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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%
* $ey to addressin& these pro"lems, and to adan!in& sustaina"le ur"an
deelopment that "ene'its all in so!iety, is improed plannin& +
spe!i'i!ally,spatial inestment plannin&% 2
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By this we mean plannin& 'or land uses, in'rastru!ture, and real
estate inestments to improe the eistin& 'un!tionin& o' ur"an
re&ions as well as to spur and dire!t 'uture ur"an &rowth%
mproin& the 'un!tionin& o' ur"an re&ions ipso facto demands
that spatial inestment plannin& improe the liin& !onditions
o' the ur"an poor to redu!e ne&atie eternalities su!h as health,
sa'ety, and enironmental pro"lems%
(o "e su!!ess'ul, spatial inestment plannin& must "e in!lusie
and transparent. aimed at lon&-term so!ial, enironmental, and
e!onomi! sustaina"ility. and ideally !arried out at a re&ional
leel "ut in !oordination with lo!al plannin& and rooted in a
national !ommitment to poerty alleiation%
3
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#$% 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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33
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.$DA,AD/
INDIA Perhaps the !losest any e''ort has !ome to a more spatial, !oordinated, and resident-
en&a&ed plannin& pro!ess is a series o' lar&e-s!ale slum improements in *hmeda"ad,
ndia named Pariartan%
/ri&inally titled the Slum Net1oring Pro;ect ASNP, these proe!ts were !on!eied
and piloted "e&innin& in 9
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implementation phase% /ne NF/ was primarily tas$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$S "
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",SAC'$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$e up the &ap "etween the !ost o' pu"li! or priate proision o'
in'rastru!ture and what the poor !an a''ord to pay 'or it% 51
(o stimulate priate inestment, it also o'ten demands that the &oernment or
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philanthropi! or&ani#ations su"sidi#e the !ost o' insurin& a&ainst 'inan!ial ris$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$e
ur&ently needed improements in in'rastru!ture while simultaneously minimi#in&
disruption to densely settled areas%
Se!ond, "e!ause !ities hae &rown up around slums that sprun& up in areas !lose to
!ity !enters, many slums hae !ome under redevelopment pressures%
(hird, in other !ases, many slums sprun& up on 'ra&ile land that others
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would not "uild on and may "e so susceptible to natural disasters that
authorities de!ide to relo!ate them% Courth, mu!h o' the land ownership,
"uildin&, and e!onomi! a!tiities in many slums are informal+in the sense
that they are out o' !on'orman!e with the law% (his means slum dwellers areat risk of Being removed without compensation"e!ause a!tiities and
ownership !laims !an "ele&ally !hallen&ed%
t is not surprisin&, then, that there are still only a limited num"er o' "est
pra!ti!es to draw on 'or addressin& !on!entrated ur"an poerty, they haenot "een mu!h studied, and they are not widely disseminated% (here is a
stron& need, there'ore, to learn more'rom e''orts to !reate stron&er plannin&
tools su!h as those hi&hli&hted in this report%
(here is also a stron& need to proide in!enties 'or !ountries, ur"an
re&ions, muni!ipalities, and !ommunities o' the poor to eperiment% with
"est pra!ti!es or !reate new methods 'or driin& more in!lusie
andsustaina"le ur"an deelopment%
56
H"+ " ."-$ 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$ed ur"an plannin&%57
Build &oernment !apa!ity to maimi#e pu"li! "ene'its 'rom pu"li! land sales,
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&rantin& real estate deelopment ri&hts to priate landowners, and pu"li!
priate partnerships
Deelop a dia&nosti! tool to assess and improe ur"an plannin& and &oernan!e
'or in!lusie and sustaina"le ur"an deelopment%
nest in !ommunity-"ased or&ani#ations and their intermediary support
or&ani#ations%
nest in trainin& and nurturin& lo!al entrepreneurs who are dedi!ated to
meetin& the mar$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$s and returns
o' =me##o-leel> Aas opposed to mi!ro!redit lendin& to or&ani#ations 'o!used
on housin&, !ommunity in'rastru!ture, and small "usiness epansion in slums%
58
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59
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60
,UI'D !$&I"NA' AND U!,AN P'ANNIN& CAPACI% AND ""'S
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(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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