Advancing Inclusive and Sustainable Urban Development.pptx

7/26/2019 Advancing Inclusive and Sustainable Urban Development.pptx

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Advancing Inclusive and

Sustainable UrbanDevelopment: Correcting

Planning Failures and

Connecting Communities toCapital

Presented By,

Moushila De,

MURP -2NDSem

Joint Centre for Housing Studies of HarvardUniversities

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IN!"DUCI"N

Worldwide, an estimated 800 million people lie in areas !onsidered slums,

and the num"er is set to rise dramati!ally as ur"ani#ation !ontinues its "ris$

pa!e%

Slums results in the ha#ards stemmin& 'rom their lo!ations in dan&erous and

enironmentally ulnera"le lo!ations and their underdeeloped in'rastru!ture

and la!$ o' s!hools, !lini!s and hospitals, roads and transit systems, waterdistri"ution and sewera&e, open and !ommunity spa!es, and !ommer!ial

areas%

(he physi!al pro"lems asso!iated with slums are enormous and redu!e the

e!onomi! e''i!ien!y o' ur"an areas as well as the oerall )uality o' ur"an li'e%

* $ey to addressin& these pro"lems, and to adan!in& sustaina"le ur"an

deelopment that "ene'its all in so!iety, is improed plannin& +

spe!i'i!ally,spatial inestment plannin&% 2


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By this we mean plannin& 'or land uses, in'rastru!ture, and real

estate inestments to improe the eistin& 'un!tionin& o' ur"an

re&ions as well as to spur and dire!t 'uture ur"an &rowth%

mproin& the 'un!tionin& o' ur"an re&ions ipso facto demands

that spatial inestment plannin& improe the liin& !onditions

o' the ur"an poor to redu!e ne&atie eternalities su!h as health,

sa'ety, and enironmental pro"lems%

(o "e su!!ess'ul, spatial inestment plannin& must "e in!lusie

and transparent. aimed at lon&-term so!ial, enironmental, and

e!onomi! sustaina"ility. and ideally !arried out at a re&ional

leel "ut in !oordination with lo!al plannin& and rooted in a

national !ommitment to poerty alleiation%

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#$% HI&H'I&HS "F H$ !$P"!

(his report outlines $ey de'i!ien!ies in how deelopin& !ountries !ondu!t

their ur"an plannin&% /'ten, national &oernments esta"lish re&ional

authorities or pu"li!-priate partnerships to plan maor inestments in ur"an

in'rastru!ture%

(hese authorities and partnerships, howeer, o'ten do not ade)uately

!onsider "roader re&ional land use plannin& &oals, !ommunity input, or the

needs o' poor !ommunities%

1o!al land use re&ulations and plans, to the etent that they eist at all, are

not widely 'ollowed% Plans 'or slums seldom situate them in the !ontet o'

"roader plans 'or the ur"an re&ion% *nd the non-&oernmental or&ani#ations

that do mu!h o' the wor$ to improe slums seldom !oordinate their e''orts%4


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ommunity-"ased or&ani#ations o'ten are wea$ and not in!orporated into the

&oernment3s ur"an plannin& pro!ess% n addition, these &oernments,

authorities, and partnerships &enerally 'ail to 'ormulate spe!i'i! strate&ies to

improe or redeelop slums in ways that leae the poor "etter o''% (he result o'

these de'i!ien!ies is ur"an &rowth that is lar&ely unplanned and un!oordinated%

4et many eamples o' better planning practices eist around the world% (hese

in!lude e''orts to deelop national strate&ies 'or ur"an deelopment and poerty

alleiation, metropolitan re&ional plannin& and &oernan!e, anti!ipatory

plannin& 'or ur"an &rowth and !limate !han&e, spatial plannin& and

!oordination o' land uses and inestments, parti!ipatory plannin& and

!ommunity en&a&ement, asset "uildin& 'or the poor, and institutional

transparen!y and a!!ounta"ility throu&h initiaties su!h as parti!ipatory

muni!ipal "ud&etin&% 5


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(his paper is or&ani#ed into 'ie !hapters%

(he 'irst !hapter ma$es the !ase that addressin& ur"an poerty and slums is

essential to sustaina"le e!onomi! and so!ial deelopment%

(he se!ond !hapter outlines the de'i!ien!ies in ur"an plannin& as it is

!ommonly pra!ti!ed today%

(he third !hapter introdu!es spatial inestment plannin& and identi'ies other"est pra!ti!es in plannin& ne!essary to a!hiee in!lusie and sustaina"le

deelopment%

(he 'ourth !hapter outlines the o"sta!les that must "e oer!ome "e'ore these

approa!hes !an "e put to widespread use%

(he 'i'th !hapter ma$es re!ommendations a"out how to oer!ome these

o"sta!les, !orre!t !urrent plannin& de'i!ien!ies, and spur in!lusie and

sustaina"le ur"an deelopment%

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(e Case for Addressing Urban Povert)

(e scope and pace of urbani*ation

*"out 5%6 "illion people, hal' the world3s population, lie in ur"an areas%(he ur"an share o' the &lo"al population !ould rea!h 70 per!ent "y 2050

and 7 per!ent "y 2060%

Mu!h o' that &rowth is epe!ted

to !ome 'rom deelopin& !ountries,where the ur"an population is

epe!tedto dou"le 'rom 2%7 "illion in

2090 to 6%2 "illion in 2060%

Ur"ani#ation rates ary "y re&ion%(he United Nations estimates that in

2099,82 per!ent o' the population in

North *meri!a lied in ur"an

in ur"an areas, 2 per!ent in entral *meri!a,and 8: per!ent in South *meri!a,

!ompared to only :6 per!ent in *sia and :0 per!ent in *'ri!a% 7


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H$ &!"+H "F U!,AN P"-$!%

;stimates su&&est that approimately 50 to 70 per!ent o' the ur"an population inthe deelopin& world lies in poerty%*!!ordin& to a 2002 estimate, 7 per!ent o'

the ur"an population in South *sia, 78 per!ent in Su"-Saharan *'ri!a, and 28per!ent in 1atin *meri!a were !lassi'ied as poor%

n 1atin *meri!a and the ari""ean, the num"er o' ur"an poor in!reased 'rom ::

million to 996 million 'rom 9 de'inition o' slum !omes 'rom UN-?a"itat, whi!h uses the Merriam-

We"ster de'inition o' slum@ =a heavily populated urban area characterized by

substandard housing and squalor.

*!!ordin& to UN?a"itat, an estimated 828 million people lie in slums thus

de'ined% UN?a"itat 'urther estimates that the num"er o' slum dwellers in!reased "ya"out 79 million in the last ten years%

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Durin& 2000+2090, the aera&e population &rowth rate 'or the 1east

Deeloped ountries A1Ds was estimated at a"out :% per!ent while

the aera&e rate o' ur"an slum 'ormation was :%< per!ent%

n 2090, slums housed approimately one-third o' the ur"an population

in deelopin& !ountries while 'ully 72 per!ent o' the ur"an population

in Su"-Saharan *'ri!a was estimated to dwell in slums%

(he terms in'ormal settlements and slums inter!han&ea"ly to denote

areas o' !on!entrated poerty that share the 'ollowin& !hara!teristi!s@-

Basi! in'rastru!ture and muni!ipal seri!es that are inade)uate%

?ousin& that is mostly in ery poor physi!al !ondition%

1and uses and "uildin&s that do not !on'orm to lo!al laws.

1and ri&hts that may not "e 'ormally re!o&ni#ed or land that may "e

ille&ally o!!upied%

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H$ $C"N".IC I.P"!ANC$ "F H$ P""!/

S'U.S/ AND INF"!.A' ACI-II$S

Slums also proide opportunities 'or the poor to "uild assets, in!ludin&

homes and "usinesses%1iin& !onditions in slums are di''i!ult, slums are

also !riti!al and 'un!tional 'or ur"an areas%

Crom the "roader perspe!tie o' other ur"an residents and "usinesses inthe !ity, the poor liin& in slums per'orm essential seri!es and supply a

low-!ost la"or 'or!e%

n his 200: "oo$, The Fortune at the Bottom of the Pyramid, C..Prahalad argued that there are positie "usiness "ene'its to "e &ained "y

multinational !ompanies i' they opt to inest in serin& poor mar$ets in

deelopin& !ountries%Slums also present "usiness opportunities 'or

in'rastru!ture deelopment.

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H$P%!A.ID

Purchasing PowerParity in US dollars

!20"000 Tier1

Tiers 2-3

Tier 4

Tier 5

$1,500 - $20,000

$1,500


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Redu!e !orruption


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(he in'ormal e!onomy in deelopin& !ountries a!!ounts 'or an estimated 82 per!ent


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(he in'ormal e!onomy in deelopin& !ountries a!!ounts 'or an estimated 82 per!ent

o' non-a&ri!ultural employment in South *sia, 69 per!ent in 1atin *meri!a, 76

per!ent in ;ast and Southeast *sia, and 77 per!ent in su"- Saharan *'ri!a% *n

estimated 8: per!ent o' all non-a&ri!ultural employment is in the in'ormal e!onomyin ndia, 6: per!ent in Mei!o, and :2 per!ent in Bra#il% *nd the importan!e o' the

in'ormal se!tor is &rowin&%

*s Ri!hard *rnott ar&ues in his report on housin& poli!y in deelopin& !ountries,

the lar&e si#e o' the in'ormal se!tor relatie to the oerall e!onomy in deelopin&

!ountries, !oupled with the predominan!e o' housin& in'ormality, imposes

!onstraints on &oernment poli!y and undermines the e''e!tie 'ormation o' sound

housin& poli!y% (his is due to the ina"ility to measure the in!ome o' in'ormal se!tor

employees Awhi!h results in limitations on in!ome-related assistan!e and

redistri"ution pro&rams and the relu!tan!e o' &oernments to su"sidi#e unauthori#ed

housin& Awhi!h harms the most impoerished households%25


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Housing polic) in developing countries : t(e importance of

t(e informal econom) ,) !ic(ard Arnott

*ll !ountries hae a 'ormal e!onomy and an in'ormal e!onomy% But, on aera&e, in

deelopin& !ountries the relatie si#e o' the in'ormal se!tor is !onsidera"ly lar&er

than in deeloped !ountries% (his paper ar&ues that this has important impli!ations

'or housin& poli!y in deelopin& !ountries% (hat most poor households derie their

in!ome 'rom in'ormal employment e''e!tiely pre!ludes in!ome-!ontin&ent

trans'ers as a method o' redistri"ution%

*lso, holdin& 'ied real e!onomi! a!tiity, the lar&er is the relatie si#e o' the

in'ormal se!tor, the lower is 'is!al !apa!ity, and the more distortionary is

&oernment proision o' a &ien leel o' &oods and seri!es, whi!h restri!ts the

desira"le s!ale and s!ope o' &oernment poli!y% Cor the same reasons, housin&

poli!ies that hae proen su!!ess'ul in deeloped !ountries may not "e su!!ess'ul

when employed in deelopin& !ountries% 26


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&!"+IN& "PP"!UNII$S F"! AND IN$!$S IN AC#'IN& U!,AN P"-$!%

(he United Nations, in !olla"oration with UN-?a"itat, 'ormed the Sustaina"le ities

Pro&ram in the early 9


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Cor eample, .c#inse)0s report on building inclusive cities and

sustaining economic gro1t( in India ar&ues that &reater attention to the

!ountry3s &rowin& !ities and ur"an !enters is ital to e!onomi! &rowth and

prosperity in ndia% Usin& an e!onometri! model and nine se!tor models, as

well as additional in-depth analysis, M!Einsey3s report attempts to identi'ypoli!ies to help moe ndia3s !ities 'orward%

Fien the s!ale o' India0s urbani*ation/ in 2343 ndian !ities will hae a

population &reater than 9 million% ities, the study points out, o''er the

potential 'or a hi&her )uality o' li'e and "etter a!!ess to o"s, mar$ets, and

in'rastru!ture, "ut without sound poli!y dire!tin& spatial deelopment, the

)uality o' li'e in !ities !ould de!line and 'urther in!rease demand on

in'rastru!ture and seri!es%

*s a result, .c#inse) 'ound that ndia3s ur"an operatin& model should

'o!us on 'ie elements@ funding/ governance/ planning/ sector policies/

and s(apeAur"an 'orm and !ity system-wide plannin& and strate&ies% (he

report3s authors ar&ue that ndia needs to unlo!$ inestments 'or !apital

ependitures and inest si&ni'i!ant resour!es in seri!es 'or residents% 29

INC!$ASIN& CAPACI% "F C"..UNI% ,AS$D "!&ANI5AI"NSINC!$ASIN& CAPACI% "F C"..UNI% ,AS$D "!&ANI5AI"NSINC!$ASIN& CAPACI% "F C"..UNI% ,AS$D "!&ANI5AI"NS


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H$ PAC$ "F &'",A'I5AI"N AND H$ INC!$AS$ IN

F"!$I&N DI!$C IN-$S.$N

CD in deelopin& nations rose "y 92 per!ent 'rom 200< to 2090, rea!hin& G6:

"illion in 2090 alone% nestments in real estate and land are in!reasin& in many

!ountries, parti!ularly in 1atin *meri!a and hina%

n hina, in'lows o' CD in real estate rea!hed G8%8 "illion in 2006 and !omprised

96 per!ent o' hina3s real estate mar$et% More re!ently, in 2090, 25 per!ent o' the

oer G900 "illion that 'lowed into hina was inested in its real estate mar$et%

INC!$ASIN& CAPACI% "F C"..UNI%6 ,AS$D "!&ANI5AI"NSINC!$ASIN& CAPACI% "F C"..UNI%6 ,AS$D "!&ANI5AI"NS

INC!$ASIN& CAPACI% "F C"..UNI% 7 ,AS$D

"!&ANISAI"NS

INC!$ASIN& CAPACI% "F C"..UNI%6 ,AS$D "!&ANI5AI"NS

(he !apa!ities o' !ommunity-"ased or&ani#ations AB/s and non&oernmental

or&ani#ations ANF/s hae in!reased in many in'ormal settlements% n addition,

networ$s o' these or&ani#ations hae "e&un to emer&e and are &rowin& stron&er%30

n the US and ;urope this in!rease in !apa!ity has "een !entral to the enhan!ed


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n the US and ;urope, this in!rease in !apa!ity has "een !entral to the enhan!ed

a"ility o' poor nei&h"orhoods to pursue !ommunity deelopment%

Flo"ally, 'ederations o' !ommunity or&ani#ations su!h as Slum D1ellers

International proide opportunities 'or idea-sharin&, asset-poolin&, and mutual

support%

ommunity or&ani#ations, li$e the NF/ SPA!C ASo!iety 'or Promotion o' *rea

Resour!e enters, o'ten ado!ate and or&ani#e around more than one issue as a

way to address the wide-ran&in& needs o' their !ommunities.

$.$!&$NC$ "F N$+ AND $.P"+$!IN& $CHN"'"&I$S

New te!hnolo&ies hae emer&ed that promise to help "etter or&ani#e the poor.

lower the !ost o' &atherin& in'ormation on the !onditions o' and a!tiities

o!!urrin& in slums. allow 'or distri"uted ener&y produ!tion, employment in

di&iti#ation o' in'ormation, and low-wa&e $nowled&e wor$ li$e !ustomer seri!e.

and drie entrepreneurial entures 31

Cor eample the use o' mappin& te!hnolo&y su!h as Feo&raphi! n'ormation


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Cor eample, the use o' mappin& te!hnolo&y, su!h as Feo&raphi! n'ormation

Systems AFS, !oupled with open sour!e plat'orms su!h as aerial photo&raphy on

Foo&le ;arth, has improed the a"ility to a!!ess, map, and otherwise spatially

represent in'ormal settlements%

P!"-$N CAPACI% "F AND $N!$P!$N$U!IA' D!I-$ "F

H$ P""!

Cinally, there are many eamples o' the poor startin& their own "usinesses, inestin&

in their homes and in'rastru!ture, and o!!asionally "e!omin& hi&hly su!!ess'ul andwealthy entrepreneurs% (hese hae helped unders!ore the ast potential o' the

"ottom o' the pyramid to spar$ e!onomi! &rowth and re!oer many o' the !osts

asso!iated with "etter seri!es in slums% ndeed, the poor are a!tie and important

asset builders.

?arard e!onomist $d1ard &laeserar&ues that entrepreneurship is the de'inin&

!hara!teristi! o' Mum"ai, with :5 per!ent o' ur"an ndians reportin&

sel'employment% (he Dharai slum in!ludes tailors, !erami! ma$ers, and

re!y!lers%Pro'iles o' =mi!ropreneurs> in the *pril 2099 issue o' Forbes ma&a#ine

do!umented this phenomenon in many deelopin& !ountries% 32


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F"!,$S .A&A5IN$ 2388 $DII"N :6 $D+A!D &'A$S$!


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D$FICI$NCI$S IN H"+ U!,AN P'ANNIN& IS P!ACIC$D

"DA% More 'ully tappin& the e!onomi! potential o' the ur"an poor, improin& slums, and

a!hiein& sustaina"le ur"an deelopment, depends importantly on oer!omin&de'i!ien!ies in how plannin& is !ondu!ted and inestments are made in most ur"an

re&ions today%

Despite re!ent e''orts in many !ountries to de!entrali#e de!ision-ma$in& and authority

away 'rom national &oernments, plannin& at the !ity and state leels is o'ten wea$

and la!$s authority%

1o!al land use re&ulations and plans are o'ten ine''e!tual% Partly in response to limited

plannin& and inestment !apa!ity at the stateHproin!ial and lo!al leels, national&oernments hae esta"lished re&ional authorities and public6private partners(ips

APPPs to plan maor inestments in ur"an in'rastru!ture, "ut these o'ten 'ail to

ade)uately !onsider "roader re&ional land use plannin& &oals, !ommunity input, or the

needs o' poor !ommunities%36

!$&I"NA' '$-$'


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!$&I"NA' '$-$'

Re&ional plannin& is primarily dedi!ated to desi&nin& and sitin& lar&e-s!ale

in'rastru!ture proe!ts Aor =me&aproe!ts>, su!h as sewer, pota"le water

distri"ution, and transportation systems Ain!ludin& rail lines, su"ways, and

hi&hways. prote!tin& enironmentally sensitie areas 'rom deelopment. andpower &eneration, power transmission, and tele!ommuni!ations%

Fien the pa!e o' ur"ani#ation in many !ities, in'rastru!ture proe!ts and slum

nei&h"orhoods stand an in!reased ris$ o' !ollidin&, !ompetin& 'or the same spa!es%

But in plannin& in'rastru!ture, re&ional authorities seldom !onsult the poor, and

their !ommunities seldom "ene'it 'rom in'rastru!ture inestments%

Me&aproe!ts o'ten re)uire 'orei&n inestment and epertise that are in!reasin&ly

supplied throu&h multinational !onstru!tion 'irms and deelopment "an$s% (hese

are lost opportunities to use spatial plannin& and pu"li! parti!ipation to in!orporate

plans 'or the "etterment o' the whole !ity into 'orei&n-'unded me&aproe!ts,

!apitali#e on the positie e''e!ts o' new in'rastru!ture, and miti&ate its disruptie

impa!ts on ur"an !ommunities% Re&ional authorities, !ommonly empowered "y

national or state &oernments, o'ten 'ail to !onsult with muni!ipal authorities until

important lo!ation, seri!e and proision de!isions hae already "een made% 37


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.UNICIPA' '$-$'

*t the muni!ipal leel, ur"an plannin& in lower- and middle-in!ome !ountries tends

to 'o!us on smaller-s!ale in'rastru!ture Asu!h as waste disposal and 'eeder-road

!onstru!tion, land use re&ulations, ur"an 'orm re&ulations, pu"li! transportation,"uildin& !odes, and nei&h"orhood deelopment% 1o!ally deeloped plans seldom

proe!t and prepare 'or &rowth or identi'y sour!es o' 'undin& 'or implementation%

Muni!ipal plannin& also o'ten 'ails to !oordinate amon& ur"an a&en!ies ordi''erent

physi!al areas o' the muni!ipality% Most ur"an plannin& at the muni!ipal leel is!ondu!ted a!!ordin& to se!tor diisions% Cor instan!e, land use, transportation, and

housin& are typi!ally administered "y di''erent a&en!ies%

Cailure to harmoni#e ur"an plannin& 'un!tions !an result in un'ettered slum &rowth

in pre!arious enironmental areas that threaten the settlements themseles andresour!es o' the !ity Ae%&% !lean water reseroirs% Su!h 'ailures !an also rein'or!e

sprawlin& and uneen, so!ially se&re&ated ur"an deelopment% Un!oordinated

plannin& also s)uanders opportunities to re!apture the !ost o' pu"li! inestments

throu&h deelopment and property taes "y "rin&in& more and more in'ormal areas

under 'ormal authority and prote!tions% 38

C"..UNI% '$-$'


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C"..UNI% '$-$'

*t the leel o' slum !ommunities, proe!ts are aimed primarily at improin& liin& !onditions,

!reatin& employment, delierin& edu!ation, and enhan!in& asset a!!umulationI espe!ially

throu&h mi!roenterprise, housin&, and &rantin& le&al land title *lthou&h national, state, and

muni!ipal &oernments hae pro&rams that address these issues, international or&ani#ations andNF/s are the most a!tie at this s!ale, at times supplantin& 'un!tions that &oernments are

una"le or unwillin& to per'orm%

Cor instan!e, the Communit) "rgani*ations Development Institute in (hailand has "een

wor$in& to help slum dwellers liin& on !ommunally owned lands to a!!ess priate se!tor !redit

and loans as well as &oernment su"sidies 'or in situ housin& up&rades and lo!al in'rastru!ture

deelopment%

?ousin& proe!ts typi!ally 'o!us on se!urin& land tenure 'or residents, improin& the

physi!al )uality o' houses in slums, andHor deelopin& 'inan!in& arran&ements to

'a!ilitate home improements% ommunity or&ani#in& and in'rastru!ture e''orts mostlyaddress other de'i!ien!ies and needs in slums "y !reatin& and deelopin& systems to

maintain seri!es and in'rastru!ture outside the physi!al 'ootprint o' the indiidual

dwellin& in!ludin& roads, transportation, s!hools and health !lini!s, and play spa!es. "y

up&radin& pu"li! open spa!e, solid waste mana&ement, sewera&e, pota"le water

proision. and "y stimulatin& &oernment en&a&ement and transparen!y to se!ure these

seri!es% 39

!$CAPPIN& H$ D$FICI$NCI$S


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!$CAPPIN& H$ D$FICI$NCI$S

(here are three si&ni'i!ant 'ailures o' pu"li! plannin& that impede the pursuit

o' in!lusie, sustaina"le ur"an deelopment%

First, pu"li! plannin& o'ten 'ails to lin$ spatial plans to ia"le pu"li! and

priate inestments% (he results !an in!lude redundant inestments, or, when

plans are not implemented, disillusionment and 'rustration%

Second, pu"li! plannin& o'ten oerloo$s the needs o' the poor and the slums

in whi!h they lie, in part "e!ause plannin& e''orts o'ten 'ail to en&a&e the

poor% *s a result, the poor are disen'ran!hised, their lies and lielihoods

may "e unne!essarily disrupted, and an&er and a"e!t poerty may in!rease%

Finally, the 'ailure o' pu"li! plannin& to anti!ipate, !hannel, and leera&e

priate inestment !an result in un!oordinated inestments that wor$ at

!ross-purposes, resultin& in lost opportunities to shape e!onomi!, so!ial, and

spatial out!omes that !ould improe ur"an li'e and e!onomi!

!ompetitieness%40

,$S P!ACIC$S IN U!,AN P'ANNIN& AND


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,$S P!ACIC$S IN U!,AN P'ANNIN& AND

IN-$S.$N

urrent patterns o' hapha#ard and enironmentally unsustaina"le ur"an &rowth, so!ial and e!onomi!

'ra&mentation, and so!ial-spatial se&re&ation are in part the result o' plannin& 'ailures% What is neededto !orre!t these 'ailures is a new plannin& approa!h that is@

Spatial in all its aspe!ts, espe!ially in de!isions re&ardin& density and physi!al desi&n o' the "uilt

enironment, !oordination o' land use plannin& and pu"li! inestment in in'rastru!ture, and the

plannin& o' e!onomi! and so!ial pro&rams.

Rooted in a!tiona"le national ur"an deelopment and poerty alleiation strate&ies.

Re&ional in s!ope, &oernan!e, and !oordination.

*nti!ipatory o' re&ional e!onomi! &rowth, mi&ration patterns, and !limate !han&e.

*imed at stren&thenin& B/s and en&a&in& the poor in parti!ipatory plannin&.

*imed at "uildin& assets o' the poor and up&radin& slums as an alternatie to disruptie

redeelopment or as part o' more limited redeelopments. and

(ransparent and a!!ounta"le%41

SPAIA' IN-$S.$N P'ANNIN&


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SPAIA' IN-$S.$N P'ANNIN&

(hese plans must "e pra!ti!al and use pu"li! se!tor tools and resour!es to attra!t

and !hannel priate !apital% (hey must "e lin$ed to in!enties in the 'orm o'@ 9

&rantin& !on!essions and deelopment ri&hts Ato "uild or own and operate

in'rastru!ture and real estate, 2 pu"li! 'inan!in& Asu"sidies, "elow-mar$et "ond

'undin&, loan &uarantees, 5 in-$ind !ontri"utions Aland 'or deelopment, open

spa!e, and in'rastru!ture, and : site !ontrol Aland assem"ly, !learan!e, and sale o'

trans'er to inestors%

Spatial thin$in& and strate&y is so important that in a reini&orated approa!h to

plannin& it should in'orm the other elements o' the ision o' stron&er plannin&

espoused here@

J National ur"an strate&ies should !onsider inestment a!ross a system o' !ities andhow to inter!onne!t them "etter to epand e!onomi! a!tiity and e''i!ien!y%

J Re&ional plannin& and &oernan!e should "e aimed at !oordinatin& and mana&in& a

spatial pro!ess o' &rowth with an epli!it spatial iew and strate&y%

J

42

*nti!ipatory plannin& 'or ur"an resilien!e should !onsider the &eo&raphi!


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p y p & & & p

dimensions o' ur"an &rowth, natural disaster ulnera"ility, and e!onomi! and

so!ial !han&es%

B/s and the poor should !onsider how the ur"an re&ion has and will !ontinue

to eole around their !ommunities and how these !han&es will in'luen!e their

indiidual !ommunities and 'or!e tradeo''s amon& interests o' di''erent!ommunities%

nestments in slum up&radin&, "usinesses, housin&, and other assets should "e

spatially situated and planned, ta$in& into a!!ount massin& o' "uildin&s and the

ade)ua!y o' roads and ways Aeploitin& erti!al deelopment opportunities

when hori#ontal land area is already oer!rowded, and the su''i!ien!y o' open

spa!es, !ommunity 'a!ilities, and in'rastru!ture% 43

$9A.P'$S "F SUCC$SSFU' SPAIA' P'ANNIN&


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$9A.P'$S "F SUCC$SSFU' SPAIA' P'ANNIN&

*mon& the pla!es that hae most su!!ess'ully used a spatial plannin&

approa!h is Curitiba, Bra#il% /er a num"er o' de!ades, the !ity has

employed inte&rated land use plans that stipulate land usa&e and density in

order to stru!ture "usiness, !ommer!ial, and residential deelopment around

pu"li! transportation system plans in!ludin& bie lanes and ,us !apid

ransit lines% (his method o' !onsistent inte&rated ur"an plannin& with a

stron& spatial 'o!us has redu!ed tra''i! !on&estion, &uided ur"andeelopment, improed air )uality, in!reased !iti#en mo"ility, and !onne!ted

ur"anites to housin&, employment, and so!ial seri!es a!ross the !ity%

;pli!itly spatial plans that re!on!ile and anti!ipate the lo!al impa!ts o'

redeelopment, and that are !reated with the en&a&ement o' the poor, !analso ameliorate the pro"lems !reated "y redeelopment e''orts% "rangi and

C'IFF proide eamples o' this approa!h% (here are also seeral &ood

eamples o' !reatie solutions to lie and- wor$ spa!es that use erti!al

!onstru!tion to in!rease densities and li"erate spa!e 'or redeelopment

while satis'a!torily a!!ommodatin& displa!ed residents% 44

H$ CAS$ "F PA!I-A!AN IN AH.$DA,AD/


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H$ CAS$ "F PA!I-A!AN IN AH.$DA,AD/

INDIA Perhaps the !losest any e''ort has !ome to a more spatial, !oordinated, and resident-

en&a&ed plannin& pro!ess is a series o' lar&e-s!ale slum improements in *hmeda"ad,

ndia named Pariartan%

/ri&inally titled the Slum Net1oring Pro;ect ASNP, these proe!ts were !on!eied

and piloted "e&innin& in 9


46/65

implementation phase% /ne NF/ was primarily tas$ed with !ommunity "uildin&

and 'ormin& partnerships with lo!al or&ani#ations in order to &ather in'ormation,

administer sureys, and mo"ili#e !ommunity mem"ers%

*n innoatie !ost-sharin& arran&ement was deised to 'inan!e the Pariartan

proe!ts% /ne-third o' the 'undin& was proided "y the *M, one-third "y the

!ommunity, and the rest "y !orporate sponsorship, !harita"le trusts, so!ial wel'are

&roups, multilateral or "ilateral donors, and other parties%

Proe!ts emphasi#ed the need 'or se!ure and a''orda"le housin& with 'inan!in&

proided throu&h or&ani#ations su!h as S;W* Ban$ and its o''shoot, Mahila

?ousin& S;W* (rust%

(he SNP3s remar$a"le !om"ination o' !ommunity deelopmentand physi!al up&radin& may also "e unraelin&% Resear!hers hae o"sered that

the physi!al up&radin& a&enda has a!!elerated, "ut the asso!iated !ommunity

improements in edu!ation, health seri!es, and employment hae not "een

reali#ed in the same time'rame% (his is a pro"lem "e!ause the residents3 a"ility to

attra!t mi!ro'inan!e and !apa!ity to up&rade their homes and a!!umulate assets

will hin&e on the itality o' the oerall !ommunity%46

'earning from Singapore/ 'ondon/ Ne1 %or/ and


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'earning from Singapore/ 'ondon/ Ne1 %or/ and

Stoc(olm * &lo"al s!an 'or eemplary ur"an plannin& !ondu!ted "y the M!Einsey

Flo"al nstitute in 2090 identi'ied three metropolitan areas@ Sin&apore,1ondon, and New 4or$% (o this, we would add Sto!$holm as a 'ourth

"e!ause o' its e''e!tie re&ional plannin& institutions%

Singapore relies on a multi-s!alar and !oordinated plannin& system to

&uide land uses and ur"an deelopment% (he Urban !edevelopmentAut(orit)


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'ondon Aut(orit)


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!oordination a!ross national, re&ional,and muni!ipal s!ales% Mu!h o' this

!oordination is !arried out "y Sto!$holm3s two uni)ue re&ional plannin&

a&en!ies@ the ele!ted ounty oun!il, whi!h !olle!ts !ounty taes and

prepares re&ional strate&ies Awhi!h are adisory and not "indin& and the

Proin!ial *dministratie Board, whi!h is appointed "y the national

&oernment, administers national 'unds, and !ondu!ts re&ional e!onomi!

plannin& studies%

Sto!$holm choose to coordinate at the re&ional s!ale "e!ause it &ies themauni'ied oi!e and e!onomi! "ar&ainin& power they !an use to a!)uire

si&ni'i!ant national 'unds, attra!t 'orei&n and domesti! inestment, and

!ompete a&ainst other re&ions in the ;U and the world%Both the national

&oernment and the mar$et reward muni!ipalities 'or !oordination%

*lthou&h 1ondon, New 4or$, Sin&apore, and Sto!$holm point out lessons and

strate&ies 'or e''e!tie ur"an plannin&, their eperien!e !annot "e &ra'ted

dire!tly onto other !ities that 'a!e si&ni'i!antly di''erent histori!al and

institutional le&a!ies and hae astly di''erent resour!es to dire!t towards

addressin& ur"an poerty and "arriers to deelopment% 49

",SAC'$S " PUIN& ,$S P!ACIC$S "


50/65

",SAC'$S " PUIN& ,$S P!ACIC$S "

+ID$SP!$AD US$ (here are 'our o"sta!les that must "e oer!ome to put improed plannin& into pla!e in order to a!hiee

sustaina"le, in!lusie deelopment% ?istory su&&ests none o' them are easy to surmount% (hou&h

!ommon, some o' these o"sta!les do not eist to the same etent, or at all, in all pla!es%

Cirst, there is the politi!al !ompleity o' addressin& in'ormal settlements and in'ormal a!tiities%

Se!ond, there is a s!ar!ity o' reenue to inest in in!lusie deelopment and in!enties to innoate new

'inan!ial produ!ts to sere poor "orrowers and !ommunities%

(hird, there is insu''i!ient inestment in stren&thenin& !ommunity-"ased or&ani#ations and !ommunity-

"ased entrepreneurs%

Courth, there is a dearth o' re&ional and ur"an plannin& !apa!ity and tools 'or re&ional, spatial, and

anti!ipatory plannin& and inestment, espe!ially with re&ard to plannin& 'or slums and their pla!e in an

eolin& ur"an lands!ape%

Understandin& these o"sta!les is a prere)uisite to oer!omin& them%

(he aim o' the dis!ussion that 'ollows is to eplain how these !hallen&es throu&h in!lusie and

sustaina"le ur"an plannin&%

P"'IICA' C".P'$9I%


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Politi!ians !on'ront di''i!ult !hoi!es when addressin& slums% While slums shelter

lar&e shares o' the ur"an population, they are o'ten in deplora"le !ondition and

ery o'ten in iolation o' many laws and re&ulations% *lthou&h leain& slums

alone results in the perpetuation o' !on&ested, o'ten unsa'e, and unsanitary pla!es,

it also allows the mar$et to !ontinue to proide at least minimal shelter, in!ome,

and assets 'or the poor that the &oernment !ould not otherwise ensure%

n!reasin& re&ulation !an sti'le inestment in in'ormal a!tiities that ta$e pla!e in

slums "e!ause the pro'it mar&ins are too thin to adhere to enironmental

re&ulations, la"or laws, and "uildin& !odes, or !oer property taes%

SCA!CI% "F !$-$NU$S AND FINANCIA' INC$NI-$S F"!

INN"-AI"N

(he se!ond maor o"sta!le to in!lusie and sustaina"le ur"an deelopment is the

simple 'a!t that there are not enou&h &oernment reenues and priate !apital to

address the enormity o' ur"an poerty% Serin& the poor o'ten re)uires the

&oernment to ma$e up the &ap "etween the !ost o' pu"li! or priate proision o'

in'rastru!ture and what the poor !an a''ord to pay 'or it% 51

(o stimulate priate inestment, it also o'ten demands that the &oernment or


52/65

philanthropi! or&ani#ations su"sidi#e the !ost o' insurin& a&ainst 'inan!ial ris$s or

ta$e the lead in insurin& a&ainst 'inan!ial ris$s% o spar private investment and

improve planning for inclusive and sustainable urban development/

government s(ould provide:

Spatial plans that will &uide the "roader !ity3s inestments in order to &ie a !lear!ontinuous messa&e o' the dire!tion o' deelopment.

Pu"li!ly-a!!essi"le and &eo-!oded in'ormation on slums, in!ludin& e!onomi!

a!tiities, households, housin&, in'rastru!ture, and the 'lows o' &oods and la"or to

and 'rom slums.

1and use re&ulations that proide &reater !ertainty around the deelopment ri&hts

and responsi"ilities o' owners so they !an "e !on'ident that inestments in

improin& their properties will "e le&ally san!tioned.

Pu"li! su"sidies to support employment-&eneratin& and asset"uildin& a!tiities 'or

the poor.

;ssential in'rastru!ture, in!ludin& transportation, ener&y, sewera&e, pota"le water,

s!hools, pu"li! mar$ets, re!reational spa!es, waste disposal, and medi!al 'a!ilities.

Pu"li! sa'ety. and

J redit insuran!e to 'a!ilitate priate lendin& 'or housin&, !ommunity in'rastru!ture,

and enterprise deelopment, as well as tests o' ris$s and returns in slums%52

C!$DI &UA!AN$$S


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1endin& 'or !ommunity in'rastru!ture and housin& re)uires a s!ale lar&er, and a term

o' lendin& lon&er, than mi!ro'inan!e% (hus, ris$ in lendin& 'orthese purposes must

still "e tested and eplored, with di''erent approa!hes studied 'or their loss rates%

*lthou&h in'rastru!ture &uarantees are !ommon 'or lar&er proe!ts, they are mu!h less

!ommon 'or smaller-s!ale in'rastru!ture that seres slums%

(he smaller si#e o' the inestments ma$es it more di''i!ult to attra!t !apital and !oer

'ied due dili&en!e !osts% n addition, un!ertainty surrounds the demand 'or the

in'rastru!ture and the a"ility o' proiders to re!oer !osts throu&h 'ees, stemmin& 'romthe 'a!t that many slum dwellers 'ind ways to tap into eistin& in'rastru!ture without

"earin& any !osts A'or eample, slum dwellers may tap into ele!tri!ity lines or !arry

pota"le water into slums that others are !har&ed 'or to use%Curthermore, there is

!on!ern that !olle!tions o' past due a!!ounts !ould proe di''i!ult in slums%

/ne eample is the etension o' water to slums in Manila% n the mid-9


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"F &"-$!N.$N !$-$NU$

Muni!ipal &oernments o'ten already rely on land and real estate as reenue sour!es

throu&h the sale or lease o' pu"li! lands, the ley o' property taes, and imposition o'

deelopment 'ees%But these reenues are insu''i!ient to 'und the many !riti!al 'un!tions

o' !ity &oernment%

*s an eample, property taes in 1atin *meri!a a!!ount 'or less than 0%6 per!ent o'

FDP% n !ontrast, property taes in anada and the US are e)uialent to 5 to : per!ent

o' a mu!h lar&er FDP%n part, reenue !olle!tions usually 'all short o' their potential

"e!ause many resist payin& lo!al taes when they see 'ew "ene'its in return% (his !an

!reate a i!ious !ir!le o' no !on'iden!e@ when seri!es do not improe, people are less

apt to pay taes, in turn proidin& 'ewer reenues to improe seri!es%

*s a result, opportunities to tap the alue o' real estate to 'und re&ulari#ation and other

slum improements are o'ten missed%Cor instan!e, 'rom 9


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55

(he 'ourth o"sta!le to in!lusie and sustaina"le deelopment is the dearth o' !apa!ity

and tools 'or spatial, re&ional, anti!ipatory, parti!ipatory, and !oordinated plannin& 'or

ur"an re&ions, muni!ipalities, and the !omple tapestry o' !ommunities that ma$e up

the ur"an "uilt enironment%

(he institutional, human, te!hni!al, and 'inan!ial resour!es to oer!ome these

!apa!ity &aps are woe'ully la!$in&% What ma$es plannin& 'or eistin& slums

espe!ially "edeilin& is that any interention is "ound to lead to some de&ree o'

displa!ement and disruption o' a!tiities and shelter ital to the poor% (he ris$s o'

displa!ement and disruption stem 'rom at least 'our !onditions, whi!h hae "een

hi&hli&hted throu&hout this report%

Cirst, most in'ormal settlements were unplanned or poorly planned 'rom the start%

(his means that plannin& 'or them ineita"ly inoles 'i&urin& out how to ma$e

ur&ently needed improements in in'rastru!ture while simultaneously minimi#in&

disruption to densely settled areas%

Se!ond, "e!ause !ities hae &rown up around slums that sprun& up in areas !lose to

!ity !enters, many slums hae !ome under redevelopment pressures%

(hird, in other !ases, many slums sprun& up on 'ra&ile land that others


56/65

would not "uild on and may "e so susceptible to natural disasters that

authorities de!ide to relo!ate them% Courth, mu!h o' the land ownership,

"uildin&, and e!onomi! a!tiities in many slums are informal+in the sense

that they are out o' !on'orman!e with the law% (his means slum dwellers areat risk of Being removed without compensation"e!ause a!tiities and

ownership !laims !an "ele&ally !hallen&ed%

t is not surprisin&, then, that there are still only a limited num"er o' "est

pra!ti!es to draw on 'or addressin& !on!entrated ur"an poerty, they haenot "een mu!h studied, and they are not widely disseminated% (here is a

stron& need, there'ore, to learn more'rom e''orts to !reate stron&er plannin&

tools su!h as those hi&hli&hted in this report%

(here is also a stron& need to proide in!enties 'or !ountries, ur"an

re&ions, muni!ipalities, and !ommunities o' the poor to eperiment% with

"est pra!ti!es or !reate new methods 'or driin& more in!lusie

andsustaina"le ur"an deelopment%

56

H"+ " ."-$ F"!+A!D


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Support the 'ormation o' national ur"an deelopment !ommissions

reate Re&ional Plannin& Cunds 'or Parti!ipatory Multi-Sta$eholder nitiaties%

!ra"ing on planning advances and e#amples of best practices, this report recommendsseveral strategies to improve urban planning and investment in order to spur inclusive

and sustainable urban development@ -

nte&rate spatial plannin& with inestments in in'rastru!ture%

Support the 'ormation o' national ur"an deelopment !ommissionsIspurred "y

inter&oernmental, international "odiesIthat are !har&ed with deelopin& plans 'or

in!lusie and sustaina"le ur"an deelopment %

reate re&ional plannin& 'unds to support parti!ipatory, multi-sta$eholder spatialplannin& initiaties at the re&ional leel %

Deelop &oernment !apa!ity to dire!t lar&e-s!ale, pu"li!-priate in'rastru!ture

partnerships%

denti'y and inest in "est pra!ti!es and pro!esses 'or inestment-lin$ed ur"an plannin&%57

Build &oernment !apa!ity to maimi#e pu"li! "ene'its 'rom pu"li! land sales,


58/65

&rantin& real estate deelopment ri&hts to priate landowners, and pu"li!

priate partnerships

Deelop a dia&nosti! tool to assess and improe ur"an plannin& and &oernan!e

'or in!lusie and sustaina"le ur"an deelopment%

nest in !ommunity-"ased or&ani#ations and their intermediary support

or&ani#ations%

nest in trainin& and nurturin& lo!al entrepreneurs who are dedi!ated to

meetin& the mar$et demands o' the poor and who will employ them in lo!al

"usinesses

Set up innoation and so!ial enture !apital 'unds to test the ris$s and returns

o' =me##o-leel> Aas opposed to mi!ro!redit lendin& to or&ani#ations 'o!used

on housin&, !ommunity in'rastru!ture, and small "usiness epansion in slums%

58


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59


60/65

60

,UI'D !$&I"NA' AND U!,AN P'ANNIN& CAPACI% AND ""'S


61/65

(here is an ur&ent need to "uild re&ional and ur"an plannin& !apa!ity and tremendous

potential "ene'it to doin& so%

SUPP"! H$ F"!.AI"N "F NAI"NA' U!,AN D$-$'"P.$NC"..ISSI"NS

(here is enormous "ene'it to se!urin& a "road-"ased national !ommitment to in!lusie and

sustaina"le ur"anism and in 'ormulatin& a !oordinated strate&y to a!hiee it% (his is the

intuition, 'or eample, "ehind ndia3s NNRUM and the M!Einsey Flo"al nstitute3s

re!ommendations on what su!h a !ommitment and strate&y should loo$ li$e 'or ndia%

National &oernments !an !ataly#e in!lusie and sustaina"le ur"an deelopment and are in

the "est position to 'und it%

(here are a num"er o' inter&oernmental "odies that !ould promote the deelopment o'

national !ommissions% (hese in!lude the Foernin& oun!il o' UN-?a"itat !omprisin&68-mem"er states, the re&ional Ministerial on'eren!e 'or ?ousin& and Ur"an

Deelopment A*'ri!a, *sia and 1atin *meri!a and the ari""ean, and the ?a"itat %

on'eren!e in 2097 esta"lished "y the Feneral *ssem"ly to eleate sustaina"le

ur"ani#ation% Mem"er states !ould a&ree to promote the deelopment o' National SUD

ommissions and use ?a"itat "oth to report on pro&ress and hi&hli&ht innoations%61

(hese !ommissions would hae multiple &oals@ (o draw international attention to the

issue.


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issue.

J (o !har&e parti!ipatin& !ountries with deelopin& nationwide and !itywide plans to

adan!e the &oals o' SUD. and

J (o promote transparen!y and $nowled&e sharin& amon& !ountries%

While parti!ipatin& nations would ultimately hae to

de!ide on a !ommon !har&e, at a minimum the aim o' the !ommissions should "e

to 9 study and prepare plans to improe &oernan!e stru!tures and institutional

!apa!ity 'or SUD plannin& at all leels o' &oernment, 2 esta"lish national

ur"an deelopment &oals and poli!ies a!ross the !ity system, and 5 prepare plans

to 'und and mana&e improements to housin& and in'rastru!ture%

C!$A$ !$&I"NA' P'ANNIN& FUNDS F"! PA!ICIPA"!% .U'I6

SA#$H"'D$! INIIAI-$S

Short o' national initiaties, 'unders !ould, and already are, 'undin& multi

sta$eholder initiaties aimed at re&ional, parti!ipatory, and spatial plannin&% While

there are eamples o' sele!t ur"an re&ions that hae !reated a lon&-term ision and

spatial plan 'or SUD, it would help to 'und and laun!h su!h initiaties in more

ur"an re&ions%

62

Invest in Communit)6,ased "rgani*ations and (eir Intermediar)

"rgani*ations


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"rgani*ations

/ne o' the most !ompellin& lessons 'rom the history o' e''orts to improe slums

and alleiate poerty is the !riti!al importan!e o' parti!ipatory plannin& and stron&

B/s% t is worth unders!orin& that !ommunity-"ased NF/s are a spe!ial type o'

NF/ "e!ause they are rooted in spe!i'i! !ommunities, hae lon&-term !ommitmentto !arry throu&h, draw on residents to sta'' operations and populate &oernin&

"oards, and &ather in'ormation on the needs and aspirations o' their !ommunities%

Invest in raining and Developing a Pipeline of 'ocal $ntrepreneurs

n addition to "uildin& the !apa!ity o' &oernment a&en!ies and so!ialH!ii!

or&ani#ations, it is important to "uild human !apital throu&h 'osterin& priate

se!tor entrepreneurship%

Small "usinesses are o'ten the sour!e o' &reat innoation and are o'ten more in

tou!h with how "est to meet mar$et needs% n the !ase o' &rapplin& with ur"an

poerty this is espe!ially true% nestin& in e''orts to identi'y, train, and support

entrepreneurs with deep lo!al $nowled&e o' the needs o' the poor and how

resour!es !an "e assem"led to meet those demands !an pay lastin& diidends% *n

e!ellent eample o' an attempt to do so is the re!ently 'ounded Indian Institute

for Sustainable $nterprise 63

C"NC'USI"N


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(he pro"lems o' ur"an poerty in deelopin& !ountries are dauntin&% Unless strate&ies

are deeloped to tap the human potential o' those at the "ottom o' the pyramid and to

address the dismal !onditions o' slums, national e!onomi! and so!ial deelopment and

the )uality o' ur"an li'e will !ontinue to su''er% n!lusie and sustaina"le ur"an

deelopment is, simply put, a !riti!al element o' so!ial and e!onomi! deelopment as

well as a !entral humanitarian &oal%

reatin& wor$a"le strate&ies to address ur"an poerty and slum !onditions

will ta$e stron&er spatial plannin& and stron&er &oernan!e !apa!ity at all leels o'

&oernment "ut espe!ially the re&ional and lo!al leels%

Doin& this strate&i!ally means loo$in& 'or nations, spe!i'i! ur"an re&ions, and

!ommunity or&ani#ations willin& to step up to the plate to try to "uild this !apa!ity% t

also means helpin& "uild the !apa!ity o' &oernments en&a&ed in 'inan!in& lar&e

in'rastru!ture proe!ts to ne&otiate with priate parties "rou&ht in as partners to plan,

'inan!e, !onstru!t, and sometimes also operate this in'rastru!ture% Not ust &oernment !apa!ity needs "uildin&@ the !apa!ity o'

B/s and entrepreneurs that sere or hire in slums must "e "olstered as well% (his !an

"e a!!omplished throu&h dire!t inestment in them "ut also in intermediary

or&ani#ations that support them throu&h dire!tin& !apital to them, proidin& them with

te!hni!al assistan!e, and identi'yin&, "uildin& on, and disseminatin& "est pra!ti!es and

innoations in their networ$s% 64


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Documents

Advancing Inclusive and Sustainable Urban Development.pptx