UN HABITAT Workshop Iraq Slum Upgrading Strategy Paper · 2020. 3. 1. · Structure of Presentation 4 decades of Slum Upgrading Specific Country-based Experiences Lessons Learned:

4/26/2005 Claudio Acioly - IHS, The Netherlands 1

Slum Slum Upgrading: Upgrading:

an international perspectivean international perspective

UNUN--HABITAT WorkshopHABITAT Workshop

Iraq Slum Upgrading Strategy Paper Iraq Slum Upgrading Strategy Paper

Amman, 26 Amman, 26 –– 27 April 200527 April 2005

Ir. Claudio Acioly [email protected]

Institute for Housing and Urban Development Studies – IHS, The Netherlandswww.ihs.nl


Structure of PresentationStructure of Presentation

4 decades of 4 decades of Slum Slum UpgradingUpgrading

Specific Specific CountryCountry--based based ExperiencesExperiences Lessons Lessons

Learned: Learned: relevance to relevance to IraqIraq

Needs Needs AssessmentAssessment

Capacity Capacity building building strategystrategy

2211

33

55

44


1.

Informality in HousingProduction and Land

Development


Informal Informal UrbanisationUrbanisation is a world is a world wide phenomenon. wide phenomenon.

WHY?WHY?•• Housing Policy Shortcomings?Housing Policy Shortcomings?

•• Access to land and housing is overAccess to land and housing is over--regulated?regulated?

•• Income is low related to land and housing prices?Income is low related to land and housing prices?

•• No financial services ?No financial services ?

•• Demand exceeds supply?Demand exceeds supply?

•• Combination of variety of causes… including conflicts and wars!Combination of variety of causes… including conflicts and wars!


Recife, Brazil


Cairo, Egypt


Belgrade, Serbia


2.But what kind of informality

are we talking about?

FavelasFavelas or loteamentosor loteamentos clandestinos (Brasil); JJ clandestinos (Brasil); JJ settlementssettlementsor unauthorised coloniesor unauthorised colonies (India); tugurios (India); tugurios oror barreadas (barreadas (PeruPeru), ), katchi abadis katchi abadis ((PakistanPakistan), ), kampungs kampungs (Indonesia), (Indonesia), gecekondusgecekondus

((TurkiaTurkia), piratas (Colombia), villas miserias (Argentina), ), piratas (Colombia), villas miserias (Argentina), bidonvillesbidonvilles ((AfricaAfrica francofonafrancofona), informal ), informal settlementssettlements, , slumsslums, ,

squatterssquatters, vecindades, , vecindades, mocambosmocambos, conventillos..., conventillos...Jhuggi-Jhomprio


Cairo, Egypt


Giza, Egypt


3.

Current Global Efforts to Tackle the Problem


Defining SLUMS in the World:

1. Insufficient / inadequate access to water

2. Inadequate excreta disposal system – sanitation

3. Insufficient living / residential area – overcrowding

4. Weak durability of dwelling / structural quality of housing stock

5. Insecurity of tenure and lack of documented rights on land

IS THIS HELPFUL FOR IRAQ?IS THIS HELPFUL FOR IRAQ?Source: Based on UN Habitat, 2003.




Millennium Development Agenda

GOAL 7: ENSURE ENVIRONMENTAL SUSTAINABILITY

Target 11:

By 2020, to have achieved a significant improvement in the lives of at least 100 million slum dwellers,which builds upon the Cities Alliance’s Cities Without Slums Initiative.


Millennium Development Agenda

Target 11Target 11 REVISITED (2005)REVISITED (2005): :

By 2020, By 2020, improving substantially the lives of improving substantially the lives of at least 100 million slum dwellers, while at least 100 million slum dwellers, while

providing alternatives to new slums providing alternatives to new slums formation.formation.

WHAT DOES IT MEAN IN PRACTICE?

IS IT RELEVANT FOR IRAQ?


Remedial Policies1. Planning for development2. Strategies to improve existing situation3. Approaches to improve quality of life

Preventive Policies1. Planning BEFORE development2. Enabling housing strategies3. Approaches to access housing inputs 4. Linking housing and income


Requirements to Meet Goals• Political will and Continuous Government Commitment

• Financial Resources

• Civil Society Mobilisation and Participation

• Policy Reforms

• Institution Building

• Capacity Building and Human Resources Development

• Attitude Change

• Knowledge and Action Research

• Creativity and Innovation

•• Political will and Continuous Government CommitmentPolitical will and Continuous Government Commitment

•• Financial ResourcesFinancial Resources

•• Civil Society Civil Society Mobilisation Mobilisation and Participationand Participation

•• Policy ReformsPolicy Reforms

•• Institution BuildingInstitution Building

•• Capacity Building and Human Resources DevelopmentCapacity Building and Human Resources Development

•• Attitude ChangeAttitude Change

•• Knowledge and Action ResearchKnowledge and Action Research

•• Creativity and InnovationCreativity and Innovation





4.

Lessons Learned fromPrevious Policies:

international perspective


Shifts in Policy Doctrines Shifts in Policy Doctrines

Integration+Social Inclusion+Upgrading

The 90’sThe 90’s

Recognition+Improvements+Upgrading


Demolition+Eviction


From From ProjectsProjects

to to ProgrammesProgrammes

Different Policies and Approaches.

Citywide Citywide ProgrammesProgrammes


5.Citywide Programme requires institutional development and management capacities.


Citywide Citywide Programmes Programmes demand demand critical measures:critical measures:

1.1. Establish institutional and Establish institutional and organisationalorganisational frameworkframework

2.2. Define legal frameworkDefine legal framework

3.3. Management and Implementation CapacitiesManagement and Implementation Capacities

4.4. Define flow of funds and sources of fundingDefine flow of funds and sources of funding

5.5. Determine who is involved and howDetermine who is involved and how

6.6. Establish contractual proceduresEstablish contractual procedures

7.7. Clarify how residents/beneficiaries can participateClarify how residents/beneficiaries can participate

8.8. Organise Organise communication strategycommunication strategy


Bulk of Experiences with Slum Upgrading Bulk of Experiences with Slum Upgrading Projects and Citywide Projects and Citywide ProgrammesProgrammes

1. Lusaka Upgrading and Sites & Services Programme2. KIP-Kampung Improvement Programme3. PRIMED-Integrated Programme for the Improvement of Deteriorated

Neighbourhoods in Medellin4. Favela Bairro Programme in Rio de Janeiro5. Social Inclusion Programme of Santo Andre6. Slum Improvement Programme of Ahmedabad7. Slum Networking in Mumbai8. APUSP-Andhra Pradesh Urban Services for the Poor Project9. PMBB-Neighbourhood Improvement Programme of Bissau10. Colombo Slum Upgrading Programme


Legal,

Legal,

Insti

tutional

Insti

tutional

& & Org

anisa

tion

Organ

isatio

n framew

orks

framew

orks!!

CENTRAL GOVERNMENT

DONOR FUNDING AGENCY

NGO’s

UTILITY COMPANIES

LOCAL GOVERNMENT

PROVINCIAL GOVERNMENT

RESIDENTS CBO’s

CONTRACTORS

Lessons learned from Latin American Countries:


Source: Imparato & Ruster, 2003.










6.A policy and integrated city wide slum upgrading in Rio de Janeiro: a programme approach!


Municipal Housing Policy

Regularisation & Integration

Legalisation of urban land tenure

Resettlement Housing Credit

Housing Estates Improvement

Social Policy Urban Policy

Comprehensive & Integrated Approach

Comprehensive & Integrated Approach

Informal Settlements-FAVELAS

Unauthorised land subdivision Risk Areas

Public Housing Estates

Other target groups


THE INFORMAL SETTLEMENT UPGRADING CYCLETHE INFORMAL SETTLEMENT UPGRADING CYCLESocial, Economic, Aerial Surveys: Cadastre

Selection Criteria Resettlement x Upgrading

Financial Resource Mobilisation

Project & Methodology Public Competition

Setting Up Executive Armof Municipal Government:Organization

Contracting Project Design

Project Planning Preparation

Public tendering for Project

Implementation 12

3

456

7

8

Programme Management

Structure


PolicyPolicy

ResultsResults

ProgrammesProgrammes

ProjectsProjects

Plans of ActionPlans of Action

Strategies

Means

Instruments

Tactics

Decision Making

Institutional Frameworks

Legislative Frameworks

Actors

Motivations and Interests

Management and Participacion


WHAT IS THE DIMENSION OF THE WHAT IS THE DIMENSION OF THE PROBLEM in Rio de Janeiro in 1993?PROBLEM in Rio de Janeiro in 1993?

• 412 Favelas (1991 national census)• 570 Favelas (Municipality’s cadaster afterwards)• 33% of the housing units in the Favelas (1991

cadaster)• More than 2 Million inhabitants living in poor

conditions• 926 illegal land subdivisions (clandestine settlements

or irregular settlements, mostly in the periphery)• Large population excluded from formal occupation,

majority earning 1 to 3 minimum salaries or U$ 75,00 a U$ 225,00.

• 412 Favelas (1991 national census)• 570 Favelas (Municipality’s cadaster afterwards)• 33% of the housing units in the Favelas (1991

cadaster)• More than 2 Million inhabitants living in poor

conditions• 926 illegal land subdivisions (clandestine settlements

or irregular settlements, mostly in the periphery)• Large population excluded from formal occupation,

majority earning 1 to 3 minimum salaries or U$ 75,00 a U$ 225,00.


Rio de Janeiro, Brazil



Location of Informal Settlements – Favelas in Rio de Janeiro


Rio de Janeiro’s Upgrading Program - Favela Bairro

MAYORMAYOR

Housing

Project Management

implementation

Municipal Secretariats

horizontal coordination

Planning P.Works EducationHealth

Source: Acioly, 1999; 2001; 2004.






Rio de Janeiro’s Upgrading Program Rio de Janeiro’s Upgrading Program -- Favela BairroFavela Bairro

MunicipalityMunicipality Develops PolicyAllocate Budgets

SMH

Project Management

Community

Planning Architecture Offices

Building Contractors

INITIATOR

Source: Acioly, 1999; 2001; 2004.



MunicipalityMunicipality Develops PolicyAllocate Budgets

SMH

Project Management

Community


Public Tendering Development of Methodologies

Selects Target & Priority Favelas

Hires best ideas

Contracts qualified firms: price & competence

Work out a plan & project & involve the community

Executes the project

INITIATOR

Criminal organizations, Nacrotraffic, Drugs, Weapons, Intimidation

Liaison & mobilization

Response

Source: Acioly, 1999; 2001; 2004.




MAYORMAYOR

Secretary of Housing

Project Manager

Program Manager

Community



Source: Acioly, 1999; 2001; 2004.

Fernão Cardim

4/26/2005 Claudio Acioly - IHS, The Netherlands 49antes, durante e depois

Fernão Cardim

4/26/2005 Claudio Acioly - IHS, The Netherlands 50antes, durante e depois

Parque Royal

4/26/2005 Claudio Acioly - IHS, The Netherlands 51antes e depois

Parque Royal

4/26/2005 Claudio Acioly - IHS, The Netherlands 52antes e depois


7.Capacity Building Strategy: building Iraq’s ability to undertake a programme approach.


Complexity of Urban OperationsComplexity of Urban OperationsScope & Magnitude of Scope & Magnitude of ProgrameProgrameImplementation of simultaneous projects Implementation of simultaneous projects demands:demands:•• WellWell--trained human resources and technical trained human resources and technical

cadrecadre

•• Skills and knowledgeSkills and knowledge

•• Implementation capacitiesImplementation capacities

•• Institutional arrangementsInstitutional arrangements

IRAQ: what are the needs?

What do we have in place?


Specificities of Iraq:• Country emerging from a highly centralized regime

• Process of nation building and reconstruction of institutions

• Building confidence and trust in state-citizenry relationship

• Technical cadre is educated and forms good basis

• Sublevels of government gaining more mandate

• Sanctions provoked isolation adversely affecting ability to incorporate lessons learned from international experience

• Changing roles of Government: from provider to facilitator will push the design of enabling housing policies

New skills and approaches are needed!


2 APROACHES:

CAPACITY BUILDING INSTITUTION

ON-THE-JOB TRAINING & TECHNICAL ASSISTANCE

combination

Establishing local training capacities and institutionaliseprocesses of tailor made training in support to policy implementation, innovation and new skills development e.g. UTI-Egypt, HSMI-India, ILGS-Ghana

Providing tailor-made training hooked on programmedevelopment and implementation via on-site and on-the-job training & technical assistance e.g. Rio de Janeiro (Brazil), Andhra Pradesh(India), Santa Cruz de la Sierra (Bolivia).


Collaboration HUDCO-IHS (1985-2002)Human Settlement Management Institute - HSMI

IHSIHSHUDCOFinancial Resources

HUDCOFinancial Resources

HSMIHSMIHSMI

Local Governments

NGO’s Local Governments

NGO’s

Project preparation

Acquire Finance

Impact Evaluation

Project AppraisalCapacity strengthenng & Institution Building


Training and Capacity Building in EgyptTraining and Capacity Building in EgyptGovernment of EgyptGovernment of Egypt

Government of The NetherlandsGovernment of The Netherlands

Development Cooperation

PartnershipPartnershipTechnical Cooperation HBRCHBRC IHSIHS

Ministry of HousingMinistry of Housing

Cities in Cities in EGYPTEGYPT

Capacity Strengthening via TRHUD ProjectCapacity Strengthening via TRHUD Project

UTI Urban Training

and Studies Institute

Local Governments PractitionersNGO’s Private & Public Organizations


Institutional Setting Institutional Setting RioRio--Cidade Cidade and and Favela Bairro ProgrammesFavela Bairro Programmes

implementation

MAYORMAYOR

Housing

Project Management

implementation

Municipal Secretariats

horizontal coordination

Planning P.Works HousingHealthIplanRio

Project Management

Rio Rio CidadeCidade Urban Urban Revitalisation ProjectsRevitalisation Projects

FavelaFavela BairroBairro Informal SettlementInformal SettlementUpgrading ProgrammeUpgrading Programme

Training


Approaches to Capacity Building in Iraq

Stakeholders Analsysis

Areas, Themes, Types of Skills Types of Training

Institutional Mapping

Actors, Responsibilities, Potentials, Bottlenecks

TNA –Training Needs Assessment


Problem Analysis Revealed by Slum Survey in Problem Analysis Revealed by Slum Survey in IraqIraq

1. Poor housing conditions

2. Inadequate Infrastructure

3. Overcrowding

4. Poor accessibility and roads

5. Solid waste management

6. High Unemployment

Pragmatically: What is the ability of existing organizations and technical cadre to address these problems?


Relevant themes in support to Iraq’s slum upgrading strategy

• Project and Programme design in Slum Upgrading Programmes

• Financing Slum Upgrading Programmes

• Housing Renewal and Urban Rehabilitation

• Project management

• Community-based Action Planning

• Partnership and Settlement Regularisation

• Upgrading and Local Economic Development


Target Groups: Each group require different modalities of training

• Senior government officials

• Ministerial staff: policy makers, public administrators and technical cadre

• Local government staff: practitioners, engineers, architects, planners

• Councilors and politicians

• Existing NGO’s

• Existing CBO’s

• Local leadership

• Stimulating the development of community-based organisations


Discussions on the way forward.

Documents

UN HABITAT Workshop Iraq Slum Upgrading Strategy Paper · 2020. 3. 1. · Structure of Presentation 4 decades of Slum Upgrading Specific Country-based Experiences Lessons Learned: