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Rotterdam, 5 7 October 1994

Organized by
Netherlands Architecture Institute Nai
Delft University of Technology
Faculty of Architecture DUT
Ministry of Development Cooperation
Sector Programme Urban Poverty Alleviation
DGIS DST/UR
Delft, June 1994
Publsihed aod
distributed by
Executive Editor
Printed
Cip
ISBN
Copyright
Publikatieburo Bouwkunde
of Architecture
Bu:rge:ss I Marisa Carmona I Theo Kolstee
Den
90-5269-163-0
Marisa Carmona
All reservee!. No part of the material prc)tected
this notice may he or utilized in any
any means, electronic or mecanical including
tot1occmymg recorClmg or by any infonnation storage and
retrieval system without written from the
Table of Content
I Basic .............................. , 1
II General Background ............................ 2
In Structure . . . . . . . . . . . . . . . . . . . . . . . . . . 4
IV Themes ... , ......... , ......... , ..... 7
Tbeme I. Tbe Macro-Economie Context ...... 7
Sub-theme A. Enhancement of Urban Productivity . . . . . . . . . . 9
Sub-theme B. Urban Alleviation , , ........ , . . .. 15
Tbeme TI. Environmental and . . . 19
Sub-theme A. Environmental Strategies . . . . . . . . . . . . . . .. 19
Sub-theme B. . . . . . . . . . . . . . . . . . . . .. 40
Tbeme ID. Participat:ion and tbe Role of
Urban Professional ........ . . 53
Sub-theme A. Market Enablement and the Role of Urban 54
Sub-theme B. Political Enablement and the of
the State .... . . . . . . . . . . . . . . . . . . . . .. 58
Sub-theme C. Community Enablement and the Role of
Urban Professionals ................... 64
V Bib:liograplw . , . . " . , , . . , . . . , . . . . . . . . . . . . , . . . ., 73
Introduction
The purpose of this position paper is to structure the activities associated with
the International Exhibition and Seminar to be in Rotter-
dam in the Netherlands Architecture Institute from the Sth to the 7th of October
this year around the theme Urban and Urban Design: The Hidden
Assignment, At Home in the City. The paper will proceed in the HJ>JlVVViH<='
way:
the Basic UO'lectmes of the Exhibition and Seminar will be stated.
Second, the General of the proposed subject will be exami-
ned, and a case wil1 be made for support for the activities in this context.
Third the )rg:antzatlion,a! Structure of the events will be that
shows the corI.Cel;>tU,al oirgamz:atlclnal. relatu)nshlp between the activities
that are proposed
there will be a discussion of the Selection of the 1-"rf1 .. in the
context of the of the Exhibition and Seminar.
Fifth, the main Themes will be identified around which the
Exhibition and Seminar will be structured,
I.. Basic Ubiiectiives
To discuss the way in which contemporary urban and have
the role and of architects and .-.1"' ....... "',."
To compare and contrast different policy and planning approaches to the
urban and shelter problem the and
discussion of a range of urban and programmes from Latin Ameri-
ca, Africa and Asia.
To encourage an and evaluation of recent and corlternp()rrury urban
shelter in the context of macroeconomie str2ltegles.
To contribute to an improved understanding of the "current state of play"
of urban policy and architectural and planning in Third
World cities.
To inform the Dutch of the shift in the ti ""'''' I 1"'\1"\_
ment debate towards the urban dimension.
H .. - GenernI
A for the events must be grounded in
an on the continued increase in the significanee of the urbanization
process for Third World and From a it is
a somewhat to remember that at the start of the
13% of the world's population lived in and that to current UN
estimates over 51 % of the world I s population will be urbanized by the year
2010.
Over the last 40 years or so the of urban has been
occ:urrmg in Developing Countries. In Developed Countries stabilization at
levels of urbanization and low rates of urban has been
achieved.
variations in different world regions (which will be brclugJtlt
Vrnl1Pl'tc and the of urbanization in
Countries has increased to the World Bank between 1950
and 1990 the urban of Countries increased fourfold
from 300 millions to 1.3 billions. In the 1990s between 12 and 15 million
households will be added to eities in developing Countries each year so that
there will be over 2 billion urban dwellers by the year 2000.
The consequences of this dramatic and shift of and resources
from and rural, to secondary and urban sectors not only
constitute the essence of the contemporary urban planning but are
also as a central issue in the
process.
In the late aid donors and global institutions in a series of conferences
and policy initiatives the central of urban trends and
OOJICH:!S for Thus the urban focus on the dev'eJclprnlent
was in the OECD (DAC) recommendations for the reconstruction of
urban in the Global For Shelter in the Year 2000 of
the UNCHS (1988); in the Urban paper of the UNDP
and in the recent Urban Sector Sector (1993)
of the World Bank. The activities assoeiated with the proposed
International Seminar and Exhibition are intrinsically related t these develop-
ments and reflect current trends in developing 'UllU:\.J.JU.;:;'.
Wbilst the "urban foeus
ll
of has now become the dominant
trend in academie and eircles it is also probably
true to say that in Countries has tended to lag
behind this trend and that a rural and perspeetive of
ment has remained dominant. A of the activities
est:,eeJalJIY those associated with the Exhibition will be to Morm
oni.mOln of the shift in the debate towards the urban
dimension.
2
A more specific justification for an International Seminar and
Exhibition around the proposed theme at the current moment Can also be
forward. The years have seen dramatic in the nature
and scale of urban and in the urban and shelter-related
T'\n!ll"ll"'l;! that have been implemented to deal with them.
Current pOJlICll:!S and of urban profes:siorlals towards
ments, slums and low income settlements evolved out of the IIrevolution" in
housing policy that ocurred in the Seventies. A of the earlier
policy formula of taclding the housing shortage through top-down central
plal11n:mg based on slum and settlement and the DrOlVISIon
of units built to minimum occurred at this
time. In a new consensus based on . an of
the Self-Help, Appropiate Technology and Urban Informal sector Schools.
out of this consensus included sites and services
"core ; slum and settlement
tenure regulation programmes; access to financial,
managerial and technical the stimulation of small scale
and informal sector activities in areas and an to the
DrC'VlSlon of services.
This revolution affected the professional practice of urban planners, architects
and builders. A new process was from the
articulations of the various levels local and
neighborhood) and from people's in own built
environment according thir own needs and expectations. The rejection of the
oid policy formula and the of the new and was consolidated at
the first Habitat Conference held in Vancouver in 1976.
The recommendations of the Conference were in a large measure taken up by
national governments, and and multilateral agencies and were incorpo-
rated into urban shelter and There was a of
Focal Institutions and External aIid know-
on the built environment and a of non
worldng at the community level. These constituted a new field of pr2LCtl
'
CeS
arcltllte:cts, and builders and involved a
concerned in cOImrmnlty UPlgra.Cllflg
In the Eighties the in the world economy obliged many countries to
lmlplelmelrlt adjustment programmes to improve their international position, and
a new consensus arose on the of national economic growth for
meetirLg urban and on the between national deve-
lopment and urballl development. Macroeconomic meant that
urban evolved in new and of ten directions. The roie of the
urban have also with the shift from project to
program me and with the vi se of the and of enablement.
3
With the of the second Habitat Conference in 1996 public and
professional interest is focussed on an evaluation of
these both in terms of their achievements and in terms of their ability
to needs under conditions that have changed significantly
since the Seventies.
A central of the International Exhibition and the Seminar will be to
encourage an and evaluation of human settlements
policies and urban strategies and changes in practice through the
and discussion of a range of urban projects and programmes from
Africa and Asia. The Themes will the
framework in which this evaluation and ............ vEl ... ..., will be undertaken.
m .. O:q;anilmulnml Strncture
)rg.anliziIlg Themes
Three principal themes have been selected which will structure the proposed
activities and which will facilitate the outlined above. These LU""'U,","',
which are based on current in architectural and
de'vel
1
oplnel1t circles are:
a. the macroeconomic context - how in the economy demand a
new role for urban and how urban T'l1"rvlll./"'t",lhr can be increased
aC(:;ordlIllg to social nl-\',"'I"h"","",
b. the environmental and spatial strategies emerging from this new macroeco-
nomic context and
c. how this new macroeconomic context influences urban pnlctlce, the
role of the and partneJrShlp.
In each theme two or three principal policy approaches will be identified and a
number of will be presented for discussion and in the
These selected themes will be cross-cutted with five best selected
cases ultimately in mind the of Habitat II Conference
(i.e poverty, environment, governance, shelter, disaster preparedness)
The Five Case Studies
Five best case studies have been selected to highlight the of historical
between settlement and city These five
...... rnl1rlo the to the of structural and
of in different national contexts. The idea is to review
urbanization and shelter institutional frameworks and legislation.
Important issues will be the analysis of oriented strategies, sustainability
and criteria.
The case of Peru of the possibilities and constraints of the prultlClpalO-
ry planning practices embodied in the Metropolitan Plan of Lima which have
been considered as an Urban in Latin America. It
4
the future of community prul1clpatlOn, and
UU,1.n.1H.';;;' pracucc;!s in the 'barriadas', which have been since the
face of the major economie and institutional that is
place in Peru.
The case of a highly indebted New reveals the
dilemmas confronting architectural practiee in conditions of rapid urban growth
and economie The rapid cultural and
t'YT"\1,T("\11'lt'Y market relations within the self-built areas in Sao Paulo constitutes the
context for the discussion of the re-urbanization of low-cost residential areas.
The re-location of dwellings to of the
construction the frrms
involved in the will be examined. The urban mana-
eXJ>enenc:e of the former administration will also be
with issues such as operational details on legal, political and project strategies
to incorporate 'favelas' into the urban of the connection of
the area to the main infrastructure and
and the choiee of building t"" ....
An Asian of the impact of rapid economie
in a the formation of slum and
settlements in the The case will the
solving the most crucial problem affecting human settlement development in
Bangkok: the private ownership of land. and other experiences in
cOlmnlUIlllty and institution will also be
the of three in different urban locations.
with very little state control on the
of the of the National Urban ue'velIOD-
on the urban farm and the environment. This
its rapid in the settlement pattem, whieh has put Y'l1""""""'"'''' on
iSp<)ntlmeous urban growths have shown that mtrastrw:;-
de,relc)pnlents are behind the urban The proble:m
to apply lnt:!gnlted
espleCially in the the cities. The case of Indonesia examines this program
challenges of these issues for architectural practiee and community
Finally the case of a in transition evidence on
the various infIuences which determine the current urban form, delffiogralph:lc
and urban needs. The case presents the issue of urban renewal
dOiNm!ra<1ed inner city and the way in which NGOs can work with T\n, ...
in the provision of secure and affordable The
case will provide information on the role of the various actors involved
(community, business sector, urban and designers) as well as policy
and constraints which face the of social The case
will outline the policy reform measures whieh will need to be in
place by the current democratically-elected govemment.
5
'- URBAN PROnucn:vrry.
Bl'lV
...--1
URBAN POVERTY-
I SPA'TIAL
I
f- POUTICAL ENABLEMEN1'
COMMUNITY ENABLEMENT
IREP<
I
SPEAKERS
-
RodBurgess

j
Peru - Lima Pal:Drewe
;me' Diu .AIbertini
BAn van Puttm


Brun - Sao Paolo

Ivorme M.Jmer

I..mtta. Bneoo - Ka.tia. MeJJ.o
Dkter BetJeh
1'h.ailand - '" .. ..
AleDndu Tzonis .....
Jm vm der Li.nde
Somoook HmMeyu
Indonesia - Cenmd Java


Puwoto

Sooth AA'!..!
"'.11 .f
Leen. Vlm Duin
-
Nru:soo
CIaudlo Adoly
I
R;'N'ZItiM}
I
11
I

J Mmo l.Im!:o AnaFaJn. PietmGarau
I I
I Mmsa Omnona
R.OO Bt!qess Anita Sirepr
CONCLUSIONS
I
TbJ:o,o Kolstee Gecqc. wtl. der Meule.b
IV. Orgmmilng Themes
Theme I.
TUE CHANGING MACRO-ECONOMIe CONTEXT
the Seventies and early in many countries the new urban
de"el()prnerlt and shelter were introduced in the context of or
at least macro-economie strategies such as Redistribu-
tion with Growth and Basie Needs. These to alleviate
poverty, unemployment and growth with redis-
tributive measures, the stimulation of. small scale and labour
intensive the of the urban informal sector and the
introduction of transfer in public services eXl>endltl11res.
A_doF,HW'''''''' there was a dramatic slow-down in rates of economie
in of the Third World (including GDP per
growth rates in Latin America and Sub-Saharan This condition was
associated with reduced demand in falling commodity
high interest rates on balance of
ments a dramatic decline in
investment rates. It was these conditions a
decline in standards of rates and levels of
unemployment, povertyap.d inequality, pru:tlculalfly in eities.
These an acceleration in the structural transfor-
economy which has been variously described and
of theories as the 11 transnationalization " or 11 globalization 11 of
manutacturmg and' serviee activities, or as the of a "New Interna-
tional Division of Labour". One of the most significant of this process
has been an almost universal shift from "import-substitution I! industrialization
based on the of internal markets to
oriented" industrialization strategies to the of
services for the Country markets. This process has been undertaken
by Transnational which have internalized a new giobal division of
labour inside their structure and to take advantage of the
cornp,rratlve ad'\ranta2:les offered different countries and eities
within with wage and non-wage labour costs;
flexibility of labour trade incentives; availability and
costs of infrastructure of a critical mass of
consumer demand. As a result share of countries in world
AUUJ' .... '-'., .... ...... .HJ'F> exports jumped from 10% in 1980 to 22 % in 1993. However
the part of this industrial capacity has been concentrated in a group of
countries described as Coun-
tries" , the "Semiperiphery", or Market Economies".
7
These af ter the Mexican Debt Crisis of led to
the rise of a new macro-economic Structural
based on neo-liberal theories of that stressed
the market determination of wages and to allocate production inputs and
finance became dominant. The basic of were to
restore the balance of to increase its debt-service
capacity , to attract investments and to achieve economic growth by
restructuring trade and financial flows. The now feIl on measures to
increase the share of and non-traditional and manufactured
Measures to free trade and included:
tariffs on domestic industry and import quotas; the
liberalization of prices and interest rates; the devaluation of currencies; impro-
ved export incentives and the of constraints on
investment. Stabilization measures included: of state assets; the
retrenchment of civil servants; the withdrawal of a wide range of subsidies on
energy, and the introduction of cost-recoverable prices
for public services, the introduction of new taxes and the of
g01r'ennment sodal and decentralization
became the derived from an economic
phlloslopl1tV that state interventions as largely producing "supply-side
constraints " .
It is clear that these new macroeconomic conditions and have had a
on the conditions of urban dweIlers (especially the
poor). They have also entailed and demanded fundamental transformations and
adlustme;nts to the spatial structure of Countries at the natlorlal,
urban and levels. In the late
occurred in urban and shelter derived from neo-
liberal free market and labour market analysis, public choice theory and the
concept of a small, effident and "enabling" state. The new policy environment
has moved the Habitat I in new and of ten directions.
'ull"l .. .,. .... ,i-hr a remarkable exists bilateral and multilateral
and national on the of macroeconomie
and for the urban economy and on the of
urban for national Consensus has on the
need to harmonize urban with national and on
two that can be used to achieve tbis harnonization -

8
Sub-theme A.
ENHANCEMENT OF URBAN PRODUCTIVITY
In earlier periods eities were often seen as centres of unproductive consumption
and there was much talk of the assoeiated with urban bias and
overurbanization. urban growth is seen as a vital for economie
and soeial Cities are seen as of growth" adding
value to rural products, services to markets and attracting
and services investments. Higher levels of urbanization are
assoeiated with GNP per capita levels, higher female rates
and levels of education and skill. As urbanization proceeds apace so too
does the urban contribution to the national economy. The World Bank has
estimated that eities over 50% of the national GDP in
countries and that this will rise to 65-80% by 2000. Their contribution to
national value added can be even higher.
The shift to based on the enhancement of urban nr.ruhll'tiiviif'v
has to be understood in the context of this and in terms of the
macroeconomic policies associated and
Oriented Industrialization Constraints on urban productivity were
identified as vital constraints on and included the following. Inadequate
and inefficient coverage, maintenance and of infrastructure increased
the production costs of urban lessened their and
diminished labour productivity. Excessive of land and
markets in relation to inefficient and inappropriate land
use, infrastructure, and demand or supply
side constraints that of investment available to
coverage, decreased affordability, and led to subsidies. Inefficient and inade-
educational and facilities constrai-
whilst excessive of businesses and the
informal sector diminished and income A
wide range of financial and institutional constraints on was also
identified associated with urban management and skills;
distribution of powers between and local government;
weak local taxation subsidies and finaneial
services for urban development.
Neoliberal pla.nnjing pOJlICIC;S to l11T1'n1"'l\v&:> urban T\1"'lruhll'tiivif'v and .n . ' .... :;;, ...... "'.,,,
melude the "enablement" of markets and
decentralization and mcrea-
sed and institution and
bUlldJmg on a basis.
lffi'Drc>vememts to urban nrr.ti11,,,tnT1hl
scale trunk
to coverage and services and
tackle maintenance pf()bl,em,s. As only market pricing mechanism can ........ 1".'111'1,:>
the incentives the should withdraw from direct provision,
eliminate market bottlenecks, and market-oriented that encoura-
9
1"\'I"r"""'1".n of a wide range of urban
water supply,
and services
telecommu-
AJ" .... E ....... CCt ..... "' .u and reform of re2;uialtor'y in
services and markets are seen as essential for
mCreBlSml2: overall levels of urban and
The decentralization of urban powers from the central to local
level and the of popular and
groups in and financial recovery are seen as
vital for and ensuring fuH co st recovery, replicability and
affordability. programmes rather than run by decentralized
and local with
CBOs and the sector are Pinancial and instituti-
onal constraints on urban productivity and efficiency are to be tackled by city
wide and sectoral financial, policy and institutional reforms. brnlpl1lsls
to and the of urban skills
Shelter policies reflect these trends and currently stress the removal of demand
and supply side constraints by developing property rights; the rationalization of
SUblsld:les; the of finance """Irp.m,,
the
..... -I-, .. ,.,,,t ..... ,,.,,t,, .. ,::,.. the and of
'''''ll,,,,tt.,, .. the de\i'elolpmlent of the building industry, and
de'lfel()prnerlt of housing institutions.
slgIlltH;an(;e of the of urban for
these far from c1ear what is meant it. a broad definiti-
on of as the relationship between the and the resources
used to obtain it, total factor productivity would seem to be the central
but most measures are concemed with labour This m,ay
weIl be but the detailed of the relative of different
kinds of for urban has not
been widely discussed. This is surprising given that there are probably substan-
tial variations in their relative in different cities and world ............ 'Vu..,.
It is also the case that the "urban" side of the urban is not
c1early defined. When there is talk in the same breath of the need to improve
the productivity of individuals, households, communities and cities there has
been a sub tIe shift from social to a one. It is doubtful if the
""'V'''''''''I'''_ of in this way. More the
Uf(>ductnrItv of the urban economy, but
piannmg policies also have to reconci-
10
Ie their of ten conflicting functions and uses.
More in all the recent major policy documents on urban
development policies the of the urban that underpins the discussion of
urban productivity has been a 11 single oriented view" that tends to identify
cities as self-contained economies. This tends to the fact that much of
the of the derives from its insertion in an urban in which
it specialized associated with a division of labour. A
basic then to be asked is:
When we talk of the need to inTnr(\ViP urban are we of
the of cities in themselves or of
the of urban systems?
answer "both", but lt IS far from demonstrated that
lmDfClveme:nts in the of individual cities lead to overall
improvements in the of national urban systems or that
productivity improvements to all cities in the urban will occur
conditions of and liberalised markets. The issue is
because the of investment derived from maximizing the of
the urban could be very different from that derived from malXumzmg
the productivity of individual cities.
These issues become c1ear if current urban productivity are discussed
in the context of Structural and Industrialization
strategies. The expressed goal of Structural is to achieve
through adjustment, but it is worthwhile the rea1ity which
national economies are to adjust to. This is of course that of a
and economy by
production, trade, aid , and labour circuits. Measures such
as the restoration of the balance of the stimulation of non-
traditional and manufactured of foreign direct
investments and the improvement of the are to
restructure the role of national economies to the new rea1ities of the globalizati-
on process. In many cases these measures involve the break-down of the
structures built up by the previous model of national that of
Industrialization. In a sense this model
mentalization of the economy based on the ae,,lelCJprneIlt
internal markets . These economies now have to to new structures of
transnationalized production, the of manufactured exports
for markets within agiobal division of labour.
In this scenario what is of interest to the national governments, trasnational
ronT ...... ,....'CO'lt1,n ... " and and global trade and aid which dominate and
this process is the advantages offered different coun-
tries, regions and cities in a c1imate of international cOlnpetI1:1vfmess
11
and level of mobility of
Policies to urban must be seen in this context. If
is achieved and sufficient either trickle down or are directed towards
lower income groups then progress has been achieved. But if remains
low and its benefits are upper income groups or
by unregulated foreign then the question has to be asked:
.... Qv,.tn,.."'c tbe benefits of urban n ... ,ru'l"l'tihui1f" Tnnro"enlent" and bow
are distributed? Moreover as the process is undertaken in a context of
liberalized market forces and a reduced roie of the state: What "" .......... ' .... 1-."0<:'
tbere that the market will the distribution of lI'U",r\('hlptivi1rv
ments in ways that barmonize. the of
These observations are relevant for the lmlJllcatHJnS of the new macroe-
conomic trends and The at urban
and of market
political and administrative decentralization, privatization and the
limitation of state interventions to an roie. Given that the cornp,rrative
to which the market most are
distributed within the urban and between different cities and
the national space economy, it has to be asked:
or diIJrunishiing inter-
This question is particula,rly relevant for those countries which
plann:mg had to create a balanced of and
intlegI'ate:d national space economy of the r!Pl,fpl,'"\Y"\_
ment of an internal market. the achievement of these
generally limited, it is c1ear that current urban development policies result
in major spatial adjustments as an unrestrained market facilitated by a non-
interventionist state allocates resources to
ad"antaJ:!:es. One consequence is a to fra:gmentati<m
of already weak1y-integrated national space economies as successful cities or
agro-export regions increasingly prioritize and orient infrastructure investments
accordlmg to the of the external markets.
There are also fears that these policies could strengthen already powerful
tendencies towards urban primacy within Developing Countties because it is
in these cities that many of the comparative and orclductl-
can be most realized. Sao PauIo for
contributes 40% of Brazil's GDP and 60% of national manufactured value-
added. Outside of equity considerations the character of
services and infrastructure) policies which could stimulate the further growth of
mf':sY::l-C.U1P.'" at the expense of other urban centres must be carefuUy scrutinized.
term the scale of the investments necessary to counteract crrl'\Ul1riO"
externalities could wen make them inefficient. However it is true to say that
12
some observers have identified trends as
of small and intermediate urban centres with
has been in countries with the sort of strong
out of favour in neo-liberal planning ortho-
It is also the case that the relationship between urban and
spatial decentralization processes and is far from clear. Policies in
favour of concentrating investments in and centres were
favoured in the second half of the and seen as encouraging both
and distribution of urban resources and
Decentralization of and administrative power to local authorities does
not automatically decentralization - indeed the differential
capacity to raise revenues it could wen lead to between
authorities and to 11 two-speed 11 development.
Current urban a great deal of emphasis on expanding
investments in the urban sector and in tronk infrastructure. But the scale
of the commitments required for these of investments and the constraints
on imposed by adjustment considerations it is to
ask where the money will be coming from. Despite planned increases in urban
by bilateral and multilateral the source of revenues
will be from enhanced IQcal taxes and user and from enhan-
ced central revenues derived from made on
increased government efficiency etc. But
.. to put in the capacity and institutio-
nal networks to secure these revenues and the tardiness of many economies in
"rol'''''''''''""n- the growth anticipated by measures, the to realize
these investments and on the scale required must remain in doubt.
there has been some that these urban policies - which do
af ter all "software" rather than "hardware" projects - have as
yet produced so little on the ground.
and institutional development an important role in
rernO'Vml2: the constraints on urban the problem of
replicability. In the Eighties the was considered in the
context of the formula which did at
least focus attention on the crucial variables. In current policies the problem of
replicability has been located in the context of the shift from projects to PollCH;S
and programmes and in the need for urban and institutional
reform. But is the faiIure to achieve an urban mama:gelnel1t
or institutional problem? No doubt the failures is in due to institutional
and institutional reforms seem to be a prerequisite for replicability, but
it is a large step to suggest that institutional reforms by themselves will
13
about repUc<aOlJLU The ean then be asked:
"Does the re]llic:abilit.y .......... nl .. l""m derive from institutional factors or from
the ."....,dh.iilliii-", lIatlm'dabilitvco:st formu-
la uoder conditions of escal13ltrnLg
14
Sub-theme B.
URBAN PoVERTY ALLEVIATION
there is aJso a of tbe between
macro-economie of The scale of the
setbacks of the is indicated the fact that the World Bank's 1969
pnmcjjolD of 1 billion absolute poor in Countries in the year
2000 was :reazed in 1990.
The dominant trend has been for a relative increase in urban poverty combined
with a decrease in rural areas. Current estimates indicate that about a of
urban households in LDCs live in (330 million and that the
year 2000 the majority of the poor in these countries will be in eities.
The World Bank believes that this proportion will not decrease over the next
years and that urban will became It the most and
explosive problem the next . The of the
O'1""",,"r,o n'r",.,.hls::>TYl of the urbanization of has led to the formulation of
"'0'1]"'''''''''11 aUeviation.
1. ...... '0-..1'., P,Oll<:les have ""' .... AA .......... A ... 7 been derived from the dominant macroeco-
and have wUh these strategie:s.
In the modernization decades that ended in the late Sixties there was little direct
nn,,,"'r1fu as it was believed that it would automatically disappear
under the the trickle down effects of increased and with the
growth of modern sector employment opportunities. Yet and income
continued tQ increase, of ten in those countries with the
In the Redistribution with Growth and Basic Needs strategies that
were dominant in the Seventies and concern for poverty
based on the belief that the and not in
conflict. Growth could be achieved by nnl."",,<,
meqluallty and une:mp.loylnen
Under the Structural Adjustment of the J_UE,llLJ.',," that
addressed poverty took a back set. It was
forces would incomes as a result of higher
productivity, investments and it is true to say that
there have been some winners small the
evidence indicates that Structural
deterioration of the conditions of the poor with increased
declines in the real minimum wage, decreased public eXIJen,Ol-
tures and the removal of consumer subsidies. There is a consensus that
targeted transfer strategies the most vulnerable group has been the urban poor
who have been particularly hard hit currency "",,","U.I.I .. lau'vu,
cuts in basic subsidies for water, energy, fuel
and by cuts in social eXIJendlt:ure:s.
15
In tbe Nineties there was a resurgence of interest in nn'lU>Mr'V
on derived from increased criticism of the effeds
on the urban po or and the of issues
tbat bas democratization and decentralization trends. There
bas however been a in tbe dominant macro-economie "'1-...... 1-"' ..... '"
of Strudural nn"Jo1l"1l-'V aJtlal'vsiS remains embedded
in tbe discourse on urban
The World Bank whilst that adjustment makes urban
cularly insists that the trade-off of to
and to reduce poverty Rather the
is derived from and constraints on
the poor that limit access to productive
credit and income alleviation lies in lTnlr'\T",",,,,if'1ICf
human resources, access to
and the intensity of nrr,rln,rh"p investment. Measures currently
favoured to achieve these inc1ude: constraints on the
productivity of the informal sector and micro-enterprises; the labour
force of women; improving the access of nOlllSenOJld.S, communities
and fi.rms to land, materials and the
access of the poor to basic family and
vocational and the construction of safety nets and
measures for the most vulnerable.
Some countries have national programmes,
National Solidarity Funds that act as welfare institutions and/or banks for the
po or . They provide short term transfers of essential goods and services
to the most vulnerable or training and technica1 assistance to
small scale and and Assistan-
ce has been for employment and income geIler,ancm
structure, hea1th and education National level or,g;anlzatlon
have generally been concemed with formulation (with
grass roots whilst implementation has mcreaSlll:g1y
decentralized and NGOs and
organizations. Others have tended to favour nelghl>orho<)
on the of resources ........ ,,.,,,,,. ....
between the local govemments and the
of the relationship between macroeconomic
.... "",,,,,ri-,, alleviation perhaps the most lmt)ortant Que:sncm
asked is: Are compatible wUh basic needs
In this attention must focus on the known effects of
ment on the urban poor, and on the ability of adiustJmellt
achieve
16
There is currently a consensus amongst ob servers ,
makers that these have had serious effect on the urban poar
through reduced the lowering of the
real minimum wage, decreased and the removal of
consumer subsidies. However argues that these
consequences are necessary but transitional and that liberalized market forces
wiU provide sufficient investments and to
give the poor higher incomes as a result of greater employment, higher
productivity and higher wages. It is therefore to ask whether the
declared aims of Structural Policies to levels of
"'J>. ... ''-' ... investments and to cut balance of deficits have been achie-
ved. The World Bank has claimed that are getting higher
rates than non-adjusters, but the IMF has argued the opposite and a
recent independent study I Aid and et al has that
Structural has had a smal1 effect
'0 .. 1"'>1 ... 11" the two world most affected
Sub-Saharan Africa and Latin America had negative GDP per growth
rates in the Eighties. Average rea! income per head in Latin America in 1993
was still 5% below its 1980 level whilst average GDP per in Sub-
Saharan Africa shrunk by 1.2 % per annum in the Nineties. Although
there has been an in the balance of payment situation this was
largely been achieved reducing net investment and utilization, and
most studies show a marked decline in investment as a proportion of GDP
which augurs for future There been substantial
increases in growth rates, combined with an even stronger compression
of import growth. Given small and declining rates of per capita private and
govemment consumption, and high per domestic investment
rates, it seems that the extra revenues rather than
to increase local economic went rather to service the debt. The ratio of
extemal debt payments to tota! export of Developing Countries increased
dramatically in the Eighties.
Of course it is difficuit to isolate effects from other causes when
eXl)laJlllulg the and of urban These other causes
include structuralfactors such as the inability of existing technologies to create
a sufficient number of to meet the in labour
in the distribution of wea!th and and the of reces si-
on. Nonetheless it is to reiterate that urban alleviation
POJICH3S must remain just that - that aim to lessen the numbers of the
poor or to the burden of poverty no matter what the underlying trends
are. are not to be confused with of eradication.
Current nnl" ... ii':>1:: also
lies in measures to irn' .......... '1I1O
on therefore arises: are the
ble wUh the of aUeviation?
Market-oriented and deregulatory policies tend to reinforce existing income and
17
wea1th Whilst labour market for can
increase for the of income and employment, it can also
leave the poor the worst forms of it is
doubtful that for the of infrastructu-
re and services which operate on profit-making criteria under conditions of
technical monopoly can deliver services at that are affordable the
poor in the absence of substantial subsidies.
How could be to enhance aetivities in those area where it
do not arrive spontaneously and how to foealize those baekwards areas and
social groups (i.e ethnica1, women, older) whieh are outside the benefit of
growth.
Given the about the mass of the poor
in the cities it is clearly important to defend and the coverage of safety
net provisions. It is therefore important to know specially in the presence of
budlgetarv eonstraints derived from .... rl,,,,,+, ..... "",,,+ p()UCles:
What of GNP can or is on and
where do or should the funds for alleviation come from? In many
countries it is already known where are the poors and how many are
the is how to sodal mvesiments and
"" .... ", ... +",) on able to favour small nrllu1l1l'tivIP acl:ivities:
nrllullll'tivlP reconversion of backwards
secondary roads and infrastrudure that
to the modernity process.
Some makers and academies are of the of macro-
ecclnolmc determination of the life chanees of the urban poor and have sugge-
of bottom-up as an alternative. These avenues
need to be and the
To what extent can be used to alleviate pover-
ty? needs to be discussed. What are the most important constraints on small
to increase their level and be able to articulate with
formal to in in the
market?
Important debates also exist about the appropriate form of implementation of
1"\.('''.1'''1"'1,,, alleviation These relate to the discussion of the relative merits
.., ... v"vv .... and programs and of the most alloeation of powers and
funetions between the various levels of the and NGOs.
Important questions also exist about the political dimensions of poverty allevia-
tion programs and projects. These will be discussed in the third Organizing
Theme.
18
Theme ll.
ENVIRONMENTAL AND SPATIAL STRATEGIES
Sub-theme A.
ENvIRONMENTAL STRATEGIES
As the rates and levels of urbanization in Countries have accelera-
ted so too have urban environmental
Ke(:ently the of urban environmentai issues bas been recog-
nized are now seen as vital for any
effective urban ae'VeI4[)pl1neIlt ... ..,.i-Ll"'"
Attention has focused on the characteristics and effects of Third World
urbanization on the deterioration of local environments and its contribution to
environmental change; on the socio-economic of urban environ-
mental on the significanee of environmental issues for the efficient
and effective of urban infrastructure and on the
environmental of different architectural and and
po.L1C1.es; and on the significance of environmental issues for the sm;ta1nalbll1.tj
of eities and modeis.
It has been that cities are the areas of environmental
transformation , . w here all the effects of modification derived
come together. In Third W orld cities these transformations
dramatic given the rapid rates of physical and
and the number and continuing of
megacities. 18 out of the 21 with more than 10 million P01)Ul,aUC)fl
the Nineties will be in Countries. Environmental ........ "' .... 1"' ...... '"
been exacerbated lack of resources and insufficient investment in
infrastructure and services and the generally uncontrolled and p04Juy-regllUaLe<l
pattem of urban and eXT>an:SlOltl.
chamg;s associated with Third World urbanization inelude
in radiation and rainfall levels; increased eloud cover; and' the creation of
'urban heat islands' that dust domes and convectional wind
that eirculate pollutants over the city. However by far the most significant
transformation is the generation of high levels of air Five out of the
six eities in the world with maximum levels of air are to be found in
Deve10ping Countries.
The sources of air are the domestic of firewood and
coal for healing and cooking; motor vehiele power station combusti-
ons; industrial emissions and emissions from toxic and hazardous materials and
wastes. The of urban air are oxides of su1phur and nitrogen,
19
carbon oxidants
aldehydes and ammonias and a range of
particulates inc1uding lead, cadmium, asbestos, arsenic, benzene and
chloride. In addition cities also of
,. .. ".,Inrl, ....... carbon methane and CFCs that contribute to
or ozone In absolute terms energy consumption in Developing
Countries is rapidly and energy use per unit of output is The
situation in cities is worsening because of continued increased
increased power wider car and street
the close of workers to the sources of pollution and the
lack of and enforcement of environmental standards.
modifications to the hvc!ro],ogllcal also occur with urbanization.
Urban initially involves the removal of veJ:?:etaticm and soH and
the release of a volume of sediments that fills channels. The
lmlDerviousn"ess of urban surfaces increases with further construction, leading to
increased run-off and incidence of flooding. A model of increased
storm inter-storm low flows has been a which is
accentuated in areas. has become a
serious in many Third World cities.
In many countries the failure to of water
and the collection and treatment of solid waste and waste water has
the water Water is of ten than the
repllac:emlent '"":I1"'JI,""'h,, of sources.
The total volume of water bya on population
the climate and the demand from industries. The demand for high
water is in Third World eities straining existing
sources lakes, and groundwater) and requiring massive investments in
treatment and distribution networks. Excessive withdrawals from
sources can cause further environmenta1 Subsidence derived from
Iowered water tables is a serious problem in many cities, exacerbating urban
flooding and causing damage to buildings and infrastructure that is
costly to rectify. Subsidence rates of up to 14 cms p.a. have been measured in
S.E. In some coasta1 cities Manila and the water table
has been lowered to the where has occurred
because of seawater seepage.
The critical significance of safe water for the of health
and led to intensified efforts in the to 'n'>, .... r"'J:> Sl:lp!)lIes.
at the end of the International Water and it
was estimated by WHO that 25 % of all urban dwellers in Developing Countries
lacked access to safe water supplies and over 50 % lacked access to an ....... """, '-" .... ""
sanitation It has been estimated that by 2000 more than 600 million
urban residents will lack sanita.tion and 450 millions safe U.1.1.Un.JlUj:::,
water. The lack of maintenance of water and distribution co
resu1t in the 10ss of vast of water before its arrives for consumption.
20
coverage combined with the longer term effects of short term
soil infiltration from pit and and
malaeqm:tte.Ly maintained water and sewerage
environmental problems, particularly water contamination. Shallow groundwa-
ter sourees in urban areas with sanitation and levels of infil-
tration are of ten pOJllUtOO.
eities in Developing Countries also have other serious and growing problems
of water pollution, particularly where there has been a of
industrial activities. A wide of pollutants is into
lakes and coastal waters from untreated hu man sewage
and animal wastes and from industrial, mining and chemical sources.
These include oxygen-demanding of infections diseases; plant
cornp()Un.ds, morgamc chemicals and oil
and sediments.
Third World eities are often built in naturally hazardous areas: in areas of high
or the of major in active zones or in the
........ th"""".., of These cities are prone to floods and
the destruction of infrastructure and Of ten the of
Third World urban development leads to an exacerbation of these hazards. The
deforestation of catch ment the destruction of through air
\JV.L.L,..WlVU. and the and uncontrolled of settlement by
environments wetlands and
coastal to disasters sometimes on a very scale.
Swamp infills for settlement in Lagos and Manila have blocked river outflows
and led to flooding. In serious hea1th risks are also derived from the
release of toxic and hazardous materials into the urban environment as aresuit
of of solid waste disposal and manaJ;enaenlt.
the of environmental on socio-economic
de
1
veI4lplne][}t has been in recent years, it is still far
from understood. In urban contexts atlention has focused on
environmental imlJac'ts on the health of urban on urban nr,nI11IU"_
and and malmtaining
cient and effective
believe that current
services. Some ob servers
of cities and
A consensus has emerged in recent years that environmentally-related hea1th
risks and the incidence of infectious diseases have increased rapidly in Third
World eities.
Within the eities it is the poor in slums and who are most at
risk, and who se hea1th is suffering the most. Infantile rates amongst
the urban poor are of ten two to three times higher than those for middle and
21
upper income groups in the same and often than the rates for the
roral poor. These settlements not only have the lowest environmental
but health are also inade-
quate hygiene and health care and a low economie capacity to spend on health.
The urban poor suffer from the fuU of chronic and social
diseases.
The high incidence of infectious diseases amongst the urban poor is related to
environmental factors such as; poor shelter conditions that involve overcrow-
poor exposure to insects and
to water and the contamination of U.UUA.LllE.
tion of human wastes and the presence of waters which act as vector
b n ; ~ : i n e : grounds. These conditions expose the poor to
cholera, gastro hepatitis,
u'V, ........ "", ....... cluster diseases and intestinal worms. In Mexico was
listed as an airborne disease after dried excreta became and contami -
nated the air. One of the most serious in poor neighbourhoods is
indoor air pollution derived from the use of wood or coal-burning cooking fires
under conditions of poor ventilation. This can result in infections
in the chronie and
adverse pregnancy outcomes. Those form cardio-vascular and chronic
respiratory diseases (chronic bronchitis and asthma) are particularly at risk. In
the human settIements caused 60 % of air in the
area and induced grave res'pinatoJry disorders
slum dweIlers.
.ex!>osXl to the health risks associated with the occupa-
Fatalities and from mud and land
floods and tend to be concentrated
amongst the poor because they live in areas and built environments that are
most at risk. For economie reasons 10w income settlements are generally
located in close to the sources of air and water and
many residents are these installations. Solid waste collectors
levels of and other deaseases. levels of
birth defects and respiratory have been recorded around steelmills,
chemical and fertilizer plants and oil refineries. and deaths associated
with exposure the metal and toxie chemicals are set to
increase as industrialization and as the chemieal of
increases. Lead derived from industrial and traJtlsport
common and produces neurologieal, blood and reproduction in
and lowered levels and behaviourial disorders in children. The poor are also
in small fi.rms which are to have worse
conditions lower environmental and controls than firms.
Journalistic reports (El Pais, May on dumping' have hightighted
the environmental conditions of confections fi.rms in Phillippines and lndonesia
based on children labour and similar .
There is also a heavy concentration of social diseases amlongst the poor derived
22
from instability, poverty and to whieh environmental conditions
make a contribution. These inc1ude and
venereal disease.
It is also that environmental degradation has a signifi-
cant negative effect on urban productivity and research in
this area is much remains unknown about the nature and
scale of these effects. disease and poor health
has a of individuals, households
and though the scale of the costs involved is unknown.
Female labour nr4 ... ,"hIt>tiivH-v is parncuJlarJly constrained by in
the water Deficiencies in the use and elimination of water
women to the time on domestic and
on work.
The waste time involved in traffic
for water and collecting firewood must be prodigious.
Some economist believe that pollution a of scarce
resources (energy, raw free goods water, soH) and labour time.
Environmental (such as soH landslides, +I,.,.,.,.rl-'T'\t,
ce and acid clearly has a significant effect on urban e!tl.cleJOcy
productivity of existing investments in the built environment. '-'.L\J&f"""'-' ar:lllnLge
ruptured sewerage corroded OUllGI10gS
structural to and infrastructure have an effect on productive
activities. Preventative measures are cheaper than rehabilitation in the long
term, and the extra costs involved in account of or environ-
mental are- immense. It has been estimated that the total amount
needed to clean up Mexico air is $ 2.5 - $ 3.0 bills. Environmental
d.ej:;mdatlOn can also undermine important economie activities such as horticul-
ture, fishing and tourism. The environmental sustainability of Third
World eities in relation to energy, food and water under
The formulation environmental policies for urban is
....... 1 ... + ... ,"'11., recent and the of these poJ,icit:!s
remains a future task - albeit an one.
The Fifties and Sixties
the modemization decades of the Fifties and Sixties economie
was and little was done to the of land,
water or air. As in the modemization of and it was
believed that environmental problems would automatically be resolved with
23
growth. Once growth was achieved the protection and reinstatement of the
environment could be realized. In the meantime no were
This saw nature as a 'bottomless pit', environmental
components to growth as free goods, and predicted no major difficulties in the
environmental and economie of the model.
Tbe Seventies
In the Seventies under the impact of rapid urban development it became
that the urban form and its had to be
rationalized in relation to its environmental
to do this land use,
zoning and development controls. Investments in various infrastructure systems
were deeided and realized at central government level to priori ties
established local master There was also a rec:ogmtlon
in the of the character
'
of infrastructure and services that these
investments had to respond to welfare and need as weU. as to demand, and
subsidies were widely to extend infrastructure and services to poor
It fen to local to coordinate and harmonize the
rationalities of the different and to cover and maintenance
costs. An at this time was the is Curitiba urban and
urban management strategy.
The
As the a marked and deterioration of urban
environments occurred. . In manY countries was placed on spatial
decentralization polieies which attempted to address the economie and environ-
mental of and by urban to
centres in the urban Within the eities some
isolated environmental measures and tariff and reforms
were introduced but explicit environmental policies were still absent
fi.,.r'Ul1,nn alarm about the environmental sustainability of Third World eities.
The Nineties
By the early Nineties concern for the urban environment led to a recognition
that urban environmental policies were and that fundamental
reform of was essential. The for these reforms
was based on neo-liberal theories that constraints
largely related to the excessive intervention of the state in market, and to
finaneial and obstac1es, In this the of
environmental urban enhancement and poverty
alleviation were related. The marked deterioration of the urban
environment led to a general increase in health and
safety hazards, constraints on the efficiency of productive activities and
Ul\AlUu.J. .......... in the and costs of basic services to the poor,
causes of environmental to neo-liberal
" ...... 1""." could be traeed to massive <1eITIoJgraphl.c O1I""'u,l-h' ....... "lS .............. ....
Po!llCles: ma
1
oeqlua1te investment in infrastructure and services and !-'v ...... u.UJU
deficient regulatory and institutional frameworks; weak
24
and and inefficient subsidy and taxation DOllC:les:
inalDProPlriate distribution of povers between central and Iocal ..""",,,"' ........... "' ... + and
the cornmumty and lack of poli tic al will.
AllmClU2:ll a number of new measures and instruments were "" .. "' ......... "'" . .-1
the overall framework was based on the neo-liberal pantJlleOJI1:
withdrawal of the and the enablement of the market;
reforms and liberalization; price, subsidy and imancial reforms;
and institutional cat)acilty-bu:Udilll2:,
tive decentralization and increased COlDIIJLUnlty parhcipation.
The neo-liberal on institutional and
factors for environmental
underinvestment in the delivery and maintenance of infrastructure and services
is identified as a factor. Environmental derived from water
and sanitation is caused by inefficient and
ineffective subsidized services at wen below
economic cost. it is argued are overmanned; provide a ripe
environment for 'rent-seeking'; are unaccountable to users, few
incentives for and tend to make subsidized services
availabie to the middle classes at the expense of the poor. The solution is for
the to refrain from the direct of to break up
This
including corltractiIlg out
services from to and
It is admitted that some activities are more amenabie to these
alternatives than others (eg. water distribution, public transport, solid waste
management, sheiter-related services). Direct government action is I ... .,''-U.JL<U...,J.'-'
for trunk infrastructure trunk sewers, excreta and waste
water treatment and for area-wide control. However the
allocation of investments must be based on demand and the principle of fuU
cost recovery.
Althmlgh it is both on
the extension of coverage and on nfrastruc-
ture in slums and squatter settlements, it is not clear how these
investments will be ..... "".n .... H;;, ..... rI
The Urban stresses the in the
quality and reliability of services rather than the extension of coverage. Some
suggest that performance indicators for investments should be based on the
amount of service land and the amount of value-added created
land and valuation rather than the of the networks Iaid
down. This sug;ges:ts an emlph,asis on upjgradil1lg rather than coverage.
eUITent policies also attach a deal of signiicaJtlce to
and ....... <: ..... :11-
25
reforms to achieve the twin of enviromnental and
in urban n1l".n..rh'I't-"uiit"'IT A systeD!latic elaboration and codifica-
tion of enviromnentallegis1::atio,n wUh strict enforce-
effective and civil and criminal peJlallties for violators.
A review of the environmental of regulation governing
land use (including and density controls), land subdivision, infrastructu-
re standards, rural/urban land conversion and standards should be
undertaken and reforms enacted to access to open and green spaces, to
mlmmlze air to increase the use of energy intensive
increase access to serviced land and to provide incentives for uPJ::1;ra
i
dmg.
environmental standards should be determined and should be am>r01Jri-
ate, affordable and enforceable. Strict controls may wen be necessary for some
activities (eg. lead toxic land use controls for disaster
mama:gerneIlt), but incentives and liberalized and standards are generally
tradeabie emission permits for air pollution and flexible
construction "t-",nrl.., .. rt"
These reforms should be enacted in the context of rhnnoOlTni ...
Structure Plans that the process of urban in fine
with an Urban based on and sustainable enviromnental
C' .. ''''v>,,,,...t callac:ity considerations rather than Master Plans based on
and detailed land use Reactive Action Plans are also
recommended to investments that tackle bottlenecks.
Environmental issues should be fully into urban plann:mg
and policies and the envir.onmentallmlJacts of all should be
the planning
Financial reforms and
as vital for
prj.ciIlLg and sut)siclv
are derived from the waste of resources.
It has been estimated that Countries use 20 % more than
would if consumers paid the true costs of If infrastructure and
II1P1"\111"I"'C are it is then waste follows
and coverage is restricted. Full cost recovery is seen as for re"j:H1c:at):l-
and must be into infrastructure (through valorization
"" ......... 6...,.,' rates, taxes, user charges). Tariffs should be increased and
the revenue base broadened. Indiscriminate and subsidies should be
eliminated because go to the rich rather than the poor. They substitute for
lmprc)Vements that would have been made users anyway, and they of ten
that is detrimental to the environment and health.
to achieve correct pricing is through market of
IJVAJ.UL.LUj;, industries as free but which in
have a value. Calculations of this on the cost to the
a proposed are also necessary in the determination of
fees 11 into Environmental Impact Funds at the
26
time of oe'vel'oplnellt approval.
In it is
on is the I demand-driven I !:lnnrlr\!:l('h
for water and sanitation provisi-
nr"lvirl!'> those services that
want and are to pay for.
Urban service provision to become less more efficient and more
accountable has to become more responsive to consumer demand rather than
subsidized need. subsidies are in those cases where there are
broader environmental benefits and where households are less to pay
trunk sewers and waste water net provisions can also be
targeted on the poor.
However the water undermines the
regulation and discourse. cities for a
proportion of their water from water tank as do many peliplleroa1
areas in In Barranquilla, Colombia about 30 %
population is by water and the monthly consumption of a
H ........ b .. family is 6.5 M3 in to 40M3 of a
The marginal family pay the of $US 2 per M3
cents per M3 for a high income consumer .
Neo-liberal also directly link environmental to failures in
urban mamagelneltlt and institutional weaknesses. The enhancement of environ-
mental m2ma:gerneIlt c:ap::lclt:v and institution building are seen as fundamental
for urban environmental and for creating city-
specific environmental These reforms involve a fundamental shift
from 'hardware' or project level to and market wide program-
It is only through city wide management and urban level
that effective coordination of the agencies in charge of different
infrastructures can be achieved in areas such as and
for the evolution of institutio-
(usa,ster's, and for and
coordinated aDlJrOiaCJtleS treatment and disposal of
solid, liquid and toxic wastes. a environmental
facilities resources in recent years has been directed at "-'..,"'UV.LL..,U,LU,5
to institutional and managerial capacities, mClUomg tT'o:t1'Y"l1rIO netVi/orks.
technical assistance programmes for management, accountancy,
effective cadastration and tax collection and assessment.
Political and administrative decentralization from centra! and regional govern-
ment to loca! authorities is also seen as a reform that is essentia! for
efficient curative and preventative action on the urban environment. In the
centra! planned, financed and built
27
related infrastructure and services whilst local authorities were
and maintenance. The transfer of decision-making and
investment to local authorities power with funds on-lent from central govern-
ment or derived from enhanced loc al tax revenues is seen as an essenti-
al measure. Democratization and empowerment of local government are seen as
vital for out of the culture of public inertia and for the
political will to act on environmental issues.
The new environmental also recognized a significant role for communi-
ty participation and NGOs in addressing environmental issues and achieving
environmental improvements. Experience has shown that involve-
ment in and better and more v
maintained ....... r"<>I"l'c
UNCED's "Local 21" initiative
their own environmental action
cOJllSensl11s-building between
zations.
Some argue that environmental
labour and
authorities to
consultation and
can best be achieve
and their of
maintenance Numerous examples exist where COlmnlUI1tity
in collaboration with NGOs has produced significant environmental ,"",,,,-,,.,,"'-
ment through low cost water and sanitation Some such as the
ILO and UNDP are willing loans and technical assistance to DfC)ffilote
initiatives such as sidewalk
ments, and . of drains and water the
construction of health posts, and the planting of trees. Their support derives as
much from their to and incomes as for their
environmental effects.
Major environmental improvements are also identified with effective hygiene
and educational programmes aimed at women and the provision of
school medical services and diet programmes; the shift from curative to
health care, and on health care and vaccination
programmes.
28
CRITICAL ANALYSIS OF URBAN ENVIRONMENTAL STRATEGIES
nnI1f'H"C described above bring up a number of issues and that are
of consideration in the International Seminar.
The question of the relationship between macro-economie
ti:tl"!:lItl"Ol'>'2 and environmental and remains controversial.
... uv'nl':i ... irlo as the between
and the environment is far from clear and lies at the heart of current
debates on .. sustainable and
and the lack of it can gel1erate environ-
aelgra.aaltloll. A macro-economic that does not gelrler'ate
increase can be to massive environ-
mental which environmental policy measures can do little to
counteract. On the other hand a that generates levels
of but which does not tackle the poverty issue can ---------J
environmental A that achieves
and steady eradiction of poverty can result in a decrease in environmental
much on the roIe of effective environmental
For most Developing Countries the dominant macro-economie has
been that of Structural Adjustment.
Which of these scenarios best fits the rel:ati()nsJrlip between this de'vel()plllleIlt
.. r and environmental issues?
The answer is far from clear not just because of the perpetual difficulty of
from or because of about the
performance of adjustment in relation to their Part of the
particularly from the urban side, is theserious Iack of research into
qm!shon. Whilst there has been some critical research into the
environmental effects of adjustmeJnt .,..",1"'1<:"" in rural areas the
What have been the effects of on the' urban environ-
ment in countries? and What has been the of urban
environmental on these effects? have been addressed.
A number of issues reliatulg to these can be brcmgJtlt up.
a central of neo-liberal urban environmental poIiey is the need to
increase urban infrastructure and service investments in order to deal with
environmental Yet there is a deal of evidence to indicate that
in many countries structural have cut rather than increased
these investments. A number of reasons have been suggested for this:
29
Some have that the central policy goal to increase the share of tradeabie
and services has led to being to investments that gellerate
"''''' ... ',. ...... p;,v over those that do not. Governments that subscribe to the
of value' have identified urban public
because they do not' directly foreign
Others to the central of adjustment policies to restore the balance of
payment situation. This has been achieved by reducing net investments and
utilization. In Latin America between 1980-1988 per domestic
investment decreased by 5.4% p.a. it has been that the
decline of investment as a of GNP has come about as aresuit
of the compression of the development rather than the recurrent budget for
political reasons.
A third reason for public disinvesment under has
been fisca1 reforms that aim to cut the public budget deficit. Budgetary allocati-
ons to local authorities for basic urban infrastructure, services, shelter etc. have
COtllseclueIltly been
Whatever the disagreements over the nature of these trends, and wh ether they
are long term or short term, most ob servers agree that they have accentuated
the of urban poverty. ob servers believe that "poverty is the
, it is the poor who suffer from the consequences of environ-
mental and is of ten its cause. A deterioration in
the conditions of the urban poor, such as that which has occured under Structu-
ral Adjustment, would worsen the environmental degradation of
Third World cities. The therefore has to be asked:
realizabie under
"' ......... "I"",..."' ... t- of the macro-economie determinants of the success
of current urban environmental is the size of the I resource
pool', the financial resources available to make the necessary investments in
urban environmental Wh ere will these resources come from? A
range of sources is Central revenues and transfers to
local authorities are The size these revenues
on the which must take as the World Bank
cautions "without jeopardizing financial stability'. This constraint (largely
related to the Debt indicates that the ability to raise revenu es
from is limited. A third source -aid- is to
capital on the scale UNCED estimates that only about of dev'elolO-
ment as si stance is devoted to areas, and resources devoted to urban
environmental problems were overlooked in the Rio environmental financial
commitments. Neo-liberal therefore a great deal of reliance
on local revenue enhancement and the sector to find the
necessary investments. The associated
30
discussed But even under the most oPltlI11l1StJlC scenario and <:.Ll><LfVVHU:C for
a dramatic reduction in the standards of ..... rr'u1C'1nn
ments the resources available wi11
funds.
Annual nvestment rt:>ElIlli-rt:>l'nt:>lnt"
of environment lmlJrOVe-
of the investment
are
more in annual flows
between Countries and UeveJlo1]led Countries in the form of debt
Another basic issue that is critical for success in dealing with urban environ-
mental degradation is its with the that characterizes so
many Third World urban systems.
In the Fifties little attention was to decentralization as it
was believed that regional would be corrected automatically with
further development convergence would come about as a result of the
trickle- down effects of unbalanced growth. In the Sixties and Seventies it was
argued that convergence a more active set of government
pOJ.1CH:!S and doubt was cast on the wisdom of ' excessive " growth to
occur in primate eiries. Polieies were introduced based on tax incentives,
infrastructure-led development, and to decentralize industrial and
urban in growth poles', 'resource and
growth centres'. In the the focus on regional of
eities and national urban continued. The of 'polarization
reversal' identified regioI}al convergence as promoting the
of eities. Some countries undertook national urbanization
strategies where the national urban infrastructure
investments on those eities potential. In others
concerns were incomes and to quaren-
tee minimum serviee levels throughout the national In some countries
regional or level decentralization was the
....., ... j;;,.Lu .... ""'"' doubts grew about the wisdom of a t relaxed I attitude towards urban
iJ.U.Jeu ... ,,, y as it became realized that very environmental costs accompanied
the benefits of an 'excessive I concentration of economie
eities. It was that these costs were not borne
them, and that could be reduced if urban growth
distributed throughout the urban
In the late and Nineties with the consolidation of adJusltm:!nt
measures and neo-liberal -side theory there has been a dramatic shift in
focus in spatial now it is the 'city in itself' rathef than or
national urban systems that is identified as the locus of productive activities.
This shift has led to the demise of and
decentralization and the rise of ' urban policy"
single-city model. In a climate of increased intensification of international
competition assoeiated with industrialization neo-liberal policy-
31
makers that it was unwise to disturb the market determination of the
rel.atlc)flslhlP between location and economie by go'V'ernment reg,Ulaltlon.
lndeed attempts to do so eould slow the rate of national growth and exaeerbate
should faeilitate national economie growth and
gains in rather than eoneerned with at-
tempts to aehieve eonvergenee of regional ineomes and service provision in the
name of
In this context it is that de1vell[)plnel1t ..... , .. ii"",r"iiH,o., should be based on
and that investments should go to
those eities with the exustmlg and pOl:enltial COIlllp3lrat:ive ad
1
vaIltalges
for the of tradeabIe and services.
These eities are the
essential for ma.xmniz.ing
eities which are seen as
The neoliberal tends to the contribution of urban
to urban It argues that no causaI relationship has been
estabIished between the incidence of urban and ClVv-Slze:
and if amvthlinp
nrr.hl"'TnI01 -lncludUllg environmental
eUiclenc:y and n ... 'r. ... hu .. ltii"riiih:r
There is a need to correct environmental externalities in order to raise returns
for are themselves correctable
measures to inerease urban The best environmental
is to improve urban urban and urban en'Ilr<)flflnerltaL
in all tax rates and infrastrueture
more ade:qwateJly reflect social eosts; to issue tradeabie
ting industries; to restriet
eertain types of heavy industries.
between urban envi-
ronmental and decentralization raises a
number of It is dear that this proposes
that there is no conflict between attempts to stimulate urban productivity
and and to deal wUb environmental
Improvements in urban produetivity and will both attraet further
growth and reverse urban environmental degradation. It is assumed, but
not explained, that the benefieial policy effects on the urban environment will
be greater than the eosts of the additional environmental externalities geIllera.tec1
by It is difflcult to see how this can be aehieved without serious
att1empts to transfer the social eosts of environmental onto the flrms
and individuals responsible for producing them through administered
lt is reasonable to expect that the payment of high externality costs) if
32
are absorbed by the producers) would diminish their returns. In a
.. "' .. ,' ..U ................ national and global market this would diminish the cornprra1:i-
ve advantage of the in and would lead firms to locate in those
countries and cities where these costs were less.
In this context the wisdom of 'single-city' to current realities can
be questioned: Are effective urban environmental lJ'UJLII"J.''''''' realizabie on the
basis of a model?
In recent years many of those to sustainable and
'sustainable cities! have - from an eXI>l1Cltly
- the wisdom of facilitating the further
cities under a of market liberalization and with Avr'll1''''''''''U
investment criteria. From this viewpoint the cOJmplexlty
the relationship between the built and natural environment in Third
Cities cannot be fully comprehended traditional economic pruranlet1ers
fail to free that fail to critical environmental
thresholds; that fail to internalize environmental and
which fail to address the health and of environmental
that 'city-wide' policy measures to eliminate the waste
,,..,,rl"'1''nU1C much environmental degradation are necessary,
are not seen as sufficient to achieve environmental sustainability.
that even with eXl:st:iJJlg plOPllllation levels and
many are
with water
!l'1",IlI!ll1lv e:Jdumstmlg their environmental
the
of primary sourees, the destabilization of
pOJllution levels that are to human health and
Given these trends it is that it is unrealistic to believe that further
market-led urban growth can continue up to the point where negative environ-
mental externalities make it no longer profitabIe for to locate in the
arguments thus the current wisdom that city size can be
taken out of the equation for dealing with urban environmental and
assert that decentralization and regional are
with urban environmental pn)Ollems.
According to sustainable environmental
rationale (that is not neo-liberal economie
re<llucltiorllsrn) that has to be considered in the choiee and construction of
regional and national urban policy framework and analysis.
33
This environmental rationale demands the reassertion of a territorial basis
for based on a close and detailed of socio-economie
and environmental palraIJneters at various scales.
The environment operates as an integrated system, and modification even if
are local in nature may achain reaction of multifarious effects
that are national or even international in scale. Urban environmental
sustainability cannot be achieved discrete and policies that
confine themselves to the household, neighborhood, municipal or city-wide
levels. Rather the metropolitan, regional and urban systems levels of planning
have to be reinstated and a territorial planning structure instituted that is
to the of at different scales. Thus the
on can be asked:
Can cun'ent neo-liberal urban enviromnental UUl.n.:u:::!t realise environmental
in the absence of and decentrali-
zation pOJlict,est
can also be raised about the environmental
to and the of urban "'''' ... '''r>,'''''
infrastructure and land development.
Neo-liberal argue that these measures are necessary because
the welfare state model which the charader" of
services and was neither effleient nor eQlllitlible,
environmental externalities.
Privat:izatioJ[1, reforms and the cost
services that involve the real cost of rnaintenance and
costs of extension of central production and distribution would eliminate
these allow extension of coverage, irnprovements in and
in combination with subsidies would prove to be more eql11wime.
can be raised in terrns both and
to achieve these effects.
The claimed for urban and services
in Third W odd eities remain an assertion rather than a
verified result. There are a nurnber of reasons for this.
attempts in these cities although a dominant trend are
in rnany cases far from complete, and comparative and
with a coverage have yet to be undertaken.
Second evidence from cities where the models for Third
World privatization were fiTSt developed, has a longer time span and is more
widely available. surrounds the relevanee of these
34
findings given the fundamental differences that exist between infrastructure and
service provision in cities in and Developed Countries.
Third, the range of described by the term is conside-
rable, and it is clear that only in certain sectors and activities (which vary from
to country and city to city) has there been a fuH linear progression or
conversion from the public sector to the sector. More there
has been a of the articulation of public and
capital, and much remains unknown about the nature and of this
new even amongst those who are its protagonists.
there are those who claim that the combination of privatization and
measures which has been
Countries will not achieve the sought af ter
in Country eities.
and in search of
centrali-
zed and hierarchical monopolies that dominate the nl"drlVl":ICln of technical
infrastrudure sewerage, roads, transport and
Here the quest for profit and competition has involved the transformation of
pf()!It:ab,le monopolies or segments of monopolies into private ones; the
residualization of the less the of of
networks and the division of public
and private responsabilities according to functional within the
policymakers believe that the advantages of private ownership
can be neutralized by and therefore the process must be
Others have argued that the concept of a self-regulated market for urban infra-
structure is not for Third World cities. It is argued that the hierar-
chical and characteristics of infrastructure are not or
statutory but are a function of the of ",u",t.:''I''r'" rI,,,,lnl"'''''''''HT
soeialized consumption goods and services. Access to these goods and services
delen<1s on an of and distribution networks - in
water and sanitation for distribution
and capillary distribution These networks are natural or technical
monopolies in which market laws often do not
essential to achieve at the level of the
segme:ntal:lOn of these can
productivity do not nec:ess:arlLy
system; the fission of networks into distinct local
quality differences between
is of ten by the need for sca1e equalization of costs
the that can be with privatizatiOll.
35
eXlparlSlcm of centra! without coordinated increases in
distribution networks can lead to inefficiencies and high costs associated with
underutilization of arld whilst rapid of distribution
systems without increases in central can lead to
failures.
In current the of
respolnsillJle for trunk infrastructure and central to effecti-
match and coordinate their investments with volatile demand for
capillary associated with market liberalization of land and nOUS111l2
can be questiLoned.
Given their technical and from
Countries seems to indicate that the shift in owners-
hip from the public to the private sector. In some countries where fisca!
pressures are severe, the of future monopoly and a weak
has been used to render infrastructure more attracti-
ve to
lack of public control of strategic resources.
Differences between urban realities in Countries are
also another reason why doubt has been cast on the. appropriateness of the
priva1dz,ltio
'
n!clerceglllation formula. In Countries urban
.... ""v ... n""' there are levels of consoli-
dation of investments in basic coverage and high
levels of technological homogeneity. As the costs of the basic system have been
pnvaltlz,mcm is concemed with and
arld with starldards. In lJevel.on:Lllt!
vaW.L,(J.t",-Vll occurs under circumstarlces of
urban a low level of consolidation of investments in the basic system,
arld high levels of technological heterogeneity.
eXplarl5110n of the basic
in ways that benefits and which
are environmentally sustainable. The ability of the private sector to rea1ize what
are massive investments with slow rates of return has been questioned. This is
not to that these dties are also characterized by levels of waste, and
low associated with underinvestment in the maintenance and of
the eXlstlrLg ..,'.TCT.::'n-IC
The decision to prioritize investments between extension of coverage and
irnlnr()Vp.mp.nt!iO to the is and
and needs to be undertaken within an
regulated and coordinated framework. Doubt has been thrown on whether
current policies with their emphasis on weak regulation, demand determi-
.... a' ........ ' .. , and market aUocation can ihis framework.
36
a commonly-heard objection to the "demand-driven"
water and sanitation is that given household choice water
wi11 precede sanitation and water use will exceed waste disposal
('>",.,'Vll"'"t" with few environmental or hea1th benefits. It has also been argued that
the weak or "flexible" regulation can have deleterious effects which will
ultimately In the mid-Eighties inner air pollution in
Santiago, ehile exceeded levels 300 % af ter the privatization of
collective transport, which was found to be for 70 % of the incre-
ment. Some have also argued that tradeabie emission merely give firms
a licence to rather than compelling them to cut back.
Questions have also been raised about the ability of neoliberal to
a more equitable distribution of infrastructure and services. These
doubts derive from the discrepancy between the exclusive of
general cost recovery, and demand-driven
investment in the and allocation of outputs, and the of the sodal
and environmental objectives embodied in the of the "public character
of services". The conflict between theses and
economie
beyond effective and in these drcumstances it is
regulation is essential. It is difficult to avoid the conclusion that adherence
to co st recovery and the widespread withdrawal of subsidies would
lead to the exclusion of a part of the population from access to these basic
and which would then assume the status of a
commodity rather than a. Given the sodal and political implications the
state would have to fulfill this need without access to the cross subsidies
I./V.,'''''''','''' in the In this context it is to note that
af ter the water and sanitation in the
30% of households were unable to pay the new tariff.
In the of one would also
increase in non-invoiced of water and ""&"" ...... ,."H",
and measures to control this would be rendered less effective
erosion of sodal and associated wUh an
commodification.
Similarly the of networks and the extension of coverage
on the basis of the ability to pay could a serious polarization of
sodal and environmental living conditions in the and will contribute to the
formation of through the high costs of and the high
cost of non-conventional supply of water. The to service
and low income settlements would be seriously set back
because it is in these setlements that the technical and costs of
nrr,vic'll"\n are highest because of geo-morphologi-
uinera,blllltles, layouts, environmental hazards etc. net
provisions could prove to be in the absence of tariff
37
structures with subsidies to the poor and recovery rates ... r1""<,t,,,rl to cadastral
income levels and consumption levels.
A number of issues and questions also needs to be considered about
the relationship between environmental and policies and the decentra-
lization of and administrative power to local authorities.
that in measure the failure of earlier
of environmental could be traced to
ineffective and unaccountable local govern-
ll.I..lL:'U;:"I;;, underuse or overuse of resources was associated with
excessive concentration of in central 20'vernnlent.
In this context neo-liberal tbe transfer of power and
resources to the local go'veI'nnlellLt
Numerous models were for this decentralization process and
cant differences exist between them. In Countries the most com-
monly applied version was one where executive were transfer-
red to but powers and fiscal resources remained at the
central level. Here the central state retained control aild flows of
finanee to local authorities and monitored the and execution of
local authorities has enhanced powers to choose,
jJ ....... v ....... ' ............ and these and were empowered to raise
revenues from services and local taxes. These measures in combination with
access to tnternational loans; in urban
technical as si stance and institution-building would result in a enhanced
environmental capacity derived from a buoyant fiscal
base, contract and
service standards, In some versions of decentralization
supported a wider was associated
with the extension and consolidation Here the local
authorities increased their roie in organizing
and house-
holds. Some to the citizen
was a prerequisite for "bottom-up" environmental based on
local knowiedge and and were essential for increased cost
recovery and local taxation on the of nno taxation without representa-
tion".
Much of the on the of neo-liberal decentralization
measures centres on fiscal issues. the flow of central transfers is
critical for local environmental improvements, is by
on the ability to increase the contribution from local taxes
and user charges. This ability depends on a range of administrative
and political issues and has to be demonstrated.
38
Concern has been that the of local revenues for environ-
mental and urban is more the need to fill the
resources gap created cut-backs in central govemment transfers to 10cal
authorities as a resuit of policies.
Under these cireumstanees decentralization measures ean be seen as a
means of for the effects of national am"tm:'Uy
go'VeI'IDlllellt without nwo,,. .. ,,,"',n, ... the resources to deal witb
them.
Same argue that the effects of decentralization on the
distribution of environmental improvements will be negative. Those munici-
with an or tax base will make 1t'n-nrr\UPTnP.ntc
whilst in the absence of poorer mlml,::ap.all1:leS
further environmental deterioration. If these differences were
alowed to grow, the net environmental effect at the macro-level could be
A "local focus for urban could also
rather than resolve environmental in those many eities or
me:tro1pollum areas which come under the of more than one authori-
ty. Decentralization of power and resources could here lead to an intensification
of to generate tax bases through the relaxation or
of environmental standards. Some are just too small
and cannot afford either the or skills for the
provision and of services. The political and com-
plexities involved in overcoming this difficulty (mergers, umbrella organiza-
service boards etc) can make these expensive and
ineffective. The effects could be an intensification of many of those irrationa-
lities in the urban form that threaten its environmental support capacity - the
uneven distribution of infrastructure and services, green and open areas, diffe-
rentialland use and standards etc.
Critics of the universal aPlJl1c:abll1t) of political and administrative decentra-
lization measures have to the absence of strong local govemment
traditions in many coulntrles. and have doubted the of current to
make much of an for a of time. In those cases where
reglLllatory conrlpelten<;e has been transferred to the local many doubt that
local authorities will have sufficient power to confront greatly strengthened
sector interests. The can therefore be asked:
What is the most effeetive distribution of powers over the urban
environment the various levels of the state?
39
Sub-theme B.
SPATIAL STRATEGIES
Some observer argue that transformation in the urban systems of
ve:veJ.onJm2: Countries are These transformations bring forward new
questions regarding sustainability and state in the management of
the built form. A new model is as the transformations of the
Nineties a new social urban structure in which the growth of poverty is
not in line with the growth of informality.
The Sixties
In the Sixties the dominant models that urban policies in
Ve:veJlonm2: Countries were derived from modernization theory with its strong
Western bias. It was that the urban structure of cities in and
Countries was different because they were at different of a
similar urbanization process whose revea1ed the
mation of the former to the latter as modemization and proceeded.
Third World cities were at transitional in the framework of "universar'
tYIJIO!C)gI(!S derived from the historical pattern of Western urban ae"el<)pI1UeI1lt.
Although phenomena such as urban overur-
banization and urban were seen as remediabie only through further
and differences existed about the extent to which planners
could and should intervene. In general and again in imitation of plann:mg
theories and that were dominant in the it was
believed that on Western minimum
standards and direct and rationali-
ze urban to achieve this was the
Master Plan which attempted to regulate and "direct" land uses, location of
activities, and services and networks. In some coun-
tries of ten to01s such as interaction models were
with master planmng.
Dualistic theories and models of the were also
lity, culture of poverty and duallabor market and were used to
and formulate social and cultural issues and policies. In
their form they expressed the notion of two forms of
organization defined according to criteria
pf()h1entticm of shantytowns on the urban and on 'non-urbani-
zable I land was a result of the direct migration of rural peasants to the who
reproduced in these settlements the social cultural and
living conditions associated with the "traditional" or cultures which
were seen as obstacles in the towards modernization. Urban
were thus based on a refusal by the state to extend services and
infrastructure to these settlements, where possible to eradicate them, and to
construct conventional care-units with "minimum
ll
standards in their The
failure of these policies was clear by the late Sixties: slums and <,h"lnh,tr""rI"
state the of new conventional units was
40
miniscule in relation to need, and despite subsidised they were
unaffordable up to 75% of the population.
The Seventies
In the Seventies a new policy consensus that was consolidated at the
HABITAT I Conference This approach adopted a far more
attitude to the growth and of squatter settlements, and was
a new spatial model of the The new model discarded the
dualism of the earlier model and related rented
inner city slums and settlements through the mechanism of
the economie and associated with the migrant's life in
the city. In this model inner city slums were identified as deteriorating recepti-
on areas for new migrants and peripheral settlements were seen as the
last point of residence for established The
model was based on the of continued socio-economic of
urban residents; the transition of residents from to owner - occupation,
and a clear differentiation of those settlements based on rental tenure from
those based on or owner-occupation. Research in the Del[1DJrre-
ral settlements revealed that households and in contrast to the
sector, were building affordable process
""' "r",a ..... and It was of these
and process into public housing and the extension of public
infrastructure and services to these settlements would allow the
expansion of state and increase the propensity to invest labour
and management skills in shelter and urban They included a
recogJtuuon: of the significance of home of tenure for
and finance; of the need to
development for built areas, materials, structures and \'.'PT'"\nr'p('
the need to reduce housing and infrastructure standards to affordable
the need to develop and provide access to and materi-
als; of the need for contributions and in
project and of the need to encourage informal sector and
labour intensive activities in and settlement de,rel()pnlenlt.
out of this consensus inc1uded sites and services
slum and settlements
tenure programmes; improved access to
manaigel1a1 and technical assistance; the stimulation of small scale enterprices
and informal sector activities in areas, and an to the
nTf"'."UH"1nn of services. In line with the of the
policies generall y owner - the exacerbation of low
sprawl and the linear extension of arterial systems on the urban
periphery and there was a general neglect of inner slums and the needs of
the rental market.
it was recognized that had to
minimal subsidies and defaults) and
to the and of
41
and services for low income groups. The
"affordallility - cost recovery - re'(.':llicabilit,r"
under growing economic, fiscal and pOl1UCal
formula became
in policy over the decade. In the early Seventies attention focussed
on sites and services but in the face of infra-
structure, services and land costs and scale middle class encroachment it
rapidly became c1ear that these solutions were not affordable the poor, and
could not meet cost recovery or replicability criteria.
in the second half of the Seventies the shifted towards
slum and squatter settlement upgrading in the form of "Integrated Development
, sometimes combined with sites and services to de-densificati-
on. Some slum and settlement up,gra,d.1Ilg nrnH>t"'tc
and middle c1ass groups in
generating cross subsidies for numbers the poor. Some countries
Indonesia) did manage to achieve urban improvement on a large scale
these projects, under the of unified 11 metropolitan
authorities 11 of and cost recovery often
emerged in newly upgraded projects as exposure to increased rents
and the costs of the improvements led to expulsion of lower income groups.
r:>. ......... HJ,IJL,:) in the to further reduce standards, increase densities
and to stimulate labour intensive and cOJmnmrnty
could do little to counteract these trends.
the with the emergence of the Debt Crisis, Structural Adjust-
ment, measures and land and costs the
lities for these to the -cost recover -
replicability" formula dramatically receded. Under the impact of economie
shrinking public and reduced subsidies, sites and
services were almost out, slum were
reduced in number and almost exc1usive attention was paid to settIe-
ment In was on the of public
and private housing finance, on the reduction and targetting of subsidies, on
financial regulatory reform and on an increased emphasis on private sector
but the poor were denied access to resources. In some
cOl11ntries. . .. 'v ... ..,' ... uF, was used as a macro economie tooI for rp':I('h'lT!t'lno
the economy and significant increases in output were achieved Colombi-
The Nineties
it was generally recognized
slg:nlIllCaJU inroads into the urban
the of the Nineties a new urban framework was elaborated
the failure to achieve the
based on the neo-liberal
..... .... ".jo," it was .. _' .... bu ..... J""-'
that some progress had been in it for drastic
new measures to achieve the cost recovery and replicability of urban goods and
42
services. Fundamental was attached to. policy, institutio.nal and
mamagel:1al reforms rather than "bricks and mo.rtar" and technical apl;>rOlaCJtles
for these measures reflected the goals o.f neo-
liberal analysis: eliminatio.n of supply and demand side constraints; withdrawal
of the state and of eliminatio.n and of
der'eglliation and institutio.nal ... " .... "1"'11'" D'UWlln:g;
increased participatio.n and po.litical/administrative decentralization.
Neoliberals turned to the of 'enablement' to n: .. r,,,,,1A the theoretical
supply and underpinning o.f the new policy framewo.rk. As the
demand side co.nstraints o.n 'free markets' were derived from state mt,enrenhon.
the state sho.uld withdraw fro.m the direct of and and
measures that 'distorted' demand. Instead it should facilitate o.r 'enable'
sector, formal and informal and groups and
to and and restrict itself to.
""6' ......... ' .......,,, and coo.rdinatio.n of the sector. Enablement of efficient markets was
thus as the mechanism to the levels of
commensurate with demand (if not need) and to resolve the replicability
pro.blem. A range of 'enabling '- po.licy and lending instrurnents were pro.posed
that would to. create a wen housing secto.r and which would
'serve the interests of all in the sector' . included measures to
stimulate demand such as the of (expanded
regularization and registration of privatizatio.n of public housing stock);
the develo.pment of finanee and the targetting/rationalizatio.n o.f
subsidies. Measures to facilitate included the pro.visio.n o.f residential
lnt" .. -:.c-t-/"l1ll"'tJ'l'A' reform of urban and standards, and the stimulation of
competitio.n in the building industry. The privatization o.f appropriate services,
co.ntracting out o.f wo.rk to. small scale enterprises, informal workers, private
NGOs and the were all In the
framework of enablement state were no.t concerned
with the creation of new stock, but co.nfined to. the o.f trunk
infrastructure for marketized land and the upgrading o.f settle-
ments.
eXJllailn tbe fanure to realize the atl'ordit)ilitv-cm;t recovery-
fOf'mulla, neo-liberal amlLlySiS also to the
oriented and recommended a shift to programme,
sector and policy level planning.
It was to fail fro.m macro.-eco.no.mic
policy rather than in a bad eco.no.my
was likely to be a
co.nstraints on innovation and
; that the rationale imposed
, getting prices right'- and the adequate
rates of return in project co.ntexts was project were
43
generally too smal1 to make an and were and
and finance made no consideration for future maintenance costs
and Aid were also concerned that project lending did
scale "'money-moving' required by the
pointed to the associated with
It was that there should be a shift from or sites" to
wide" or 'market wide' programmes such as land and housing finance. lf
the shift from projects to sector and policy level approaches was to achieve
replicability a on improved urban management and institution-
building was also rt:>rlll1,rt:>r!
urban resources should be de[)lm/ed in reinforced institutio-
and technical in areas such as mana-
effective tax coUection and
administration etc.
Domestic resource mobilization and co st recovery were essential and could be
achieved by tax cost recovery for public the reduced
coverage or termination of a wide range of and the reform of urban
and standards on the basis of from cost-benefit analysis
reg;U12Ltory audits'). Decentralization of power and resource to local authori-
imorclVeJmelnt of their financial and plannJlllg " ....... ,'"'".,.u
and increased participation was deemed
and fuIl cost recovery on user ch2IIge:s; pt1-t:>,"1-n.YP>
tax collection and improved On the left for these measu-
res was based on a redefinition of the of enablement to accomodate the
democratization and of
settlements would be
and NGOs and CBOs would be the of
urban
44
ClnTICAL ANALYSlS OF SPATIAL STRATEGIES
These up a number of issues and that are of
consideration in the International Seminar.
The first concerns the relationship between current urban
overall urban In the Seventies and the the
was to reinforce the dynamic of the residential
mobility model. the end of the decade as a result of the impact of these
policies and macro-economic trends and doubt was expressed about the
wisdom of further pursuing this and the relevance of the model
llnt'lprnlnn;T1IO' it.
In the Eighties the thrust was for peI1.p!lenil development, squatter
settlement upgrading and an increase in the of informal housing through
eXl:eniomg owner-occupation, tenure and the availability of services.
The concentration of investments and improvements on the periphery was
accompanied by a and of the inner city residential
areas. On the periphery a process of low urban was unleashed
to a of the urbanized area. For between 1969-
85 Lima f s grew by two and a half times, but its built area almost
three and a half times. In and informal settlements the
search for affordability, "autonomous residential and immediate
survival of ten led to the use of low Clerlslt:les,
ma.DD:ronnate locations and excessive public service non-
hierarchized roads, network etc. The deleterious effects of
these on urban and the urban environment have
been discussed. It is also c1ear that the concentration of investments on
the maximized linea! meterage of infrastructure and services and
involved massive "hidden I! urbanization costs that increasingly exc1uded the
poor from access to and which made it more difficult for the
state to service distant locations at rational co st. in the to
increase densities and rationalize in order to increase cost recovery
through the of could do little to offset the costs of
extending trunk infrastructure in this way.
neglect of the inner
the absence of any consistent
the failure to use and alternative forms of tenure
mcmomg cornmunau., Ci()-Olnelratlve. and leasing arrangements, and the relaxati-
A downgrading of the built environment and infrastructure has ocurred
45
to underutilization of technical infrastructure and inner city space,
increased maintenance costs and an increase in and environmental
hazards.
to commercial and
de<;onge!;tiofn and land use rationalization have of ten led to the '-'.hIJ ...... "' .. \.J'u of the
poor, the destruction of informal sector jobs and an increase in inner city rents.
Thus the end of the a
was created that was characterized uneven
distribution of population derlsltlles, infrastructure and areas of
underutilized space and and a marked and deterioration in
environmental and social conditions that threatened the
of the model.
The of this and the model it were
also by the effects of macro-economie trends and on urban
areas in the Eighties. Recession, macroeconomic and structural
aOrustlmellt measures have affected the supply of urban and services by
.LU,",'.L"""'''''U'';;;' the rea1 costs of finance and construction.
flation and currency devaluation have increased the attractiveness of
land speculation and hoarding. The rea1 costs of building materials and fuel
have been affected by import compression, currency devaluation and
Public on and services in
many countries have been cut back as
finance has been by revenues associated with unem-
ployment and wages; by reduced external commercial bank loans, and
government attempts to reserve credit for the tradeabie goods and TU'I"'.r11l1'_
sectors. Macroeconomic have also had a serious effect on the
demand for urban goods and services reduced Tea1 wages, increased
unemployment, increased taxes and user charges and the withdrawal or
reduction of a wide range of subsidies. This has affected both low and middle
income groups who have found that access to and services has
become more difficuit.
There is little doubt that these conditions have changed the relations of
the social classes in Third World cities. The exposure of the poor in pel1ptler:a1
settlements and to land and
prices and increased user and taxes has led to their '-'''''IIJ'''',''.I.''''''
settlements and a shift back to rental accomodation either in the inner
slums or in the rapidly peripheral rental markets. On the other hand
the supply of for middle income groups with
reduced incomes and access to has forced them increasin;giy
to enter informal markets where with low income groups
for access to scarce resources. In many cases this takes the form of middle
class encroachment into recently upgraded or the of
46
"upmarket" middle class housing markets by informal within low
income settlements. It has been suggested that this may have led to a narrowing
of formal and informalland differentials in some cities.
It is now increasingly that the long term shift in ten ure pattenls
from in inner city slums to owner occupation in peripheral settlements
slowed down in the and in some countries may have been rev'ersect.
to encourage Reasons include:
declining rea! incomes; costs; cuts in subsidies; the dls:apPlea-
rance of non-commercial access to land and an increase in government controls
over of n01LlSlll1g.
There has been a of rental and sub-rental
markets (of ten kin-related); spatial differentiation of
rental and other housing markets; the densification (rooming) of inner
areas, and of the difficulties now the and new UJ..Lj:;;'LU1U.3
for the of residential by earlier gerlenltlCms.
The
with acute
, ... ",. . "11.... to is a pbenomlenon
economie, cultural and political significanee.
It is widely a
dramatic increase in with up to 70 % of households now renting in some
North African and Asian cities. There is evidence from several cities that rents
have to rise in relation to and incomes.
In this context the basic which themselves are:
What is the
these
Nineties?
of current neo-liberal urban policies? and Do
the new realities of Third W orld cities in the
In one sen se it can be admitted that these policies and the analysis that under-
them emit a . The that are in
a shift in focus from material structures investment in
human and physical to policy reforms which are not so much structures
as government actions designed to influence resource allocation. This shift is
as fundamental for success, and in its assertion the
is left that to be a concern and that the
have not been considered: 'the best
A second view argues that the new urban framework has not so much
but reasserted the of the at a time when its
relevance has been superseded. It is certainly the case that the main emph:iLSIS
of current policies remains focussed on peripheral development - both in terms
of the extension of trunk the of low income settle-
ments, the stimulation of informal land and and
in terms of policies to encourage being the
47
main location of the urban poor it seems that inner city slum and
rehabilitation is to remain a secondary concern. the has to be
asked:
In the context of processes what .... """ ........ 'h"'C' should be atta-
ched to the rehabilitation of slums or the up,gradiIlL2 of
settlements?
Moreover
of inner
the serious conflicts of interest involved in the con trol and use
land, space, buildings and services the can be asked:
Does the emph:tlsis on urban eUicllmc:y nrlluhu'.tivi1:v and market-
led increase the inddence of inner
ry
It is also increase in that current policies pay
prC)m()Uftg rental and other forms of tenure. An
towards is characteric of neo-
liberal The attention of neo-liberal has focussed on the
deleterious effects of rent controls which are seen to subsidize businesses and
affluent tenants, maintenance and improvements by
landlords, and decrease the of low income rental accomodation. Others
have that rent control and is to stabilize and
the inner poor, and that comparative research has that the effects
attributed to rent controls in contexts without them. Rent dec ontrol has
been urged by aid countries but its P01IUC:a!
it has as particular priority. The
therefore have to be
To what extent do current .... "'lliil'i,,,'" facilitate the transition of low income
groups from and To what extent do
current of rental h01lSiIlg'!
Some observers argue that current in the context of
changing spatial will do little to counteract may even ,nt . .,.nc"Tu
the problems associated with and inner city
argue that this model is inefficient, unjust and unsustainable.
should consist of
and
and standards for urban
their for land uses,
economie and resource use. These
and standards must aim at the character and deve-
of the urban fo:rm in line with its environmental
cost-minimization criteria and sodal
It is that can only be achieved through the of the
and a general spatial strategy of densification of the built area.
48
This would """" ..... a return to and in tbe
context of urban structure that differentiate zones wUb different level
of consolidation. Differentiated land use, and service
standards would be establisbed for zones in order to rationalize
settiement and urbanization costs, and to bannonize
urban in a more and effident fasbion.
It would also the soeial embodied in encouraging the mixed
use of space in inner city areas; the sale of to prevent urban
and to generate funds for low income urban the creation of
differentiated equitable and efficient tax and tariff structures;
and access to rental for inner eity tenants, and the use of cash and
direct subsidies to poor I end users I rather than owners.
It is c1ear that an interventionist,
is far removed from current enablement
end state and which the creation of conditions rather than the
imposition of restrictions. It is clear therefore that a central question for debate
must be:
Sbould there be a concerted to renew and the
built area ratber than tbe contmued of the of
tbe
It also can be asked whether a fundamental problem exist with current shelter
pOliCIes. As we have seen their principal thrust is for upgrading and mcrea.slll.g
the supply of informal and security and land
tenure, access to finance, infrastructure and services. This is under
conditions where there has been a smallor declining of conventional
nOllSUJlg and controls over settlements and access costs
to low income groups for solutions on the perlPherv
However the essence of the urban housing in Countries is
the between the rate of creation of new housing stock and the rate
of new household formation. The World Bank has estimated that each year 12-
15 million new households are added to Third World eities natural
increase and mljgratlOJn. The question must therefore be asked:
Do current shelter nnii." .. ,,,,,,
address tbemselves to the need to interulify
nous1lllg stock?
land tenure and the extension of services are
concerned with the and additions to the stock are
limited to the creation of new rental units in these settlements. Given the low
rate of supply and the rapid rate of household formation these must
result in increased subdivision, overcrowding, and and the built
up of demand. The rapid overcrowding of both inner and
ry demand should be a major for housing research. Poverty now has
49
broadened to middle income sectors, and is a major sodal
phenomenon of the 90s different sodal sectors with different shelter
needs. In many cases extreme is not solved through a solution.
The only way existing could be used to significantly increase the
housing stock would be by them with a land policy that
rapidly new households with land and services. It is doubtful if land
measures could the of land required at a
sufficiently low cost. Two other are PO::;Sl[He.
First the state could relax most controls over squatting and subdivision
move in to provide tenure and services. It is doubtful if this could
over a prolonged period given its effect on demands and the
rate of UUj:;.,J. ........ VJl'-
access to land could be achieved land baTIlKll1lg with the state
quantities of land in advance and relleasmg them at cost to new
householders. Again there would be great difficulties in this because
of budgetary restrictions and a for the to increase
serious to of infrastructure and services to
create new stock will require a coherent land
the fact that the of infrastructure for residential 11"",,,," ... n_
ment has been made a of neo-liberal policy there is no clear
outside of market of how this land will be and '-'-'huUJ.' ............
The has to be asked therefore:
What land policy should be n .... "" .. ".rl in order to facilitate the eXllaIJlSion of
infrastructure and services?
A number of other questions also emerge about the attached to
regulatory , institutional and reforms in current polides. The
"'''''',hlo"" of for has been located in terms of the shift from
projects to programmes, and the need for urban and institutional
reform.
But is the fallure to achieve re):lllcliibillty an institutional or manage-
ment ....... ,,.hl.<>'"'
Rather institutional reforms would be seem to be necessary but not suffident to
achieve replicability under conditions of costs and increased austeri-
ty. concern has been that the shift from projects to program-
mes could diminish the coverage of the poor because the link with """'.T""1"1tU
groups is less defined in less site-specific are
in a sen se material structures, and institutional reforms are more concer-
ned with rules, regulations and to guide resource allocation.
Although this may offer some insulation from the commonly heard criticism
that lSO little has been achieved on the ground I it is also the case that the
50
reform of institutions, and instruments is an
costly and lengthy and that action is required to deal with
many urban Df()Olern.s. The question that emerges:
What is the time-frame within which the results on the ........... u ..... ,... of these
are to be realised?
If urban has been 'deterritoriamed 'and neo-
liberal theory it is a180 the case that in a sense has also
been I demateriamed'. The of as an artefact has been
subordinated to a of as an economie <> ....
vu.'\rI. ....... "vit"T values. In effect has became a bundie of
for these services. consists of indirect measures to enable
the and informal sectors to fulfil the 'materiamation' process.
Some and are concerned that
poIicymakers in this way have became 'shelter-blind' and that this
could mark the demise of studies.
Whatever the case it is clearly important the 'distanced' of
policy-making to the 'real
l
circuit of and services that effective means be
found for measuring and the results of these policies.
Research on the urban form is particular important the evidence
of the relationship between the deterioration of standards and physical
downgrading. Personal scores as a problem in almost all
Third World The relations between man and nature, and
cOlnnmrnty and neighborhood cannot be understood in terms
n-::n,TTTI,pnt capacity, but rather in terms of their wider dialectical interactions.
Consequently the built environment - and it architectural discipline can
become a powerful instrument to accelerate and facilitate the of
human and communal or it can become a source of social
that obstruct the possibilities for further collective It seems that
th ere is an educational and capacity function for and through the dwel-
51
2' A
MARKETENABLEMENT
Contracting Out
Privatization
Material+Financial Inputs
Deregulation
MARKET ENABLEMENT
Training
Advice
Research
Monitoring Quality
Marketing
POLITICAL ENABLEMENT COMMUNITY ENABLEMENT
Participation
Solidarity Funds
1"'""_...:r.._.....;:&L.. _____ Tub-contract
Contract
(+central
govt.contract)
ENABLEMENT
Contract
Participatory Planning
Material+Finacial Inputs
DereguJation
POLITICAL ENABLEMENT
Screening
Research
Advice
Design
Building Research Institute
Planning
Standards
CBOS
NBOS
COOPS
Users' Assocs.
Citi:zens' Groups
MARKEr
sses
microenterprises
COMMUNITY ENABLEMENT
Advice
Research
Marketing
Credit
Loca1 Branch Min. of Employment/Housing
Public Service Agency
Theme m
PARTICIPATION AND TBE ROLE OF TUE PROFESIONAL

goals and outcomes of neo-liberal planning
in the areas of alleviation and macroeconomic, environmental
stn3.te:gIes. In this section we shall be concerned with the
polItICa! and administrative aspects of these and the way in which
change the interactions between the state, the and the professional.
The three and underpinning the transforma-
tions introduced these in the Nineties are specific of
of Enablement:
nity Enablement. The revolution of the Seventies which ch:mg:e<1
sional practice of urban workers is now
transformations. A new role for professionals and a new
pra.ctl(;e for urban workers appears to be from these overall
The discussion of these themes will be undertaken with reference to the Model
(see Model 2, page The Model shows that the central state has established
enablement for three areas -the the local state and the
The local state also carries out enablement in relation to
local markets and local communities. In some context a Focal Institution (eg.
Standards and Research Institute, Local and Urban
em.Do'welred to out enabling measures for the
"'''VJLUW,'JU'' between the local state,
the market and community are often the actions of
NGOs. These transformations have and administrative
consequences and involve fundamental changes in the concept and activity of
professional PfC:Lctl.ce.
Two points have to be made before the model is based on a
composite - differences exist between countries and policy makers over
the relative that should be attached to enablement of the ....... -<.u ......
the local state or the community. In some formulations is on
market enablement and liWe is attached to enablement
decentralization is stressed with
prurtlCap,ttwln and so on.
Second, the neoliberal assertion that enablement serves the interests of all
pru11cIPants - consumers, central and local governments -
can be Rather it will be argued that urban involves
conflicts of interest between different activities and
political groups and is manifested in such as ... . .I..
cation, landlord/tenant unequal provision of
services and infrastructure etc. conflicts of interest also exist
between and within the central state, the local state, the market and the
and enablement policies can or diminish these conflicts as
weU as generate new ones.
53
Sub-theme A.
MARKET ENLEMENT AND TUE ROLE OF TUE URBAN PROFESSIONAL
Market enablement lies at the heart of most neo-liberal frameworks.
This is hardl y the constraints model that underpins
neoliberal theory. It that the earlier I excesive I state intervention charac-
teristic of the welfare state/mixed economy model was in
measure for inadequate rates of This model active
and direct state intervention in the allocation and of selected goods
and the use of interest rate, rate and price controls to
and and the use of taxes and subsidies
c01npJreh
i
ensave coverage and equal access to public services. Inter-
ventionist through the use of and controls was
deemed necessary to secure term urban and to
protect national interests and to consumers from market failures.
Neoliberal that these policies by interfering with the free market
determination of resource allocation , and incentive led to
supply-side constraints. It was that state bureaucracies stifled initiative,
were inflexible and unresponsive to demand
Excessive enterprices from increased costs
and held back High social spending, income and wage taxes acted as
disincentives to investment and deficits
were ,.. ... 1'1-:>1""'.,'" ..... ,
TvnTrnt:>nt" work.
Given the of state intervention in gerlenit1I1lg
neoliberal theory proposed a of the between central
and local and the market. The state IS roie in owners-
.au.ou.",,,,, IIlarJK:etmg and should be "roUed back", and its activi-
ties restricted to those of "market enablement". Govemment was to be a
cOCiJrd.imLtiulg and facilitating rather than an interventionist force. Enablement
meant facilitating and the formal and informal business sectors and
en1trelDre:ne'urs to market solutions for the production, distribution and
exc:nrulge of urban and services. Where possible the state should withd-
raw from their direct provision and in all cases expo se them to market GlSI:::1DII-
nes. By removing market resources, entre-
and innovation it was that market enablement would
of and it would produce sustainable
term and gains and it would reduce the of urban
goods and services to more affordable levels.
A number of instrurnents were available for the market enable-
Macroeconomic and sector - level policy reforms were seen as
- market forces, and for the institutional and
financial framework for enablement. measures aimed at the elimination of
distortions in factor, and financial markets and inc1uded the libera-
lization of controls over prices, rates, interest rate ceiling
and credit and the opening up of the market to foreign
54
n ... "'r1I1I1""<' and COJmpetltlOn the removal of T'\ ...... tariffs and import
quotas.
and reforms were seen as essential for
cmnpjetition and for the access of small scale enterprises
and the informal sector to land, credit, services and materials. The
privatization of urban infrastructure and service was
either direct sale to the sector or through the
cOlrrtr,a.ctmg out of work in central or local government housing, service and
infrastructure or projects through competitive bidding. Here the roie
of was limited to organizing the pelrt:rm:an{:e
of contractors, technical control and contractor policies
could be used to favour smallor large, formal and informal flrms wherever
aPlJroprilite. Central and local governments could also use their own resources
to advance the goals of market enablement. Measures commonly used included:
the provision of trunk land of con-
stnlction: promotion of informal and small scale
en1tellPn:ses to assistance and training in
skills and business management. In allocating resources and contracts govern-
ments could diseminate locally-based building processes and techno-
logies.
Market enablement is carried out through a variety of national and local
gOl,rernment agencies. NGOs are also used (often under COIltnlct)
mediate between the market and local and to ..... r""".", te:CllIllC,U,
administrative and economic consultation and resources. Focal Instituti-
ons can be to enable the market and the local state in areas such as
the dissemination of research and advice on standards and
training and technical and
It is clear that enablement of the
relations between the and sectors.
cal drive is towards the elimination of the state from the
has occurred is a new form of articulation of public and private
hed through a framework of asset mixed
franchises and concessions. The reallocation of
prc>uctnre functions and and financial resources is in
levels of and productivity. The political and
social consequences of this new of the state and however are
currently not wen understood.
One concern that has emerged is that the concept of the state embodied in
market enablement has diminished the welfare and sodal embo-
died in state interventions and that the market does not
acceptable of welfare distribution. State withdrawal uu'vUj::,U
privatiZJlticln and marketization has thrown into question the basic equity
55
objectives embodied in such planning prindples and instrurnents as the sodal
function of the character of differentiated progres-
sive taxation and and social and and
standards. This has occurred at a time when the social and economic
situation of those groups whose interests should have been by these
measures has deteriorated dra.ma.tlclll)i
Concern has also been expressed that some aspects of market enablement have
been motivated more by the desire to relieve budgetary pressures derived from
than a concern to maximize There is a fear
view enablement is seen more as a traditional
responsibilities than one to create new ones. Recently the between
enablement and has been
qwestlloned.--partlc:ualrly the detrimental effects of ... ",QA-n,r1 .... 1110 state finance for the
tradeabie
towards
sector, and the limitations of ",...-1"' .... t, .... ...
markets.
A case can also be made that the view of the state held by
neo-liberal - as the source of market 'constraints', ob sta-
cles' and -has led to a rather than I active I role for
the state in market enablement: most public resources have been used to
remove state constraints rather than to stimulate resource mobilization.
It is also the case that the of market enablement are far from
clearly understood. it would certainly be naive if not foolish to assume the
political impartiality of these measures, or to ignore their political effects. 1t
has been that and enablement measures have "'''' .. .,,,,,,,,,,,
the poor and sections of the middle and have benefitted
owners rather than tenants, and the rather than the inner city. The
political consequences of these policies are far from clear and the question:
What has been the effect of market enablement on the nature and
mies of urban needs further research.
Some have suggested that the privatization of public goods and services
delivery and the increased use of contractual relations may have contributed to
a of the influence of and traditional power structu-
res in their allocation. Others have that these structures either
in the new or that they have been used to consolidate new
constellations of political power. the question:
Do market enablement measures ,rIbc''i" ......... " or eonsolidate traditional power
structures or create new ones?
needs further research. It is the case that enablement polides have
certain groups and classes and formal
sector entrepreneur's, ITLerc:haJlts, rea! estate etc) and
weakened others and unions, the urban poor, dvil
56
servants) and this has generated new political alignments and conflicts.
It is also difficult to see how market enablement pOJ.1CH;S can transcend the weIl
documented conflicts of interest between and and consumers
and regulators over the allocation of urban public resources, and this question
also needs further research. Questions have also been raised about the of
NGOs to maintain their as are enmeshed in
a web of contractual and on national and local g01vennment
and international agencies.
It is also clear that the methods of enablement and the of market
and state relations in the of urban and services has had a
prc)tOlmc1 effect on the and roie of the It is true to. say
that the stress on economic efficiency has led to a more positive recognition of
the economic significance of good structural design and pianmmg
many still have in the
subordination of held technical and social to more 1"I<lT ... ,..,,,lu
defined market It is also clear that many of enabiement
demand a new concept of professional practice based on a 'service-orientation'
which the of new and broad but the consolidation and
codification of this is far from The disorientation of urban
has been further the dramatic in the
employment structures brought on by market enablement and adjustment
measures. The shift from the to the sector has seen
retrenchment of fuIl-time at the central state and
the of short and time contractual and work for
contractor firms, NGOs, and private and focal institutions. In
some countries shortages of skilled personnel have been reported in local
the low levels of remuneration offered. It is also
the case that the increased on and technical and
need for skilled personnel in the redrafting of regulations and standards has
created for some in a new role.
However little research has been carried out into the qm!son:
What has been the effect of market enablement on the emlP!)YIJne11t structu-
re and of urban
57
Sub-theme B.
POLITICAL JL:dI.'1i.t1UlJ'.Jl..l.OIjJ.V.II.JI!<Jl'lJlq REORGANIZATION OF THE STATE
The second of the three modes of enablement outlined in the Model is political
enablement defined as a transformation in the structure and function of central
and local government, the relations between and their relations with the
market and the Political enablement is achieved political/
administrative democratization, managerial and institutional
reform the widespread use of NGOs and based and
through towards the market and in the
allocation of material and financial public and services.
The justification for these policies is based on a coherent
central/local government relations that uses economie
to processes. Given that the allocation of
services can only be achieved the excessive gO'vernment
centralization and bureaucratization were amongst the main reasons why
development had failed. Central government bU1:eallcnlCle:s,
those associated with the welfare state model were inefficient
and to benefit the middle because in the absence of
market disciplines and electoral accountability bureaucrats have a personal
interest in budget-maximization and oversupplying goods and services through
deficit financing. Centralized is prone to and 'rent-
seekm,g' activities by interest groups to the mi:sappr<mriatilon
or misallocation of resources. The scale diseconomies associated
with excessive centralization of power and administration included: the stifling
of initiative and innovation, the proliferation of agencies often with overlapping
and
coordination at the local level.
Similarly it was also argued that the failure of earlier policies (and in some
versions project-based was due to inflexible and
unaccountable local whieh led to short-
pumnmg and technical poor mainte-
nance; inadequate local revenue-generation and inadequate co st recovery on
user cnar,!:!:es.
Neoliberal reforms were directed at back' the state in line with a
market-oriented of a small and efficient service or customer-oriented
state, whieh would increase initiative and redirect welfare There
would be cutbacks in the size of the centra! civil of
""".n .LHAl;;"'" on and the introduction of cOJnDietition
and market disciplines in public bodies. Central/local governments relations
would be restructured by diminishing or stabilizing the contribution of central
incentives to encourage local
em;ouragmg cOJnplBtltion between local autho-
rities 'fundamental decentralization of
powers and resources to the local government level. Numerous models were
58
urcmosed involving a range of different financial, and institutio-
nal alternatives. In some countries decentralization measures amounted to little
more than a strenghtening of central loc al representatives and the
deleg::ltlcm of powers to national decentralized More commonly the
central state retained con trol over fiscal transfers to local authorities and
regulated the and execution of projects; whilst local authorities were
greatly increased power to prioritize, plan and implement
and to raise revenues from local taxes and international
loans. Decentralization of this it was argued would give accounta-
bility; a more fiscal local coordination of state pro-
jects; improved cost improved contract manage-
ment; better and cheaper and a more distribution of
it was also that these could not
be realized without to strengthen the institutional and
planning capacity of local authorities. This was to be achieved through instituti-
training and technical an increased
plann:mg through incentives rather than the abandonment
of the and the shift to or sectoral - level
program mes such as land and rather than
In an number of countries local decentralization and
have been associated with the extension and consolidation of
and a of the relationship between the state and
civil society. Here decentralization takes the form of representation of loc al
communities a council or with powers over the local
executive. Democratization is identified as a element in enable-
ment for several reasons: local elites accountable to the local electorate
would decrease the incidence of would better
expo se local needs and priorities; political freedom is and
the democratization of urban and the lJUllm;;i1l
tion of local were to obtain the reconciliation between
technical efficiency and social essential for efficient service
ti"'I.",:: ....... , and political was a necessary for increasing
local taxes and rates of co st recovery and for ;rn1nr .... ,uirICt
Political decentralization and democratization provide the context in which an
empowered local can advance enabling strategies with the local
market and Here local activities become a set of social
and which popular demands and technical administra-
tive responses can be and maintained. Local govem-
ments are expected to act as a force for enablement in a development
based on community and Local
authorities increase their role in coordinating and
citizens' groups, self-help groups,
NGOs and the various market to provide goods and services.
Measures most commonly used include: the provision of trunk infrastructure
and access to secure land tenure, appropria-
te and standards and skills traInIng,
59
local technologies, materials and designs. NGOs, Focal Institutions and closely
supervised contracts are widely used in regulating these relationships between
the Iocal state and the cornmunity
Political enablement transformations in the role of the
state and its relationship the community and the market. A number of
issues are currently under debate. Neo-liberal discourse claims that
enablement does not a reduction in but rather a reallocation of govern-
ment with Iocal as the centre of empower-
ment. concern has been that in
lities have been transferred, the resources required to exercise them have not.
This has raised the suspicion that the enthusiasm for decentralization derives
more from to relieve national deficits and
manage the debt crisis than it does from broader delTIOCraLUc
the World Bank has that a element of enablement strategies is 'to
leverage public resources to the greatest extent possible'. Experienee from
some countries has also shown that the of res:ponsl.bl-
lities for the effects of national onto local gmrerrlmemts
has a when the
to a political division. It is also the case that the stimulation of Iocal
government revenues is a complex and lengthy process that despite current
will not revenue streams for some
central transfers in the int,pn,rpnina
current trends for urban deterioration can be eXJ>eCted to continue for some
time. The question therefore has to be asked:
of decentralization related more to
re(luireInelnts than to internal socio-economie and DOJlitliCal re(luire1nent5;'{
Debate also focussed on the sigmI1LCaJrlCe of polItiCa! enablement for the roie of
the central state. Some observers between decentrali-
zation and structural policies conditionality I
with international agencies, see a two-fold weakening of the
central state in Less Developed Countries as power flows upwards to these
ag:mcaes and downwards to sub-national units.
The wisdom of and local the centre of political
and administrative has also been challenged on a number of grounds. In
most developing countries local is weak,
tive and lacks institutional and technical An
'ln,.,yon..""h based on immediate without effective enablement could
have serious consequences in those numerous countries which lack a
local government tradition. Some have speculated that the transfer of powers of
regulatory competence to 10ca1 authorities with weak enforcement
within a c1imate of
a lack of Local in
60
their actual and pOItenttal revenue bases. In the absence of fiscal eqllalj.zation
measures and environmental
could open up between them. The effects of 'municipally-centred' two-speed
development could be particularly deleterious in urban areas. In many
Countries urban has over several
municipal areas. The fragmentation ' has led to different
rates and types of urban and irratio-
nalities in the land market and location and delivery of technical infrastruc-
ture and services. Given these characteristics many see
tra.gnlen.tatlon as a and view with some the effect of
the encouragement of 'Tiebout forces' on integrated and planning. In
this context two need to be asked:
Will poJIiUcal decentralization further interu;ily the "' ...... h." ......... '" associated with
the of urban areas? and Should decentralization
measures be introduced before, after or as of a broader of
reforms that harmomze divisions with
and environmental realities?
Political enablement also fundamental changes in the nature of urban
planning policies and offers new opportunities for
pra,ctlce. In there has been a shift from centralized reg;ulaltory planmng
that use master
standards to urban towards a desired end-state. In its
the more modest goal of orientating and modifying urban development through
based on consensus on an outlined urban
and environmental
'"'v ............ ' .. , relaxed and pre-
scriptive regulations and performance standards. Some professionals doubt
whether these powers are sufficient to an active planning posture
the urban demands and that will be liberalized
markets and enabled communities.
Concern has also been expressed that the dominant model of politica! decentra-
lization is based on an functionalist rationale with the different
levels state, local state, characterized the diffe-
rent functions realize in the planning cycle. Some have argued, however,
that the various planning levels must be organized to with
and environmental realities whose at each scale ""'1""111''''''''''
territorial argue that there will be the
se]:mriate and uncoordinated and services to waste
It has also been
and catc:!go:nes
Professional practice here involves the integration of cogno-
information
that in its ..... r"" ... """., alJpllLcatlOn of economic
all of human neo-liberal
61
theory has misunderstood or the of the
different social and cultural contexts in which markets operate and the
of their on these contexts. This occurs the fact that
democratization and decentralization mean the intensi-
fied politicization of the urban development process. lndeed some critics have
doubted the democratic credentials of the neoliberal theory of the state. In some
Countries the ethos of a small, efficient state involved in a
rel:atH)fiShlp with the users of its services has clashed with the
traditional embodied in the of demo-
cratic rights. Despite the emphasis placed on accountability, and
-out have distanced the local population from access to local
officials and elected
It can be that the hazards associated with enablement
have been underestimated, down played or ignored neo-liberal
.......... " .... ,,"', but numerous can be of these hazards. Local goveme-
can lead to an exacerbation of ethnic , and
trajgmentaticm of nurtured national consci-
ousness. It is widely recognized that decentralization
to the local level of ten effectively empowers the political oppositi-
on and it is resisted on this count alone. The or out of
assets and services to can gellerate
heat. At the neighborhood level the and empm,verment
and CBOs is of ten resisted because it can undermine structures
and aU'gIance:s.
The issues involved in to democratize urban are
also not clearly understood. The resistance of technical administrators on the
basis of technical criteria to political attempts to assert control over service
rtP/'IH""'" has been noted. Others have that patron/clientage and traditio-
nal power structures can be democratization and decentralizati-
on. Regional and local political bosses can exercise control over state
resources and use them to consolidate electoral support, or new client sectors
can be favoured these Some observers have noted that in some
countries where National Funds have been channelled through local
go'vernm.en1:s, their allocation has been more than
welfare criteria. Attention has also on the political of the
shift from to programmes. It is clear that an advantage perceived in the
mode of urban and services in the past was the opportu-
nities it offered for a
non which resulted in the atomization of urban political However, it
could well be the case that city-wide and programme leveloperations might
offer scope for the effective horizontal organization of urban sodal
movements.
Political enablement also demands fundamental in the role of the
A professional reorientation is required as traditional practices,
and to01s are discarded and new assumed
62
institution and building, contract management, programmi-
ning, regulation, training and technical The democratization of
urban planning and involves over and service
""",,,,,,' .... ,, and the institutional, administrative and technical practices to generate
and administer them. Technical staff will be prone to resist these measures on
the that at the expense of
Conflicts can be over urban and
derlsltLes, built area and environmental indicators, access of the po or and policy
priorities. The transfer of authority from to the and the
poJlltI<;12:,Ltlon of what were as 'rea1ms of technical
demand fundamental in attitudes and
communication and I nous I.
The ability of professional staff to make adjustments will depend greatly on
trallmrlg and in which job a
c1ear structure of career and the enhancement of status
will be decisive. It is by no means c1ear low wage rates in the local
sector, the large scale retrenchment of civil servants in the central state,
and the trend towards contract and work whether these
conditions are met. In Httle is known about the in the
"'rn'nll"' .. YI"' .... structure and the opportunities for urban that have
accompanied decentralization. Major questions that need c1arification inc1ude:
Are more for created in local than are lost
at the centrallevel? and Has the in the job market in NGOs and
n ... consultancies of skilled in the local
public sector?
63
Sub-theme c.
COMMUNITY PARTICIPATION AND TUE ROLE OF URBAN PROFFSSIONALS
The third mode of enablement identified in the Model is community enablement
which can be defined as a central and local to
and
organizations to initiate, plan and lmlple:meJ1t their own ....... ".lI::>l"'tC'
the of self-determination, and
The Model shows that there are several elements that make up the commu-
enablement but tbe most is the
mcreased attacbed to tbe of COInDllunity pa:l1:icipatiOlIl.
Neo-liberal have reassessed the role of "r ... "".,.."' ... .; .. " partlCl.patlon
in line with an that stresses the of cOInrrmnlty
responsibilities over and the need for
on of the resources of a revitalized civil society to fill the resource gaps
between and the market and state capabilities.
This contrasts with attitudes and towards
community participation. In the Fifties in the modemization period policy-
makers refused to promote community and
because their involvement contradicted the of centralized
methods and forms of of conventional goods and
services. Often the failure to accept participation was attributed to the egoistic
and anomic values and attitudes of the poor which were identified as the social
PSjTCfllOloglCal traits of a condition of I culture of poverty I or
In the the crisis in conventional methods and
systems of urban goods and services delivery, and the search for political
mechanisms for consolidating national identities and containing civil unrest led
to the of a of In
numerous countries there was a of national
community development which neighborhood committees in
a vertical hierarchy administered a central state dependency the
!\-IIUl1C'T' .... U of and technical assistance for local
........ "' "''"'t" was of ten made conditional on a matcnmg contribution of communal
serf-nem labour and financial contributions.
In the Seventies the model of community was
in sites and services and settlements and slum uPlgradltlg
Here central and local undertook the
planning initiatives, decisions,
....... "',,"'l"'tC' and cornm1llm1ty p:arbclp::l(]tn
was
include consultation on roie in implementation
and maintenance though in general individual subcontracting to informal
64
builders was as to a self-help contribution in housing
construction. NGOs were increasingly used project initiators
and bodies in these of
by the end of the decade, the limitations of this mode of community
participation became apparent. In economie terms the reduction in labour costs
attributable to labour was more than neutralized by administra-
tive costs that were often than in conventional projects. were
put the economie access of the poor who either sold up or rented within
them. Within upgrading projects benefits tended to flow towards the owners
with the costs being borne by tenants. at were
characterized wasted resources, confliets,
of coordination and disputes between agencies and
cornrnunities. The project mode of goods and service and the restricted
arnbit of participation resulted in the use of or POllt1Ca!
criteria in the selection and of slums were
of ten avoided because of difficulties, and cornrnunities and neighbor-
hoods were selected on the basis of political allegiances and na[]ron:a.-
ge networks. Politieal criteria of ten determined which leaders in the cOllllnlUlJlity
were recognized within the project. Planners with 'technical criteria I
ended up the communities because of difficulties
or because of the 's incompatibility with the master plan.
Of ten overtly subjective criteria were deployed such as of
a cornmunity or an about its . Within
commenced af ter the had been
and the location whilst pressure by officials cOlnmlOnl)
an of an agenda geared to the rationale of the project
of criteria in project selection and
constraints on resulted in irrational increases
in the poor, an increase in comrnunal conflicts and the
atornization and non-replicability of project experiences.
NUletJ.es, these difficulties led to a fundamental reassessment of the
C0I1t1m111nity p;aftlClp;at1cm in the context of the theory of enablement. It
was communities should be the subjects rather than objects of
planning and that the centre of organizational power and
should rest with community and neight)orll00Id-t.asx1 orgami2:ati1ons
the actions of central and local enablement differed
frorn earlier versions of shifted the organiza-
tional focus in the planning system to communities, it involved the exercise of
vita! powers by these it involved some measure
of control of material and financial resources, and it
the within a web of legal and institutional relations. It
also involved major of the relations between the central and local
state and the community. Here the central and Iocal state initiated a range of
emlblmg measures and reforrns that coordinated and facilitated Q're:atl'l!-emnOWie-
red communities to build up their own in
administrating and maintaining the delivery of urban
65
and services aCCOr(]lmg to decisions and pnonltles established by themsel-
yes.
differ on the that should be
in in enabling
stnltejgIes. Some propose that self-determined, self-organized and sellr-mlan:agf!a
communities can only be achieved by them the pnnclpal orf2:an:izati011s
future urban Others believe that powers
shouid be maximized only in those activities where there is a c1ear connection
between input effort and output benefit, and in other activities they should
share in decisions on the allocation of public resources. Other stress that
and that the level
de1=>en<1s on with the community. In all cases
it is that the and its leadership must
represent the interests of all the community arid must be accountable to them.
In the framework of enablement the rel:aUC)llSltup
state and is by
defined as community participation in decision-making on goals and p .... 'v ...... , .... ""'"
whose legitimacy is by local authorities and whkh are used as
for These chokes are harmonized with term str2lteglc
the final decision on the range of is made by the COInrrmTIllty
The mobilizes Iocal hu man and financial resources and these efforts
are then enabled through a variety of measures applied in a flexible jJ""''uHJ.U&
where an advisory role. These measures include:
grantulg of of land tenure; the of services at reasonable cost;
the extension of flexible and the allocation of
a 'freely-disposable' component of the project budget to the community
organization; the provision of and the relaxation of
OUIJlOUJlg codes and of
materials and direct
subsidies to the in the form of services or direct cash transfers, and the
coordination of communicati-
ons and local information offices. In some models of enablement
the between the community and the Ioca1 authorities
contracts that define rights and duties, the flow of funds and
for the eonstruction and maintenance of the facili-
ties. contracts ean be between the local state and the
communities for the construction of minor works streets,
pa'"enl1ertts, on-site sanitation, collection and treatment of solid waste,
contruction of communal etc). Communities are to make a
collective labour but are also to subcontract
of to Local
seale contraets for works infra-
structure, new ete) with formal sector firrns (market enable-
ment). Large scale contractors ean in turn subcontract parts of projects to
communities but no labour eontribution is In all cases the
Iocal the and and technical
66
con trol.
Comnmnlity also a roie to NGOs as mediators
between the Iocal state and the community Model). In
teCJlmc:;at, UUJ.uuJu ... nJLUuv ..... , legal or economic advice and back-up facilities to the
cOInmLUnlty-base<1 and adopt an advocacy roie for the community
in relation to the Iocal state. NGO of a community is
often regarded as a for In some cases NGOs are
contracted Iocal authorities to administer projects or of projects under
their financial and technical The NGOs in this
way are identified as: their objectivity; their tleJdbillty
and commitment; their and their
gen.erate local ties.
Some enabiement models also often contractual
relations) an 'External or 'Focal Institutte' to coordinate and
monitor institutional support and provide back-up services dissemina-
tion of research into appropriate standards, technologies, local materials,
prc>elucts and components, advice on and tools, and in skills
and project management Model).
The role of central government in promoting community enablement occures in
line with the enhanced roie of the state in policy formulation and the decentrali-
zation of functions to the local state. The role of the central
state is to provide the general conditions that enablement to occur at the
local and communtiy levels through legal, and
VV.LlUv.u,.J. reforms and the of material and financial resources. Funda-
mental reforms are that status to these
organizations, given the the allocation
of more Ioosely-regulated public resources, the transfer of of
pro!lects to based organizations, and the desire to establish
on the basis of formal International
pressure has been on recalcitrant central to introduce
human rights guarentees for women, the young, the oid and the disabled into
national codes. Some governments also consider it necessary to reformu-
late national on the and administrative structures of commu-
organizations and NGOs in order to guarantee the and the
representativeness of these bodies, their leaders and committees. Reforms of
national to land ownership and transfer, service ........ r."'i",inn
and urban are of ten revised to foster enablement
strategies. These in are best served and
politica! reforms towards democratization are In some countries direct
central government enablement of communities occurs when credit and
are advanced to selected communities or NGOs through National
Solidarity Funds.
The goals of community enablement vary on the of enable-
ment Economic are widely sought including: efficiency
67
derived from a stronger psychologieal commitment to the project
more efficient resource use and and better
Enablement is also seen as essential for or local
nrl"\nPTT\l taxes, securing cost recovery on user charges and for efficient and
effective maintenance of and services. Increased and
rer,re1)entation, it is will also cut down on corruption and pruticllllarislTI
in the allocation of and services. Some architects and argue that
in the framework of enablement their profession can be used to
local and identities. On the left some that
"''',rYt ..... enablement and in the context of democrati-
zation can open the way for alliances of and
organizations that will the position of the urban poor.
The debate on enabiement has centred around the question of the
nature and roie of the state and the community, the of cOInrnmnlty
enablement and the role of the In critics have
focussed on the "economistic" and consensual view of the
state and by and the lack of ap-
preciation of the conflicts of interests between and within the state, the market
and the community which are manifested in the process of urban growth and
Moreover it is that enablement can
exacerbate as much as diminish these conflicts as weIl as new ones.
Others argue that some of these conflicts of interest are so deeply rooted as to
make the ultimate ideal of self-determined, self-organized and self,...managed
communities unworkable. A prompting then is:
Do enablement reflect or transeend the conflicts of
interest involved in urban growth and development?
cOlmrrmnity enablement are examined in the context of the relati-
between social, economie and interests and the state, the
market and the community a number of issues can be identified.
Links between govemment have
been tmancaer's, U, ..U.lUI.lU>,,> materi-
als producers etc). In areas welcomed by these
interests because it their economie and and has
economic rewards. In other areas where
mtlerests, confliets with will As ob servers have
pointed to the of landowners and industrial construction interests to
the emphasis on upgrading activities rather than the creation of new housing
and the lack of serious effort in low cost, local V .... ..... .uJ' ....
materials and techn<)10l[;le:s.
More research is "",,,, ... oi-..,.ii,,,,h, rp>rnulrop>t1 on the winners and losers in the formal
and informal sectors enablement policies for urban development,
68
and their !fJ'UJLU"''''''''' po,sititons.
The support of these interest for enablement can also be based on
their of its economie the to raise local taxes;
to achieve fuIl cost recovery and to foot maintenance bills without participation
and representation. However fuH community enablement is of ten feared by
these groups because of the of economic and conflicts of
interest. Indeed a has been that the reluctance of
gmlenam
,
ent to enable communities derives from the belief that the of
participation leads to the intensification of these conflicts of interest along the
of social transformation.
Support of these can be from groups and commu-
nities insofar as they represent an improvement on earlier arrangements. In this
context the significance of pre-existing traditions and a culture of c01nnmfllty
affects the of enablement VVi.lVi";.",
same time sustained the for these must
on a flow of benefits at least commensurate with their efforts and
obIigations. Effective and efficient participatory planning depends on a ft social
it is a moot whether enablement
can sustain and structures
when they are being by a state whieh is urged to abandon equity and
welfare goals in the pursuit of economie growth; whieh imposes austerity
with an distribution of social costs, and which increases the
burden of taxes and user on low income groups. Whatever the outcome
it is c1ear that two in need of research: I
Under what creumstanees do the of market and eommunity enable-
ment conflict? and 'What eoalition of economie and interests in the
state is in order to advanee enablement POjlietes':
the contradietions between enablement policies and conflicts of
interests are best revealed in the inner Given the continuation of
to secure urban renewal and the absence of a
rental housing, the continued neglect of inner
increase property taxes, user charges, abolish rent controls and reduce the
coverage of subsidies, it is difficuIt to see why the poor would ena-
blement measures. Indeed have been reluctant to empower grass
roots organizations in inner cityareas because they create obstacles to the
exercise of and economica11y sensitive planning powers (eg. compul-
sory to facilitate not the poor but the commercial property
interest linked to urban and the conversion of residential
to commercial and publie land uses. Some have argued that the state itself has
an inherent interest in increasing rents and tax revenues in inner city areas. The
COflCel)t of enablement as 'nonr-eonflictual' in inner areas
is hard to the associated with 'n'.' ..... hlnto:lTu dlSPla.ce-
ment, eviction
widely accepted that the numbers
69
will increase
and it is
in the
future. .lu.v ....... v "-'Jo the quesuon:
Is there a contradiction between the enablement of local cmnnmlJLty nr(:J!;ITI'l_
zations and the of the state to restrncture inner
of a economic has been asked.
The opposition of interests within the local and central state to
enablement should not be underestimated and is the source of much resistance
to new in several countries. These interests are not dealt with
in current theories and research is needed into identifying their nature. In its
absence the Qw;stlon:
should the 'rent-seekers' in the state transfer power to those who
would terminate these transfers? remains to be answered.
COml1[lUftity enablement can also unlock conflicts of interest between the Iocal
and central state. Most of the here revolve around the
of the effects of enabiement on Iocal traditional and
power structures and their with national power structures. On the
left for these has been based on their potential for increasing
I-'VJ..LU ... 'C;U mobilization and raising consciousness. a of utmost
IJU .... L ..... "" ....... concern is:
Does enablement create a new of sodal and POJltllcal
forces within the or does it traditional
patronl clientage structures and ... '"LI. ..... ,'"''''' .. allegi.ancesi'!
An issue that has received Httle attention has been the rel.at1C)llsJtup
between enablement and the centralized community
development structures created in the past. A number of questions present
themselves:
Are enablement to be within existing
cmnnmlJtity de,vel41plnellt strnctures or alongside them? Should Cmnnllunity
development structures be decentralized and democratized to allow local
federations of commumties? and Does the of a
the abolition of
centralized COIDIIllUlllity de'feJ()plneIlt
Given that these systems were of ten created in the past to assert national
ae'{e14:JprneIlt priori ties in local urban and rural it is not difficuit to
central/local conflicts over these issues.
Concern has also been about the of 'community'embodied in
current enablement policies. The concept of communities as human groups with
level of social interaction and with common it is has led
ten.deI1CV to overestimate their and cOImrlUna111:y
70
The of internal heterogeneity and conflicting
interests within communities for community enablement has not been
The sourees of this heterogeneity are well-known: ethnicity, culture, political
migratory status, tenure status, family
",.,."nlrnrrn",.,t status, levels of income differences etc. Issues of
concern include the of certain groups to dominate community organi-
zations and resources and run them in their own difficulties in mobili-
zing transient into sustainable the
of I communities within communities I articulation of traditional
structures and allegiances with'modern' political/administrative structures; the
equitable allocation of obligations and benefits between tenants and owners; and
the of community affairs under the of
lea(lers.hlp,S. It has been argued that the of the has
makers blind to the enablement
and the effect of enablement on these differences, It is
generally accepted that the smaller and less heterogeneous the community the
better the for enablement. However
programmes small administrative costs and
discounts economies of scale, whilst the of is
highly controversial and unworkable. The criteria for defining and
"'rn,nnuTP, ..... 1'1ICt communities therefore nero to be made clear:
What criteria are to be used for the defmition and of
community and and What measures are
necessary to ensure tbe accountability and nature of these
The of politicization associated with enablement also affect
the role of NGOs. In recent years the increasing of NGOs on local
and central state contracts and international aid has led to doubts at the
grass roots level of their political and some have
identified international links with local NGOs as a way of central
government con trol over the direction of urban and rura! developement. Where
the costs of NGOs have been borne by local doubts have
been cast by some on whether the tota! administrative costs involved merit the
perceived efficiency gains and whether they are sustainable on a scale.
A some important clarifications and extensions of
into the relam of
doubt remains about how much power, and respol:1silJltles
these policies are going to transfer to communities. On the Right the emph,lslS
has been on of communities into power structures, partnerships and
p01weI'-Sllanng; whilst on the Left enablement has been seen as a shift towards a
decentralized coalition of autonomous and communities. it
is that the shift of powers must be efficien-
cy criteria for service delivery, project implementation and maintenance it is far
71
from certain at what level de<:;lsllon ... Il1lakmg powers will reside.
Current ideas on enablement are of interest to architects and
plann(:!rs, because relate to debates in the Seventies and Eighties on the
differences between 'autonomous' and 'heteronomous' built and
managed under I dweller control '. The question:
What is the rel:atmsibip between the allocation of powers
in eDITent enablement and the of dweller
eontrol? is professional interest.
It is also hardly that enablement has also up
another of the major of discourse in the recent
- the roIe of the the planner and architectural It is in the
context of enablement that the most slgmtllcaJlt CJlan:ges
win occur. It is c1ear that enablement will invoIve an unlDrece<lented
on of practice, and will have to develop
in this area. A reliance on direct contact; an
consequences of the modernization of urban and the cOInplexrty
of interests involved in urban sanitation and environmental issues
the issues that need careful consideration are
the significance of the economic informalization and the need for of
land uses at the different levels. and
reliance on material status, and the widespread commodification of the building
process must also be taken into account. In a acceptance of
lower standards, and flexible administration and budgetting also seem to be
necessary qualities. A service rather than supervisory function is seen as
essential as is an increased on training and technical assistance.
of the current problems in the discourse on enablement
centre on the failure to differentiate its three forms- and
cOlnnmnllty - and the to equate enablement with one of
However countries vary widely in the relative lm1DOItarlce
forms. In market enablement has been the most common, and pO.L1w:;at
enablement has been less common, whilst succesful of cOlmnmnlity
enablement have been the least common. However, it can be concluded
that the shift from to enablement is one of the principal
themes Third World urban over the last twenty
years.
72
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