline • Urban configuration and existing information about each settlement – hereinafter infrastructure. the next step is private spaces and building materials. the design and planning of appropriate interventions for each settlement. utility companies. intervention goals and timing with them.

iron sheet roof) % or # Proportion of temporary dwellings (mud/poles or other temporary wall materials. street lighting…) 102 . iron sheet or % or # other permanent roof) Proportion of semi-permanent dwellings (mud/pole walls. Planning. A Practical Guide to Designing. drainage. sewerage.1: Examples of baseline information for settlement profiles Indicators/ data required Unit Demographic and socio-spatial data Slum population Persons disaggregated by sex Land area covered by the slum ha Number of dwellings Number Population density Persons/ha Average household size and composition Number of persons (by sex and age)/household Room occupancy Number of persons/room Average residential plot size m2 Average living area in dwellings m2 Proportion of permanent dwellings (cement block or burnt brick walls. rivers. shoemaker. youth and elderly represented? How many meetings are held in a month/year? How are community organisations represented at the municipality? How effective is their influence in decision-making and implementation by the municipality regarding slum improvement projects? Private sector Companies delivering infrastructure and services to slums (roads. % or # dressmaker. wells. landslides. others…) Name and frequency Other… Stakeholder analysis Community based organisations Which community organisation(s) operate(s) in the slum? How many members does each organisation have? How are leaders elected? Are women. water. and Executing Citywide Slum Upgrading Programmes Table 4. % or # thatched roof) Average construction cost of permanent dwelling Local currency & USD Average construction cost of semi-permanent dwelling Local currency & USD Average construction cost of temporary dwelling Local currency & USD Availability of piped water on plot % or # Distance to piped water (if not on plot) # Proportion of households depending on sources other than piped water (water % or # (please specify sources) vendors. etc) Proportion of rental housing % or # Average monthly rent per room Local currency & USD HIV/AIDS prevalence % or # of women and men infected Proportion of population receiving food assistance % or # Female headed households % or # Main environmental hazards (floods.…) Availability of formal electricity connection in dwelling % or # Availability of other electricity sources (if no formal connection) % or # (specify types of other sources) Average monthly household income Local currency & USD Households with permanent source of income (employed in formal sector) % or # Households with main income or productive activity at home/plot (small shop. pollution from surroundings.

housing • Physical location of structures.. Number of slum dwellers involved 5. including ortho photos. 103 . • Location and linkages with nearby areas. to mention a few) Diagramming & Posters Stakeholders’ analysis showing relationships between Establishing co-relations between particular individuals. ‘adopt-a-light’) Companies and organisations providing pro bono services (multinational consultancy firms. elderly. photography to unveil the settlement profile. CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS Table 4. occupants. development control. since • Identification of individuals and families. thematic areas important for CWSU such as land tenure. when. a backstopping group that can become vital entrepreneurs.g. Enumeration In-situ counting and mapping of all structures. etc.. and/or owners. This can be done in a participatory and inclusive manner. Semi-structured interviews Interviews of key residents and officials in the settlement Identifying problem areas and priority issues to gain their opinions and ideas about problem issues or from officials and community leaders. organizations and individuals and roles and responsibilities through line drawings.. satellite images and aerial • Identifying landmarks and structures. • Defining road and street planning. Budget 6. business units and identifying their occupants housing units in a map. groups. helping in possible innovations prioritizing project design. community activists. Other relevant information Table 4. Main objectives. mobilization of savings and self- financing means. On-going and completed if experience is still relevant) 1. • Documentation of residents. Focus group discussions In-depth discussions of specific topic with small Identify specific social demands and creating groups of similar people (e. service clubs like Rotary.g. communication. religious players in the post-upgrading phase. owners. Project name 2. women. etc.2: Data Collection Methods Method Brief Description Use in CWSU Mapping Drawing of simple maps as well as cartographic maps. access to water. of importance to residents. shacks. activities. Contd. young adults. • Database of residents.1: Examples of baseline information for settlement profiles Small contractors/developers (formal and informal) Locally driven business initiatives (e. slum upgrading methodologies 3. accessibility and indicate places and items • Locating community services. Location 4. • Decisions on eligibility criteria and recognition of rights..) Academia Public utility providers (national/municipal) Existing programmes and projects (For each project. to determine who lives where. groups and organizations and their specific groups. Main results 7. service provision. renters. units. • Identifying and marking key infrastructure networks. layout configuration.

or unwilling to give truthful answers to some questions. It has advantages over conventional and than researchers from outside the community could more formal techniques such as: find different answers. • Prioritisation of needs. If possible. boys and girls per household. wealth. focus groups. usually with the support of trained facilitators. respondents may be embarrassed. All the methods described in Table 4. There is a possibility that interviews. security of tenure documentation. When collecting data that deals with details of the community and community members. When dealing with members of their • greater acceptability of interviewers by those own communities. Communities can participate in the collection of data • some data is more accurate such as in the for project planning and several of the studies listed identification of the neediest groups. second that are carried out by community members rather best method. • if residents do the data collection they will provide a more complete understanding of the local situation. often using social. Planning.CONTD Method Brief Description Use in CWSU Household & Business Gather key information. They can be compared • data collected may be considered more legitimate with participatory enumerations which are a series of by residents. etc. men. or surveys Community data collection is not a cheap. complementary methods should be chosen. and Executing Citywide Slum Upgrading Programmes Table 4. • Calculating population density and businesses profiles. groups. Timelines The drawing of key events in a community’s history Identifying which events have had the most along a line representing time.2: Data Collection Methods. usually from individuals and Getting a more realistic overview of people’s Surveys businesses located in the settlement. above can be carried out with their involvement.2 are possible for a • participation can lead to buy-in. in order to attempt to get different perspectives on the community. family composition. size. and variety of community members to use. • Identifying ability and willingness to pay for slum upgrading costs. collections should also be considered. nervous. economic and cultural backgrounds. 2010).. a questionnaire and on-site visits and face-to-face interviews. participatory techniques designed and/or implemented by the people being surveyed including several of The negative implications of community data those listed in the figure (UN-HABITAT. number of women. etc. All DATA TIP collection methods have particular viewpoints and bias. • Getting first-hand information on income. Models & Maquettes Models are made to indicate participants’ preferences House design Ranking Residents drawing up of lists showing order of • Determining affordability by different importance. A Practical Guide to Designing. • Obtaining data on tariffs and prices paid by residents to access basic services and infrastructure. tenure status. being interviewed.. both the positive and negative implications of the data collections method chosen must be considered. particularly to sensitive questions. 104 . negative and positive effects and working to overcome their legacy or build upon it..

4. staged improvements) or may only be aimed at those with plot titles or comprehensive. financing. Figure 4. Show them.g. pit latrines or flush household scale (where the needs. affordability for households are incorporated). the strategy for moving from the can existing norms. CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS 4. etc. Regardless whether upgrading will be be able to access benefits (e. Stabilised soil blocks were acceptable to residents in this upgrading project in La Paz. Peru (right) residents were trained in the use of the seismic resistant stabilized block. • Financing: how will costs be met and who will It is important that the area-based plan is developed meet them? What are the financing opportunities in conjunction with a strategic planning document. PLANNING AND DESIGN of upgrading. They wanted burnt bricks (seen in background) to demonstrate the social progress they had made. But in Lima. While it will have a strong • Project norms and standards for construction spatial/design component. but rejected it as being too ‘rural’ and low status. in materials and service provision. It is CBOs which are in some way able to prove they crucial that the master plan does two things: are representative). housing credits incremental (sectoral. priorities and toilets). These criteria will adapt those designed at programme level to fit local 1. You will find that some of them are willing to support CWSU but do not know how. settlement profile –one size does not fit all. they consider acceptable.g. What is perfectly adequate in one may be seen as too low status The strategic plan should outline in more detail the in another (e. standards and by-laws be current situation to an improved living environment for adapted? Communities differ in standards which residents that also contributes to the city. a spatial master plan is needed to organizational support grants only to those guide and coordinate upgrading interventions. Photo: © UN-Habitat/Reinhard Skinner There are more businesses willing to participate in upgrading at project levels than may be realized. stabilised soil blocks) (See Figure considerations regarding eligibility. based on a known technology. Reflects the specificities identified in the circumstances. it should also outline. The strategic document should outline a based on the detailed settlement profile data? vision and plan of how to improve the socio-economic conditions of residents.2: Acceptability of building materials. and constraints at settlement level? What is the It should not be a purely design-led plan to ‘beautify’ affordability of improvements for households the area. the type 4. These should be reviewed to ensure Establishing the settlement master plan and strategic congruence with the settlement profile findings and plan: the area-based plan emerging master plan: A spatial plan is the departure point for planning • Eligibility criteria for project benefits: who will and design. that were established already at the programme level. Bolivia where the technology is well known (left). TIP 105 .g. • Upgrading type and phasing: what are the project 2. Approach high profile companies and the Chambers of Commerce or Construction. Considers a range of scales – from the larger components and what level of improvements city scale (where the slum is integrated with will be made (e. shared standpipes or metered the surrounding urban fabric) to the smaller individual water connections. To what extent words and diagrams.2).

Resettlement of households is often required in slum upgrading to reduce densities • Prepare detailed design. The rules should be modified or exceptions made in order to further the • Identify potential pilot projects to test proposed objectives of upgrading. Planning. A Practical Guide to Designing. Preferential tendering implemented. Clearly what is to be done. The next step is to detail how it can be and opportunities. and implementation schedule for all project infrastructure. how proposed as a last resort when it is inevitable and when will need to be made explicit when because if not done correctly it can have serious the steps listed above have been completed. Bangkok. These find a new plot on site will find the move 106 . However. for maintenance of upgraded services by the New construction technologies and collective work community later (Fransen and Goldie Scott. public spaces. (if any).4 but they show that identified in the settlement profile? simple methods can be used. The following are considerations at this for community contractors is against many point: procurement rules. A negative impacts on relocated households. Photo: © UN- Habitat/Reinhard Skinner Figure 4. cost estimates and make way for new roads. Community contracting interventions (and document and disseminate creates employment and establishes the basis lessons learned and adapt plans as appropriate). it should only be components. Which new potential partners were the two examples in Figure 4. etc. From the spatial master plan and strategic plan. Lists of residents who have paid upgrading contributions in Yaoundé (left) and how the community committee has used community improvement funds posted on the public fire extinguisher cabinet in Trawk Ton Mamuang. Thailand. 2000). precise and transparent budget needs to be drawn Resettlement should also be voluntary so that up and published so that residents can hold the those for whom have found it impossible to programme coordinators to account.Photo: © UN-Habitat/Reinhard Skinner • Partnerships to carry out the different components should probably be published more formally than of the plan. the contracting and building which were developed type and phasing of proposed interventions should at programme level to suit project level conditions be clear. will often present some unforeseen difficulties which piloting will allow to be resolved before they • Negotiate and prepare for resettlement are applied on a large scale. In the same project roads were laid out which were unused and were converted into social areas or where informal production activities could be carried out better than in their houses as here in the case of these two women (right). Planning for implementation • Adapt general procedures for tendering. and Executing Citywide Slum Upgrading Programmes Figure 4. A large car park in Rangsit sites and services scheme Bangkok.4: Accounting transparency. stands empty as few of the residents can afford a car (left). Thailand (right).3: Inappropriate Design Standards.

This will allow the planning of roads will usually require the inputs of social scientists. La Paz. project in Yaoundé. site must be identified which is not considered too far from (existing) sources of employment or social networks. This means a how it will be paid for (the financing framework). NGOs.6: Participatory planning in an NGO coordinated upgrading House Laid by Building Group. The processes Manaus. Photo: © UN-Habitat/Reinhard Skinner the project benefits. the key issues are: who will be responsible for sustaining what.5. We can then draw a map on which every of works or self-help house construction). such as Within the settlement boundaries which will have training and advice. Questions of appropriate 4. and infrastructure related to road location (water. are the key ones which are likely to be relevant to all intervention types: • Identify the model to be adopted for the provision of socio-technical support Residents Settlement layout and reblocking and their organizations will need support. architects. Bolivia. the following demolished in the upgraded settlement. we need to draw plot and on technical matters (e. engineers and planners. These services sewerage and storm water drainage).7: Needs identification and prioritisation in Soyapango. IMPLEMENTATION compensation also need to be addressed. TIP 107 . Brazil. utility companies and so on. However.g. in the areas of administration been drawn by this stage. They probably include something and will have gone through a (participatory) planning process. how to create ownership so that the slum Figure 4. Photo: © UN-Habitat/Reinhard Skinner Photo: © UN-Habitat/Reinhard Skinner worldwide by the municipality itself. have been successfully provided in projects Check what the local development plans have to say about upgrading.5: Self-Help Builders Need Technical Assistance. where new homes were offered will differ substantially depending on the type of free of charge to those whose houses were intervention implemented. what capacity needs to be developed to carry out the activities required and acceptable and do not feel forced. However. This will tell us what local priorities are and will save a lot of time. the supervision boundaries. Magalhães & di Villarosa (2012: 16) describe the After the planning has been carried out the case of the Prosamim upgrading programme in implementation can get underway. the private sector. • Plan for project sustainability This question is dealt with in detail in Chapter Five. San dwellers involved want to participate in sustaining Salvador. When identifying the right one for the project one needs to consider whether the organization has the resources and capacity needed as well as sharing the vision of the CWSU programme and the project in particular. This house appears. Roof on a Figure 4. CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS Figure 4.

A Practical Guide to Designing. It is easy to see Are the toilets and bathing spaces well that these questions can also be used as important maintained? design criteria for gender-sensitive toilets. being stalked. P. affecting the privacy of the users? time or only at certain times? Does the attendant's presence make female users feel more or less safe? Do women have privacy while using the Why? toilets? Do men or boys manage to gain access to women's toilets? Is there any evidence of harassment? Can men or boys enter the women's section? Do Do females users feel they are being stared at. is it a woman or a man? Is s/he present all the door damaged. (2010: 23. menstrual waste in the women's toilet areas? Is the toilet area easily accessible? Adapted from Mehrotra. or the paths to them too poorly lit.© UN-Habitat/Reinhard Skinner Plot ownership will be important to identify as it will residents during the planning and design phase as determine the need to provide security of tenure and they are the ones who will be affected.2: Gender Sensitive Toilets Service needs of women and girls are frequently Is the area outside the toilet well maintained? different from those of men and boys but service Are any steps or the area at the entrance to the design often ignores this. 108 . and Executing Citywide Slum Upgrading Programmes Figure 4. so that women and girls dare not use them after dark. etc. Are the latches on the doors working or are they broken? What is the condition of the doors? Can Is an attendant present? they be locked? Or are they broken? Are parts of the If so. K. Travers et al. will probably whether or not other project components are applicable be responsible for their development and may be such as credits for house improvement which will require expected to maintain them. private spaces. is there a provision for bins for women's toilet blocks during power failures. subject to actual physical contact/touch. have analysed damaged? Will older or pregnant women or women how this can lead to violence against women and with disabilities find it difficult to use this area? Is girls. In most cases public ownership in some programmes but not in others.. toilets in good condition? Or are they broken or and Women in Cities International.8: Public spaces developed by residents at multi-block (residential group) level (left) and settlement level (right).. JAGORI. S..8). dim Have specific needs of women been taken into or absent? account? Women in Delhi reported that men entered For example. The Indian NGO. spaces will be based on existing arrangements and their development involves residents deciding what to Settlement layouts will include public as well as use public spaces for (see Figure 4. they peep through gaps? having comments made about them. Khosla.T. Their location should be discussed with Box 4. Lima.)? Are there more toilets for men than for women? Is the toilet area well lit? Is there a power supply? Is the lighting good. Often toilets are too far from the house. Planning. From their experience in Delhi slums they there adequate space for standing in queues (to suggest that the following questions be asked to avoid crushing and unwanted physical contact)? identify how far public toilets and bathing areas present dangers to girls and women. 42-43). Villa El Salvador.

.. This means some plots will have to an element of progressive development such as be reduced in size and structures on them partly starting with levelled roads which are later gravelled or or totally demolished as may be the case when asphalted with pavements added alongside. Water. Where possible these should be varied to allow for the different investment possibilities and household characteristics involved. © UN-Habitat/Reinhard Skinner The settlement profiling will have identified those Infrastructure and services installation areas where upgrading cannot be implemented for Levels of infrastructure provision should be based on reasons of vulnerability to hazards or environmental community priorities and affordability. It is important during by the addition of facilities or the upgrading of existing implementation that residents know which areas are facilities. or on land designated for collective use. they can help prevent newcomers settling there. Communities may be able to help with some designated as environmentally risky. for planning the routing of roads. This can approach would influence design significantly. such as the foundations and roof. It cannot be stated too frequently that connections following. This is a process called example. may start as a shared service with domestic reblocking. and should be assisted. This assistance can be provided through the Socio-Technical Support Unit discussed in Chapter Three. In some cases they will do the building themselves but in most they will hire others. cleaning and maintenance. The same principle can be demolitions should only be done with the consent applied to sanitation and solid waste disposal. In the same way.2 gives an example of how a gender sensitive are confronted by those of the community. Consent is easier to obtain if designing infrastructure and services a gender sensitive those affected participate in the decision making approach should be taken in order to ensure the needs process and are adequately compensated. .9: Self-Build. This sometimes applies to professional builders too. This may involve considerations. Housing design and construction Residents themselves should largely manage housing improvements. Residents transform reed matting houses into solid but still evolving structures within five years. pressure can be powerful when individual interests Box 4. ‘no-build’ areas so of the unskilled staff. Those who are relocated to sites and services schemes will benefit from advice on progressive housing development options. Many self-builders will not be able to master the more complicated parts of the house. Social of women as well as men are taken into account. Lima. When of those affected. advice should be available on regulations and standards. Villa El Salvador. Preferably there should be personalised advice. as was given in the Supervised Credits Programme in Peru in the 1980s and 1990s. 109 Contd. also be used to convince those living in dangerous locations. that Health and education services will be upgraded either resettlement is their best option. materials options and construction skills. CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS Figure 4.

rally the written. Post-programme evaluation: the CWSU will demonstrate that the programme or project programme should be evaluated partly for has the backing of the Municipality and of the accountability reasons (to ensure everything that slum dwellers involved. should local governments. Planning. 2. Project opening 5. it comprises two areas: (i) administrative the poor (e. The launch team: in addition to the PMU. a public square commemorating a (mainly ensuring all documents have been properly popular leader). archived and ready for transfer to future users. In the same way as for the project or programme launch. UNDP & Govt. This 1. is symbolic of the improvement of conditions of Formally. the procedural and offers opportunities as explained Mayor. key local administration officials and below (United States. programme launch all partners and communities should be represented in the launch team. At the enthusiasm of participants and publicise the launch to a launch it should be explained where additional wide audience. OPENING AND CLOSING milestones for the completion of major stages of PROJECTS AND PROGRAMMES the project/programme. address systems are in place and working. This is a moment in which momentum international organizations. machinery and vehicles) and produced will be largely known to most of the audience outputs which have become assets (such as and other slum dwellers. The audience: all those who will be affected by applied to future phases of the programme or the programme should be invited. For a project programmes in other cities. In Project closure marks the end of a programme or a few cases it will be possible to use a place which project or of a phase in a multi-phase programme. meeting place can be used. Some simple guidelines can be about progress as the programme/project used to prepare the launching ceremony: advances. it is also information can be found as well as information a very political moment. Nevertheless. community centres). the Project closure location should be acceptable to all settlements. Knowledge gained in all residents should be invited. outstanding contracts). The location: for a project a central community when the meeting has closed. A Practical Guide to Designing. Further information: a launch deals with the The start of a project underlines a commitment on the bigger picture of the CWSU and its component part of the implementing agencies and partners. physical infrastructure and opportunity to reiterate and clarify its objectives. deliverables and benefits as well as needs to be formally transferred when the (again) presenting the main actors involved. closing public location will be chosen. the launch is a good training workshops. If it is the of Indonesia. 2009). such as local further disseminate it to others. NGOs and national and be present. For elected officials. of course. closure is more than 2. These will discussions held and agreements made are now about need to be provided in follow-up meetings in the to be put into practice. though care should be taken that this opening and closure of the programme and individual does not become a discussion and detract from projects as they serve important purposes. Transfer of assets: the programme and individual projects will have procured assets (such as offices. programme comes to an end. The content: although the project or programme equipment. the overall impact of the launch. it could provide the location. If the programme is and auditing accounts and transferring assets) and to start in a particular settlement before extending (ii) contract closure (settling and documenting all to others. community leaders should be invited. But in most cases a well-known. it cannot go into details. such as other champions and heads of the main CBOs. can be built so local media should also be invited to provide maximum publicity.6. If the launch concerns the programme as a whole. For those championing the participating settlements and through additional cause of CWSU this is a moment to celebrate. At the end of the meeting a short period can be reserved for questions and Attention should be paid during the planning to their answers. 4. Ownership of these assets activities. Community members will have the experience to help with logistics to The event should be documented as part of the history ensure that such aspects as seating and public of the project or programme. and Executing Citywide Slum Upgrading Programmes 4. Here care should A timeline should be given together with the be taken that transfer is made to actors who can 110 . was promised has been carried out and delivered) and in order to draw out lessons which can be 3. verbal or online information. staff should be on hand at the launch to deal specifically with questions 1.g. The same can be this way should be documented and transmitted done for a programme but at least the community to actors who can then use it in their work or representatives and key personalities. 2009 and 2007. all the projects.

This is the subject of the next last time. Project objectives were inadequately communicated to residents. documented for future reference and may produce similarly. Groups of residents complain about the project not delivering what Project objectives were not SMART and there was confusion about it promised while project staff explain that this was never in the precisely what was supposed to be done. when. the transfer of assets and of roles and A programme’s benefits do not end with its closure responsibilities can be made at a public event to mark but will continue if there has been adequate planning the programme’s closure and to publicise it for the for sustainability. Major construction may have knowledge transfer. for sustainability. CWSU project upgraded roads are damaged by city refuse disposal CWSU has not been coordinated with local area development plans lorries. people with disabilities). Using a standardized plan for all settlements rather than adapting plans to individual settlement needs. adequately include vulnerable residents who are often ‘unseen’ and whose voices are unheard unless they are sought out. Some of these activities warrant public exposure. building publications and audio-visual materials which explain advice and provision of micro-business credits) their methodology and achievements for the benefit need to be continued. 111 . CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS maintain and sustain the assets for the use of the recognise and celebrate outstanding work and the slum residents for whom they are intended. For example.32 inputs made and support given by various participants and supporters. services (such as health care. The same event can be used to Some things that can go wrong Possible causes Project benefits miss slum residents who are most in need (e. In the case of projects.33 These publications may be drawn up which define who will assume these launched publicly. and collection vehicles matched to road quality. events can be 3. Programmes should always be come to an end but it needs to be maintained. Transfer of roles and responsibilities: when the held in each settlement with the same purpose. Participatory processes establishing needs and priorities did not older men and women. further promote the CWSU approach both nationally and internationally. where and plan. how much. They may also be used in future to responsibilities in future. Agreements need to be of future practitioners. other organizations and actors need to take over activities to guarantee Other public events can be held with the purpose of their sustainability. programme has ended. This will publicly identify those responsible chapter.g.

5) Team To establish project To understand context and determine To develop overall and sectoral. cost estimates and maintenance  Photo: Phnom Penh. Brett Davies. technical and environmental constraints Determine institutional and financial capacity of partner institutions Assign manger from agency Spatial mapping Participatory design Pilot projects Public event to publicise Tool /approach involved in programme closure and achievements options Socio-economic survey Community contracting A Practical Guide to Designing. Coordinate planned activities Minimal and voluntary Post-programme evaluation things to spatial data with existing area development resettlement consider plans Develop Determine socio-economic Transfer of assets project support conditions & characteristics Plan to reflect particular Community priorities communications characteristics of settlement and affordability Transfer of roles and Identify stakeholders active in Establish project responsibilities the settlement level coordination Draw up both strategic and Community frameworks sectoral action plans participation Determine applicable legal and regulatory frameworks Gender sensitivity Technical assistance to Set up information self-builders management system Identify spatial. sewerage and Actors identified for operations Project Management Unit storm water drainage networks Detailed design. and Executing Citywide Slum Upgrading Programmes Assign manger from a Documentary research Progressive housing programme implementation agency Institutional profiling Reblocking Recruit through public tendering Focus group discussions Ranking Operational manuals and Maps with baseline socio. Demarcated plots Documented lessons for future Deliverables/ guidelines economic. and implementation schedule . Planning. Cambodia. Flickr Creative Commons. Procedures for tendering. physical and legal contracting and building phases and projects outcomes data Plot ownership and security Plan for sustainability of tenure Project assets in hands of key Implementation schedule Analyses of stakeholders in the actors for continued use settlement and their capacities Plan for possible resettlement Road. 3) manager & set up settlement profile works management and project management M&E (Ch. Photosightfaces. To realize the project To hand over to stakeholders Aim management system appropriate interventions strategic and physical plans Principles/ Select service providers Collect demographic and socio.112 Designing and Implementing the Projects CWSU programme Assigning project Preparation of the Planning and design Implementation of Project closure Post-implementation set-up (Ch. water.

CHAPTER 4: DESIGNING AND IMPLEMENTING THE PROJECTS 113 .

Planning. and Executing Citywide Slum Upgrading Programmes 5 POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION 114 . A Practical Guide to Designing.

solid waste.g.g. plan for their future and produce solutions. UNDERSTANDING THE CONNECTIONS BETWEEN PROJECT AND Citywide slum upgrading is an enormous investment of PROGRAMME COMPONENTS human. Imparato & Ruster (2003.g. 42-43) define sustainability • environmental (e. improved water and sanitation are desirable CWSU produces better living environments not only improvements to shelter but also have an impact on because roads. life of the people involved. • organisational (e. reduces their stress stakeholders to plan and implement and it strengthens and may even contribute to a reduction in family existing capacities in the organizations of the urban breakdown and juvenile delinquency. Throughout the implementation process it is important to measure progress: are we on track to achieve what we set out to achieve when we started the process with our partners? At the end we will also need to hold ourselves accountable to all stakeholders for whether or not the upgrading delivered what it promised.g. it establishes partnership between also frees mothers to go to work.g. micro-enterprise promotion). In the second part of the chapter we explain how to keep track of progress and measure success. It improves local government care facilities produces a healthier.1.  Photo: Women participate in the upgrading of their homes in Indonesia. responsiveness to constituents and revenue educational environment for young children but it generation. child care. CHAPTER 5: POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION Chapter Summary In this chapter we will show how to make the benefits of upgrading programmes and projects sustainable. It is essential to protect that investment which require sustenance: and the benefits it has brought about. A sustainable project is one that permanently augments a community's resources • financial (e. as follows: • social (e. health). For example. cost recovery). water and sanitation and shelter have family and community health and productivity. UN-Habitat 115 . • physical (e. public spaces). economic and Upgrading programmes have various components physical terms. in their own right but reinforce each other.2. We look at the project and programme’s monitoring and evaluation (M&E) system and explain how it should be designed and discuss the different options that are available to collect information. What factors make it easier to achieve sustainability and which tend to undermine it? We look at these questions as well as showing how the way we design upgrading activities will influence their sustainability. and and hence its social initiative and social capital-and thus reduces its vulnerability. the improvement of child these benefits possible. To do this we will need to understand the way the different upgrading components interact and depend on each other and how neglecting or sustaining one will have a corresponding impact on the others. A programme or project is sustainable when it generates a permanent improvement in the quality of • economic (e. THE SUSTAINABILITY OF PRODUCTS AND PROCESS 5. It also delivers the processes which make government tax revenues. 2006.g. For this reason sustainability has to be part of the programme. safer and more efficiency. 5. In our discussions of both sustainability and M&E we will see the value and importance of community participation.1.1. financial and organizational resources which brings a corresponding return in social. coordination). health enterprise development increases family incomes services and small enterprises exist where before they but also stimulates the local economy and local were lacking. administration. Sustainability is not automatic: many projects have One of the reasons CWSU has such an impact is produced benefits which later fall into disrepair or fail that these components are not simply improvements to produce lasting benefits. infrastructure). 5.1. POST-IMPLEMENTATION poor which make them able to effectively analyse MANAGEMENT FOR problems. Sustainability therefore is about safeguarding the SUSTAINABILITY products and processes of CWSU. micro- been improved or because street lighting.

Photo: © UN-Habitat/Reinhard Skinner Photo: © UN-Habitat/Reinhard Skinner 116 . Namibia. budgeted and responsibility assigned to an actor Figure 5. Neglecting one component UNDERMINE SUSTAINABILITY will also have a detrimental impact on others. and Executing Citywide Slum Upgrading Programmes Figure 5. as part of the Million Houses responsible community representative is one way of protecting new (upgrading) Programme.1: The Interconnected Nature of Sustainability in Upgrading Economic Social Physical Environmental Financial Organizational Logically. Figure a failure in planning: resources should have been 5.1. Fortunately. A Practical Guide to Designing. lacking. Boy (Left) showing a broken tap in Agreeing that keys for common facilities will be provided to a a settlement in Colombo. will providing sustainability. A closed day care facility may also communal toilets often make it difficult to believe that close the route to work for women or may lead to a settlement was ever upgraded.3. FACTORS WHICH ENHANCE AND so is their sustainability. The deterioration of footpaths stagnant water which become breeding grounds for and roads. Thus the failure to sustain problem is either due to lack of resources or no actor benefits will have a multiplier effect. In these cases the permanent harm to children . Sri Lanka. street lighting and vectors of disease. In either case it demonstrates the same argument.1 depicts the interconnected nature of sustainability. if the benefits of upgrading are interconnected 5. Broken standpipes will no longer contribute to better family One of the most visible forms of poor sustainability health and may create new hazards such as pools of is bad maintenance. water collection points.2: Protection of Assets. by assuming responsibility. Planning. Clear responsibilities for maintenance were assets as here in Windhoek. so.

and therefore less disposed to cooperate.36 This said. administering credit and be willing to maintain it. belonging to the provider and so is the responsibility for upkeep.g. In fact self-financing and entering into contracts between either of them could usually assume responsibility but beneficiary and provider which bypass government no agreement was ever reached as to who it would (e. into the programme from the start.2 and 5. If the issue of security of which either come into operation if resource tenure or property titles was not adequately resolved constraints require them (e. The latter will consist of alternatives which are relatively insensitive Residents sometimes complain that local government to changes in external funding. In these cases there has invariably This is not only an issue about maintenance but any been a failure to involve the community sufficiently improvements and upgrading processes which are in planning. COMMUNITY ROLES IN that commitment remains but this will of course not SUSTAINABILITY always be the case. programmes or the operation of citizens’ advice offices. preparing a programme All these examples point to a need for coordination for the worst possible outcome will probably lead it between actors at the planning stage and a clear to forego financial support which is available from the definition of roles and responsibilities. would provide upgraded latter will not have reserved funds to carry out the communities with a broader base of collaboration and work. As a result the which. be partly subsidised or private contractors for street repairs – on a full cost basis). It also invariably leads to increased costs being imposed on poor communities who will In many countries a change in local or central have limits to what costs they can bear. if successful. In the case of the CWSU. one would hope 5.g. This is a risk that should be of “theirs” rather than “ours” when it comes to taken into account during programme planning and maintenance problems. a marginal increase during the upgrading process residents may not feel 117 . departments fail to maintain new services and local establishing a community based solid waste disposal government may complain that residents do not take system . Another common cause is poor coordination between stakeholders: the service provision agency often Another approach might be the creation of new has no responsibility for maintenance and does not alliances with public and private sector agencies coordinate with the agency that does.4. Photo: © UN-Habitat/Reinhard Skinner (see next section). government administration can mean abrupt policy change.1. For example. Another cause of poor maintenance by the community The planning process should include alternatives can be lack of tenure. the improvements are seen as contingency measures put in place.3 show some in the cost of credit or energy tariffs) or are built examples of a breakdown in maintenance. CHAPTER 5: POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION Figure 5. dependence on it. This planning and decision making about the nature of the can include a wide range of recurrent costs such as upgrading they will be less likely to assume ownership operating a land titling office. Community toilets in India (left) maintained by no one. When political will comes to an end recurrent funding for sustainability may be Residents sometimes refer to improvements in terms reduced or withdrawn. Figures 5. which may be. Each party assumed it would be the other. removing all subsidies and making services care of the improvement they have installed. Where they have not participated in sensitive to the availability of external financing.3: Defining Responsibilities for Maintenance and Control. will feel slighted for not having been involved thereby reduce its exposure to changes in state policy. with NGOs for capacity building. Lights left on all day (right) are unreported because residents do not feel it is their responsibility. agreed to by present administration because it is trying to avoid the parties concerned. it is a difficult issue.

deliver substantial inputs into the process of sustaining the benefits of upgrading. To avoid this.g. The ways Residents may also stop paying because they assume in which this can be done are explained in the next that improvements are free or they cannot afford to section of this chapter pay. Mamuang Bangkok. Trawk Ton are respected and enforced as the community’s. In addition to the project benefits being maintained there are income and employment opportunities. A Practical Guide to Designing. This may also result from weak cost delivery standards. Figure 5. According to sources in Villa El Salvador the invaders avoid parks and other public spaces since these Figure 5. The quality of the delivery itself funds available to the authority for maintenance. will require careful monitoring in order to detect shortcomings before they become critical. Cameroon.5 shows an invasion on the periphery of the settlement heading towards state owned beaches. if the or not should have been determined by the project improvements reflect their own priorities. residents are in principle those with communications strategy during the programme the greatest potential interest in maintaining design stage. after all.4 shows an example of community maintenance of a playground for children in an upgraded community in Thailand. they often feasibility studies. the communications component of The tenure problem can also result in residents failing to the programme needs to be very clear about service pay service charges. 118 . water supply. Identify where the TIP community could establish an enterprise for project maintenance (e. Planning. Yaoundé. In Villa El Salvador. Whether residents can afford to pay improvements to their communities and. solid waste disposal. One result of this is a shortfall in to pay for them. Photo: © UN-Habitat/Reinhard Skinner Figure 5. Photo: © Reinhard Skinner Getting the community involved in maintenance activities is a win-win. Peru there have been several invasions of unoccupied land since the early 2000s. What is just as likely is that residents stop paying improvements of somebody else’s property. Lima. these have invariably been upon state owned land rather than community property. having discussed appropriate levels recovery mechanisms where the charging authority fails with the slum dwellers who will later be expected to enforce payment.4: Community Maintenance of Public Spaces. Another important area in which communities can contribute to sustainability is in the enforcement of rules and regulations such as those regarding respect for public spaces and encroachment into them by private individuals.6 (right): Once this refuse heap has been cleared who will ensure it does not reappear? Prospective upgrading site. If residents think they do not have to pay for improvements something has gone wrong with the However. because the services do not meet their expectations.5 (left): New invasions in the formalized 40 year-old settlement of Villa El Salvador. road repairs). Figure 5. Photo: © Reinhard Skinner Figure 5. and Executing Citywide Slum Upgrading Programmes ownership of improvements which are. However.

2. The community’s management committees were trained in the maintenance of standpipes.2.5. responsibility. was vastly refuse collection services. for example.7: Lightweight drainage covers in Bangkok. This should be Committee (DAC) of the Organization for Economic based on the agreements reached at the planning stage Cooperation and Development (OECD) as: on the roles of different actors in sustaining project benefits. Communities who take on services This was ignored In the case of Hyderabad’s like solid waste disposal or management of funding Slum Improvement Programme in the 1980s. Angola. Box 5. (1990). or be readily available in the local "marketplace". sanitation would have been less expensive and would have increased the scope for community Local governments who are new to working in participation in maintenance. 5. of data on specified indicators to provide management and the main stakeholders of an ongoing 5. will need to learn how to run such operations. Source: Cotton and Skinner. whose skills might be available from within the community. included an institution- discharged into a septic tank on the site building component for the municipalities. participatory projects will need to acquire the Sanitation in certain isolated slums was appropriate skills. Ideally the skilled labour component for maintenance tasks should involve workers such as masons. The way in which people can contribute is particularly dependent upon the balance between unskilled and skilled labour.1 describes an example of design being A continuing function that uses systematic collection unsuited to community participation in maintenance. skills and equipment cannot be realistically Photo: © Reinhard Skinner undertaken by the community. care should be taken when designing the upgrading programme and Monitoring is defined by Development Assistance its projects to facilitate sustainability. The Nova Baixada programme in Rio achieved by new sewerage systems which de Janeiro. Tasks requiring specialist Figure 5. manage and maintain basic services for the systems as the means of sanitation. CHAPTER 5: POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION Box 5. Here maintenance was a joint tank posed a serious public health hazard.1: How design affects community maintenance in infrastructure: the case of Hyderabad.6. roles will often require some form of capacity 119 . poor.1. conflict-resolution.1. India The choice of technology for infrastructure influences both the complexity of the maintenance tasks and the extent to which maintenance can be carried out by an individual household or groups of households within the community. DEFINITIONS In the same way as with planning. The For example. and bookkeeping paving material and of pour flush pit latrines for skills. Training was also provided more expensive than using household pour for community based health agents. amongst others. Brazil. street cleaners flush latrines and the effluent from the septic and community leaders. in basic More extensive use of stone slab flooring as a management. emphasis on. contained bitumen-surfaced or concrete roads wherever a capacity building component to train communities possible and to use water-borne sewerage to provide. with special because there were no city trunk sewers nearby. there was a tendency to specify Luanda Urban Poverty Programme. DESIGN FOR SUSTAINABILITY 5. the organization of This was complicated to maintain. TRAINING FOR SUSTAINABILITY development intervention with indications of the extent of progress and achievement of objectives and The actors who have agreed to take on sustainability progress in the use of allocated funds.1. PROGRAMME MONITORING AND EVALUATION (M&E) 5. development.

A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes

Evaluation is: The systematic and objective assessment set up a separate unit. There are arguments for and
of an ongoing or completed project, programme or against each. For example, one can argue that an
policy, its design, implementation and results. outside evaluator could possibly more successfully and
objectively judge the success/failure of the project. On
(Emphasis added in both cases) the other hand, when monitoring and evaluation are
the responsibility of staff themselves (possible with
Source: http://www.oecd.org/dataoecd/29/21/2754804.pdf
guidance from a specialist unit), it is easier for staff
In brief, monitoring is an ongoing activity throughout to learn from and own the results. Both are valid
the life of a programme or project while evaluation arguments and must be considering when deciding
takes place at specific points. For this reason who will undertake the M&E. In addition community
monitoring tends to focus on activities, results residents can provide some very important inputs as is
(outputs) and spending and evaluation on the described below in Section 5.2.6.
‘bigger picture’ questions of objectives, project
purpose, effectiveness, (cost) efficiency, relevance and What data should be collected? As a rule only data
sustainability. for which there is a clear need should be collected.
Data collection takes time and costs money so should
5.2.2. THE PURPOSE OF M&E not be carried out unless there is likely to be a good
return. Indicators must be developed for objectives,
The four reasons for carrying out monitoring and outputs and activities which will tell if a change has
evaluation are: been achieved (for example, “a 10% increase in the
use of permanent roofing materials in each year of the
Accountability project”).
Programmes and projects are set up to deliver an
agreed set of benefits and need to show that they Managers should not ask for data which might be
are doing and have done so. M&E helps make them useful but only what they know to be useful. Excessive
accountable to the slum residents involved, partners data is costly to process and may obscure the analysis
and stakeholders. of what is happening.

Management What data collection methods and sources
Managers need to monitor progress to know if they are appropriate? The first choice to make is
are on track. If they are not they will find out why and between qualitative and quantitative data. If the
take corrective action. information sought is purely factual quantitative data
collection methods are needed (e.g. counting the
Decision making number of residents through a census survey). If an
Programme promoters and sponsors will want to understanding why things are as they are is of more
know if they are making good social investments and interest quantitative methods will be of little use and
whether they should continue to provide support. qualitative techniques should be used (for example,
focus group discussions on the subject of why
Learning available house improvement credits are not being
The lessons learned from projects and programmes subscribed to). In practice a mixture of quantitative
will inform the way they are designed in future. and qualitative techniques is usually appropriate.

5.2.3. DESIGNING AN M&E SYSTEM Wherever possible, existing data (secondary sources)
should be used. This is often to be found in routine
The M&E system will be designed according to the reports and documents. For example, local government
answers to the following questions. departments are required to report on expenditures
which can provide information to the M&E system on
Who does it? The PMU and PMTs must decide if their investments in infrastructure, social services and so
staff will be responsible for M&E or whether they will on. Similarly, data on numbers of service users can be

Communities want to know that upgrading is really having the desired effect. Community members
have easier access to information and to frank answers than the project staff does. Take advantage of

TIP this and ask them to measure the project’s effectiveness. Train them to do this if necessary. This will
have a great impact on community ownership and probably produce better data.

120

CHAPTER 5:
POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION

useful if one is interested in changes in the uptake of an final evaluation that should be done. Different project
improved service. Building materials suppliers will keep impacts take different amounts of time to take effect.
their own records of sales of different types of material. Therefore, it is useful to plan for evaluations of the
However, when secondary data is unavailable the project area up to five years after the completion of the
project and programme will have to collect their own project. This will allow for insight into the sustainability
primary data. of the project and also allow the project team to learn
from any problems that arise in the years after the
Frequency and timing of data collection: collect data project is completed, in order to better inform future
when it is useful to do so. If annual changes in house projects.
construction or enrolment on vocational training
courses are important there is no value to collecting the 5.2.4. DATA COLLECTION METHODS
data monthly. Similarly, data on electricity consumption
is probably useful if it is collected daily or more The following table lists the main data collection
frequently. Fortunately this is the type of information methods used in monitoring and evaluating CWSU
which is automatically collected by the service provider. projects and programmes when primary data is
required. Many of these can also be used for data
It is most important that data must be collected at the collection in the planning process. Most of the methods
very start of the programme (the baseline data) with can be used for both project and programme so they
which subsequent data can be compared. Without are not differentiated here. 5.2.5.
baseline data it is difficult to assess accurately the
changes the project or programme brings. 5.2.5. DEFINING PROJECT AND
PROGRAMME INDICATORS
The second consideration is to collect data when
the data sources are available. Sources are not only Indicators are the measures which tell us if we are
documentary but also human. Male heads of household achieving what we are trying to achieve and are crucial
are often available for interview or discussion at to the whole M&E exercise. For example, the slum
different times to their wives. Observations of how upgrading programme may have as a result “enhanced
often public spaces are used will give different answers capacity of women’s organizations”. But this is quite
depending on the time of day and the day of week. vague; how would we recognize it if we saw it?
Participation in self-help construction and community Indicators tell us. They say what precisely has to be
meetings is usually greatest on rest days. demonstrated to be able to affirm that the result has
been achieved. The following example will clarify.
Frequency of reporting: management should draw
up a reporting schedule establishing when they need Result: to improve the access of residents to clean
data to be delivered. This should be as infrequently drinking water
as possible but as often as necessary. Timing should
correspond with established review points such as Indicator: 25,000 additional houses with domestic
progress meetings with project managers (in the water connections by December 31st 2018 compared
case of the PMU) or social workers (in the case of the with the baseline number at December 31st 2012.
PMTs). Reports should be as succinct as possible to
allow reviews to be quick and include the minimum of It is important to consider that indicators at
data such as: targets, achievements, reasons for any the programme (city) level and at the project
shortfalls or overruns and actions to be taken (e.g. the (neighborhood) level may vary substantially.
provision of additional support or an adjustment in the Programme level indicators will most likely be more
targets) along with any other data which management quantitative in nature, considering the size of the area
decides is important in their specific case. over which data will be collected. The programme
level will also be interested in levels of connectivity
Evaluation and Sustainability: it is important to between project locations, which is best considered
consider that the end-of-project evaluation is not the with quantitative measures. On the project level, on

Baseline data must be collected before the project has begun. It is essential, therefore, that a
monitoring and evaluation framework, complete with indicators, is set up before implementation.
Failure to do so will mean that it is tricky to collect the correct baseline data and producing a reliable
evaluation may become difficult.
TIP

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A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes

the other hand, the smaller scale of the evaluation Carrying out the monitoring and evaluation
provides the opportunity to consider more qualitative Residents of upgrading areas want to know that
questions – such as the impact of the project on the improvements are in fact being delivered, that they
day to day life of residents. Valuable insights can are on time, within budget and of the required quality.
be gained from speaking directly to residents that Residents have a daily view of the process and are
can offer explanations to questions such as how the best placed to know the impact on their own lives.
project affected them and their family, and why. For this reason it is desirable to involve them in both
the monitoring and evaluation of upgrading. This will
5.2.6. CITIZEN PARTICIPATION IN also lend greater legitimacy to the programme since
MONITORING AND EVALUATION AT its quality will have been verified by those most closely
PROJECT AND PROGRAMME LEVELS affected.

As in so many areas of programme and project Box 5.2 describes one example of citizen participation
design and implementation stakeholders (especially in the monitoring of public projects in Colombia. It is
the community) can provide valuable inputs to the a model which is applied in Colombia to all areas of
monitoring and evaluation system. These include: public life including slum upgrading programmes.

Defining appropriate indicators of success 5.2.7. M&E AND LEARNING
Indicators are unambiguous measures of achievement.
Since slum dwellers know best how far the upgrading Monitoring and evaluation are not only concerned
is actually benefiting them, they should be involved in with programme management or with measuring
deciding what appropriate measures of success are. programme success. They are also learning tools

Table 5.1: Some primary data collection methods

Method When to Use Advantages Limitations
Sample surveys For data on large populations when Accurate collection of wide Qualitative data cannot be collected
numbers are the focus (e.g. socio- range of quantitative data. in depth (too many people in time
economic survey of slum dwellers). available) unless use great deal of
time.
Census survey When it is important to collect data on All sections of population Very expensive. Time consuming.
every household (for overall city slum are included (none are Cannot be used for any but the
profile). unintentionally missed). simplest qualitative data.

Semi-structured To obtain opinions and ideas about Allows probing to discover Semi-open nature means an
interviews problem issues or possible innovations underlying reasons for answers inexperienced interviewer may be
from key residents and officials in which are given. distracted and fail to cover key issues
the settlement who will have special adequately.
knowledge.
Focus group To obtain opinions of small groups Fast. Allows discussion of Of little use for quantitative data
discussions of similar people (e.g. market traders, reasons and causes and follow- collection.
tenants) about a planned or actual up of unexpected answers.
activity.
Observation When we want to see ‘with our own Does not rely on (possibly Observer needs to be able to
eyes’ how events happen and people biased) interpretation of interpret the observation accurately.
behave (e.g. participation at public respondents. Presence of observer may distort
meetings). normal behaviour of the observed.
Case studies To see how slum upgrading affects a Reveals effects on real Much depends on the interpretation
family or group in the way it normally social units which individual of the researcher.
operates and holistically (e.g. how interviews and focus group
improved water supply or women’s discussions, etc. cannot.
empowerment affects family relations).
Quasi-experimental To compare the effect of slum Convincing assessment of the Great difficulty finding settlements
design upgrading with areas where it has not effect upgrading has had. which are sufficiently similar that
taken place (a comparison of ‘with’ one which has been upgraded can
and ‘without’ upgrading). be accurately compared with another
which has not.

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M&E data will this guide. periodic reviews of the process as a whole (‘learning reviews’) and a data base of experiences (‘knowledge asset’) which includes documentation of the reviews just mentioned. The parks. the initial financial planning of the project. are helpful in showing what has been tried feed the learning process. involved to construct their own project or programme according to the particular conditions pertaining in The learning process will contribute to sustainability as their own cities. reports generated by the programme and case Some things that can go wrong Possible causes Operating funds dry up when the programme has been active for CWSU was treated as a special programme and not properly some years. Each project is to a of their relevance to the present city). it is for staff. such as those presented in Chapter Seven of computer culture in the city concerned. this learning must and what can work. While good as discussion blogs. slum studies from other cities (preferably with a discussion communities and stakeholders. Doing so will ensure that even at the end of the project funds remain for a full and useful evaluation. This will require the if properly documented. actions by those involved as soon as it has been completed (‘after action reviews’). everyone expects someone else to carry out repairs. 123 . depending on the connectivity and practices. Naturally. integrated with other city development plans so no recurrent operating budget has been provided for by the municipality. new classrooms and medical post which everyone Roles and responsibilities for maintenance were unclear and seemed to want are in a state of disrepair. shared and acted upon. Other possible certain extent new and will not simply be able to apply components of the knowledge asset are various such approaches which worked elsewhere. learnt. will provide the case studies creation within the CWSU programme of ‘learning of good practice for other cities who intend to embark platforms’ which can consist of reviews of each major upon a citywide slum upgrading process. communities In doing so they will need to learn lessons about learn how they can best contribute to improved what works and what does not. In due course this knowledge. residents and others involve and be accessible to all concerned parties. Inadequate funding is available at the completion of the project for Funding for monitoring and evaluation must be set aside during a full project evaluation. CHAPTER 5: POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION which benefit programme and project staff. Slum upgrading living environments and other stakeholders come to projects and programmes need to establish systems understand the best ways in which they can play a role of organizational knowledge by which lessons are in upgrading their cities. the municipality develops knowledge of how to carry out citywide programmes successfully.

look into and act • Regional governments upon complaints that citizens raise through the watchdogs.co/vee.co/rednalveedurias. • Local authorities • State bodies must receive.interred. Further information can be obtained from: • International bodies in Colombia www. activities.net.org. relevant authorities. and Executing Citywide Slum Upgrading Programmes Box 5. concerned. promotion and by Citizens’ Watchdogs include: training of citizens so that they can carry out their functions in the CWC’s. public contracts (including those implemented by NGO’s with public funds).co companies) www. • Providers of services to the public sector • Ministries Source: author’s own notes. These bodies have the right • Seeing that budgets give priority to meeting to whatever documentation is necessary for the basic needs. discharge of their duties and managers of the organizations they are overseeing are obliged by • Ensuring transparency in the allocation of law to cooperate with them.htm • Public corporations (and public-private www.gov. • Universities • NGOs 124 . A Practical Guide to Designing.contraloriagen. • Spontaneous: on whatever matter which They receive state support: arises and which citizens consider to be of importance. out. • Entity-based: all activities of a particular public • Making recommendations to public agencies body. • All state bodies have the constitutional duty Organizations which are subject to oversight to assist in the organisation. • Geographical: vigilance over all activities • Ensuring local development plans are carried taking place in their area of residence. Planning. They have different areas of competence: • Ensuring the quality of public works. • Specialisation: specific themes of public • Informing citizens of the results of their administration such as health or roads.cej.2: Citizens’ Watchdogs in Colombia Citizens’ Watchdogs (Veedurias Ciudadanas Their functions include: in Spanish) were created in 1989 as bodies of ordinary citizens who would oversee the award • Ensuring that planning and decision making and implementation of public contracts and to processes include community participation as report improper activities of public servants to the provided for by law.

Before Parada Lucas.3: Examples of Successful Slum Upgrading Projects (Brazil) Parada Lucas. CHAPTER 5: POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION Box 5. After Photo: © UN-HABITAT Photo: UN-HABITAT 125 . After Photo: © UN-HABITAT Photo: UN-HABITAT Vila Ceu. Before Parada Lucas.

Principles/ Services and their Design must be Not everything needs Minimise Avoid rules which Participation in things to standards to be consistent with to be sustained dependency on restrict self-help planning. Designing & the CWSU service delivery improvements to needs to be payments system project rules & ties for sustainability Implementing the Programme standards be sustainable sustained / regulations and maintenance projects (Chapter 3) maintained (Chapter 4) Ensure improvements are Ensure improvements Identify where Ensure availability Ensure appropriate use of Ensure all actors Aim affordable to maintain and can be sustained with resources need to be of funds to sustain improvements. responsible for maintenance . and implementation residents those responsible for enhances willingness maintenance Sustainability applies Plan for possibility Involve community: to maintain Provide alternative to processes as well of reduced funding most residents have as products for sustainability an interest in rules Ensure actors are service packages and Simple designs are activities being observed coordinated (e. Participatory Training (institutions and Tool / community training partners and service providers and design workshop community) in sustainability A Practical Guide to Designing. Planning.126 Post-Implementation Management Setting Up Establish Design Identify what Establish Establish Define responsibili. responsibilities. Meetings of PMU. trained Committees MoU with institutions and other actors repairers. design consider prioritized by skills & resources of external funds improvements. own and others’ pay for. and Executing Citywide Slum Upgrading Programmes approach Residents’ needs for minor stakeholders Municipal Finance with residents’ skills options monitoring of quality maintenance tasks Department representatives of service delivery Task Force brainstorming –Activity at programme closure Affordability analysis sessions event to emphasise roles and Progressive development of responsibilities infrastructure Agreements with Locally maintainable Sustainability and Financing plan Handbook of project Community maintenance Deliverables/ residents embodied designs maintenance plan as for sustainability / rules and regulations enterprises outcomes in project plans part of programme maintenance and project plans Communication strategy to disseminate roles Repair manuals Residents’ and responsibilities Service quality Supervisory monitoring reports Local. payment for are aware of residents are willing to available resources allocated improvements and maintenance of them. standards usually cheap to implementers & maintain ‘maintainers’) Identify Users will not pay Build what can be interconnections Factor O&M costs for sub-standard maintained between upgrading into service charges Involve community: services components residents are well Residents are best placed to spot placed to spot what breaches of rules Users will not pay for services they do not want needs repair Slum consultation Analysis of Meeting of PMU.g.

Monitoring & Evaluation Setting Up the CWSU Design programme and Define (performance) Decide on means Set up a data Implementation of Designing & Programme project logic models indicators and establish of data collection management & monitoring. decision-making projects aim to achieve and how to measure performance and learning them Principles/ Focus on main results Collect the minimum data but Who collects the data? (Field Data collected must be Baseline data at start of project: measure things to only everything needed staff. Aim programme and performance targets data is being collected to track and improve management. data needs (methods and sources) learning system and reporting . (Chapter 4) (results) processing and use) Establish what Set unambiguous Ensure the necessary Ensure data is used Produce data for accountability. residents?) useful (someone must ‘before’ and ‘after’ consider need it). projects outcomes and outputs (for data analysis. a special unit. evaluation Implementing the (Chapter 3) with clear objectives. agree future (enumeration) actions. networked data SWOT analysis base and management infor- mation system (MIS) Statistical data packages Programme or Data collection Monitoring and Up-to-date programme or Annual reports (how far objectives are Deliverables/ project logic model framework evaluation plan project database being met) outcomes Project and programme Quarterly reports (activities carried out) learning communities Community support for actions planned in POST-IMPLEMENTATION MANAGEMENT AND MONITORING AND EVALUATION CHAPTER 5: next period 127 . collect primary data when necessary Participatory Participatory Triangulate data (obtain Staff review meetings: with Participatory design workshop with Tool / design workshop design workshop and compare data using management stakeholders including residents’ approach with stakeholders with stakeholders different methods) representatives options including residents’ including residents’ Staff learning meetings: representatives representatives identify and document Problem tree analysis Community data collection lessons learnt. Community based computer access to data Problem tree analysis on progress being made Digitalised. Objectives to be Be clear what programme wants Provide reports (always and only) when agreed by and clear to to prove and collect appropriate Residents are well placed progress is to be reviewed all stakeholders data for this to measure effects of Data must be used interventions Reports to be contain all necessary Measures of success need to information but be brief as possible reflect views of those affected Data must be Limit activities to Is qualitative or quantitative data by the intervention accessible Ensure data and analyses reach those who need those necessary to required? them when they need them achieving results Use existing data where possible.

Planning and Executing Participatory Citywide Slum Upgrading Programmes 6 THE DO’S AND DON’TS OF CITYWIDE SLUM UPGRADING. A Practical Guide to Designing. SLUM UPGRADING CHECKLIST & QUICK GUIDE 128 .

Combine slum upgrading with employment generation and local Consider slum upgrading solely as a physical issue. upgrading. Design and negotiate relocation plans only when absolutely Assume relocation is the best alternative for poor people living in necessary and with the agreement of those concerned. economic development. Develop strategies to manage new slum formation. social and organizational resources in Invest public resources in massive new social housing schemes. to upgrading. Treat slum upgrading as a special issue outside normal city development planning. who will be prepared and want to participate. themselves.). Provide slum dwellers with security of tenure. Do not let limited funds stop you: adopt an incremental approach Impose unrealistic standards and regulations. women. & QUICK GUIDE 6. Involve tenants and owners in finding solutions that benefit them Discriminate against rental housing or promote a single tenure both. resources. Design improvements which are affordable to the population.” lecercle . Look for creative financial mechanisms to support the initiatives of Assume the poor can only contribute labour resources to CBOs. Plan with. implementation and maintenance of their neighbourhoods. Identify the resources slum communities can contribute to Think that just because communities are poor that they have no upgrading. cross-subsidies. Design improvements according to the specific needs and priorities Assume all slums have the same needs and priorities and that a of settlements. upgrading process. vocal and visible dominate planning. residents’ participation in construction. Encourage initiatives of slum dwellers and recognise the role of Let the traditionally powerful. Invest in social capital to develop cohesion and organizational Underestimate the importance of poor communities in the design. Flickr Creative Commons 129 . resources. slum settlements. bad housing conditions. not for. THE DO’S AND DON’TS OF CITYWIDE SLUM UPGRADING Do Don’t Include slums in the city’s overall development plans. SLUM UPGRADING CHECKLIST. Include a sustainability plan as part of the overall programme and Assume that upgraded settlements will automatically sustain institutionalize it. Look for a broad range of funding sources and payment Rely on governmental subsidies or on full-cost recovery from slum mechanisms (public. ‘one size fits all’ design will work.  Photo: Entitled: “Lallubhai Compound. Assume upgrading the slums of today will be the end of slum formation. Provide unaffordable infrastructure and services. Identify stakeholders and partners who can contribute to the Underestimate the number of stakeholders and potential partners upgrading process.1. option. Invest in existing physical. grants. CHAPTER 6: THE DO’S AND DON’TS OF CITYWIDE SLUM UPGRADING. private. Assume individual land titles are essential for tenure security. dwellers. Adapt building codes and by-laws where possible to facilitate Impose unrealistic standards and regulations. etc. the slum communities at all stages of the Impose upgrading plans on communities or sections of them.

6-3.)? 3.2.1 Identified what inputs are needed at city level (land. that policymakers the right which will enable you to get to “yes”.7 4.5. chronologically arranged.5 Defined a strategy to manage the growth of future low-income settlements? 1.)? 3.6 Defined options for type of programme intervention (comprehensive. information on most of these subjects can be found The following checklist is in the form of brief in the section of the Guide indicated in the column on questions.-3.. etc. and 3. – 2. Have you.8 Set up a task force (coordinating committee) responsible for producing the strategy? 2. Planning. transportation.1 Developed a communications strategy? 3..1 Identified partners.5.2. etc. trunk infrastructure.1 Formed a programme management structure? 3.2 Drawn up an implementation plan? 4.4. can use to review their programmes and policies with regard to the provision of affordable and sustainable housing.3.1 Established an institutional framework of all stakeholders to implement the upgrading? 3. and Executing Citywide Slum Upgrading Programmes 6.4 Carried out feasibility studies (including relevant policies and legislation)? 3. Chapter & Section Identified the size and type of the slum challenge? 1.2 Drawn up a financing strategy? 3.5.4 Got a long-term city growth plan to which the slum upgrading programme should relate? 2.10 Set up a monitoring and evaluation system? 5.7 Designed a capacity development plan for stakeholders? 3. SLUM UPGRADING CHECKLIST If the answer to any of the questions is “no”.9 Defined slum selection criteria? 2.3 Mapped all slums in the city (including high risk areas and location of city infrastructure)? 2. sectoral.. reached consensus on strategy and gained commitment of resources? 2.1.2 Identified relevant examples of slum upgrading in other cities and countries which may have lessons to offer? 7 Reviewed previous upgrading experiences in your city to see what worked and what didn’t? 1.8 Drawn up a sustainability plan? 5. A Practical Guide to Designing..1 130 .2.

China Photo: © Henning (1). Find out which types of slums exist in your city and what their needs and priorities are. level of slums as an isolated sole element of a problem but services and tenure situation. all slums in the city can induce densification and newcomers. so that it can act quickly and has seldom worked. Enumerations will minimize the 131 . CHAPTER 6: THE DO’S AND DON’TS OF CITYWIDE SLUM UPGRADING. population. Flickr Creative Commons Photo: © Szymon Kochanski. It is important that the task force actors and do not underestimate the potential of manages different actors and stakeholders and slum dwellers. Also. size. even if they are poor. Avoid falling into the force has a clear and unified vision of the goals trap of the government as sole provider because it of the program. Seek partnerships with other consistently. & QUICK GUIDE Slum near Tbilisi. Republic of Georgia Slum near TShanghai. SLUM UPGRADING CHECKLIST. • Check what legal rights slum dwellers have which • The task force’s first assignment is to design a are protected in laws and constitutional provisions concept note of the programme outlining what in order to prevent court cases and problems with it should look like and what needs to be done. to slums and reduce gentrification pressures in upgraded slums. Before deciding on any public intervention check Lack of street network connecting slums to planned city in Ouagadougou. upgrading interventions. which can provide alternatives better prepared to offer productive solutions. Do not look at defining their location. with different histories and processes of land occupation and settlement consolidation. • Before starting the programme learn from history and find out about previous policies and • The task force is an essential part of a successful approaches in your city and country in order to CWSU programme. Public activity that will benefit not only the inhabitants of announcements that the government will upgrade slums but the city as a whole. neighbourhoods in the future. Flickr Creative Commons 6. slum settlements into the urban fabric of the city. does not try to undertake all tasks itself. infrastructure and economic the shacks. importantly. • The causes of slum formation are many and • Make sure that CWSU Programmes are part of a varied. Use it to quickly read through key guidance or to make sure you have covered all the most important steps. Such a concise vision is very important for political decision both at the Mayor’s level as well as the • Citywide slum upgrading is about integrating executive levels of municipal government. Photo: © UN-Habitat the status of land tenure and property rights. Not all have the same needs and priorities. • There are many different kinds of slums and informal settlements. It is important that the task prevent repeating mistakes. dwellings and buildings. look at their potential connections with nearby have an enumeration of the population and neighbourhoods. Burkina Faso. giving them a path to become formal • Make sure to have a proper mapping of the areas. It is useful to identify the key causes of broader twin-track strategy that offers housing the formation of slums in your city in order to be options at scale.3. QUICK GUIDE The Quick guide brings together all in-text tips.

Otherwise. women. They also each may have varying degrees of opportunity to voice their opinions. and Executing Citywide Slum Upgrading Programmes number of ‘free-riders’ who can create conflicts between existing and new residents. • The coordination of the programme and the executive responsibility are best assigned by the Mayor or the highest authority of the city. targeted slums and the land tenure laws must be fully confirmed and understood. Do not invest in basic programme is the raising of false expectations infrastructure provision and the laying of pipes and amongst residents and participating parties. 132 . • Make sure that the eligibility criteria are made public before the programme starts. Planning. A Practical Guide to Designing. children. The networks without a settlement plan. Phased works can then be implemented The worst thing that can happen to a CWSU following this plan. • Ensure the community is included in consultation when discussing primary beneficiary selection. network. if they are not sought out and made a priority. • It is important when undertaking a participatory planning process to seek out people from all different parts of the community. Organisers should ensure that the complete population is engaged during the participatory process. men. the elderly. Man takes part in a consultation process in Myanmar Photo: © UN-Habitat • The issue of land tenure is one of the most important elements to confirm before the defined and planners realized that water pipes are program moves forward. project will roll back to the drawing table and people you may risk wasting resources when the plan is will become frustrated with a lack of progress. etc. it may create overlapping and unnecessary competition and institutional uncertainty. roads. etc. Otherwise. opportunistic behaviours are settlement design (area-based plan) must be made mitigated at the start. decree or alike. have valid inputs to make into the process. Avoid creating an artificial or hybrid agency to coordinate the CWSU programme. the disabled. so that • Before making any intervention a comprehensive manipulation. • Upgrading is likely to require the relocation of some residents to make way for infrastructure. This will increase trust and agreed. public spaces. • Pay attention to institutional and organizational management. The tenure status of the laid where new houses need to be constructed. All residents. of what is public and what is private space and defines the urban configuration and street • Do not start the programme if finance is not secured. Community consultation in Nepal It is important to have this clear right from the Photo: © UN-Habitat start. Do not start the programme if roles and responsibilities are not defined by an executive memo. This primarily involves the delineation between the programme and the citizenry. Their input is essential to insure the CWSU programme targets the real needs of the community. Potential resettlement land for new housing to accommodate households that must be resettled should be identified and mapped as part of the citywide slum mapping task. Preparing a social map Work with existing institutions and organizational Photo: © UN-Habitat frameworks and tune them to be more efficient and well staffed.

& QUICK GUIDE • To avoid duplication and aid coordination. road repairs). • There are many different project management • Communities want to know that upgrading is really software packages which can greatly simplify having the desired effect. Community members coordination and monitoring. Take advantage not all identical and technical advice should be of this and ask them to measure the project’s sought to ensure the most appropriate package is effectiveness. complete will find that some of them are willing to support with indicators. Approach high profile companies and has begun. these reasons is probably that they work. Identify where the agencies that have little chance to survive political community could establish an enterprise for changes and thus affecting sustainability and project maintenance (e. continuity. is set up before implementation. This will help to prioritize programme components and turn the programme into a demand-driven initiative with a greater degree of support from Newly completed houses as part of a self-build project in Uganda Photo: © UN-Habitat slum residents. This obtained for your programme. make sure that the CWSU programme is part and parcel of the overall urban planning and city development strategy. Most of them are have easier access to information and to frank proprietary but a few are open source. will have a great impact on community ownership and probably produce better data. and its status can take many forms. SLUM UPGRADING CHECKLIST. flyers. You monitoring and evaluation framework. • Establish a consultative process with target populations via CBOs and representatives prior to defining the scope of the programme. they are there for a reason. • There are more businesses willing to participate in upgrading at project levels than may be • Baseline data must be collected before the project realized. It is essential. town hall Meeting of stakeholders of new housing project in Uganda meetings and city consultation workshops. They are answers than the project staff does. Train them to do this if necessary. therefore. Videos. Photo: © UN-Habitat • Scan the institutional and regulatory environments well so that all bottlenecks and opportunities are identified and documented on records. connecting agencies. CHAPTER 6: THE DO’S AND DON’TS OF CITYWIDE SLUM UPGRADING. blogs. Failure to do so will mean that it is tricky to collect the correct baseline data and producing a reliable • Check what the local development plans have evaluation may become difficult. that a the Chambers of Commerce or Construction. 133 .g. websites. and cell phone text messages can all supplement traditional forms of communication such as posters. institutions and actors on the ground. Show them. • Communication of the programme design. If they function well • Getting the community involved in maintenance consider placing the CWSU programme within this activities is a win-win. maps. They probably include institutional frameworks that include agencies something and will have gone through a with the mandate over slums and urban (participatory) planning process. benefits being maintained there are income and before creating new ones. short films. CWSU but do not know how. flow charts before the programme starts its execution phase. This will prevent stalemate situations arising later. water supply. One of what local priorities are and will save a lot of time. • Don’t reinvent the wheel. This will tell us development. Avoid creating hybrid employment opportunities. If there are existing to say about upgrading. solid waste disposal. In addition to the project framework. Be creative and utilize modern approaches to getting your message across to your target audiences. with or without some modifications. People also probably respect them.

A Practical Guide to Designing, Planning and Executing Participatory Citywide Slum Upgrading Programmes

7
CASE STUDIES OF GOOD
PRACTICE

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CHAPTER 7:
CASE STUDIES OF GOOD PRACTICE

Country & city: Dar es and the City Council increased its contribution to pay
Salaam, Tanzania for the additional costs.

Country & city: Tanzania Partners
Dates of operation: 1995 - present
1. Dar es Salaam City Council: committed itself
Keywords: community management, water, to paying staff salaries, office space and road
community infrastructure, capacity development maintenance.
of municipal authorities and community
organizations. 2. Irish Aid: funded the project's Technical Advisor,
training, technical design of the infrastructure plans
Description for the communities, logistical and financial (salaries)
support to the Project Implementation Unit.
General
The Community Infrastructure Project was part of 3. The Prime Minister's Office: assumed responsibility
larger Sustainable Dar es Salaam project which started for mobilising resources from the World Bank to
in 1992. It was later applied in other parts of the upgrade infrastructure.
city. In 2010 a Citywide Action Plan for Upgrading
Unplanned and Unserviced Settlements in Dar es 4. Communities: committed themselves to contribute
Salaam was prepared with the technical assistance of 5% of the capital cost of neighbourhood
UN-HABITAT which would lay the basis for upgrading infrastructure and 100% of its maintenance costs.
at the level of the city.
5. The Utility Agencies (water and power) provision
Focus of technical advice, relocation of utilities as
required and installation and development of
• Community managed water systems. infrastructure and services in the communities.

• Provision of basic infrastructures and services with Financing
the aim of increasing employment and income
generation. As mentioned above, communities contributed 5% to
capital costs and paid fully for maintenance. See also
• Solid waste management and the protection of O&M and Sustainability below.
water sources.
Implementation
Management
Community or labour based contracting was
The Sustainable Dar es Salaam Project assumed the incorporated in the plan in order to generate incomes.
leadership role in formulating the objectives during
project formulation while the CIP Implementation Unit Community Participation
assumed the leadership role of implementing the CIP
itself. This started with the identification of needs
and priorities and extended into operations and
Planning Process maintenance (see below).

Communities defined their own needs and priorities Capacity Development
through community studies (similar to feasibility studies).
The CIP was an innovation when it was introduced
Participatory Rapid Appraisals were carried out. in 1995 and city authorities were unused to working
These ware similar to the participatory data collection in this way. So Municipal capacity development was
methods described in Section 4.3. Community profiles made part of the project to assist in strengthening
were prepared by community members. a project implementation unit to respond to and
support community driven requests for assistance and
A key principle was that standards for infrastructure to collaborate with them to implement infrastructure
should be affordable. It was intended that programmes.
infrastructure would be of lower standard than usual
but the communities wanted the standards to be Capacity was also developed in the CBOs for who the
raised. The World Bank then agreed to change them system was also new. Resources were also used for

 Photo: Jario BD, Flickr Creative Commons

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A Practical Guide to Designing, Planning, and Executing Citywide Slum Upgrading Programmes

providing training/knowledge, information and skills to • build community capacity to participate in
the community members. planning and maintaining infrastructure in
cooperation with Municipalities.
Operations & Maintenance and Sustainability
CIUP is being implemented in two phases: Phase 1
Communities are now running their water systems (2005-2008) involved 16 communities with 167,000
at cost i.e. residents buy the water and the money residents and Phase II (2008-2011) covered 15
is ploughed back into running the systems. In some communities with 162,000 residents. This represented
communities part of the income is used to operate a coverage of 20 per cent of unserviced areas in Dar es
solid waste collection system: the water committee Salaam.
pays for the collection services and community
members are charged collection fees. Communities prioritised their infrastructure needs from
a menu of different options including roads/footpaths,
The CIP enhanced the communities' sense of drainage, solid waste management, street lighting and
ownership and responsibility of the improved public toilets. Water supply was also to be provided.
infrastructure and they were willing to contribute for
their operation and maintenance. The main goal of CIUP has been to develop capacity
of the City Council in the planning and management
Scaling Up to City Level of the growth and development of the city, using
the Environmental Planning and Management (EPM)
The CIP experience was taken further in 2005 when approach.
the first phase of the Community Infrastructure
Upgrading Programme (CIUP) began. In 2010 a Citywide Action Plan for Upgrading
Unplanned and Unserviced Settlements in Dar es
CIUP is a sub-component of the Local Government Salaam was prepared with the technical assistance of
Support Project, funded by the World Bank. CIUP UN-HABITAT which would lay the basis for upgrading
objectives are to: at the level of the city. It aims to upgrade 50% of
unplanned and unserviced settlements by 2020 while
• improve productivity and the well-being of at the same time preventing the formation of new
low-income urban residents in Dar es Salaam unplanned settlements in Dar es Salaam.
by upgrading infrastructure and services in
Sources: http://www.unhabitat.org/bp/bp.list.details.aspx?bp_
unplanned and under-serviced settlements; id=3410. This describes the programme at the time it won Best
Practice Award in 1998.
• strengthen municipal systems for the upgrading of UN-HABITAT, 2010c.
infrastructure and services; and

136

The rest becomes revolving credits for microenterprises. When the community has identified its priorities Kampung improvements started in the Dutch it meets with experts and city government in a colonial period. management of the process. Asian Development businesses. refuse disposal. footpaths. Community development and participation is central drainage. MEC). It also disseminates information and mobilises communities. PROGRAMME. It is believed that this Implementation will allow improvements to be made on a larger scale. Under C-KIP a Kampung Development Board (KDB). Management • Social facilities: clinics. This 1969-74. Students assist the Kampung is the name for village in the (Bahasa) community with their surveys until they are able to Indonesian language. skills development training and education. sanitation. The latter provided basic infrastructure to could include physical infrastructure planning (e. improvement work. This has a community funds are managed by a task force (the Multi- focus: programmes and activities are based on Economic Cooperative. toilets) or non-physical improvements such as the development of co-operatives. Financing KIP was decentralised from 1996 and was included in the nationwide Integrated Urban Infrastructure One-fifth of the C-KIP budget is used for physical Development Programme (IUIDP). the Kampung Improvement Programme (KIP) expanded and linked Partners slums to city infrastructure networks in over 500 towns and cities. settlement comprising the community. participation Planning Process Community Self-Mapping (CSM) is carried out in every Description RT. The revolving KIP-Comprehensive (or C-KIP). Local government. The Government of Indonesia also community workshop to discuss what it believes implemented them in Jakarta and Surabaya from should be done and the options for doing it. A new programme started in the mid-1990s entitled residents contribute at least US $2. technical experts and university Community participation became more important and students and the communities themselves social and health components were added. • Land and housing: land certification. INDONESIA Its members are the heads of RTs (smallest unit of neighbourhood organization). This provides data on the kampung’s problems and potential which is analysed to arrive at a list of General kampung development priorities. building or Kampung Foundation. Components include: Focus • Infrastructure: roads. what communities can do by themselves without dependence on state funding. the heads of RWs Country & city: Indonesia (higher level neighbourhood units) and LKMD (Sub- Dates of operation: 1969. collective water supply. over a million people but did not always connect slums footpaths. Bank and UN-HABITAT support. local political parties and a development consultant. micro-credits for small From 1976. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE KAMPUNG IMPROVEMENT A Supervisory Council (SC) monitors KDB activities. with World Bank. For every US$1 invested by KIP. Keywords: community development.present district Community Defence Board). 137 . more quickly and sustainably than the previous Integrated KIP physical approach.50. solid waste management or public to city infrastructure networks. Community contracting is favoured as a means to developing the community and generating local The KDB is the legal entity responsible for overall incomes. 15 million people have benefitted.g. primary schools. is established in each permission. squatter and informal settlements. public latrines. It is also used to refer to urban carry them out alone. to C-KIP. housing improvement.

O&M and Sustainability The community-based approach has given C-KIP greater sustainability than the earlier KIP programmes where improved kampungs often had to be improved again after three to four years because of inadequate maintenance. Planning. 138 . Capacity Development The different groups and bodies set up under C-KIP receive management and institutional development training including visits to other successful kampung programmes. A Practical Guide to Designing. B. Dhakal. 1984.. and Executing Citywide Slum Upgrading Programmes Community Participation These have been described above. Assuming the revolving fund is managed well it will continue for the long-term to provide micro credits to residents. 2009. Sources: Banerjee. 2002. Silas.

and support for land titling. parks. and recreational facilities. sustainability. Management and Coordination This was the process for favelas built on publicly The municipality established intersectoral coordination owned land. environmental upgrading and community wanted. maintenance of infrastructure showed that more diversified social services were services. their own special planning processes and building codes and the usual regulations were suspended. In Phase 2 of the programme the municipality decentralised their offices to poor neighbourhoods to The second phase included some significant offer technical assistance on land tenure regularisation. hygiene and environmental education. Handzic (2010). RIO DE Financing JANEIRO. door-to-door visits from community on poverty indicators and the cost efficiency of the leaders. The programme also included community Technical Assistance development. Rojas (2010: 180). water supply. and the part of the operations and maintenance structure and elderly. For those on private land the municipal in the form of (a) a technical committee to approve government provided assistance in claims where the and monitor projects and (b) a coordination committee land had been occupied for at least five years. competitive Implementation tenders To resettle the few families who had to be relocated Description out of risk areas. training. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE FAVELA BAIRRO. An additional criterion was whether approved settlement development projects. among others) were introduced. These offices were (children not in school. Integration of infrastructure and social services. plus income allowed for continued relationship between municipality generation activities and support for occupational and the community after the programme ended. An example operations in squatter settlements in the same of participation was solid waste disposal and community geographic area could be combined to enhance the reforestation services being contracted out to community urban impact of the programme. social See also Planning Process above.000 residents of improvements as Special Social Interest Areas with irregular subdivisions.000 authorities declared those favelas undergoing residents and an additional 23. the programme generally included construction of flats in the same area or near the General beneficiary settlement. street systems. displacement and marketization of land. Municipal planning 52 squatter settlements with approximately 25. Planning Process Community Participation The selection process for squatter settlements and Communities were involved in project preparation irregular subdivisions used a rating system based through workshops. so support services for vulnerable groups supervision of service providers.g. These methods created great popular support and assured the Discussions were held with communities to select programme’s continuity through a number of different infrastructure and other projects (e. members through the neighbourhood association. assemblies and events where they debated and investment. Community consultation and participation were considered critical to ensuring programme Sources: IADB (2002: 98). 139 . services and employment-generating components). modifications to the first. sewerage. Both were under kept the land in the public domain and prevented the authority of the Mayor. single mothers. municipal administrations. Surveys of slum residents house construction. public lighting. sustainability. Dates of operation: 1995-2006 This simplifies execution as there are fewer decision- making authorities. Brazil it is fully financed and executed by the municipality. storm drainage. Phase I of the Favela Bairro programme began in 1995 and covered 55 squatter settlements and eight The programme utilised a unique mechanism of irregular subdivisions in four years. Keywords: Scaling up. This for the various secretariats involved. The second phase security of tenure: the concession of the right to use began in 2000 with the aim of upgrading another but not full ownership of land. BRAZIL One of the key factors in Favela Bairro's success is that Country & city: Rio de Janeiro.

2007: 8. health centres. It succeeded best in the physical aspect. including: violence and Description armed conflict.P. The results were very positive. impacts. They also confirmed that the target areas were incorporated • schools. CORVIDE EE. Improvements included: At the end of the programme PRIMED conducted a survey of residents to measure its social and economic • access roads. education. low educational and health levels as well as deficiencies in cultural General and youth strategies and attention to children and PRIMED covered fifteen low-income settlements the elderly. Ninety-six percent of respondents indicated that their quality of • stabilisation of slopes prone to landslides. employment. other public spaces and community centres. parks and better into the city via streets and paths. life had improved. and the strengthening of community FOR THE INTEGRATED organization. footpaths and public stairways. • improved housing and the provision of land titles.000 people (one-fifth of the (Betancur. A Practical Guide to Designing. Planning. sports fields. INVAL PRIMED Management Auditing Administrative Technical Social Juridical Acioly (2012:18) 140 .M.1: PRIMED Institutional Framework MUNICIPALITY OF MEDELLIN Municipal Departments Decentralised Entities and Secretariats E. citing a PRIMED internal document) total population living in informal settlements). improved housing conditions and BARRIOS SUBNORMALES EN land tenure. The areas in which satisfaction was greatest were home improvements. when designing their own low-income settlement upgrading programmes. with around 51. unemployment.VV. cities. public spaces. The PRIMED experience has been referred to by other • extended access to drinking water and sanitation. legalization of tenure and access to transport. IMPROVEMENT OF SUB-NORMAL PRIMED management realised that it was limited in its NEIGHBOURHOODS IN MEDELLIN) ability to affect poverty and that it needed: Country & city: Medellin. Colombia complementary municipal policies aimed at the Dates of operation: 1993-2000 reduction of those problems that the Programme cannot confront directly. health. • drainage. and Executing Citywide Slum Upgrading Programmes PRIMED: PROGRAMA INTEGRAL The programme attempted to address urban poverty DE MEJORAMIENTO DE on several fronts: physical and social infrastructure upgrading. such as the capital Bogotá. Figure 7. the MEDELLÍN (PROGRAMME environment.

provided technical cooperation for programme formulation. INURBE and the community mobilisation hardly materialised. representatives that coordination was cumbersome and the distribution of responsibilities amongst the The small projects proposed by CBOs were largely members was unclear. with PRIMED as the Programme Management Unit. • CORVIDE administration and monitoring and evaluation. This are Municipality of Medellin as well as various civil society discussed further below. However it functioned largely as an autonomous This was financed with a loan from KfW of EUR 6. 141 . only at the end of the programme were they represented in the programme’s The coordinating committee had so many planning and decision making processes. They were also involved in negotiations about relocation of • a representative from the affected communities. allowed for a total of 240. the German and successes were in physical improvements. and decision-making process and resentment at being seen a source of unpaid labour. Separation between planning financed (75%) by the programme but only 60 and project implementation created problems as each were proposed. However. The executing agency was Medellin’s Housing and Financing Social Development Corporation. This may have been partly In spite of this. The budget operandi and resisted the plans developed by PRIMED. CORVIDE. Social government’s development bank KfW (Kreditanstalt investment was small and the intended increase in für Wiederaufbau). • the confederation of NGOs Community Participation • the Metropolitan Area administration Although PRIMED set out to promote community participation. organizations like the Catholic Church. the Metropolitan Area of Medellin. in the beginning it was limited. apart from funding. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE Focus Partners Although PRIMED was integrated it was less integrated Programme partners were the German Ministry than had been intended. It fell directly under the Mayor and also had million and a mix of national and local funds totalling direct access to the presidency via the Commission for EUR 650. The biggest investments of Economic Cooperation (BMZ). • the National Institute for Social Interest Housing The role of community based organizations. Public • the Mayor Works and Social Welfare.1): Improvements were coordinated by PRIMED but carried out by the corresponding municipal agencies • PRIMED’s Director such as the utility company and the municipal secretariats for Community Development. • representatives from the Commission Donors. to submit • city departments and proposals for the funding of small projects. They were invited. The total cost of Phase I was nearly EUR 7. affected households.6 entity. NGOs and and Urban Reform (INURBE) Universities was mainly to provide finance and labour for the housing projects and a limited number of small • the national skill training institute (SENA) community projects. CORVIDE. of which only 18 were funded and agency had its own institutional approach and modus completed (little more than two a year). according to Betancur (2007: 8) due to residents’ exclusion from the initial planning participants saw the benefits of working jointly. Residents • the United Nations Development Programme did not take part in the initial planning or decision (UNDP) making but provided paid labour for some projects (such as community sub-contracts) and unpaid • the local utilities company (EPM) labour in others. Planning and Implementation A coordinating committee was established which included (see Figure 7.31 million. through their community based organizations and NGOs. philanthropic foundations and universities as well as community Management and Coordination organizations in the affected settlements.000.

pdf. To these risks Betancur (2007) adds the lack of political will in the new municipal administration which assumed office at the end of the programme as well as poor institutional coordination. However. the slum upgrading programme was not embedded in a long- term city development strategy and the second phase was scrapped. Other areas of weakness included agencies’ lack of experience in inter-institutional cooperation. UN-HABITAT Best Practices database: http://www.org/bp/ bp.list. (KfW. according to PRIMED management. However. It had been the intention that residents participate in maintenance activities and that this would be coordinated by a residents’ committee. CBO inexperience in complying with all the technical requirements and their lack of skills to manage the projects according to the programme’s guidelines. downloadable at: http://www. KfW (2004). Capacity development was not included in the programme. 2004). Planning. and Executing Citywide Slum Upgrading Programmes Capacity Development & Technical Assistance The small number of proposed and approved small projects also reflected. Sources: Betancur (2007). A Practical Guide to Designing.aspx?bp_id=3275 142 . Scaling Up PRIMED covered about 20% of slum dwellers in Medellin but intended that eventually the whole city would benefit. The KfW development bank reported in 2004 that two major risks to the sustainability of the programme’s physical improvements were the critical budget situation of the city of Medellín and the growing militarisation of the marginal settlements at that time as residents became involved in the armed conflict.de/ebank/EN_Home/Evaluation/Ex-post_ evaluation_reports/PDF-Dokumente_A-D/Colombia_Medellin1. in community contracting and in coordinating such a complex programme which involved so many actors and components. the failure of PRIMED to provide technical assistance was also a factor. kfw-entwicklungsbank. Development Cooperation – Colombia – Evaluation – Social Programme Medellin. But when the programme ended so did the committee.details.unhabitat. Operations & Maintenance and Sustainability The absence of community participation in the initial planning and decision making processes prevented communities from coming to own the programme. In this way inequalities between poor areas would be eliminated.

in over 200 city districts and benefitted over 500 communities (53.700 (CODI. seminars and information for community individual investment. municipalities and development actors. The group is responsible for the repayment collectively owned or leased. In all the projects of managing funds. The total subsidy per housing unit is groups are joined together in a network across estimated by CODI as equivalent to approximately US the city to give them power to negotiate with $1. and to achieve [an] overall upgrading plan together. THAILAND Management and Coordination Country & city: Thailand. study visits. land must be individuals. and provide financial resources which can be used learning. numerous cities The Baan Mankong programme is managed and Dates of operation: 2003. Loans are only provided to savings groups who have shown themselves capable of sustained saving and (c) It is collective in orientation. Participating well as other communities vets individual community community organizations are vehicles for broader organizations before funds are released to them by social change (UN-HABITAT 2009: 5). landlords and government and to facilitate the exchange of information and experiences. (CODI. Baan The programme’s decision making structure appears Mankong was conceived as a national programme elsewhere in this guide (Figure 4. new partnership between communities. 2008: 18). Civil society organizations. CODI is responsible for channelling funds from the solving eviction problems together as a team. but is implemented city by city on a citywide scale. a parastatal funded Description by the Ministry of Social Development and Human Security. The private sector has a limited role: it sells or leases land to the communities which occupy and is By April 2008 the programme had been implemented sometimes employed by communities as contractors. Savings dissemination. the loan is never provided to supported in the programme. CODI. to outsiders. (accounting for almost 80% of all projects) though reblocking and relocation options are permitted if residents choose them. support but when it is given it is as part of an overall city plan (details are given under Planning below). This is to prevent sale of loans. The City Development Committee (a) It sees upgrading as a part of social and political consisting of the Municipality. (b) It is based on savings groups which create Low-interest loans are also available for housing cooperative links amongst community members improvements as are grants for capacity development. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE BAAN MANKONG. universities.present coordinated by the Community Organizations Development Institute (CODI). NGOs. such as universities. General Baan Mankong means “secure housing” in Thai. Using Ministry to communities and for disseminating the city-wide upgrading [allows for the building up of a] programme. 2008: 31). Financing Focus CODI receives funds from the state which it passes on in the form of subsidised loans to community Baan Mankong has several distinctive characteristics: organizations for infrastructure improvement and management. 143 . and sometimes religious bodies.444 families). NGOs as development as well as physical. support communities Individual communities can approach CODI for with technical assistance.1). 2008: 33): Local government participates with other City-wide slum upgrading enables communities and organizations through a City Development Committee municipalities to work together as more equal partners and central government through its funding of CODI. According to the programme coordinating agency Partners (CODI. at least 10% of the finance comes (d) It is mainly concerned with in situ upgrading in the form of a contribution from the community. In all the projects.

Planning. That’s the most crucial thing. Yap and Wandeler (2010: 339- contractor to undertake the work but this tends to be 340) question the sustainability of the model. substantial external The form of implementation is decided by capital is required. This aims to promote confidence and belief amongst The saving groups provide substantial funds but participants.” (CODI. Participating in the planning process builds capacity. These pilot projects. with members with construction skills which they can use technical assistance from partners. provide learning which will benefit later projects. What is interesting is that there is no incremental confidence. Baan Mankong projects have provided many community Communities carry out their own planning.” (UN-HABITAT 2009: 9-10) Communities decide on improvement priorities. A Practical Guide to Designing. 2010: 339) of CODI says: “This is their university. whole and implemented first. simple surveys of their neighbourhoods. Communities also develop each other’s capacities Implementation through information and experience sharing. They may hire an outside in the form of loans. Each city programme is launched with a big event to Operations & Maintenance and Sustainability which the Mayor and all the slum communities come. As the Director houses. During the planning process a Capacity Development & Technical Assistance small number of projects which have been proposed are selected by the participating communities as a During the planning process network partners. planning with numerous communities carrying out 2008: 8). carry out project planning. This is Figure 7. as well as CODI. manage funds and hire and Because it is large in scale and participants are supervise contractors. which may be for families with the greatest need. This is provided by CODI largely communities themselves. This is how people learn and build capacity and everyone can do Community Participation it. (Yap & de Wandeler. provide technical assistance to community members. the projects tend to produce completed communities and is a learning exercise. infrastructure provision and the reconstruction of houses. According to CODI: “community builders better understand the needs of Individual settlement planning is preceded by citywide the community and are less likely to cheat. inexperienced planning is slow and typically takes about three years. insufficient for land purchase. This activity is very important as it builds capacity and self. and Executing Citywide Slum Upgrading Programmes Planning Process more expensive than community contractors. as contractors in their own right. creates and strengthens bonds across housing. such as universities and NGOs.2: The Baan Mankong Financing Model Infrastructure subsidy Government (routed through CODI) • Lending on commercial basis • Dividends / interest paid to individual members 2% interest • Non-community members can subsidy invest and receive dividends CODI Loan Community (Community Savings and Repayment Organizations Management Cooperative credit facility (at 4% interest) Development Technical assistance Institute) Mandatory monthly Repayment • Architect / planner Loan contributions to individual (at 4% interest) • Accountant / finance savings accounts expert • Social services expert Individuals Source: UN-HABITAT (2009: 18) 144 .

This has led to cash flow problems as CODI admitted in 2008 and asked the Ministry of Social Development and Human Security for additional funds. Sources: Boonyabancha (2003 & 2005). CODI (2008b). 50 Community Upgrading Projects. CODI (2008a). Bangkok: Community Organizations Development Institute. Communities carry out pilot projects which are analysed and the project methodology adapted before replicating them throughout the city. Scaling up has also happened from city to national level. Baan Mankong was conceived as a national programme but only achieved national coverage after successes in a smaller number of cities. Yap & de Wandeler (2010). UN- HABITAT (2009). 145 . Scaling Up Scaling up has taken place. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE because the loan capital remains tied up in real estate for the 15 years of the housing loan repayment.

service projects and maintenance. sale of land. the SNP cell should have worked more closely with the UCD departments 146 . it is critical to industry’s growth relies on the city’s infrastructure link it with other existing departments working on network and the efficiency of its production depends the same issues. 2008: 23). This risked setting up parallel mechanisms for Role of the private sector: this has led many parts project implementation which can lead to overlaps. community development. sewerage and drainage connections as well as private sector and NGOs. The fund is regularly using banking services. improvements to their houses. For example. etc. such as solid waste management. Partners SNP is open to all slums in the city under two conditions: (i) all households in the slum must agree The programme is implemented through a partnership to contribute to the cost of making individual water between the city government. Residents are willing to contribute because they have Management and Coordination the security that the AMC has provided them with an assurance that they will not be evicted for at least 10 A separate cell was set up within the Ahmedabad years. In this case. As such they have the right to be consulted on any works and find New infrastructure provided in individual slums is their own contractors. Municipal Corporation (AMC) to manage the SNP. $1. of the programme in areas such as physical and redundancies and a lack of accountability. solid waste management systems have reduced public Elected Neighbourhood Associations are responsible health risks and over 80% of households now spend for ensuring the communities pay their share of costs less on health care. while at the same time not losing on the living conditions and skill levels of its workers the objective of providing the required autonomy to many of whom live in the slums. Slum dwellers have Each family has to initially contribute 100 rupees (US also participated more in the formal financial system. For example. It also determines policies on of beneficiary households. slum residents. communal land tenure. They handle funds and represent the slum dwellers' interests when dealing The Slum Networking Project (SNP) started in 1995. Many of the Neighbourhood topped up when needed. Neighbourhood Associations Associations which were formed have continued their may also collect rates on behalf of the Corporation work and some have developed livelihood activities and receive a small fee for doing so.present The basic organisational unit in each slum is an elected Description Neighbourhood Committee. The AMC is a joint financier of the project. by removing the legal The main objective of SNP is to integrate slum dwellers impediments to land development and the rental with the mainstream of society through the provision sector. prevent delays. with developers and local government. underground drainage has reduced flooding. Planning. Incomes have increased in almost for the physical works. The reason is that When setting up such a mechanism. At that time the 300. The SNP aims to cover all slums in the city. India urban poor in Gujarat. physical infrastructure which is connected maintenance of infrastructure systems where relevant. to city networks and to improve their socio-economic conditions. improvements to the city as a whole. upgrading and site and water supply and sanitation has become individual. and Executing Citywide Slum Upgrading Programmes SLUM NETWORKING IN INDIA in order to more effectively converge slum networking with the other development programmes for the Country & city: Ahmedabad. It carries out overall mapping of slums and city level The Project has improved the health and well-being infrastructure needs. a small contribution towards maintenance expenses and (ii) the community must form an association. Dates of operation: 1995. the supply.000 slum families in Ahmedabad represented 40% of the city population. Slum dwellers are equal co-financiers. solid waste management and environmental improvements. The Municipal Corporation may linked to that of other slums and to the existing put in a bid to do the work but the final decision rests city systems in order to bring about significant with the slum dwellers. They also run the socio- 60% of families while over 30% have made significant economic programmes developed under the project. A Practical Guide to Designing. (Anand. rates.20 as at August 2012) to finance these activities after SEWA Bank had got them use to saving and and manage community assets. The role of the state is limited to that of enabling and facilitating. making serviced land available and carrying out of basic.

community.000.80. people) in 45 slums. When AMC also invited they are able eventually to take over all community NGOs to implement infrastructure services the work related activities. although innovative. The private sector also and drain cleaning. low staff capacity and a lack of sufficient political will. Capacity Development & Technical Assistance Aid agencies are required only to act as financial guarantors to the AMC. AMC pays one third of physical improvement costs Operations & Maintenance and Sustainability and 70 per cent of the costs of city level programmes. documentation by Neighbourhood Associations and the AMC and dissemination.000 (US $180-1. This they do with Initially private contractors were hired for the the existing community based organisations (CBOs) to implementation work but they took up to two years to whom they provide capacity building services so that complete work in one slum. 147 . Implementation help collect funds and launch the health. anything from Rs. over the first ten years of the project (1995. an 80% subsidy from AMC) and house improvements. evaluations. It lends the money that slum and implementation and help in maintenance. AMC checks designs and supervises and monitors implementation. Slum dwellers need to contribute in order to be able to dwellers have participated in the construction of participate in the SNP (2. Partnership agreements have been entered into consulting charges. has been institutionally grounded in existing structures. Some slum community development costs. also in consultation. The costs of the programme The SNP includes an intensive training programme for are shared between the partners.440) in their houses at one time. It However. all funding is local. pays a third of the physical upgrading costs within slums. It pays for project preparation costs. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE The main role of NGOs is to organise communities. this is only three percent of the city’s slum population. Associations collect service fees from house to house which relieves a major burden Financing from the service providers. The Slum Networking Project has no donor funding. with NGOs and the communities carry out solid waste collection and road private sector paying the rest.000 households (approximately 50. Slum dwellers are willing and able to pay quite large • Maintenance and sustainability costs can in amounts to improve their living conditions and invest principle be met by the current partners. falls within the work programme and budget of 2005) residents’ share of financial contributions has the AMC. costs increased but community and NGO contributions remained the same. project staff. details of the chosen option are some 10. designing and implementing private contractors. educational and income generation programmes. The city government covers the Scaling Up shortfall. infrastructure works in slums. Community Participation The NGO SEWA Bank provides loan and bank services Neighbourhood Associations are involved in planning to slum dwellers. building individual toilets (with financing. NGOs bid for contracts with NGOs were planning. Once a broad the city. It funds only 70 per cent of the to maintain the services provided. When the model of partnership between AMC. 000 produced. After 10 years of the programme was done much faster. This is because infrastructure and service also contribute. Other important factors in favour of the sustainability of the project are: Residents pay the remaining third of physical upgrading costs including individual water and • The project is not dependent on external aid sewerage connections. surveys. • The project. NGOs and neighbourhood associations fallen by half. The SNP started as a pilot project in a slum community Planning of 181 households. Implementation has been delayed by problems with land acquisition.100 rupees or US $23). improvement works. However. 10. community members and NGOs. private sector and NGOs Design options for individual slum upgrading are had been tested it was extended to other slums in discussed with community groups. In its first ten years the programme benefited consensus is reached.

com/.urbisnetwork.details.htm http://en. (c. http://www. (1997).com Ahmedabad Municipal Corporation (2005). Download at: http://www.org/ and http://www.housingfinanceforthepoor. UN-HABITAT 2006 Best Practice Award Winner: details at http://www.wikipedia. sewabank. Planning.unhabitat. SEWA Bank website. Download at http://www. S. A Practical Guide to Designing.2008).list.egovamc.citiesalliance.ac.com/ and http://www.org/bp/bp.com/documents/AhmedabadBestPracticesi nSlumImprovement-WUF.org/wiki/Slum_Networking 148 .aspx?bp_id=1762 Two websites with relevant articles are: http://www.uk/CIVE/Sewerage/articles/Slum%20 Networking.org/ sites/citiesalliance. D.com/ Cities Alliance (1999). amcmegacity.pdf Diacon.leeds. and Executing Citywide Slum Upgrading Programmes Sources Anand.pdf www. Ahmedabad Municipal Corporation website: http://www.efm.org/files/CA_Docs/brln_ap.sewabank.

The approach is heavily oriented to slum clearance and • To improve the supply of social and economic it was planned that nearly 150. Partners subsidised apartments (20%). become serviced plots. the main one being Al Omrane Group. by various public and private companies. and Two strategies with four housing options are being • To promote social integration and social cohesion. involuntarily resettled over a five-year period (World Bank. It aimed to improve slum conditions • To provide decent housing with services. public land has been made available. Where the slum is considered to be in good enough condition. such as the aged or level. partially serviced sites and service areas (35%). Slums which are declared to be in very poor merges a number of former housing and urban and condition or represent a hazard to the inhabitants regional development agencies within the Ministry of are demolished and residents are relocated to Housing and Urban Planning and Policy.000 families would be infrastructure. followed: Management and Coordination 1. 149 .000 residents (348. MOROCCO For the whole national programme. Municipalities issue were relocated. a public organization which 2.800 and US $30. upgrading is carried out in situ The programme is managed by the Ministry of and provided with services and improved access. plays a crucial role in mobilizing central government single parents. Additional checking the lists of beneficiary households and compensation was also paid to poor households who supervision of slum demolition. departments involved in resource allocations for urban and social services and overall coordination. This also includes State and developed by private investors. • To reduce poverty. Urban Planning and Policy and implemented This would cover about 30% of cases. by mid-2010 and 42 cities and towns had been declared “slum free”. Housing. by Royal Decree in 2004 and in 2010 the Kingdom of Morocco received the Habitat Scroll of Honour in Focus recognition of its achievements. The main form of re-housing has building and occupancy permits. 813.740. Social housing was boosted Country & city: Morocco. representing Central Government at local be vulnerable households. It was estimated that half of those receiving new apartments would The Governor. not. fully serviced sites (15%) or are re-housed in new. • To reduce ill health caused by poor housing. in 83 towns and cities throughout Morocco by 2012 to the benefit of 1. nationwide through public/private partnerships which delivered Dates of operation: 2004-2014 housing units at US $16. General as did the extension of existing micro-credit The Cities Without Slums programme was launched mechanisms to the area of social housing.000 slum dwellers had been reached provide tenure security).000 and housing finance was stimulated by the creation of Description the Guarantee Fund (FOGARIM) to facilitate access to credit to low-income or irregular income households. The main objectives of the programme have been: The programme is citywide but is implemented at national level. who would pay little or nothing. Residents’ objections were taken seriously. The Slum Upgrading Poverty and Social Impact Analysis which was carried out at the start of the The Ministry of Housing and Urban and Regional project showed that the poorest slum dwellers Planning mobilizes central government finance were unable to pay for any kind of housing and for social housing and urban development and that in situ upgrading was a popular option for implements housing operations through various public this category while re-housing in apartments was and private social developers for slum improvement. 2009: 18-19). neighbourhood of well located and serviced land.000 • To ensure security of tenure (all housing options households). CHAPTER 7: CASE STUDIES OF GOOD PRACTICE CITIES WITHOUT SLUMS. including civil 2012 and a compromise was found. provided by the organizations and residents. This consists society organizations and NGOs. particularly against the backdrop the ‘Arab Spring’ Local authorities’ responsibility is the coordination taking place in Northern Africa between 2011 and of the various actors on the ground.

Mortgage financing is made available to low-income Operations & Maintenance and Sustainability earners. Consultation with communities is recommended in • Beneficiary contributions. apartments. USAID. However. residents’ move. EBRD).86 billion of which the Government of Morocco has contributed US (See “Partners” section above). the met with the additional costs being met by mobilizing collection of residents’ contributions and the delivery additional peri-urban state-owned land and increasing of individual property titles. very significant increase in the number of families to include land acquisition. Planning. services in relocation sites. leading to improved relocation support the French Development Agency. This meant a 150 . including such activities as organizing the shacks. This works out at around US $8. Individual residents are only responsible $125 per month. the national programme during the detailed design stage of each project and this is the responsibility of • Cross-subsidies from the sale of housing units / the Local Authorities. A Practical Guide to Designing.200 per service option. Under the site and $1. including those who have no physical assets or who have irregular incomes through the BMCE Overall responsibility for the maintenance of Bank. 2009). By mid-2011 the cost of the programme had Implementation reached the equivalent US $2.1 billion. the packages and the improvement of urban and social European Union. be better services in relocation sites. lack of expertise and plots to higher income earners or for commercial capacity meant this has not taken place as fully as it purposes. The contract also specifies operational making at national level while the decision about and financial arrangements as well as the sites which slums are to be upgraded and which are to be where activities will take place which include social cleared is taken on a consultative basis at local level at activities (such as awareness raising) as well as physical an early stage when the city programme is negotiated.AFD. for one of the larger apartment for the maintenance of their own plots and options of three bedrooms (BBC. either public or private.800 and US $30. A community consultation takes place for each project but does not allow community involvement in the Financing important choice on main project options. were channelled through the Solidarity Fund for Housing (FSH) and administered by the Community Participation Department for Housing. and Executing Citywide Slum Upgrading Programmes The operator’s responsibilities. Nevertheless. complaints by residents in the largest cities with the oldest slums led to more • External donor funding (the World Bank. Mortgages are limited to 40% of a person’s infrastructure in upgraded slums. individual residents are responsible household. should have. negotiating for additional urban and social services and supporting the most vulnerable • The receipts from a tax on cement which households. interventions. The financing plan includes a combination for developing allocated plots and are normally of: provided with free house designs and technical advice during the self-building process. It is at this • State funding through the general budget as a stage that community involvement is the most standard compensation for the demolition of effective. the cement tax. All these responsibilities are usually spelt out in Planning Process a “city contract” between the Ministry.000 per unit) made compensation packages in the case of slum clearance sustainable by the above mentioned Solidarity Fund (as described under Description above) and that there for Housing (FSH) which is fed by a tax on cement. the local representative of the central Government and the local The Ministry of Housing and Urban and Regional authorities in each town or city where the programme Planning is responsible for planning and decision is implemented. sites and service income and the State guarantees up to 70% of that areas and new housing areas rests with the respective amount. overall technical coordination be supported in most large cities. The programme has proved attractive to many and It is intended to prevent the formation of new slums has even resulted in community action to demand by increasing the supply of affordable social housing each family (rather than each household) receive (at US $16. consultation. The demands were (such as studies and supervision of works). A typical mortgage is the equivalent of US municipalities.

ma/ Morocco. A weak territorial coordination framework to ensure appropriate urban integration of peri- urban relocation sites. Al Omrane website: http://www. Sources Habitat Info. Kingdom of (2010). (Newsletter of Al Omrane). 3. M. 1 July 2011 and 2 June 2012. Lack of available serviced land for satisfactory relocation of slum dwellers. 5. Based on lessons learnt from eight years of the national programme the new Government which took office after the 2011 general elections has begun to develop a more integrated policy to address housing issues at local level. High programme costs. The lack of state capacities and an outdated decision making system which make it impossible to involve communities sufficiently. World Bank (2010). 2. No. The limited involvement of local governments in urban planning with the management of the slum rooted in an incomplete national decentralization framework. (2009). UN-HABITAT (2011). Borthwick. boosted further by the increased demand described under Financing above. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE Main Issues Related to Programme Sustainability Include: 1. 151 .alomrane. Scaling Up The programme has always been implemented city and nationwide. 4.

Egypt of the Technical Advisory Unit (TAU). Focus Planning Process The project was three-pronged and comprised physical. They consisted of a range of such as drinking water. roads and electricity networks. As explained above. the expansion and development was also responsible for discussing policy. issuing At the start of planning field surveys were conducted voting cards to women. a sewage network. and Executing Citywide Slum Upgrading Programmes PARTICIPATORY SLUM Day-to-day management and backstopping of UPGRADING PROJECT.Development Swap programme. who reports Dates of operation: 2004-2008 directly to the Governor of Ismailia. Intervention priorities were selected from a list of projects proposed by Financing government. Capacity building was aimed mainly at the local authorities on the subject of Meetings were held with residents and leaders conducting participatory planning and upgrading to disseminate technical information and to hear activities. included literacy classes. This committee employment creation. the TAU consisted of an Description Upgrading Officer. social and capacity building components. associations and community leaders. Implementation for. the Governorate of Ismailia. assisting in the micro-loan by external experts with the assistance of selected programme in cooperation with a local NGO and residents. supported by the technical team Country & city: Ismailia. UN-HABITAT were preferable to national and international supported the capacity building component.000 (UNDP. women. what community needs were. obtaining land tenure. CBOs. In addition a the total population living in informal settlements at local NGO called ADE (Association for Development that time of 177. GIS Expert/Planner and Architect/Civil Engineer and General several short-term consultants (which included a The Participatory Slum Upgrading Project in Ismailia Civil/Sanitary Engineer and a Social Development City was developed as a follow-up to the activities consultant). In this way bilateral debt owed by the Arab Republic of Egypt A Project Implementation Unit (IU) was set up in each to the Italian Republic was converted into financial of the two slum areas to direct and follow up on a resources to implement development projects in Egypt. Working Groups were set up to identify and prioritise The physical comprised basic urban service provision issues and problems. Upgrading headed by the Governor of Ismailia. The total project budget was the equivalent of US $4. The project was nationally executed by the Ismailia After some mistakes the project management Governorate and implemented by the United Nations concluded that local small and medium contractors Development Programme (UNDP).8 million which was mobilized through the Debt. The social component youth. of the working groups on urban upgrading within the Sustainable Ismailia Project which recommended Partners upgrading two informal areas: El Hallous and El Bahtini. Planning. A Practical Guide to Designing. 2011: 2-3). daily basis the physical and infrastructure component of the project. the project partners were the Italian government. of local companies and significant cost savings. Apart from the National Project Coordinator. 152 . El Hallous. companies. a The total targeted population was initially estimated at number of local authorities within Ismailia and the UN approximately 15. It was This was not a problem when hiring local contractors intended that this committee would provide a possible which brought the additional benefits of local model for replication at national level. the provision of equipment to a youth centre. health awareness campaigns. Sustainable Development Officer. The IUs were staffed with land Management and Coordination surveyors. planners and residents who also assessed and prioritised them. an assistant and a social worker. The sewerage contract for one of the settlements. had been awarded to a large Overall project coordination was carried out by international construction firm which proved very the High-Level Committee for Participatory Slum difficult to supervise in terms of timing and quality.000 residents in both areas (out of (in the form of UNDP and UN-HABITAT). and Environment) and CBOs in the settlements which were being upgraded were also participants. paved stakeholders including local NGOs. ISMAILIA project activities was the responsibility of the National Project Coordinator.

the committees will be approaching pertinent authorities for the required funding. United Nations Development the project management and technical staff. such as extending the road surfacing improvement to the smaller streets. GIS and participatory planning for slums. Documented were attended by community representatives and by Experience from Ismailia. Capacity Building and Technical Assistance Training was provided for local authorities in the fields of conflict management. These include CBOs which deliver micro-loans (with funding from Central Government). These Programme. the degree of participation during the planning and implementation created ownership and it seems likely that residents will want to participate in protecting the gains made. 153 . When the project closed they were already planning further upgrading. However. Having already gained experience of working and coordinating with local agencies. in the planning process in both surveying and Sources planning through Working Group meetings which UNDP (2011). literacy classes and vocational training and government funded youth and health centres which continue to upgrade their facilities and services. Each neighbourhood has a functioning CBO which continues to meet weekly. meetings have helped to ensure coordination and community buy-in. housing development. Project management was aware of the danger of creating local organizations which might disappear when the project came to an end so they worked instead with existing organizations which they believed had a sustainable funding base and which would continue to provide services after the project. Residents also helped monitor compliance by the contractors who provided infrastructure. strategic plans and new construction laws. Egypt. Participatory slum upgrading has been partly institutionalised amongst governmental authorities but management capacity continues to be strengthened by the NGO ADE. Participatory Slum Upgrading. Action planning training was given to both project implementing agencies and local communities. Operations & Maintenance and Sustainability The project only closed fairly recently at the time of writing so it is impossible to assess how far it has succeeded in achieving sustainability. Project management also believe that they will continue to upgrade their settlements. CHAPTER 7: CASE STUDIES OF GOOD PRACTICE Community Participation Scaling Up As already mentioned slum dwellers participated Scaling up has not yet happened.

A Practical Guide to Designing. Planning and Executing Participatory Citywide Slum Upgrading Programmes 8 Bibliography and Useful Websites 154 .

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htm Housing and Slum Upgrading in South Africa Participatory Planning Techniques The Landfirst website offers a constructively critical analysis of the new slum upgrading approach of http://www.referenceforbusiness.upgradingsupport.) has a variety of Losing your Home: Assessing the impact of forced relevant entries including matrix management evictions (2011) http://www.contraloriagen.com/. provides a summary description of NUSP together with overviews of different aspects of slum upgrading and UN-HABITAT 2006 Best Practice Award Winner: details tools for several of its different stages.org.za/ruimsig about Brazilian.landfirst. http://www.org/natural-resources/key-issues/ Government of South Africa: empowerment-and-land-rights/participatory-learning- and-action http://www.co.php informal-settlements-&catid=19:articles&Itemid=63 Post Implementation Issues: MIT: Upgrading Urban Urban Landmark is a South African organization that Communities: A Resource for Practitioners.org/pmss/listItemDetails.communityplanning.html urbanlandmark. the third The World Bank Institute has a learning community being a PowerPoint presentation: about settlement upgrading including information http://informalcity.co.html http://www.co Constructively critical analysis of the new SU approach of government of South Africa: • www.interred. http://www. South African housing and settlement improvement: aspx?publicationID=3187 http://www.com/doc/64238966/Losing-Your- Home Participatory Data Collection Methods: http://www.org/ and The National Upgrading Support Programme (NUSP) http://www. tools/tools/worksheet-Post-Proj.mit.org/bp/bp.sewabank. http://www.scribd.ma/ http://www.aspx?bp_ id=1762 The South African example of participatory planning of settlement upgrading known as Informal Studio: World Bank Institute Ruimsig and the university course of which it is part are described in the following weblinks. Indian and South African experiences.co/rednalveedurias http://www.housinginformalcity.com/doc/64236498/Forced.za/sites/default/files/Informal%20 Africa: Studio_%20Ruimsig-A4.unhabitat.com/encyclopedia/ Man-Mix/Matrix-Management-and-Structure.unhabitat. upgradingsupport.co. Planning.edu/urbanupgrading/upgrading/issues- to work better for the urban poor.gov.za/index. and Executing Citywide Slum Upgrading Programmes • www.org/ 162 .scribd. The following is the link for South http://informalcity.za/ A summary of NUSP together with overviews of different aspects of slum upgrading and tools for several of the different stages.housinginformalcity.org.details.htm instead of the formal housing delivery approach is http://www. amongst others.co.php?option=com_ http://www. Global solutions (2011) The following website contains other examples of http://www.unhabitat.net. proposes ways in which land markets can be made http://web.iied.co.pdf http://inclusivecities.globalurban.landfirst.php?option=com_ Forced Evictions content&view=article&id=68:a-new-response-to- informal-settlements-&catid=19:articles&Itemid=63 Forced Evictions: Global crises.php SEWA Bank website.za/ http://www.org/GUDMag08Vol4Iss2/ A website promoting slum upgrading in South Africa MagHome.za/index.com/page/south-africa http://2610south. at http://www.pdf Various articles on low-income settlements http://www.za/docs/Summary%20Mar%20 12_rev%203. alomrane. microplanning_workshop. aspx?publicationID=3188 Morocco’s Slum Upgrading programme: http://www.sewabank.org.ning.org/ http://www.za/index. Management Evictions-Global-Crisis-Global-Solutions Encyclopedia of Business (2nd ed.list.org/pmss/listItemDetails.fao. A Practical Guide to Designing.net/methods/ content&view=article&id=68:a-new-response-to.org/docrep/W8016E/w8016e01.

org. desired level of participation see Skinner (1983). not emerge spontaneously. already occupy the settlement. (UN-HABITAT. “Post-occupation” refers to the period after 13 and then to estimate the proportion of the urban the completion of the project or programme. P. as well as a wealth of up-to-date 6 In fact squatting is often far from being cost-free. The terminology is often inaccurately locally known and trusted and easier to supervise applied as invasions are often planned and do than external contractors.htm portalpopulardacopa.iied. However. some writers have also pointed out that slums may often The programme was rural. many of which include slum upgrading: http:// 8 Slum dwellers have mobilised in Rio de www. See http:// Poverty Reduction Strategy Paper: http://www. and upgrading. development strategies which it has supported.citiesalliance. community’s but it will probably choose local “marginal”..d. Once the land is occupied they may resources/key-issues/empowerment-and-land- informally buy or rent housing units. P. information at the Participatory Learning and Invaders sometimes have to pay to participate in Action website: http://www. The choice of contractor should be the 15 5 These are also sometimes called “peri-urban”.br/ This is a thorny issue because if measures are not 21 9 Werlin (1999: 1524) reports that because put in place. (1999: 115-125). there may be exploitation of the slum clearance was so widespread during the relatively poorer segments by those who have 1970s.html. 2003:170. “informal” or “unplanned” construction groups because they are cheaper.T. occupation of the land or land use (zoning).wordpress. 1969) and Turner. In one governments were destroying annually more low. from marginal to the city economically providing a cheap labour force for industry.gdrc.. 10 For descriptions and analyses of sites and service The rent charges were 200% above the mortgage. of tenure issue when carrying out CWSU. CHAPTER 8: Annotated Bibliography and Useful Websites Endnotes http://www. it occupation only takes place at the end rather does not mean that cities should forget about the than an upgrading process where residents. R. settlements..S. Be this as it rights/participatory-learning-and-action may it is still cheaper than formal ‘solutions’ to which the poor will have little or no access. For a discussion of problems in obtaining the 14 4 The legal status may apply to the house. Travers et al. 2008:30). in the UN-HABITAT database only the first four indicators are used to define slum households. their benefits and their problems see Srinivas. Rodell 1983 and Swan et al. (1972). 11 asp?typeid=19&catid=542&cid=4868 1 Neuwirth (2005: 177-204) gives a journalistic history of squatting and slums in Europe. (1970. schemes.com/ and http://rio. the USA Khosla. 12 and China. an urban programme 16 be located on the margins of the city but are far would probably benefit from easier logistics. United Nations officials estimated that the capacity to acquire or own properties. Khosla.org/ca/cds Janeiro to protest planned evictions as part of preparations for the 2014 World Cup and 2016 The IMF website describes the requirements of a 20 Olympic Games to be held in the city. Mehrotra. project.org/content. A. J. course.org/uem/squatters/s. org/external/np/exr/facts/prsp. Furthermore.org/natural- an invasion.unhabitat. 1983) 163 . the direct beneficiaries / owners charged income housing than they were building. comitepopulario. H. the tenants market rents after the upgrading even though the project had leveraged a 75% subsidy. http://www. J. (2010) and Taylor. 22 and-s. It population living in slums. (n.imf. (2011) all analyse anda discuss the extent and nature of 2 It should be noted that information on secure violence against women and girls in urban areas as tenure is not available for most countries and well as approaches to take to combat it. Note: UBN = Unmet Basic Needs 18 7 Yuen 2007:4 records that this was the case in The Cities Alliance maintains a data base of city 19 Singapore until 1959. eds.). See also Imparato and Ruster. Fichter. commerce and Examples and descriptions of participatory 17 even government as well as constituting a mass of planning techniques can be found in Chambers consumers. more accurately refers to a turnkey project where But this is only for the UN-HABITAT database. K. (2011). it is conventional to use the same term for slum 3 See also Turner. Kumar (2000) and Lewis et al.

ensure the most appropriate package is obtained 37 Patton (2002: 204) has produced an extensive for your programme. children to heavy furniture in order to prevent them injuring themselves while they are at work. and Executing Citywide Slum Upgrading Programmes This is likely in cases where an international donor 23 31 Some donors. one of which has 2000s which advised the municipal governments received an intervention (here upgrading) and of Kitwe. This is what is called quasi- A dwelling is defined as “a residential unit. including This is particularly problematic in cases where an 24 compensation arrangements. With respect to strategic planning. seminars can be held to present Some opponents of upgrading can be found in 25 programme results and discuss them amongst unexpected quarters. Centers for Disease Control and Prevention Chapter Four). most proprietary but a few institutions that are required if intermediation open source. for obvious foundations are: Bill and Melinda Gates. Mexico because they would lose the rents they charged if mothers have been known to tie their young alternatives were created. with its own access “ (UNCHS. Two short guides are management can lead to substantial cost savings Gawler (2005) and Thompson (no date). upgrading. for example. But settlements which have been Misereor is also a donor.S. In the upgrading of the practitioners. The ‘random’ element comes others. 33 Similarly. Bolivia. upgraded and those which have not can be directly compared. Source needed. Sigrid Rausing Trust and Tides. such as the Inter-American is involved who will want external representation Development Bank.The such as in the Baan Mankong case (see section U. occupied or intended for occupation by one household. checklist of “particularly appropriate use of The Dutch government provided funding for the 28 qualitative methods”. SINPA (Support to the Implementation of National 38 Randomised control trials compare the results Plans of Action) Programme up until the early of two groups or populations. amongst one which has not. Kibera slum settlement in Nairobi it has come from small landlords who opposed land regularization 34 In some slum settlements in Ciudad Juárez. Much of what has been written about stakeholder 26 (Author’s field notes). Planning. designed. Technical advice should be sought to between informal and formal systems is to occur. not receive upgrading (in order to avoid bias). A Practical Guide to Designing. UN. an independent structure or within a multi-unit structure. HABITAT (2010f) have a downloadable publication who may be willing to support the upgrading on how to carry out such an exercise at citywide process when they have understood the level. 164 . (Source in by randomly selecting groups to receive and needed). to carry out in the context of Rockefeller. analysis is directed at the business world but is applicable to slum upgrading and other 35 We have already seen that community development contexts. 2012: 14). The author has experience of if it is felt that responsibilities will not be met by how this can lead to serious obstacles for the those originally identified. independent PMU operates on mandate received during a previous municipal administration. The 32 Actors and organizations to be recipients of assets present Mayor and government may feel less is often made early in the programme but such commitment to their predecessors’ commitments agreements should include a clause which gives and see the PMU as an independent relic of past the programme the possibility to change recipients administrations. in improved resource generation. See http://www.sdinet. 1991). will insist on a proximity clause on the PMU which will be selected through in their loans cases of resettlement (Magalhães & established recruitment procedures rather than di Villarosa. (2011) have a short ‘course’ while the European 36 This is an idea we came across in Chapter Four Commission/Food and Agriculture Organization when McLeod (2003) suggested financing CBOs have produced a one-page summary of the to forge new alliances with public and private process. sector agencies. development of an upgrading programme. either 30 experimental design. investment processes of the poor and thereafter There are many different project management 27 develop the internal mechanisms within their own software packages. The International Finance nomination as was possible with the task force.org/partners/ The 29 Of course this would be impossible. practical reasons. Zambia and Santa Cruz. She mentions banks. Corporation (2002) has published guidelines on how resettlement should be dealt with.

Colombia. 40 Collison & Parcell (2004) is an excellent source for those looking for more ideas on how to set up organisational learning processes. CHAPTER 8: Annotated Bibliography and Useful Websites 39 The author of this Guide was introduced to citizens’ watchdogs in the upgrading programme he was directing in Bogota. 165 . governability and social breakdown in low-income neighbourhoods. providing feedback from and to the community and providing increased legitimacy to the programme. 41 The Consejería para el Área Metropolitana de Medellín (The Commission for the Metropolitan Area of Medellin) was established in 1990 to address the problems of violence. At first he considered it a likely nuisance but quickly found it to be a valid way of assessing progress.

Department of Social and Economic Affairs. leading them through UN-Habitat steps towards a successful citywide slum-upgrading program. In order to address this. citywide programmes are longer in duration. this Practical Guide provides 
an accessible tool for practitioners. While 220 million people have been lifted out of slum conditions over the past 10 years. A Practical Guide to Designing. This Practical Guide is part of a trilogy 
on citywide slum upgrading that includes Streets as Tools for Urban Transformation
in Slums: A Street-led Approach to Citywide Slum Upgrading and A Training Module for Designing
 and Implementing Citywide Slum Upgrading. and involve multiple settlements and simultaneous interventions. skills and methodologies that will allow them not only to upgrade existing slums but also prevent the appearance of new ones.Kenya. 2011). to reach a total of 889 million by 2020. the number of people living in slum conditions is likely to grow by six million every year. broader in scope.Today there are nearly one billion slum dwellers worldwide of a total world population of slightly under seven billion (UN.org . Along with the other two partner publications. Together. HS Number: HS/039/15E ISBN Number: (Volume) 978-92-1-132660-4 A Practical Guide to Designing. it is necessary to equip cities and their practitioners with the tools and capacities to anticipate and control urban growth. Tel: +254-20-76263120.O. infohabitat@unhabitat. encouraging an approach that is both street-led and citywide.Nairobi 00100. these publications present a UN-Habitat approach to slum upgrading. Fax: +254-20-76234266/7 (central office). duration and geography. Planning and Executing Citywide Slum Upgrading Programmes. In this light. While singular projects are relatively limited in scope. advocates for a citywide approach to slum upgrading. scale. municipal staff will require knowledge. This Guide. and Executing Citywide Slum Upgrading Programmes UNITED NATIONS HUMAN SETTLEMENTS PROGRAMME P.Box 30030. Planning. This approach represents a fundamental shift from piecemeal project interventions to a citywide programme approach.