PLANNING

AND

DEVELOPMENT

COLLABORATIVE

INTERNATIONAL

INTEGRATED IMPROVEMENT PROGRAM

FOR THE URBAN POOR

AN ORIENTATION FOR PROJECT

DESIGN AND IMPLEMENTATION

MAY

1980

PADCO
AN INTERNATIONAL COLLA3ORATIVE FORMED TO
PROVIDE GOVERNMENTS AND PRIVATE CLIENTS IN
AFRICA, ASIA, LATIN AMERICA AND THE NEAR EAST
WITH INTEGRATED RESEARCH, PLANNING AND MANAGEMENT
SERVICES
FOR URBAN AND RURAL DEVELOPMENT

INTEGRATED IMPROVEMENT PROGRAM FOR THE

URBAN POOR

AN ORIENTATION FOR PROJECT DESIGN

AND IMPLEMENTATION

Prepared

by

PADCO, Inc.

AID Contract No. AID/otr-C-1627

Work Order No. 16

May 1980

PA DC 0

In

CIO

7)

TABLE OF CONTENTS

Page

EXECUTIVE SUMMARY .....

.................

The Context of IIPUP

i...........

The AID IIPUP Program . . . . . . . . .....

. .

Designing an IXPUP Program ... . . . . . . .

iii

Program Planning and Sequencing........ .

v

Management and Training ..... .........

viii

Data Collection, Surveys and Evaluation

INTRODUCTION ..........
PART I:

....................

PROJECT IDENTIFICATION AND DESIGN ..

.....

A. The Goals and Purposes of IIPUP

Programs .........
.................
1.
2.

Goals .........
Purposes .......

3.

The Limitations of IIPUP Programs

B. Target Groups .....

viii

.................
...............
. . .

...............

10

13

1. Criteria for Classifying

Target Groups ...

............. .

13

2. Illustrative Target Group Types .

14

..

3. The Use of Target Group Classification

in Project Identification and Design.

C. Components of IIPUP Projects .

.....

25

D. Organizational Arrangements for

Integrating Urban Services . ........ .

1.
2.
3.

20

Background ... ............. .....

Possible Approaches to Integration . .
Conclusions ....
.............. ..

31

31

32

43

E. Possible Financing Arrangements ....... ..

49

1. The Importance of Financial

Viability .....
...............

49

2. Cost Recovery and Project Types .

PA DC 0

.
..

50

3. Cost Recovery Mechanisms . ....... .

4. Indirect Cost Recovery . ........ .
5. Funding Mechanisms to Support

Services Integration ..
......... .

52

54

55

Table of Contents (continued)

Page

F. Legal Framework ....

.............. ..

59

1. Principles for the Establishment of

an Appropriate Legal Framework

..

59

2. The Types of Laws and Regulations

Likely to be Relevant for IIPUP .

..

61

3. Strategies for Initiating Changes

in the Legal Framework . ........ .

68

G. IIPUP Evolution and the Need for

Flexibility .....
................ .

73

1. The Selection of Target Groups . . ..

2. The Gradual iitroduction of Program

Components in Individual Projects . . .

3. The Evolutionary Geographic Extension

of the Program ...

............
4. The Evolutionary Development of the

Overall Program ...

............ .
5. Contingency Planning ..
......... .
PART II:

MANAGEMENT AND ORGANIZATION FOR IIPUP

A. The Management Task ...

. .

............ .

1. Potential Implementation

Difficulties ....
.............
2. Implementation Management in

Practice .....
............... .
B. The Context of Management ..
1.
2.
3.
4.

......... .

Different Forms of City Government

The Operations of City Administration
Administrative Reform ..
.........
Project Environment ...
..........

C. Project Management ...

.
.
.
.

............

TRAINING ......

A. The Training Context

1.

Introd, tion ....

................
. .

...........

.............

75

76

78

79

81

83

83

85

89

89

90

91

92

93

1. The Project Manager ...

.......... .
2. Project Control ...
............ .
3. The Relationship of IIPUP Management

to Community Groups ..
.......... ...
4. Project Implementation ..
........
PART III:

74

95

96

107

112

125

127

127

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C,

Table of Contents (continued)

Page

2. Training Purposes and Tasks ....... .. 128

3. Limitations of Higher Education .

B. Establishing the Parameters for IIPUP

Related Training ....

.............

133

1. Priorities .....
..............
Developing a Training Plan . ......

133

133

3. Determining Resources ...........

4. Preparing Supervisors as Trainers

134

134

. . .

5. Training of Trainers ..
......... .
6. Determining the Scope of Training

Programs .....
...............
C. Training Overviews ...

............ .

D. Defining Specific Training Programs

1. Policy Level Training ..

.........
2. Implementation Level Training

(Management and Planning) ........

3. Delivery Level Training

(Specific Operational Units)

.....
4. Delivery Level Training

(Community Development) ..
........
5. User Level Training

(Community Leadership) ..
........
6. User Level Training

(Community Workers/Paraprofessionals)
PART IV:

131

135

137

139

139

.. 141

.. 142

.. 144

145

146

DATA COLLECTION, SURVEYS AND EVALUATIONS

FOR IIPUP PROJECTS ...

........... ..

Introduction ......

135

163

.................

165

................

167

A.

Data Needs ......

B.

Assessing Existing Data ...

..........

175

C.

Conducting a Field Survey ..

......... .

179

1. Sample Design .....

............
2. Field Surveys in the Developing

Countries .....
...............
3. Impact Evaluation ...
...........

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.. J.79

.
.

182

187

EXECUTIVE SUMMARY

THE CONTEXT OF IIPUP

The problems associated with rapid urban population

growth in the developing areas have been well documented.

It

is expected that the urban population of the developing world

will have grown by about 800 percent between

1950 and the year

2000.
In about 20 years, the developing countries may have a

total urban population of about 1.4 billion, equivalent

to the

combined 1970 populations of the People's Republic of China,

India and Brazil.

Many developing countries already have cities which

are

larger than
the urban areas of the developed countries.
Such

cities as Cairo, Calcutta, Jakarta, Karachi and Manila (all

with populations near or in excess

of 5 million) illustrate

this point graphically.

The annual growth of major cities of

the developing world is often 5 or 6 percent, sometimes

higher.
In most countries, a number of secondary cities are

also growing and adding to the national demand for urban

services.
For example, in 1972, Indonesia had five cities
in

addition to Jakarta with populations of more than 500,000 and

24 cities with populations between 100,000 and 500,000.

The vast majority of the inhabitants of these cities are

poor.
They have low and unstable incomes and low productivity

employment.
They suffer from serious deficits in the
types of

goods and services which are essential for their well-being.

Their communities are overcrowded and housing is often

inadequate.
Settlement areas are frequently subject
to

flooding and other

hazards.
The urban poor generally have

very limited opportunities to participate in the important

decisions that affect their lives.

They have very limited

access to opportunities to improve their employment and very

limited access to credit of any kind (for housing, for

commercial activity or for current consumption).

The problems confronting the urban poor are on both the

"demand" side and the "supply" side.

The capacities of the

poor to pay for

improved services and physical environments

are very limited. At the same time, the financial and

administrative resources of the

entities responsible for basic

urban services are far below the levels needed.

In
addition

to deficits in total supply, the authority for delivering

relevant services usually is dispersed among a number of

agencies -- including national-level ministries, provincial

entities, municipal governments, quasi-autonomous entities,

private commercial groups, voluntary organizations and

others.
Coordination at all levels and all stages of service

delivery is typically weak. Collaboration in planning,

P A D C 0

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budgeting and implementation

is practically
non-existent in

many countries.

In response to
these problems, governments
in the

developing areas, international agencies

(and, before them,

governments
facing similar problems with
minority groups
in

the more developed countries) have attempted

a number of

solutions.
Early efforts often focused
on housing and
related

infrastructure. Gradually, it became evident

that
housing

projects (which often were,

in any case,

too high in standard

for the target groups to which

they were
supposedly addressed)

were
dealing with symptoms of more
basic
problems, rather than

their causes.
Recently, attempts have been made
to deal
with

more fundamental
issues such as unemployment,
illiteracy,

chronic malnutrition and disease and

the
unpreparedness of

rural migrants for urban life.

It is because of this
more recent concern
with the

underlying
causes of poverty and the continued
limited

resources to
deal with the problem that

the AID IIPUP prograin

has come into being. Low

income groups
have a multiplicity of

needs.
Therefore, programs and projects
to improve
their

welfare must
deliver services
in a number
of sectors.
This

requires
a new, more comprehensive effort,

THE AID IIPUP PROGRAM

A grant program has been approved by AID

improved services in conjunction with Housing to
help provide

Guaranty and

other AID programs such

as health, population
and education

activities.
The program is designed to

help reach segments of

the population which have not

been regular
participants in

credit markets or
urban services delivery
systems.
Its

purposes are:

1.

To demonstrate that
the urban poor will
receive more

and better human services if public policies

are

changed to
provide for integrated service
delivery

programs which
are responsive to
the needs
and

interests
of the affected population.

2.

To assist in
determining
which human services for
more
adequate, equitable
desirable socio-economic

3.

To demonstrate
that the costs for
!IPUP
type projects

can be recovered
through tax programs.

4.

To destablish
that IIPUP type projects
will
not

induce additional, exorbitant investment

requirements.

P A D C o

and demonstrating ways

in

the urban poor

can be made

and efficient and have more

impacts.

The grant resources can be used to help provide:

1. Improved social services, including health and

educational facilities and activities, child and

family welfare programs and transportation.

2. Increased employment and productivity, including

managerial assistance for promotion and organization

of private and cooperative enterprises, training

programs, and credit for smal

scale enterprises or

community based credit and savings vehicles.

3. Project planning, administration and technical

assistance, including strengthening the implementing

agencies by financing appropriate studies and surveys

and strengthening the executing agencies by funding

certain specified training programs so that they are

able to monitor, evaluate, refine and replicate the

project.
These projects would be
used most often in

conjunction with HG or DG resources which would

finance urban shelter programs with physical and

environmental improvements, including regularization

of land tenure, credits for neighborhood and home

improvement loans, core shelter units, sites

and

services development, squatter upgrading and basic

infrastructure services such as water

and waste

disposal and improvements to roads and footpaths.

The purpose of this paper is not to prescribe the design

of AID IIPUP funding but to present concepts and methodologies

that may help program planners generally, including those in

the institutions of developing countries who are actually

responsible for the delivery of urban services.

DESIGNING AN IIPUP PROGRAM

Under IIPUP, a wide range of services can be considered

simultaneously.
In many cases, shelter (usually sites and

services and community improvement projects) will continue to

be the "centerpiece" of efforts to improve the welfare of the

urban poor.
This is because of the relative importance of

shelter to the urban poor and the relatively developed

delivery capacity of shelter institutions in the developing

countries vis-a-vis other service delivery institutions.

Nevertheless, under IIPUP, additional sectors

are receiving

increased emphasis
so that the battle against urban poverty

can reach more deeply towards the root causes.

Some

additional types of assistance which might be provided under

an IIPUP program include:

P A D C 0

-iii

" Assistance

to small

scale enterprises.

* Other employment assistance

or employment referrals).

(e.g. vocational

training

Informal adult education.

* Environmental sanitation.

* Health services.

* Public transportation services.

" Participant mobilization.

* Welfare assistance

for

the neediest groups.

Some IIPUP programs may include no shelter component at

all in cases where shelter is not a priority and where the

focus must be on the more fundamental causes of urban

poverty.
Such programs may include one or more of the project

components listed above, but this list is not necessarily

exhaustive.
Other more important program needs may arise in

specific situations.

Comprehensiveness is an important characteristic of

IIPUP.
The poor have multiple and interdependent needs that

must all be considered to design appropriate programs.

These

needs can best be met with the provision of a wide range of

facilities and services.

Integration is also an important

characteristic of IIPUP.
The required facilities and services

must be planned and provided as part of a coordinated and

combined effort.
Integration, in principle, should reduce the

duplication of services and improve efficiency.

Comprehensiveness and integration are not synonomous.

In

fact, they are often conflicting goals.

Increased

comprehensiveness (the addition of more project components to

the IIPUP program) will make integration more difficult.

Experience in the United States and the more limited

experience to date in the developing countries has shown the

difficulties of services integration.

It is difficult to get

agencies to coordinate their programs.

Given the nature of

institutions and of individuals, it is especially difficult to

achieve the integration of existing services.

It is less

difficult to build integrated programs where new service

delivery systems are being created.

The difficulties of services integration suggest the need

for careful and deliberate planning of IIPUP programs.

The

organizational arrangements for integrating urban services

should be carefully selected.

There may be a temptation to

P A D C

-iv

form new centralized IIPUP agencies at the national, regional

or metropolitan level to coordinate services delivery to the

urban poor and cut bureaucratic red tape.

Although this may

be preferable in some circumstances, it may be more advisable

to use existing agencies but to strengthen their capacity for

joint planning and implementation.

Services integration at

the user level (e.g. service co-location or vouchered

assistance) tends to be more successful where services

delivery systems already exist.

This is not generally the

case in developing countries.

The financial and legal arrangements to support IIPUP

programs also need to be carefully planned.

Ideally the

services provided under an ITPUP program should be self

financing.
Initial outlays should be recuperated where

possible for investment in subsequent stages of the program.

In practice, this is not always possible, given that IIPUP

programs are directed towards the neediest groups.

However,

in cases where IIPUP programs are largely financed by

government appropriations and foreign assistance grants, care

should be taken to assure some continuity of financing beyond

the program inception period.

In order for IIPUP programs to be successful, existing

legislation and regulations (including the standards

established in the past for physical development) may have to

be modified to reflect the realities of today.

Effective participation is required by government

agencies at both the policy and the technical levels.

However, although government agencies have a major role in

IIPUP, their capacity is limited.

Private sector groups must

also be actively involved, including contractors, utility

companies, private groups responsible for social services and

private entrepreneurs providing low skilled employment.

The

households who are direct beneficiaries of projects also have

an important involvement.
The effective participation of

these groups is critical to the achievement of adequate policy

support, sound project design and adequate coordination among

all executing agencies during implementation.

PROGRAM PLANNING AND SEQUENCING

Much of the ultimate success of IIPUP programs and

projects will depend on the way in which they are programmed

and sequenced. Programming must allow for predictable

obstacles including probable delays in acceptance by service

agencies as well as by user groups.

The process of designing

and implementing programs and projects for the urban poor

should ideally comprise the following steps:

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An analysis of the existing situation and the

identification of issues associated with the urban

poor.

* The establishment of basic policies for

dealing with

those issues.

* The formulation and adoption of an TIPUP program.

* The identification and design of

individual projects.

* Project implementation and the monitoring of

progress of implementation.

0 The evaluation of the impact of

and the program as a whole.

the

individual projects

It is useful to keep in mind the difference between

activities at the program level and activities at the project

level.
An IIPUP program should ideally be defined in the

context of an overall country program, reflecting basic

policies for assistance to poverty groups.

It should identify

the goals and purposes of all IIPUP projects in the country

concerned, together with the target groups on which such

projects are to be focused.

It should make a general

definition of program content and the basic institutional

arrangements for implementation. The time horizon for the

program is likely to be from three to five years, possibly

longer.
The description of the program should provide a

framework for the identification and preparation of specific

projects, and it is likely to contain guidelines and criteria

for project selection.

Individual IIPUP projects should be designed for specific

population groups in specific locations.

They should include

detailed specifications of the physical development and

service systems they contain and a budget, together with

arrangements for financing, institutional responsibility and

scheduling.

Project identification typically should include an

indication of project goals and purposes; a specification of

the target groups expected to be impacted by the project and

the types of impact anticipated; a general definition of

project content; preliminary thinking on institutional

arrangements; order of magnitude estimates of costs; a

preliminary implementation schedule; and an identification of

the assumptions on which the preliminary proposals are based

-- in other words, the kinds of information contained in an

AID Project Identification Document (PID).

Project design

should entail more precise definitions of all of these project

features, including operational measures for project

P A D

C 0

-vi

evaluation and specific proposals

implementation.

for participation in project

The distinction between program and project formulation

is important.
In principle, project identification and design

should take place in the context of clear and strongly

supported policies and a systematic program which is

consistent with other components of the host country's

development plan.
In practice, however, the experimental

nature of IIPUP activity and the uncertainties associated with

its outcome may mean that the degree of policy support it

receives will fluctuate.

Programs may be far from completely

defined -- particularly in the early years of program

development.
Experimental projects, policies and programs
are

likely to have to evolve together.

The severity and urgency

of the problems of the urban poor are too great to allow for

the luxury of waiting for the ideal context or sequence to be

created before any action is taken.

Because strong policy support will often be lacking, it

is important for IIPUP programs to be carefully introduced and

staged. The experimental nature of IIPUP activities, the need

for pragmatism and the importance of proceeding with only

partial programs, especially in early projects, should be

stressed.
Programs should be introduced gradually and

expanded cautiously only after initial acceptance by

governments, implementing agencies and target households.

After initial success, expansion can occur geographically (to

other neighborhoods and cities), substantively (to include

additional project components) and in terms of beneficiaries

(to include additional types of target groups).

This need for

cautious sequencing implies that IIPUP is a long-term effort

requiring patien(e and foresight.

The potenti.l role of AID and other international

agencies should be mentioned.

The need for that participation

is urgent.
The scale of the effort required is immense

already and is increasing. The total resource commitments

required, both administrative and finan,ial, are

correspondingly large.
The major international agencies can

provide only a small fraction of the inputs required.

Programs must, therefore, be largely sustainable with local

resources.
The most appropriate roles for international

agencies supporting the IIPUP effort, therefore, will be the

provision of technical assistance for project identification

and design and the sharing of initial investment risks while

programs are being introduced and tested.

They can also

perform a catalytic function in support of interagency

coordination, including sustained training and technical

support.
They can also support the continuing international

dissemination of informatiun on IIPUP-like programs in the

developing world and in relevant programs in the developed

countries.

P A D C 0

-vii

MANAGEMENT AND TRAINING

A number of challenges must be faced in managing IIPUP

programs and projects, including organization, operational and

personnel problems. Unforeseen problems can be expected even

with careful preparatiin. Agencies have difficulties working

together; service agencies and beneficiaries often have

conflicting goals.

There is a wide range of management tools available for

the identification, framing, designing and implementation of

Used with judgment concerning time, place and

IIPUP projects.
relevance, they enable useful actions to be devised. The

appointment of the right type of person as chairperson of a

project executive committee and as project manager for an

Because

IIPUP is a key element in successful implementation.

adequate personnel are often lacking for these and other tasks

related to IIPUP, it will often be necessary to include

training components as part of IIPUP programs.

DATA COLLECTION, SURVEYS AND EVALUATION

A large amount of information will be required to plan

Much of

IIPUP programs and to conduct subsequent evaluations.

this information, particularly information relating to

existing programs and service agencies, may be available from

It is

secondary sources and interviews with key officials.

important to limit data collection to those items actually

Additional data may be

needed for project design decisions.

needs, priorities and

the
required, particularly concerning
require field

may
This
group.
attitudes of the target
surveys. One especially useful shortcut technique for

conducting surveys is the interpretation of aerial

photography. Target populations can be identified based on

the physical characteristics of the housing they occupy.

Selected field surveys can then be conducted of the population

in each housing type to complement data on physical living

conditions with data on social and economic conditions.

Effective evaluation is important in order to improve the

The least complex evaluations are

design of later projects.

simple before and after comparisons of key indicators of the

target group's welfare. More sophisticated evaluations

compare improvements in the welfare of the target group with

the welfare of groups or individuals not affected by the IIPUP

project.

P A D C 0

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INTRODUCTION

IIPUP programs and projects are likely to evolve together

with the capacity to implement at national, provincial, city

and local levels.

While some countries will have a management

structure in place that permits local projects to be

formulated and implemented, many will not.

Further, a local

capability in one particular city does not necessarily imply a

national level capability to program. In preparing to

u-dertake a national IIPUP program, a wide range of officials

needs to contribute to policy formulation. The readership of

this manual is thus a wide ranging one.

Part I, "Project Identification and Design," will be of

particular interest to AID mission directors and program

officers and developing country policy makers and

administrators who must understand the complexity of IIPUP

programs and who have the responsibility for advising on the

necessity, the size and the objectives of an IIPUP program in

a specific country.

Part II, "Management and Organization for IIPUP," will be

of concern to AID officials and local policy makers also.

The

understanding of these issues will help shape the preliminary

design of particular projects.

The largest readership for

this section, however, will probably be found among the

members of AID and local sector specialists working with

project executive committees, project leaders and their teams.

Part III, "Training," is intended largely for AID program

officers and host country IIPUP administrators who must decide

whether to include training components in IIPUP programs.

It

should also be useful for sector specialists who must design

training programs for IIPUP personnel.

Part IV, "Data Collection, Surveys and Evaluation for

IIPUP Projects," will have some relevance for senior

administrators and national policy makers.

Survey work may

need to be commissioned and appraised prior to the

identification and design of projects.

Monitoring will be a

part of project management, but evaluation of the project and

monitoring process will be of national concern and will form

part of Lhe learning process through which the further IIPUP

projects in a program are designed to be more effective. The

wider readership for this part will include survey designers

and their staffs, monitoring staff and those responsible for

designing and carrying through evaluation studies.

Part I is divided into six sections. The goals and

purposes of IIPUP programs are discussed in Section A.

Here,

the need to deal with the underlying causes of urban poverty,

P A D C 0

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IIPUP projects

as well as their consequences, is stressed.

should be designed not just to help low income households

An underlying aim of such projects

improve their conditions.

is to initiate a sustained trajectory of improvement and

assist the poor to integrate themselves fully into normal

urban life.

In Section B of Part I, the importance of differentiating

individual types, as well as levels, of poverty is discussed

and some of the more typical types of target groups for IIPUP

Section C identifies the types of

projects are identified.

project components which are most likely to be effective in

These types of project

meeting these individualized needs.

components are further detailed in Annex I.

The importance of choosing appropriate means of

integrating services is emphasized in Section D. Arrangements

to achieve integration can range from direct intervention in

the services delivery system (supply side intervention) to

less direct user referral and assistance programs (user side

Examples of U.S. domestic and international

assistance).
experience are cited in this section. Many of these examples

are described in greater detail in Annex II.

Section E suggests ways in which IIPUP programs might be

financed to reflect the real economic constraints in the

Existing legislation and regulations

developing areas.
(including the standards established in the past for physical

development) are likely to have to be modified to reflect the

This is discussed in Section F.

realities of today.
Suggestions are made in Section G for achieving

incremental changes which will not make excessive demands on

The experiemental nature

existing institutions and practices.

and the

need
for
pragmatism
the
IIPUP
activities,
of
importance of proceeding with fragments of programs -
particuiarly in early projects -- are stessed.

Section A sets

Part II is divided into three sections.

out the management tsks that confront the project manager of

an IIPUP and the steering committee in charge of

implementation. Difficulties in its organizational,

managerial, operational and personnel side are delineated and

an example given of IIPUP management in practice.

Section B describes the context in which project

management takes place, stressing that a project in its

implementation has to find its place in administrations

Phasing, timing of the

running other projects and programs.

use of resources and personnel may lead to conflicts with

Pre-planning can remove many of the

other agencies.
situations that lead to such conflicts.

P A D C O

-2

Section C focuses upon the management of a specific IIPUP

project.
The key concepts of project management are set out

and a description given of the four major aspects of

(1) the role of the project manager; (2) project

management:
control; (3) management of the work program; and (4)

implementation management.

Part III reviews the necessity for a training program and

sets out in outline form the content of training for a number

Some guidance is given on the setting of

of identified posts.
priorities for training given the likely constraints of the

The establishment of training programs which

project budget.
employ financial resources from a number of projects is

advocated. Not every such project needs to be an IIPUP.

Section A covers
Part IV is divided into four sections.
the policy approach to the collection of data stressing that
not all data is useful information. Section B stresses that
only necessary information is required and this should modify

the approach to data collection. A checklist for data

Various sequences are

collection is provided in Annex Ill.

on the interpretation

A
method
based
and
compared.
explored
of aerial photographs is recommended for its simplicity, but

The material

other survey methods are also reviewed.

presented in Part IV draws heavily on material originally

prepared by Mathematica Policy Research, Inc.

Section C deals with the delicate but important matter of

ensuring the cooperation of the people to be surveyed with the

This requires tact and respect and some

survey process.
knowledge of cultural behavior toward guests, foreigners and

questioners in general.

the need for monitoring as a necessary

Section D revipw
Evaloaation is

part of the IIPUP piuject management process.

seen as an analysis of the effects of a project on a

A number of

population once the implementation work is over.

limitations

and
their
approaches to evaluation are reviewed
and biases exposed.

P A D C 0

-3

PART I

PROJECT IDENTIFICATION AND DESIGN

PA DC 0

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A. THE GOALS AND PURPOSES OF

IIPUP PROGRAMS

1.

GOALS

The fundamental goal* of IIPUP activity is to improve

the quality of life for the low income and disadvantaged

households which constitute a majority of the population in

most of the urban areas of the less developed countries.

The intent is to enable the individuals in those households

to have significantly greater opportunities to enjoy fuller

and more satisfying lives -- healthy, with access to the

knowledge they need to realize their potential more fully,

with enriched opportunities for social interaction, with

satisfying and stimulating physical environments, with

reasonable economic security and with the confidence and

hope necessary to enable them to improve their condition.

As noted in the introduction, IIPUP programs are in

tended to initiate continued improvement in the condition

of the target groups to which they are addressed, not just

a series of one-shot projects which help to shift such

households from extreme squalor to a better but static

condition in which they permanently require special support.

On the contrary, the aim is to help targeted households con

tinue to improve their own condition and integrate themselves

fully in normal urban life.

In pursuit of this goal, IIPUP programs must be con

cerned with improvements in the immediate condition of the

poor and with the creation of a foundation for future

improvement. They should result in early increases in

incomes, improvements in health, nutrition, shelter and the

physical and social environment and in immediate opportunities

for the members of low income households to participate in

decisions which are likely to affect their own well-being.

At the same time, these programs should help to build up the

human, physical and monetary capital needed for continued

improvement. This latter concern implies a need for sustained

improvements in the health and education of targeted household

members, improvements in and additions to the stock of private

and public physical capital and a more equitable distribution

"Goals" and "purposes" are used here in accordance with the

terminology of tle AID Logical Framework Matrix, whereby "goals"

are the ultimate objectives of projects and "purposes" are more

intermediate means of achieving them.

P A D C O

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of this capital, including land and infrastructure, the

achievement of income levels and consumption costs which

permit targeted households to begin to save, and improved

access to credit, coupled with increased creditworthiness.

2.

PURPOSES

The achievement of IIPUP goals necessitates attention

to both the "demand" side and the "supply" side of the

problem.

Programs must help to increase the capacities of the

urban poor to pay, in money or in kind, for the goods and

services they need.

Subsidies applied very selectively may

be necessary at some stages of a program for

some target

groups, but most governments in the Third World simply

cannot afford to maintain heavily-subsidized programs for

the poor at the scales that are necessary to impact their

condition significantly. IIPUP programs should therefore

be largely self-sustaining, supported with the resources of

the poor themselves. In addition to helping the poor to pay

for what they need, these programs should also equip them

to bargain more effectively for their rights and help them

to use the limited assistance which is available resourcefully

and responsibly.

In most countries the "supply" side is at least as much

a part of the problem as the "demand" side. In some cases

the agencies and programs necessary to deliver the goods and

services required do not exist at all.

In virtually all

cases where potentially relevant agencies do exist, their

administrative capacities are far below the levels needed and

their activities are uncoordinated.

The purposes of IIPUP on the demand side include the

following:

e The achievement of higher incomes for target house

holds -- through increased opportunities for pro

ductive employment within IIPUP programs (for

example, through participation in the construction

and maintenance of physical improvements and through

small scale enterprises incorporated in projects).

It should be recognized, however, that only a small

part of the employment needed by the urban poor can

be generated on site through IIPUP activities -

by far the largest part of the necessary employment

must be provided through more general economic

development and employment programs.

PA D C

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Increases in the capacities of the urban poor to use

their existing skills and resources more effectively

in the improvement of their own conditions -- through

technical assistance, through the provision of

information on opportunities for improvement and

through support for the formation of cooperatives

or other collaborative groups.

Increases in the capacities of the poor to enjoy

the social and cultural opportunities of urban life

-- through increases in their incomes, through ed

ucation and through the provision of information

on the opportunities available.

* Increases in the capacities of the poor to nego

tiate effectively for the goods and services they
need (including an increased capacity to negotiate
for public services to which they are entitled and
an increased ability to participate effectively in
the urban land market) -- through increases in

incomes, assistance in community organization and

legal assistance.
* Increases in the capacities of the poor to participate

in decisions affecting their own welfare -- through

programs in basic literacy, informal education, support

for community organization and legal advice.

* Increased creditworthiness for target households -

through increased incomes and abilities to save,

programs in basic literacy and informal education,

improvements in health and the potential for stable

employment, through programs designed to support

family and community stability, through incentives

for saving and investment and through education in

the rights and responsibilities of users of credit.

The purposes of IIPUP on th- supply side include:

" Increases in the availability of land for IIPUP pro

jects (land which is sufficient in quantity, suitable

in location and supplied at prices achievable for

targeted households) -- through fiscal and other

measures designed to reduce the excessive withholding

of land from the market for speculation and through

direct purchases of land for IIPUP projects.

"

Increases and improvements in the availability of

essential goods and services -- through the strength

ening (or, if necessary, creation) of entities for

supplying them in programs which are financially

viable and sufficient in scale to meet the needs of

IIPUP target groups.

P A D C O

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* Improved accessibility to essential goods and

services -- through more efficient delivery,

through distribution facilities which are geo

graphically convenient for target groups and

through improved information on the availability

of relevant goods and services.

* Greater responsiveness of the delivery system to

the needs and capacities of target groups. IIPUP

projects exist for their users and should accom

modate the needs of those users at all stages of

project development; this implies, among other

things, working closely with community leaders and

organizations, as well as individual program

participants, in the design and delivery cZf ser

vices.

o Cost effectiveness in the provision of goods and

services. This implies efficiency in the operation

of the individual entities participating in IIPUP

programs and coordination among the entities whose

activities are presently, or potentially, inter

related. The costs of many delivery systems can be

reduced, and their effectiveness increased, by

coordinating or consolidating functions.

(However,

integration is not costless and its advantages and

disadvantages must be evaluated carefully in each

situation. Forced integration may lead to a

weakening of political support and/or interagency

conflicts which reduce, rather than enhance, the

effectiveness of the several services involved.)

3.

THE LIMITATIONS OF IIPUP PROGRAMS

Although there is a need for a wide range of services in

IIPUP programs and the potential advantages of services inte

gration may seem obvious, the difficulties of integration

should not be underestimated.

It is important to plan IIPUP programs carefully. The

substantive project components chosen should be limited,

especially at the outset, and additional components should

be carefully staged so that programs are manageable. Geo

graphical expansion of an IIPUP program to new neighborhoods

and cities should also be carefully planned and staged.

It is especially important to select IIPUP project

components with regard not only to need but also to existing

institutional capacity. There must be a thorough under

standing of existing delivery systems for IIPUP-related

services. This should include an evaluation of existing

P A D C O

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programs and how they presently affect the urban poor, a

review of the effectiveness of existing institutions, their

personnel, their sources of financing, the principal con

straints they face
and their readiness for cooperative

endeavors.
In addition to the strength of institutions in

each sector, the institutional structure chosen to achieve

integration among sectors will be critical to achieving

success.

Guidelines for resolving these and other issues related

to project identification and design are presented in the

sections which follow. Careful project design can help to

minimize problems during the implementation stage. However,

because many problems cannot be foreseen, flexible manage

ment systems and an ongoing training program will be important

in coping with problems as they arise during implementation.

P A D C PA-ii
0

B.

TARGET GROUPS

The potential urban poor beneficiaries of IIPUP programs

do not consist of one large homogenous group. In most cities

in the developing countries, the "urban poor" population

contains diverse groups with a variety of different needs

and capacities. In identifying specific IIPUP projects, it

is important to differentiate among the potential subgroups

of beneficiaries in a way which will suggest the specific

types of program support they require.

1.

CRITERIA FOR CLASSIFYING TARGET GROUPS

One useful method of classification is to analyze house

holds' current consumption needs, the capital assets (or lack

of capital) they have accumulated as a foundation for im

proving their future condition and their territorial

orientation.

a.

Current Consumption

Deficits of essential goods and services vary widely

from one urban poor group to another. Households with

extremely unstable and/or low-wage employment -- for example,

newly arrived migrants or chronically marginal households -

may have to give first priority to the upgrading of their

literacy and skills. Because of their low and irregular

incomp-, they are also likely to be suffering from malnutrition

and debilitating illnesses and disease. Many of them will not

have relatives or a communal group on which they can depend

for intermittent support. They are likely to be located in

some of the most squalid and unsanitary areas of the city.

Programs designed for them may have to focus on literacy,

job skills, nutrition, preventive health services and basic

environmental sanitation. They may not be good candidates for

credit or technical assistance for shelter until they have

begun to overcome their more fundamental deficits. Low income

households who have chosen to occupy rental space rather than

invest in permanent shelter in their present locations may

require yet other types of assistance to improve their current

consumption standards.

b.

Capital Assets

Capital assets, defined broadly, include human capital

(represented by the health, education and physical and

P A D C O

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intellectual capacities of household members to work produc

tively and to enjoy the opportunities offered by urban life),

property rights, cash savings and access

to formal or informal

credit. The worst-off households are likely to need program

support to bring them to the threshold of being able to begin

to save. Better-off households who have already invested in

the shelter they occupy may be interested primarily in credit,

technical assistance and legal assistance to help them to

protect and enhance their holdings. Other relatively well

off households who have no commitment to their present

locations may be more interested in improving their personal

skills and capacities in order to increase their mobility.

C.

Territorial Orientation

Territorial orientation also is

a useful indicator of

households' potential and priorities. At least three types

of territorial orientation can be identified:

*
Some households and individuals are "externally"

oriented. They are largely interested in earning

money to send back to families elsewhere, usually

in rural villages. They are not interested in

permanent settlement and investment in the urban

areas.

e
Other households are in transition, trying to gain

a foothold in the urban areas.

They may live in

"staging areas" (usually squatter shacks or rental

tenements), but ultimately they hope to move to

more permanent areas as they become more

secure.

o
A large number of households are consolidating

their position in the cities.

They are interested

in permanent investment and improvement in their

present locations.

The level of community organization is usually related to ter

ritorial orientation and is higher in the more permanent

communities of consolidating households.

2.

ILLUSTRATIVE TARGET GROUP TYPES

Table I-1 shows how the above characteristics can be used

to define target groups. Five illustrative target groups are

distinguished according to differences in consumption needs,

assets and territorial orientation. The actual target group

types will vary from country to country. Target group

definitions are necessarily broad and have a large degree

of overlap in specific situations.

P A D C O

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TABLE I-i

Illustrative Target Group Classification

PRIORITY CONSUMPTION

NEEDS

ASSETS/SKILLS/TENURE

TERRITORIAL ORIENTATION

Trapped; no community organiza

tions; capable of improving

community welfare.

I. Chronically

Marginal

Households

Food, fuel, clothing; health

care; water; sanitation,

Low levels of health; low skills;

poor housing infrastructure; high

vulnerability to flood, epidemics,

etc.; no savings.

II. Single

Migrants

Information on employment;

opportunities for social

interaction.

Low level of education; low skills.

Externally oriented; sending

savings back to villac2; prior

ity on improving employment

situation; no community organ

izations.

III. Beachheading
Public services (water, sani-

Households

tation, solid waste, etc.);

sanitary facilities; legal as-

sistance; employment; basic

information; prenatal, mother/

child care, family planning;

opportunities for social

interaction.

Poor skills; no legal tenure/

squatting; high vulnerability to

flood, epidemics, etc.; limited

savings; limited access to credit

(usually informal),

In transition; would like more

secure tenure or to move to a

more permanent neighborhood, but

lacks stable employment, savings,

and access to credit; limited

community organizations.

IV. Households

Renting by

Choice

Improved sanitation, solid

waste; legal assistance;

basic information,

No savings; low skills levels;

limited access to credit (usually

informal); renting but lack full

legal lease.

In transition; would like to

settle permanently in city, but

lack
permanent employment, ac
cess to credit, savings; no

community organizations.

V. Consolidating

Households

Improved water and sanitation;

improved housing; primary

and secondary schools; public

transportation.

Partial tenure, but not fully

legalized; access to informal

credit; limited access to formal

credit.

Consolidating; would like to

achieve full secure tenure;

has some security of employment;

some community organizations.

a.

Chronically Marginal Households

Chronically marginal households are households which,

for one reason or another, are desperately poor and stand

apart from the rest of the urban population. They have

little chance of upward mobility or integration with the

rest of society unless dramatic changes are initiated by

outside agents. Even then changes are difficult to achieve.

In the more extreme cases, their unusual status may be the

result of religious, ethnic or regional differences from

the urban majority. Tribal and scheduled caste households

in India are examples of this group.

The akhdams (streetsweepers) in the highland cities of

North Yemen are another example of chronic marginality. They

are ethnically distinct and come from the lowland Tihama

region. They are desperately poor and willing to do a type

of work which highland Yemeni consider degrading. They

have somewhat lower incomes than the highland Yemeni urban

poor, but it is largely because of their cultural differences

that they are segregated from other groups. They have

lower-standard sanitation habits, different traditional

settlement types and different architectural styles. They

have high rates of disease and mortality. Other types of

employment are not available to them, and they are not

allowed to settle freely throughout the cities. The largest

streetsweeper squatter settlement in Sana'a is built of tin

and cardboard on a sewerage disposal field.

Residents of the Brooklyn squatter settlement in Port

au-Prince, Haiti, are another example of chronic marginality.

Although they are not set apart for ethnic or cultural

reasons, they are desperately poor with little chance for

upward mobility. They have very low incomes and high levels

of unemployment and underemployment. The settlement is

built on a salt flat with poor drainage and is subject to

periodic flooding. It has virtually no infrastructure and

lacks basic social services.

In some cases, the chronically marginal may be renting

or sub-renting their quarters as

in the case of many bustee

tenants in Calcutta. In other cases, they are squatters.

However, the ccmmon denominator of these groups is their

desperate poverty, limited mobility and low self-esteem.

Their most pressing need is for improved nutrition, cloth

ing and fuel. They generally lack access to potable water,

sanitation and health care. They are subject to high

physical and social risks such as floods, landslides, epi

demics, unemployment and serious malnutrition. In relation

to these needs, improved housing is a relatively low

priority.

PA D C 0

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b.

Single Migrants

Many developing countries have large numbers of single

migrants living in urban areas. Some have come to establish

themselves permanently in the cities, but many more intend

to stay only temporarily in order to support their families

in the rural areas. Those intending to remain have needs

similar to the "beachheading" households described below

because they are preparing for the eventual relocation of

those who have been left behind temporarily. However,

those who remain externally oriented have a distinct set

of needs and IIPUP project requirements.

The permanence of migration has been noted to vary

among regions of the developing world.*

The least developed

regions of South Asia and sub-Saharan Africa have the

highest levels of temporary migration. The 132 males per

100 females in Karachi and 187 males per 100 females in

the African population of Nairobi are indicative of high

levels of temporary migration. Many migrants come each

year during seasons of low rural employment. Others stay

for longer periods, but their families remain behind and

they intend to return. The more developed cities of Latin

America appear to have less temporary migration which

indicates that rural-urban migration tends to be more

permanent in countries with higher levels of development.

Caracas, Venezuela, for example, has only 96 males per 100

females.

The distinct problems of single migrants are epitomized

by many migrants in North Yemen. The three largest cities,

Sana'a, Hodeidah and Taiz, have male/female ratios of 1.32,

1.50 and 1.32 respectively. In 1975, there were an esti

mated 70,000 to 80,000 temporary migrants in these cities

(about 25 percent of a combined urban population of 300,000).

Groups of ten to twenty migrants crowd together in small

rooms in the cities. They spend little of their earnings

and send large amounts of money to the rural areas to

maintain their families. They frequently finance the con

struction of elaborate houses in rural areas to which they

plan to return.

Because of their external orientation, many single

migrants are not interested in investing in the urban areas.

Their highest priority is securing employment; the quality

Joan M. Nelson, "Sojourners vs. New Urbanites: Causes and

Consequences of Temporary vs. Permanent Cityward Migration

in Developing Countries," Economic Development and Cultural

Change, Vol. 24, University of Chicago Press, 1976.

P A D C O

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of their immediate environment is secondary. However, many

want to improve their skills and levels of education during

residence in urban areas.

c.

Beachheading Households

Beachheading households are households that are just

beginning to get a permanent foothold in the urban area.

Household heads may have come as

single migrants but are

now bringing their families with them as well.

They are

still very poor, but they differ from the chronically

marginal in that they are more mobile and able to build

a better life in the city. Beachheading families have

begun to solve some of their employment problems and meet

their most basic needs, although they still need help in

these areas.

Some of the tugurios of San Salvador are examples of

beachheading areas.
They are dense, low-standard settle
ments located along ravines, stream beds and on some public

rights-of-way. Tugurio families need to

be close to job

opportunities and the markets they serve

through the in
formal sector. Some rent plots from private owners; others

are squatting on public land. Most houses are of wood and

cardboard.
None have water, sanitary facilities or other

basic infrastructure. Some tugzrio families are subject to

flooding, erosion and other serious risks.

Many, however,

want to improve their status by gaining secure tenure,

improved shelter, education for their children and access

to a range of urban amenities. Most plan to remain in the

city indefinitely.

d. Households Renting by Choice

Many households prefer living in existing rental quarters

instead of settling in the more newly developing fringe areas.

Many cities in the developing countries have central areas

with old housing that has been sub-divided for rental to the

poor.
These groups may need to be close to job opportunities,

schools, hospitals and other amenities of the center city.

They may also prefer the relatively high level of services

of rental quarters (typically water and shared sanitary fa

cilities) compared to newer areas which may be developing

beyond the reach of existing urban services. Many lack the

savings necessary to build housing in fringe areas.

Households in the cuarterias of Santo Domingo and the

mesones of San Salvador are examples of this group. Housing

units usually consist of one room with common services.

Families in these areas tolerate crowded conditions in order

P A D C 0

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to be close to their places of work. Landlords frequently

do not maintain rental units properly, especially in coun

tries which have rent control laws which limit profitability

to the landlord. In the mesones of San Salvador, leases

are often verbal and seldom comply with the law which

limits tenants' rights in rent disputes. The mesones are

seldom maintained in accordance with sanitary standards

set by law.

Households in rental quarters have a distinct set of

needs. They frequently need legal assistance to help them

deal with landlords. This effort may also require the

development of tenants' organizations to protect their

riahts. Many rental units require improved sanitary fa

cilities most urgently, but because of complex tenure

patterns it is often difficult to carry out these or other

physical improvements and recuperate investment costs.

e.

Consolidating Households

Consolidating households are those which have already

gained a foothold in the urban areas and are trying to im

prove their position. They already have some marketable

skills and relatively stable employment. To consolidate

their position further they may require more secure land

tenure, improved public services and shelter, schools and

access to credit.

The colonias !legales (illegal sub-divisions) of San

Salvador are a good example of consolidating households.

These are the rapidly expanding and primarily peripheral

areas of the city which have been sub-divided illegally with

practically no public investment in infrastructure, open

space or community facilities. Households in these areas

are not squatters. They have usually purchased their land

and have begun to build permanent structures. However, their

land title is usually not registered and their sub-divisions

and houses do not meet minimum legal standards. They are

relatively well-to-do and have less crowded neighborhoods

compared to other poverty groups, but they lack most urban

infrastructure and public services.

Households in these areas need legal assistance to

secure full legal tenure to their land. Because they are

willing and able to invest in physical improvements, they

can benefit from infrastructure improvements and credit

for home improvements more than other groups. Improved

public transportation may be important to these groups.

There are often some existing community organizations which

can facilitate improvement programs.

P A D C

0-19

f. Women-Headed Households

Another group which merits special attention in IIPUP

project planning and may cut across several of the poverty

groups mentioned above is women-headed households.*

Data

from 74 developing countries indicate that an average of 18

percent of househulds are headed by women.

This average is

22 percent for sub-Saharan Africa, 20 percent for Central Ameri

America and the Caribbean, 16 percent for North Africa and the

Middle East and 15 percent for South America.

The heads of

these households generally have lower levels of education

than male-headed households or women in general.

There are

large income differentials between male and female heads of

households.
Surveys in urban areas of Latin America have shown

shown that disproportionate percentages of women-headed

households are concentrated in the lower income neighborhoods.

There are many factors that contribute to the rise of such

such large numbers of relatively poor women-headed households

including internal migration and urbanization. It is clear

that in many countries they constitute a marginal group of

increasingly serious proportions.

They are a potential

target group for many types of IIPUP activities.

3. THE USE OF TARGET GROUP CLASSIFICATION IN

PROJECT IDENTIFICATION AND DESIGN

The specific target groups

on which IIPUP programs and

projects should be focused in a particular situation can be

identified using the techniques presented in Part III.

This

includei the analysis of census data and other published

materials, the interpretation of aerial photographs and well

chosen field inspection, interviews and surveys.

Decisions as to which potential target groups should

be included in projects will depend partly on needs and

capacities identified, partly on political priorities and

partly on the probability of successful project implementa

tion.
In the early stages of a program, for example,

projects for the worst-off groups may be very difficult

to launch.
Somewhat better-off groups with greater capac
ities for self-improvement and project participation may

be focused on first, to enable the overall program to gain

momentum and political support before it is addressed to

the most difficult problem areas.

In other cases, political

For more information, see Women-Headed Househclds:

The

Ignored Factor in Development Planning, Mayra Buvinic et al.,

International Center for Research on Women, Washington, D.C.,

1978.

P A
D C O

-20

pressures may dictate that the neediest groups be attended

to first. Some of the issues associated with the estab

lishment of priorities among target groups are discussed

in Section G below, which deals with the evolutionary and

experimental nature of IIPUP programs.

Table 1-2 indicates how target group classifications can

be used to aid in identifying program and project requirements.

The table is illustrative and generalized; the actual needs

and priorities of individual groups in particular situations

will, of course, be specific to those situations.

P A D C O

-21

TABLE 1-2
Priority Needs of Tarqet Groups

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PRIORITY NEEDS OF THE URBAN POOR WHICH MIGHT

BE ADDRESSED THROUGH IIPUP

PHYSICAL IMPROVEMENT NEEDS:

Improved shelter
Secure land tenure or rental status
Water
Sanitation
Drainage/soil "itabiliz:ition
Open/recreation space
Electricity

o
o40

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a:

0 0
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>

X
X
X

X
X

X
X
X
X

X
X
X

X
X
X
X
x
x

X
X

COM1IUNITY SERVICES AND

FACILITIES NEEDS:

Solid waste ren-oval

Day care facilities
Legal assistance
Opportunities to participate
in decisionmaking and support for
community organization
Emergency services (fire and

security)
Communication (public

telephones)

BASIC CONSUMPTION NEEDS:

Public transportation

X
X
X

X
X
X

X
X
X

Adequate nutrition
Fuel

x
x

Clothing

TABE

1-2 (continued)

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HEALTH NEEDS:

EDUCATION NEEDS:

EMPLOYMENT RELATED NEEDS:

FINANCING NEEDS:

Community health facilities

Preventive health services

Curative health services

Prenatal care

Infant/child care

Instruction on family planning

Instruction on basic hygiene

Instruction on basic health

practices (care of illness,

first aid, etc.)

Primary and secondary schools

Vocational training

Basic literacy

Space and facilities for small

scale enterprise

Technical assistance for small

scale enterprise

Information on available

employment

Employment through direct

government hiring

Credit
Advice on family budgeting, sources

of credit, negotiating for credit

and credit responsibilities

.t4
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0

L-

PRIORITY NEEDS OF THE URBAN POOR WHICH MIGHT

BE ADDRESSED THROUGH IIPUP

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x
x
x
X
x
x
X

x
X

x
x
x
x
x
x
x

x
x

X
X

X
X

X
X
X

X
X
X

C.

COMPONENTS OF IIPUP PROJECTS

IIPUP involves the integration of a range of facilities

and services for the urban poor. It is useful to consider

each of the most common groups of facilities and services

individually prior to discussing organizational arrangements

for achieving integration. Table 1-3 provides a list of the

most common project components which might be considered

for an IIPUP program.* Many of these are themselves inte

grated on a limited basis, comprising small packages of

functionally related projects. Organizational means of

integrating project components are presented in the next

chapter.

In many situations in which all or a large number of the

components listed in Table 1-3 are desirable, it will not be

possible to introduce them all at once. This is typically

the case where the capacities of the entities responsible

for the service delivery are limited and where the incomes

of target groups are too limited to enable them to pay for

more than one. Where this occurs, it is likely to be

necessary to introduce at first only the highest priority

improvements which are both administratively and financially

feasible. Other components which are more demanding finan

cially and/or more complex administratively can be added

later. This is discussed more fully in Section G, which

emphasizes the evolutionary nature of IIPUP programs and

projects.

Table 1-3 indicates which needs each one of the project

components tends to meet and the target groups

(from Section

B) for which each is likely to be important. This list is

intended to be illustrative. Additional components may be

needed in specific situations.

The project components listed in Table 1-3 are reviewed

briefly in the remainder of this chapter. They are des

cribed in somewhat greater detail in Annex I.

The most common IIPUP components are listed first in

Table 1-3. These are physical improvements in existing settle

ments.
Shelter is a basic human need and a fundamental

concern of most governments. In many cases, this concern

for shelter has furnished the initial raison d'etre and the

foundation for more integrated programs.

In many cases (for the reasons noted earlier), physical

improvements such as water supply, basic sanitation,

drainage and soil stabilization have been judged to be

Each of the project components is discussed in detail in

Annex I.

-25

the most immediately manageable high-priority components of

projects. They provide a dramatic change which can be an

inducement to follow-on social and economic programs.

Shelter and other physical improvement is, therefore, the

most common focal point for integrated urban poverty proqrams

In some cases, however, it may not be provided at all.

The components to be introduced first in each situation

will depend largely upon the types of target groups involved

and the capacities of the entities potentially responsible

for the facilities and services which are needed.

The most appropriate types of shelter projects for

the urban poor are generally the upgrading of existing

settlements and the development of new low income settle

ments. There have been many examples of both types of

project in recent years. A range of components, standards

and financial and legal mechanisms should be considered in

designing appropriate shelter projects. Standards have to

be affordable on a wide scale. It is also important

to recover the costs of shelter projects

for reinvestment in subsequent ones.

The need to improve employment opportunities for the

urban poor has become a key area of concern. Large numbers

of the urban poor are typically unemployed or marginally

employed in low productivity service sector occupations.

It is realized that their productivity, employment and

incomes must be improved as a prerequisite for many other

types of improvements. Frequently individual on-site

measures of the type which can easily be undertaken as

part of IIPUP to improve employment may not attack the

roots or the scale of the problem. More fundamental changes

may be required at the national level in industrialization

policies, tariffs, industrial credit, minimum wages and

other measures which could provide an incentive for increased

low skilled employment.

In other cases, assistance to small scale enterprises

can be an appropriate means of generating some employment

for the poor. Such assistance can include improving access

to credit, increasing market size, providing land and

facilities for business and providing technical assistance.

Additional types of employment assistance might include

direct governmental hiring of individuals, vocational

training and employment referral and information services.

Adult informal education projects can be important

complements to other IIPUP components. They can also help

the poor to overcome some of the deficiencies of formal ed

ucation systems. Non-formal education in health, sanitation

PA D C

-26

and family planning can complement programs in environmental

sanitation and health services delivery.

Literacy can pro
vide basic skills to the urban poor through a variety of

media. Non-formal education can provide some of the basic

information which is necessary for survival in cities such

as legal information and information on available community

services.

Environmental sanitation projects, although closely

related to some aspects of settlement upgrading, can be

considered separaLely. They fccus heavily on the minimal

investments necessary for a more healthy environment.

Improved water supply, sanitation, drainage and solid

waste disposal are so important they they can have a more

cost effective impact on the health conditions of the

urban poor than projects to improve health delivery ser

In many cases, however, some minimal improvements

vices.
to health. services can be considered as part of IIPUP

programs. These should focus on preventive services and

community outreach. Mother/child, Jamily planning and

nutrition services can also be important to the poor.

Public transportation services are most important to

the relatively prosperous "consolidating" groups who gen

erally live farther from their places of employment.

However, even the poorest groups can benefit from improved

facilities and support for pedestrians, bicycles and

traditional transportation modes such as bicycle rick

shaws. Bus and mini-bus services can frequently be im
proved to benefit the poor.

Effective community participation is important for the

achievement of most IIPUP project components. It is also

an important end in itself to achieve greater self reliance

and more sustained development in poor communities.

Community groups can and should be involved in all stages

of IIPUP project development.

In some cases, specific welfare components can be

included in IIPUP programs for the neediest groups such

as the disabled, the elderly and households headed by women.

The shortage of resources will generally require that public

assistance be focused on the most extreme cases. Appropriate

private organizations may exist which can be encouraged to

participate in IIPUP programs to achieve this end.

P A D C O

-27

TABLE 1-3

GH

10

Cw

0
E

IIPUP PROJECT

VE 0
't4

4j 0
JJ4-j

oQ)

En

BASIC NEEDS OF THE

URBAN POOR W HICH MIGHT

4J
C1

4j

C:a

'U-H

c
c
0))
H-1

0)

4JQ

>1

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)
0

4
)0)

U -o
0

PHYSICAL IMPROVEMENT NEEDS:

Improved shelter
Secure land tenure or rental status
Water
Sanitation
Drainage/soil stabilization
Open/recreation space
Electricity

COM1-4UNITY SERVICES AND FACILITJES NEEDS:

Public transportation
Solid waste removal
Community centers
Daycare facilities
Legal assistance
Opportunities to participate in decision
making and support for community
organization
Emergency services (fire and security)
Communication (public telephones)

BASIC CONSUMPTION NEEDS:

Adequate nutrition
Fuel
Clothing

li

-4 Q
Q0 U
E0C:
0)1
W~

4
(0-4

W)

-J-4

Q)

41
.14

~ 0-Ui0
V

0
rd

:
1c;
(Z

ri
.

M~

.-4
N

0)

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4)

BE ADDRESSED THROUGH IIPUP

Target group most appropriately benefited

U)U Ln

4j

0)E
EQ
0.0
C40

S W

-W

COMPONENTS

0)

U)

ff 1-4

a;l

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4-J
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04

En

*-4
>
4

r
ro

-Lu

.)
a

i4

-H

0
4
0.

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-4-jr3Q
00
-.4 >
0.OU )

o
IIIV

X
x
X
X
x
X
x

III,
IV,V

I-V

X
x
X
X
x
X
x

TV,V

I,1II

__

X
X
x

x
X

I, I,
Ii-V III,III,
IV IV

x
X
x

x
x

En
c

r-

TABLE 1-3 (continued)

r4ji

44)
4-'a

owa

U]

U)~
HEAL
-0 -H
)

02Z
H,
0)

Q
00

((4.

BASIC NEEDS OF THE URBAN POOR WHICH MIGHT

BE ADDRESSED THROUGH IIPUP

Target group most appropriately benefited

_______________________________________

HEALTH

'-

0Q

4--

0
040 U

.2 VI
E

'J

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4JI41i
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41
4~
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IV7 V

Ill,
I-V

r2

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Ili-V

EDUCATIO NEEDS:
Primary and secondary schools

Vocational training
Basic literacy

0a
)
M(

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rq

()
-H

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a3)

04

F.

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rd2
41
4
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4JUM
a)
J00
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-H -H
1-e(H
>-4
-0
.i
)

44J

C
-H

r(2

'0

4-4

-H
r0
-H

r4

)
M(204
0

I17

a4

I,
IIV,
III III

U)

((2

la4

3-, t

x
x
x
X

X
x

x
x

EMPLOY) -EN.T REL.4TED NEEDS:

Space and facilities for small scale enterprise

Technical assistance for small scale enterprise

Information on available employment

Employment through direct government hiring

FINANTACIVC HEEDS:
Credit

Advice on family budgeting, sources of credit,

negotiating for credit and credit

responsibilities

X
X
x
X

111

IV,_____

___IV

NZE
Community health facilities

Preventive health services

Curative health services

Prenatal care

Infant/child care

Instruction on family planning

Instruction on basic hygiene

Instruction on basic health practices (care

of illness, first aid, etc.)

>

HE-

Q)

IIIV
V

-0

U)

4-3

(z2

HOz

*-1

4-)-j

>,

C
O)
HO
C
0

HO

T)

4-1
r- - C
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4-'

wc,

~ Ir.~

44- W
V

4j'

;4

D. ORGANIZATIONAL ARRANGEMENTS FOR

INTEGRATING URBAN SERVICES

1. BACKGROUND

In the discussion which follows, various arrangments

for integrating social services will be proposed. Of

necessity, many of the examples of integrating services

are drawn from the American experience since experimental

efforts to improve service delivery have been numerous in

this country during the past decade. These experiences are

worth examining, not only for their possible applicability

to IIPUP projects but also because they suggest the diffi

culties and potential advantages associated with alternative

integrated delivery systems.* Experience suggests that

services integration can be achieved through various means

but that the state of the art is still in a very fluid and

experimental stage. Domestic experience certainly does not

indicate that there are specific approaches to service

integration which will work in all situations. Services

integration has not been an overwhelming success in all

cases. This uneven history of integrating delivery systems

in the United States points to many potential problems as

integration is attempted in developing countries.

The rationale behind the development of integrated

delivery systems is basically sound. The poor have multiple

and interdependent needs and these are more likely to be met

through arrangements which recognize the holistic nature of

the problem. It can be argued further that duplication of

services and the lack of coordination among agencies which

administer service do not work to the advantage of the urban

poor. However, the simple principles which have motivated

public authorities to attempt integration are difficult to

operationalize. Bureaucratic constraints at times are

formidable and tend to frustrate the operation of integrated

systems. In some cases, additional costs have been incurred

and greater delays have been experienced in projects designed

to produce totally opposite effects. Even with careful

planning, services integration cannot be assumed to succeed

in all cases.

Although integrated service systems confront many

problems, evidence of some achievement in servicing the

poor more effectively can also be demonstrated. It would

be too simplistic to decide either in favor of or against

integrated service systems. It would be more correct to

recognize the experimental nature of the discipline and to

proceed carefully to devise means of integrating services.

Annex II presents a number of relevant case histories of

project integration from domestic and international experience.

-31

Experience suggests that a range of factors must be

analyzed before deciding on the organizational arrangements

most likely to work in any given situation. The methods and

structures adopted to integrate services for the urban poor

should depend on such factors as client readiness to use an

integrated services system, the willingness of partners in

the system to look beyond adherence to organizational

territoriality and the feasibility of combining administra

tive and fiscal authority.

The following discussion presents alternative organi

zational arrangements which should be considered in designing

new IIPUP programs. The arrangements presented here range

from direct intervenition in the services delivery system

(supply side intervention)to less direct user referral and

assistance programs (user side intervention).

There is

actually considerable scope for overlap in these arrangements;

IIPUP programs may involve a mix of integrating mechanisms.

All of the alternative organizational arrangements are

not equally relevant for developing countries. The principal

advantages and disadvantages of each for developing country

situations are discussed in the conclusion of this section.

2. POSSIBLE APPROACHES TO INTEGRATION

a. Direct Services Integration at the

National and Regional Levels

In direct integration, the service providers are legally

subordinate to the integrator. The powers of the integrator

include authority to compel participation by service providers

in a single system of planning, programming, budgeting, eval

uation and implementation of social service delivery.

The extent of the target group being served will affect

the level at which integration is appropriate. This will

obviously differ from country to country and project to

project. It is important for the administrative level of

integration to correspond to the defined target group. The

extent to which national, regional or municipal governments

can adequately coordinate the various service inputs required

for the urban poor is largely a function of project scope.

A common means of attempting services integration is to

establish a national or regional level coordinating entity.

This approach is illustrated by the Department of Health and

Rehabilitative Services in Florida. This department was

created as part of a major government reorganization in 1968.

Twenty-two agencies, boards, commissions and program offices

were combined to form a single department. It includes health,

P A D C 0

-32

welfare, youth services, mental health, vocational rehabili

tation, aging services, drugs, alcoholism services and

correctional institutions. There are seven line and two

staff divisions. The staff divisions are administrative

services and planning and evaluation. Comprehensive health,

planning, community medical facilities comprehensive

rehabilitation, planning and research and evaluation are

done by the division of planning and evaluation. Each line

division has sub-state and district operations. However,

services are coordinated through departmental level planning,

programming and budgeting.

In some countries, central government ministries may

be given the responsibility for sponsoring individup.l IIPUP

programs.* The following types of organizations are potential

participants in this type of central coordinating mechanism.

(W)
Planning bodies. Because congruence between the

more specific goals of an IIPUP project and national goals

is important, liaison with national planning boards and their

state counterparts at the project planning stage is critical.

This is also important because the project may have to be

accepted as an experimental or prototype to be replicated

elsewhere in the country.

(ii) Budget agencies. Liaison with appropriate budget

agencies should occur essentially for the same reason as it

does for planning bodies. An additional responsibility of

the budget agencies is to approve funds for certain components

of IIPUP projects and to assure some continuity of funding

for those projects requiring a longer period of implementation.

(iii) Substantive ministries. The responsibilities of

substantive ministries and departments vary depending upon

whether the ministry has a primary coordinating responsibility

in the project or is one of several sectoral contributors to

the project. A related question concerns whether central

ministries provide states and municipalities with grants

leaving considerable spending discretion to state and local

authorities or whether ministries earmark funds for specific

uses. In the latter case, coordination with central ministries

is critically important. If major spending authority is with

the state agency, then these bodies should be a focal point

of coordination -- especially in regionally tocused projects.

Ministries or departments are also potential participants

in IIPUP projects if they impose standards which effect the

delivery of services or would be required to release personnel

to assume staff responsibilities in projects.

(iv)
Non-substantive or regulatory agencies. These

agencies include treasury or finance departments who must

See the Honduras example in Annex II.

-33

release funds and who often establish the terms and conditions

(schedu_.ing) of the release of funds.

Personnel or civil service bodies who determine condi

tions of recruitment, placement, salaries and sometimes

training should be involved in the project's organizational

structure. If projects elect to make heavy use of public

employees, existing personnel policies will have to be

reviewed to assure that qualified staff will be available.

Most governments now have environmental control bodies

whose relationship to sewerage or sanitation projects could

be important. Zoning authorities, public safety agencies

and certain accrediting bodies could also play a regulating

role in service provision.

(v) Training bodies. Considering the importance of

training in most IIPUP projects, training organizations could

be prospective participants in IIPUP design and coordination.

A variety of training programs will have to be developed to

service IIPUP.

(vi) Public or private sector industries. Projects

which include capital improvements such as housing, roads

or water and sewerage systems may have public or private

implementing agencies. In many countries, funds are publicly

administered, but the execution of development projects is

handled through private businesses or autonomous entities.

(vii) Financial institutions. Public or private financial

institutions may be important to IIPUP projects. Credit terms

and interest rates are important to many types of IIPUP pro

jects. In some cases, financial institutions also provide

technical assistance such as management advice to small scale

business.

The direct access to and control of financing by central

coordinating entities will, to a large extent, determine their

success.

b. Direct Services Integration at the

Municipal Level

Where the target group is a substantial percentage of

the population of a city, it is appropriate that the munici

pality assume coordinating responsibility for the services

required for the project.

An urban improvement project in Lusaka which covered

40 percent of the housing in the city clearly required a

PA D-C

-34

key role by municipal authorities! The Lusaka project was

an outgrowth of an earlier more modest project. The Lusaka

Milicipal Government coordinates inputs of the National

Housing Authority which makes funds and technical assistance

aveilable for squatters to upgrade their homes through a

cooperative, self-help program. The World Bank is providing

financial assistance to the project. UNICEF and the

American Friends Service Committee are also involved in

the various social service components of the project.

c. Autonomous Coordinating/Facilitating

Organizations

In some instances, coordination can be achieved through

an ad hoc organization which is organized to stimulate ser

vice for the urban poor. The organization need not and, in

most instances, should not be governmental but should be the

linking agency between government agencies, private agencies

and the target group. The organization could, by virtue of

its experience with social services, be a catalyst for

stimulating the involvement of other public and private

bodies in assisting the urban poor. Its role would be par

ticularly appropriate where the circumstances of the target

groups to be served are very desperate and the prospect of

an indigenous group taking initiative seems unlikely. With

an autonomous broker, target groups have an independent

advocate and management resource.

This type of integration is illustrated in the Ahmedabad

Urban Improvement project where the ASAG, a voluntary inde

pendent body, served a key coordinating function in providing

infras-ructure from the Ahmeddbad Municipal Corporation for

L sdtes and services project as well as technical assistance

from the American Friends Service Committee!*

d. Coordination/Integration Through

Community-Based Organizations

In certain target group areas, local organizations may

exist which, with some restructuring, could form the nucleus

for channeling various services. A proposed IIPUP project

for Panama recommends this kind of institutional arrangement.

While the Ministry of Planning and Economic Policy would be

the chief coordinating agency for the project, funds for the

project would flow directly from the central level to the

conunity-based organizations which would administer the

project. The services provided to the target groups and the

personnel associated with dispensing these services would be

the responsibility of the community-based organizations.

See Annex II.

** See Annex
II.

e. Coordination/Integration Through

the Planning Process

Some attempts at integrating services, particularly in

the United States, have limited themselves to the planning

function without disturbing the structures of participating

agencies. The participation of service agencies can be

voluntary, which, of course, means that there is less as

surance of compliance with the program. However, the results

of the coordinated planning exercise, usually carried out by

representatives of the participating agencies, can influence

the allocation of resources by the various functional agencies.

Agencies which participate in the plarning process are also

expected to contribute to a common data gathering or

monitoring program.

Three domestic examples illustrate this approach. Under

funding made available through Title XX of the Social Security

Act of 1975 (the objective of which was to improve local

planning and delivery of social services), Monroe County,

New York attempted a comprehensive needs assessment and re

source analysis. The project did not involve a forcible

reorientation of existing agencies' programs.

Rather, it

provided information to agencies of where needs existed and

how their resources might be better focused.

The strategy

assumed that a fairly broad range of services were already

in place and that most needs could be met by redirecting

existing programs.*

A somewhat related program is carried out by San Mateo

County's Human Services Coordinating Council which does not

allocate funds or modify existing planning systems, but

rather through coordinated needs analysis and planning ac

tivities attempts to make service delivery among several

related agencies more purposeful for specific target groups.

In both of the above examples, the agencies may be constrained

by jurisdictional requirements which limit their ability to

relate programs to clients. However, integration is achieved

by securing interagency acceptance of the identified needs

and by getting agencies to apply their specialties so that a

complementary set of services can be provided.

Another example of integration through the planning

process is found in some of the more sophisticated United Way

programs. If an
agency wishes to gain financial assistance,

it must comply with the requirements for planning and coordi

nation established by the United Way. A common data base is

used by all participating agencies in this effort. Agencies

participate in all stages of the planning cycle.

Indirect integration through improved central planning

is less effective where gaps in service are numerous or where

For
more information on these examples,
see
Sharing, Vol. 3,

No. 2, Spring 1979 and Vol.

2, No. 3, Fall 1978, Project Share,

Rockville, Md. See also case study in Annex II.

-36

the agency priorities and structures are inappropriate for

the target group. Such a strategy may be effective to

improve service delivery over a long period. It may not be

as relevant in developing countries where needs are more

urgent. However, this approach does have merit as a rela

tively non-threatening strategy which can lead to limited

services integration and improved planning.

f. Integration Through Packages of

Functionally-Related Programs!

Block Assistance to Target Groups

Attempts have been made to redirect categorical funding

programs which often are constrained in servicing target

groups appropriately by introducing block grants focusing

on particular target groups. This approach is illustrated

by the Flexible Intergovernmental Grant program now being

undertaken in three states with evaluation funds from the

Department of Health, Education and Welfarc! The program

supposes that bringing categorical funds into block grants

oriented toward particular functional areas will contribute

to more effective human service delivery systems. The

program aims to "take previously separate categorical for

mula grants and/or project grants and arrange them to form

a package of functionally-related programs representing a

continuum of services to a defined target population." The

three states in which the program is now being tested have

opted for programs for the elderly, maternal and child

health care and employment services. The arrangement pro

vides for a flexible funding mechanism which will improve

the quality of service to designated clients.**

The integrating principle in this instance is program

packaging around a specific functional theme. Not only are

administrative constraints likely to be eliminated, but

clients are more likely to be served as their needs dictate

rather than as program guidelines prescribe. As presently

being tested, this approach does not go beyond clearly

recognizable functional areas (such as child care, employment

generation or service to the elderly).

It is assumed that

broader coordinating efforts through block grants would be

unwarranted until more limited integration is tested. This

initial limitation might be appropriate for IIPUP planners

and administrators to consider.

g. Integration Through Packages of

Functionally-Related Programs/Structural

Reorganization of Services

If administrative, financial and legal constraints were

not a problem, integrated services would ideally reflect

See Case Study of Community Development Block Grant Program

in Annex II.

"Integration of Funds: The FIG Project," Robert Newhart in

Sharing, Vol. 1, No. 4, Fall Winter 1977, Project Share, Rockville,

Md.
-

functional needs.
For
example, "services to children" would

be a functional area with all problems (including mental and

physical health and education) being grouped within a single

administrative unit. Such integration, however, is difficult

to achieve because of jurisdictional constraints on the

allocation of funds and personnel. Only in instances where

funds and personnel are pooled is it possible to achieve

complete flexibility in program orientation. There are few

examples where this has been accomplished.

One attempt in this direction was made by a major

metropolitan county.
Integration was achieved incrementally.

The program has advanced to the point that some functional

specialization in programs is possible.

It grew out of a

concern about the vast array of social service programs which

were too haphazard to be successfully managed. A Department

of Human Resources was created with three main units

-health, mental health and social services. Even this limited

amalgamation of functions aroused feelings of territoriality

among staff. However, by reorganizing middle management and

by informing personnel continuously of the advantages of the

new structure, the program began to yield results.

The

director of the experiment notes that "the benefits of the

program were immediately apparent" in the form of better

client/patient/family care, improved communication among

staff from various functional areas and better service to

multi-problem families.
The director concludes that "all

this did not happen overnight. Barriers that had become

traditional were not removed until middle management had

become reorganized."*

It should be pointed out that this process of integrating

services evolved over a span of ten years and endured a series

of structural reorganizations before proceeding to more complete

integration. This example indicates the time needed to

achieve integration as well as the kind of organizational

and personnel adjustments required to win accpetance for

systems which challenge traditional organizational boundaries.

h. Services Integration by Expansion

from Categorical Bases

Several attempts at services integration have begun by

expanding categorical programs to include both a wider range

of services as well as a larger target group.

Such programs

commence with a categorical funding base and are eventually

expanded to combine complementary services and resources into

an integrated set of services. The expansion usually entails

the integration of services relating to a common area.

This

method of program integration generally characterizes many

IIPUP projects where housing assistance is the program base and

is the point of departure for additional service.

"Arlington County Department of Human Resources: A Decade of

Development, 1968-1977,"
Helen Hackman in Sharing, Vol. 1, No.

2, Spring 1977, Project Share, Rockville, Md.

-38

Two-domestic examples illustrate this principle of

integration. The first concerns a community mental health

center formed in Lyon County, Kansas, through residents'

initiative. Because of funding constraints, the project

began with only the placement of juvenile offenders. A

limited counselling service was soon added. With an improved

funding base drawn from local assessments, the center's work

was eventually expanded to include a wider geographic area

and additional clientele. The emergence of a genuinely

comprehensive community mental health program occurred a

few years later when federal funds were sought to augment

the program. With a more secure funding base, the center's

work was expanded to include hospitalization services, in

patient counselling and 24-hour emergency treatment. The

program included a broad spectrum of complementary mental

health services such as community education, evaluation and

specialized counselling.
Over a span of 15 years, the

center had moved from an emergency service for juveniles

to a comprehensive mental health facility serving virtually

all facets of community mental health. The expansion of

the program was incremental, moving from a modest program

using only local resources to a comprehensive one involving

both local and federal funds.

The Atlanta Rehabilitation Center provides a somewhat

different example of expansion from a program which was

initially more restricted and categorical in focus. Begun

in 1965 under an Office of Economic Opportunity grant, the

Atlanta Center provided comprehensive employment evaluation

services by accepting referrals and coordinating the work

of several smaller public and private agencies in the area.

The Center eventually became a state facility under the

operation of the State Division of Vocational Rehabilitation.

This change of status occurred with the infusion of several

categorical grants and a state appropriation. The services

of the Center were then expanded to include job counselling,

referral and workshop training. The combination of several

smaller categorical grants was required in order to keep the

Center going after OEO demonstration funds were terminated

and the State Department of Vocational Rehabilitation

declined to accept full financial responsibility for the

program.*

The Atlanta experience is distinct from the East Kansas

project because of its financial origin. The Atlanta project

began with federal funds and experienced quicker growth than

did the East Kansas project. However, the Atlanta project

is still highly dependent on external funding, whereas the

East Kansas project grew from a secure local funding base

to a more ambitious program with federal funding being a

supplemental rather than a primary source of assistance.

"Illustrating Services Integration from Categorical Bases,"

Human Services Monograph Series, No. 3, November 1976, Project

Share, Department of Health, Education and Welfare, Rockville,

Md.
-39

Both projects indicate that there is a relationship

between the extent of comprehensiveness and integration and

the security of the funding base. More ambitious integration

occurs when the funding base is larger and more secu-e.

i. Service Co-Location as a Means

of Service Integration

Access to a range of services can be improved by insti

tuting centers to house them. It is assumed that convenience

and access to service will improve client utilization. Multiple

service centers are an alternative to more traditional single

service delivery systems where services are made available

but are not focused on particular localities.

Clients are

able to avail themselves more easily of services which are in

physical proximity to one another. They can select for

themselves the services necessary to satisfy their needs.

Co-location centers sometimes relate to a specific problem

area
such as a multi-service center for disabled persons in a

major American city.

The center was organized by the municipal

government's Department of Rehabilitation to offer all services

to disabled clients such as medical treatment, psychiatric

counselling, trainsing, education and job referral. Referral

to the kinds of assistance needed can be easily accomplished

where all services are physically convenient. Handicapped

persons can be easily reached by a series of services which

they may need over time in order to achieve greater personal

independence. The result is not just convenience but the pos

sibility of an integrated, phased program of rehabilitation

where both clients and staff can conveniently interact and

monitor client progress.

Other multi-service centers combine services which are

aggregated more broadly, having no functional relation. They

are mc :ely deemed appropriate to the client community being

served.
In such cases, convenience and access are the

rationales behind the co-location of services.

j. Coordination Through Information

and Referral

Many poor urban residents lack knowledge about available

services and how these services might be utilized. Many

proponents of integrated service systems contend that the

uncoordinated nature of services confuses citizens and impairs

their ability to fully utilize the services which are available.

The problem is compounded by the lack of knowledge among

delivery agents about services that might be provided to com

plement their own programs.
This has led to the formation of

P A D C O

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information referral systems which strengthen knowledge among

prospective clients and service delivery agents about avail

able services.

There are many examples of information referral systems

as coordinating devices. One good example is the Human

Resources Coordinating Alliance serving Jefferson County

(Louisville), Kentucky. This program is cited because of

its status as a prototype project which has, since its

inception, been adopted by several other cities.

The Louisville project was established to determine

service deficits in the community and to reduce unnecessary

duplication in the planning, programming and delivery of

services. A fundamental lack of cooperation and communica

tion among service agencies was also a principal motivation.

The founders of the Louisville program define their system

as a "mediated model"; that is, "an association or consortium

of autonomous agencies or organizations which directs the

coordinative activities of the various providers."*

The Louisville project aims at coordinating the activities

of autonomous agencies through a mutual sharing of information

and decision making. This model is distinct from one where a

super authority is constituted to provide linkages among

subordinate agencies.

The Louisville model provides for voluntary participation

in a system which includes an Intake-Screening-Referral System

and a Human Service Information System. A common intake and

referral form is administered to all clients regardless of

the agency servicing the client and then fed into a data bank.

Data retrieved from the bank suggests additional service

needs which clients might have. It also points out service

gaps within the community which are identified by the frequency

of specific service deficiencies. The system provides for

referrals and follow-up from other service providers. The

agency which initially makes contact accepts responsibility

for indicating additional services which might be provided to

both the client and the relevant cooperating agency. The

Human Services Information System also yields data for annual

and long range planning by and among the concerned agencies.

While the system may be somewhat more advanced than many

developing countries are prepared to institute, it has merit

because it redirects service agencies toward missing links or

service gaps among critical user groups. It also assists

"Service Coordination: An Introduction to

the Louisville

System," Louisville/Jefferson County, Kentucky, 1977, p. 3.

P A D C O

-41,

clients in becoming aware of the range of services available.

The system is, of course, not adequate in cases where agency

orientations are totally inappropriate to the needs of the

poor or where a well-established set of services is not

already in place.

Although sophisticated referral systems may not be ap

propriate in many developing countries, the dissemination

of basic information about available public services can be

important. New migrants need information about available

employment, housing and other opportunities. A program for

the dissemination of information relevant for households in

newly forming low income settlements was proposed in Pakistan

in 1973 by the national television system in conjunction with

a basic urban settlement project. Information was to be made

available on such subjects as employment opportunities and

available public health services.

k. User Side Assistance as a

Means of Integration

Partially in reaction to the bureaucratic constraints

which impede service coordination, attempts have been made to

place the responsibility for integrating services at the user

level. It is assumed that user needs are too varied to be

met adequately by agency initiatives. Usually user side

assistance programs involve the client in determining what

combination of services is required. Proponents of user

side assistance generally feel that the client as consumer

can induce agencies to be more responsive in giving service

in the form needed. Often broker agencies or case workers

function as intermediaries between the client and service

providers, assisting with the identification of appropriate

services and delivery agencies. The funding of such programs

involves either a voucher system where clients redeem credits

for essential services or community agencies which contract

services from other agencies on behalf of the client.*

Projects in Brockton, Massachusetts, and Hartford,

Connecticut, are good examples of user side assistance.

Hartford opted for an arrangement whereby public and private

resources were pooled and managed by a single agency -- the

Hartford Community Life Association. Special funds provided

by the Department of Health, Education and Welfare supported

this administrative arrangement. Clients approached the

organization for services. When agencies were available to

cater to client needs, the system worked. When service gaps

existed, the Association could intervene to promote new ser

vice activities. The project has been terminated with the

withdrawal of HEW funds.

"Managing the Human Service System: What Have We Learned

from Services Integration?" Human Services Monograph Series,

No. 4, August 1977, Project Share, Department of Health,

Education and Welfare, Rockville, Md.

-42

The Brockton experiment with user side assistance was

implemented through the Brockton Area Human Resources Group,

a multi-service center* The project involves case workers

who diagnose client needs and negotiate through the center

for appropriate services. Client needs are exhaustively

inventoried and conveyed to appropriate service agencies.

The Area Human Resources Group can contract with partici

pating agencies for services when sufficient demand exists.

The focus is on categories of clients. As with other systems

concerned with information and referral, the Brockton project

identifies service gaps through its diagnostic and referral

activities. It also attempts to influence the planning

process of contributing agencies.

While giving clients a greater stake in directing the

service sector toward their needs, the results of the project

have been less than exemplary since monitoring clients is a

demanding and expensive professional activity. Moreover,

the servicing agencies are not all within the coordinated

system and the ability of the managing agency to negotiate

for necessary services is sometimes limited. The provision

of service is contingent on the range of services available

and the ability to negotiate for the provision of these

services. The system appears to work best where a tradition

of integrating services exists and where clients have exper

ience in negotiating with the system to meet their needs.

These conditions would not be commonly found in many

developing countries.

User side assistance assumes that service delivery systems

already exist and need only be reoriented. This is not the

case in most developing countries. Where viable service sys

tems are not functioning, scarce resources are probably more

effectively focused on developing an adequate institutional

base. Service supply rather than user demand is the most

critical constraint. Vouchered user assistance may also be

prohibitively expensive in developing countries where the poor

constitute the vast majority.

3.

CONCLUSIONS

It is difficult to prescribe precise strategies for

integrating the various project components. Domestic exper

ience with service integration should be interpreted cautiously,

recognizing that cultural, economic and political differences

are likely to be encountered in most developing countries.

However, certain principles derived from American and inter

national experience can help to determine the organizational

arrangements most likely to succeed in IIPUP projects. While

these conclusions are generally useful, any organizational

See case study in Annex II.

-43

structure will involve substantial risk. Organizational

arrangements will, therefore, have to be applied flexibly

and monitored closely.

a. Coordinating Arrangements Achieve

Different Purposes

Some of
reorganizing
on improving
Some involve

the above arrangements focus on reorienting and

the service delivery system. Others concentrate

the access of user groups to existing services.

elements of both.

Similarly, some types of arrangements involve a "package"

structure of services which are brought to the target area by

having service representatives physically present in the area

working closely with counterparts from other agencies. Other

examples involve a "network" structure where emphasis is on

access, making it possible for people to obtain the services

they need, only some of which may be physically located in

the area.

Not all of these arrangements are equally relevant for

developing countries. Arrangements which emphasize informa

tion and referral assume that users are positioned to take

advantage of existing services and that most significant

services are available. Such arrangements merely establish

appropriate linkages between users and services. This

approach has limitations in developing countries. Viable

service systems may not already exist. Where they do exist,

service agencies may not regard the urban poor as a primary

constituency. Many chronically poor or new migrants may be

unfamiliar with the range of services available. Their

ability to negotiate with the existing system is limited,

and the time and manpower required to develop these linkages

may be prohibitively expensive.

In these cases, it may be

more efficient to concentrate on improving service systems

rather than on improving access to systems which do not exist

or are inappropriate.

b. Bureaucratic Rigidities Tend to

Impair Attempts at Coordination

The readiness of service providers to involve themselves

in cooperative arrangements is a principle determinant of how

effectively integration can work. Individual agencies have

their own attitudes, budgets and priorities which they may

not be willing or able tc amend to accommodate IIPUP. Inter

agency planning may help to rationalize service arrangements,

but it does not generally achieve a direct and immediate

impact. More direct coordination is more difficult to achieve.

PA D
C 0

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c. Integration Can Increase Rather

Than Reduce Program Costs

Integration is often justified by its alleged cost ef

fectiveness since it avoids duplication of service and reduces

administrative overhead. However, integrated projects in the

United States have not always accomplished this purpose. The

coordinating agency often represents another administrative

layer or at least an additional staffing requirement. In

most cases, for integration to actually reduce administrative

costs, participating agencies would have to give up personnel

and resources to support a new agency. Most agencies are

naturally reluctant to do this. This may be a particular

problem in developing countries where government employment

is sought and given as a political reward. Existing agencies

will resist attempts to streamline their operations by re

ducing jobs. In many countries, an implied responsibility

of the public sector is to provide employment. Organizational

efficiency may be a secondary concern.

d. The Inclusion of a Wide Range of

Services Has Both Advantages and

Disadvantages in Assisting Target

Groups

Maximum inclusion seems feasible when projects focus on

giving information and linking clients to services. Possi

bilities for conflicts and confusion are less likely to occur

when the priorities and structures of existing provider

agencies are not disturbed. However, when more profound

changes are required which involve a co-mingling of services

and new lines of authority, the inclusion of a number of

project components c.mpounds administrative difficulties.

It can heighten jurisdictional wrangling to the point that

more energy is absorbed in protecting agency "turf" than in

responding to client needs.

e. Actions Taken to Improve Coordination

Among Services May Achieve Better Co

operation at the Administrative Level

Without Necessarily Having an Immediate

Impact on Client Groups

This is especially true where the urban poor have not

traditionally been an important target of an agency. Admin

istrative arrangements aimed at coordination may only be an

initial step in a long range process of increasing service

effectiveness. Project planners and administrators should

not expect to see immediate benefits to clients as a result

of integration. There is a clear trade-off between the amount

P A D C O

-45

of energy that should be invested in improving administrative

arrangements and the need to meet compelling needs with urgent

solutions. In most situations, the effort to improve service

delivery should occur on both fronts.

Efforts to improve

long term planning and administration should be combined

with more direct client oriented activities that yield quick

returns.

f. Considerable Organizational Leadership

is Required for Making Integrated

Projects Work

Experience suggests that considerable leadership and

diplomacy is needed to erode bureaucratic constraints. The

success or
failure of a program often depends on the strength

of its leader. Much of the task of strengthening integration

among agencies working with the poor ni.st focus on training

and organizational development. This is examined in

greater detail in Parts II and III.

g. New Organizational Arrangements Require

High Level Political Support

The instances of agencies voluntarily divesting them

selves of authority to serve the larger goal of program

integration have been rare.

IIPUP efforts will frequently

require new organizational arrangements. This implies that

they must have high level political support, especially where

new arrangements are required.

Because new organizational

arrangements are frequently required, the prospects of exper

imental coordinating arrangements continuing after IIPUP's

seed money is withdrawn must be considered. Continuation

may be unlikely without meaningful local support. There are

numerous examples of project coordination terminating with

the withdrawal of special funds.

AID's specific role in

fostering integration may be especially difficult because

it will be somewhat external to the system and may lack the

leverage needed to translate experiments into ongoing systems.

h. Administrative and Funding Arrangements

Should Complement Each Other

Integrating units which rely only on

their good offices

to achieve results have been generally less impressive, es

pecially in developing new or better service for client groups.

Units which depend on voluntary contributors have also

generally been less successful. Units with their own funds

have had greater impact. This is considered in greater detail

in the following section.

P A D C 0

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i.

Readiness to Participate in IIPUP

May Be a Crucial Factor in Determining

Success

Organizations which are not prepared to surrender some

autonomy to a coordinating authority or to cooperate with

other agencies will be poor partners in an IIPUP project

regardless of how important their input may be. Likewise,

the readiness of user groups to participate in integrated

projects is important. User side assistance, for example,

would be of limited use for groups which are too depressed

socially to take initiative in seeking social services.

Information and referral systems may also be inappropriate

for groups who lack familiarity with public assistance

agencies or who are cynical about their responsiveness. The

kind of integration adopted to achieve IIPUP's goals, there

fore, must be especially sensitive to the culture of the

organizations which it proposes to bring together as well

as that of the client groups it proposes to serve.

j. Maximum Advantage Should be Gained

from Existing Programs

IIPUP programs do not necessarily require creating new

institutions. Many of the facilities and services needed

may best be provided through existing programs. Indeed, one

of the underlying principles of IIPUP programming should be

to help target groups integrate themselves into normal (im

proved) systems of public and private facilities and services,

rather than to encourage them to retain their identities as

"IIPUP" clients. IIPUP should be building bridges between

marginal populations and the rest of society, not creating

islands of improvement. It should be designed to make itself

unnecessary in the long run.

Coordinating entities may serve an important catalytic

role at the national, regional or municipal levels, but they

generally lack the expertise to undertake direct implementa

tion. In a recent planning exercise in Medan, Indonesia,

the municipality accepted the need to coordinate social

services with housing programs, but it recognized that it

was unable to provide most services directly. This had to

be arranged with national service agencies.

k. Ensuring that the Priorities and Capacities

of Target Groups are Taken into Account

Should be a Major Concern

User oriented integration has this as its primary objec

tive. Community priorities are also important for programs

which involve more direct intervention in the services delivery

system.

P A D C 0

-47

Adequate involvement of the target community in the

planning of the project, as well as its implementation, is

likely to be essential, not only to the initial success of

the project but also to its sustained impact. Households

should have an opportunity to be informed of the alternative

"packages" of facilities and services available, the costs

of each package and the kinds of benefits which can realis

tically be expected in each case. In a recent project, the

target community was consulted in the early stages of

planning and the proposed project components and their

potential benefits were described by representatives of the

two principal agencies concerned. The response of the com

munity was, basically "it sounds fine.
We are willing,

in principle, to participate, possibly even to donate labor.

But tell us two things now -- what will the costs be

will be our monthly payments),

to the land?"

P A D C 0

-48

(what

and when will we get title

E.

1.

POSSIBLE FINANCING ARRANGEMENTS

THE IMPORTANCE OF FINANCIAL VIABILITY

Financial viability is important because of the concern

with longevity of delivery systems and the replicability of

IIPUP programs.
In general, projects should be designed so

that the costs of programs can be recovered.

This means that

the standards of both physical improvements and services

must be designed to be affordable.

As noted below, it may

be easier to recover the costs of physical investments such

as housing and infrastructure than social services.

However,

services which may lead to the production of income such as

vocational education or public transportation should also

be considered for cost recovery.

In all cases, it is especially important to assure that

secure funding sources exist for all of the services and

support activities proposed for an IIPUP program. While

absolute guaranties of funding sources over time cannot be

secured in most instances, the vagaries surrounding the

project's long term financial prospects should be minimized.

This will depend in part on the compatibility of the project

with national and/or state program priorities and the allo

cation of sufficient public funds to certain sectors or

programs.

The need for financial viability could conflict with

the degree of required coverage Lo meet the needs of a

partic1.]ar target group. For example, a comprehensive

healtlh program which includes preventive health care ser

vices might initially add substantial costs to health care.

The cost of health services might ultimately be reduced,

but time would be required before impact would be noticed

and the economic benefits of the project realized.

The integration process may improve the financial via

bility of services compared to what the services would cost

if provided independently. A water supply and drainage

project can be integrated with a project in urban agriculture

so that waste water is recycled for irrigation, thus reducing

costs for the agriculture project without any significant

increase in the cost of the water scheme. In other instances,

integrated delivery systems (e.g. combined personnel, office

space) can reduce duplication and waste.

This is, however,

not always true and should be considered for each IIPUP

program independently.

P A D C O

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2.

COST RECOVERY AND PROJECT TYPES

Many components of IIPUP projects can be financed

through credit to beneficiaries and recuperated.

This is

especially true of physical projects such as

shelter im
provement and infrastructure installation.
Although not

without difficulties, a number of mechanisms exist for

extending credit for these improvements and recovering

costs.
Although it is most common to recover costs for

on-site improvements (land, shelter, utilities connections,

etc.), means also exist to recover the costs of improvements

in off-site infrastructure and facilities.

Costs can be recovered from many other IIPUP project

types.
Small businesses can be charged for the costs of

space and facilities, technical assistance and credit.

Where technical assistance is provided in connection with

credit programs, its cost can be added to inte'est or other

credit charges.
The costs of other types of employment

dssistance can also be recovered.

In some cases, vocational

training can be financed by loans which are paid by subse

quent earnings.
Daycare facilities for working parents can

be supported from the parents' increased earnings.

Direct employment by government could involve a consid

erable public financial burden.
However, in many cases,

unemployed people from the target groups can be employed on

projects which would have otherwise been undertaken with

less labor intensive means.

Much of the cost of infrastructure

and other works undertaken to employ the urban poor can itself

be recuperated from the ultimate beneficiaries.

The cost of some informal adult education can be recup

erated, particularly some types of vocational education, but

this may be difficult.

Public education is generally provided

free of charge in most countries, including much adult

education.
Cost recuperation for basic education services

focused on lower income groups may not be socially feasible

or desirable.

The physical improvements in basic sanitation projects

(water supplies and sanitation) may lend themselves to cost

recuperation.
However, to the
extent that these projects are

focused on the poorest groups, cost recuperation may be

difficult.
It is more difficult, for example, to recover

costs for community water and sanitation facilities than for

systems involving individual connections and facilities.

The

provision of basic sanitation to the lowest income groups

free of charge may be justified by benefits to the rest of

society (e.g. reduced social unrest and epidemics) as well

as by the improved distribution of services to lower income

groups.

P A D C

-50

It is neither feasible nor appropriate to charge the

urban poor for most health services, especially preventive

outreach services in poor communities and informal health

instruction. This is also true for more specific programs

involving pre- and post-natal care and family planning.

To discourage the use of in-patient, curative health care,

it may be advisable to charge for these services. However,

this is probably not relevant for IIPUP which will generally

concentrate on those health services which can be provided

at the community level. Cost recovery may be more feasible

and appropriate for financing some health facilities such

as community health centers. However, in many cases,

these too are normally funded from general revenues.

Public transportation services are likely to be important

for relatively prosperous urban poor groups (generally Group

V).
For this reason, it is appropriate that most transporta
tion services be paid for by the user groups. Private sector

bus and light rail operations have shown throughout the

developing world that these services can be provided on a

financially viable basis. Governments should avoid the

trap of subsidizing low income development at uneconomical

distances from places of work. In many cases, howevur,

credit and technical assistance can be provided to private

operators or state corporations to enable them to improve

and extend services to benefit low income groups.

Cost recuperation may be possible for many elements of

participant mobilization projects. Some project related

services such as legal assistance to help the beneficiaries

of community upgrading projects secure tenure can be costed

into the projects and recuperated as part of the capital

cost of the project. In other cases, this may not be

feasible. In a major community upgrading project proposed

for San Salvador, the community organization services (social

promoters) were to be paid from general funding. The cost

of community centers, however, was to be paid by the community

organizations which were supported by individual contribu

tions.

Cost recovery is neither feasible nor appropriate in

special welfare projects for the neediest groups. These

services are generally financed from general funding or chari

table organizations in order to relieve immediate needs and

improve the distribution of services.

Community self-help through the contribution of labor

and maLerials is an important means of reducing cost and

avoiding the need for subsidy or cost recovery. Community

contributions can be especially important in the construction

of physical facilities such as schools, health centers and

community centers. It can also contribute towards the cost

of roads, drainage and other infrastructure.

P A D C O

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IIPUP project planners should be sensitive to the fact

that cost recovery is frequently a difficult political issue

for governments. Whatever the economic arguments, it may

be difficult to charge low income user groups for many

types of public services. This is especially true if ser

vices and facilities are already being provided free of

charge to upper and middle income groups. An example of

this was found in the Kampung Improvement Program in Jakarta*

Project designers and international lenders initially urged

that the cost of community infrastructure be recovered.

However, even if a means had existed to recover costs, it

would not have been politically feasible to do so because

similar infrastructure was being provided without charge in

middle and upper income neighborhoods. It may be important

to review the financing of infrastructure and services for

all social groups to achieve a balance and economic system

which does not discriminate against the poor.

3.

COST RECOVERY MECHANISMS

a.

Loan Repayments from Individuals

Cost recovery can be achieved through loan repayments

from individuals, especially in the case of investments in

individual houses such as building materials loans.

The

costs of additional IIPUP components can be aggregated to

the indebtedness of individual homeowners.

This can include

a
pro rata share of investments in community infrastructure

and facilities. As mentioned above, in some cases services

related to IIPUP such as legal assistance can be capitalized

on to project costs and recuperated as loans from individual

beneficiaries. This implies a careful prior analysis of

the affordability of services and facilities by the target

group.

There are a number of difficulties in these types of

loans which must be overcome. First, low income groups

generally lack secure mortgagable tenure as a guaranty for

loans. Many IIPUP projects require normalization of tenure

prior to the initiation of credit programs. Even when

tenure is normalized, it may be politically difficult for

governments to foreclose on unpaid loans.

Low income groups generally lack experience with formal

sector credit. Although they may be borrowing in the in

formal sector at high rates of interest, they lack familiarity

with established credit institutions which consider them an

unreasonable risk. User education is important to reduce the

risk of default. In many cases, only direct government lending

See case study in Annex II.

-52

or government guaranties can make credit available to these

groups.

Even in cases where government is the direct lender for

IIPUP improvements, it may be useful for private credit in

stitutions to service the loans. This removes the government

from a direct relationship with beneficiaries and may reduce

the risk of default. It also provides experience to the

poor in dealing with formal sector credit institutions. It

may introduce these institutions to potentially profitable

operations with a client group that was previously con

3idered too risky.

b.

Loan Repayments from Enterprises

Costs can also be recovered through loan repayments,

especially in the case of loans for the purpose of investment

items such as workshops, equipment, tools, etc. This principle

is illustrated by the Upper Volta Development Project of the

World Bank which will make loans to 1,000 artisans for the

purpose of obtaining materials to make farm implements to

be sold in rural areas. Interest rates to artisans will be

8.5 percent per year.

C.

Utility User Charges

In some cases, the costs of infrastructure improvement,

installation and connection can be recovered through utility

user charges. In a recent IIPUP proposal for Honduras, for

example, individual connections to the water system would

be financed from a loan fund. The loans would be recuper

ated from monthly water charges.

In some instances it may be possible to recuperate the

costs of additional community investments through water

charges. This could be an especially useful mechanism in

situations where loan foreclosure is not feasible and the

threat of utilities interruption is the most effective

incentive to pay.

d.

Recuperation through Community Organizations

In some cases community organizations can work to re

cover the costs of IIPUP project components. Community

organizations can collect a pro rata share of improvements

from each household. This type of cost recovery may be

effective where community organizations are representative,

and where they have been intimately involved in the planning

process. In these cases, the costs and benefits of the

project are explained to the beneficiaries at community

P A D C 0

meetings during the planning stage. The communities them

selves select the types of projects they desire and accept

the corresponding repayment obligation. It was found in

the case of Zambia, however, that community organizations

did not want to be assrciated with collections which were

considered a political liability.

e.

Cost Recuperation from Landlords

Cost recuperation in projects involving rental housing

can pose special problems. Landlords should be expected to

pay for improvements to rental housing and infrastructure.

However, they may lack the means to do so (or the incentive

to undertake improvements in the first place) if they cannot

collect additional rents from tenants. In situations where

rent controls are in effect, landlords can be allowed to

raise rents if they undertake improvements. In other cases,

landlords mav be allowed to densify rental buildings to

increase their return if they undertake specified improve

ments. Such incentives to landlords can be combined with

more intense enforcement of health and building codes, al

though existing codes may have to be revised to be more

realistic.

4.

INDIRECT COST RECOVERY

The improvement of local revenue collection and municipal

finance systems can be important for generating the means to

support IIPUP project components which do not lend themselves

to direct cost recovery. While a thorough discussion of

municipal finance is beyond the scope of this paper, some

specific financial policies and mechanisms should be mentioned

which are of potential importance for the financing of IIPUP

programs.

a.

Valorization or Betterment Taxes

The recuperation through betterment or vaZorizacion

taxes on property that is benefited by public investment will

permit a more orderly development. It is equitable to re

cover the capital costs of a project through a special payment

assessed on those properties whose value has risen. Once

understood, this usually is acceptable to property owners

since their benefits will greatly exceed their costs. The

benefits to the urban poor are direct and indirect. Directly,

it permits the implementation of more programs in low income

areas with the monies recovered from previous investments.

At the same time, a program of valorizacion can permit the

P A D C O

-54

expansion of public activities and can provide a possible

mechanism for subsidizing some of the investments required

in low income areas. The types of public works that could

be considered for valorizacion include street paving, side

walks, public lighting, drainage, bridges, parks, etc.

b. Urban Property Taxation

Urban property tax systems in developing countries are

sadly deficient. T!,eir potential to mobilize resources,

some of which could be used to subsidize IIPUP programs, is

generally underutilized. The potential of land taxation

to increase the efficiency of land use and to reduce land

price speculation is also seldom realized.

Land taxation is often difficult because of the lack of

an adequate cadaster to base the tax. This is especially

true of low income areas which inhibits the use of land

taxation to finance IIPUP projects directly. Where property

taxes are used, they may discourage new construction or

maintenance if they -re levied against improvements or

rental values. Site value taxation is preferable in many

cases. It discourages withholding idle land from development,

and it affords an opportunity to recapture, for public use,

increases in land values. It is used in many developing

countries, including Jamaica and Mexico. The capacity of

local governments to finance IIPUP projects could be consid

erably enhanced by improved land taxation systems.

5. FUNDING MECHANISMS TO SUPPORT

SERVICES INTEGRATION

The success of services integration will depend, to a

large extent, on the degree to which funds can be used to

support that goal. The types of funding mechanisms used are,

therefore, of critical importance.

a. Coordination of Categorical

Program Funding

This is the weakest type of funding support for IIPUP,

but it can be effective where service programs are comple

mentary and agencies are willing to plan and work together.

If programs are complementary, voluntary budget coordination

is in the best interest of all the agencies concerned. In

these cases, none of the agencies involved loses control of

its budget.

P A D C O

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An example of this is the Community Development Block

Grant (CDBG) program of the Department of Housing and Urban

Development.* The program is primarily concerned with

financing physical infrastructure, but it also provides

administrative funding for coordination with complementary

programs of other departments. Local small enterprises

are encouraged to coordinate with assistance programs of

the Small Business Administration. CDBG funds can also be

used together with Labor Department funds to promote employ

ment in urban renewal areas. This type of funding coordination

is being contemplated for IIPUP programs in several countries.

b.

Fund Pooling

Various fund pooling arrangements have been attempted

in the United States to achieve integration, usually for co

located services. Funds from various government Iepartments

have been pooled to finance related services in multi-service

centers under the HEW SITO program.* However, many problems

have developed. Agencies are reluctant to relinquish control

over their funds. Frequently they cannot do so by law.

Pooled funds usually have to be accounted for in detail to

assure that they are spent for the categorical purpose of

their original authorization. This detracts from any advan

tage gained from integration. It is also administratively

difficult to accomplish.

In most cases, existing regulations prohibit the use of

pooled funds for administration; they can only be used to

finance program services. In many cases, the SITO program

provided funding to administer services integration on an

experimental basis, but when the program expired there was

no way to pay administration costs.

c.

Central Funding

The establishment of a central fund to support IIPUP

activities is the strongest type of fiscal support for IIPUP

programs, but it may be the most difficult to achieve. Par

ticipating agencies have no direct control over funding, but

are reimbursed from the central fund as they perform services

for IIPUP. Central IIPUP funds can be initiated with govern

ment grants and loans, loans from private institutions and

foreign assistance grants and loans. They can be held at

the municipal or national level as appropriate to the scope

of the project.

A central fund has been recommended to finance community

improvement and related services in El Salvador. The fund

was to finance high priority urban improvements where public

See Annex II.

P A D C 0

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agencies could not do so quickly enough within their basic

budgets. Discretion in the use of the fund was to be vested

in a central community upgrading entity. The purposes of

establishing a separate fund were several:

9
It would provide evidence of strong political

support for urban poor projects.

It would provide a device for focusing resources

promptly and efficiently on high priority pro

jects in several sectors.

e It would keep the accounting for low income

projects distinct from other accounts.

* The availability of a special fund for low income

projects would encourage executing agencies to

participate in projects for the poor which they

might otherwise have avoided due to lack of funds.

The central fund was to be capitalized in part by the govern

ment, in part by international donors and in part by deposits

from autonomous public institutions holding excess liquidity.

P A D C O

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F,

LEGAL FRAMEWORK

At least three components of the legal framework should

be utilized together to support IIPUP programs:

9
The institutional laws and regulations which are

needed to establish the governmental machinery

for IIPUP and define the responsibilities of

entities in the public sector.

* The laws and regulations defining private rights

or regulating private activities associated with

or relevant for the program.

* Related legislation -- which is linked only in

directly with the program but which has a

potentially great impact on the well-being of

low income groups.

1. PRINCIPLES FOR THE ESTABLISHMENT OF AN

APPROPRIATE LEGAL FRAMEWORK

a. Feasibility

The regulations and procedures utilized must be feasible

economically and socially for IIPUP target groups. The

standards established for legal development must be within

their economic means. Both standards and enforcement pro

cedures must be consistent wili Lheir lifestyles and social

practices. Judicial and quabi-judicial processes must be

accessible and comprehensible.

b. Equity

Laws and regulations established to support IIPUP pro

grams should not be discriminatory among low income groups;

nor should they discriminate unfairly against other groups

(for example, by establishing simplified procedures for land

acquisition in order to expedite the implementation of IIPUP

projects but in so doing undermine the property rights of

other groups not eligible for IIPUP support).

c. Efficiency

The laws and regulations used should be efficient in the

sense that they are inexpensive to administer, relative to

P A D C O

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their effectiveness and in the sense that their application

does not induce unnecessary costs for the individuals and

groups affected by them. The economic costs of unnecessarily

complex procedures can be very high because of the high

opportunity costs of underutilized capital. Lengthy and/or

complex procedures can also encourage economic distortions

as well as inequities because they facilitate corruption and

evasion.

d. Minimal Change

The changes introduced into the existing legal framework

for the purposes of IIPUP should be as limited as possible.

They must be politically acceptable. They must be adminis

tratively digestible. Moreover, it often is possible to

achieve substantial changes in the position of the poor through

an integrated series of relatively minor changes in individual

laws and regulations reinforced by other measures. This was

the approach adopted recently in recommendations for a program

for the upgrading of existing low income settlements in San

Salvador, El Salvador:
it has been proposed to strengthen

the bargaining position of low income households in their

attempts to obtain legal title to land by simplifying the re

quirements for legal sub-division and providing greater access

to credit for the purchase of land -- instead of attempting

large scale public land acquisition which would have con

stituted a drastic break with tradition.

e. Flexibility and Openness

Because of the many uncertainties as to what will work

and what will not work in low income development, laws and

regulations should be flexible to provide opportunities for

socially constructive initiative and innovation in their

application. They should provide room for administrative

discretion in order to facilitate intelligent administrative

responses to unforeseen conditions. There is frequently a

tendency to assure accountability of funds through rigid

regulations. The result can be a more cumbersome system of

which the poor are invariably the victims. To the extent

possible, regulations should be formulated as performance

standards, indicating the social objectives to be fulfilled

and leaving open the question of precisely how they are to

be fulfilled, rather than as rigid prescriptions which impose

the same solutions on all whom they affect. Legislation and

regulations should also be open in the sense that they can

be modified relatively easily through due process as conditions

change. Change will be the rule, rather than the exception,

in the evolution of IIPUP programs.

P A D C 0

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2. THE TYPES OF LAWS AND REGULATIONS

LIKELY TO BE RELEVANT FOR IIPUP

The following comments do not attempt to be exhaustive,

but they will serve to indicate the principal types of in

struments which should be considered in creating the legal

framework for an IIPUP program.

a. Laws and Regulations Needed to Establish

the Governmental Machinery for IIPUP

(i) The laws or administrative decrees establishing

IIPUP and any special fund(s) associated with the program.

The law or administrative decree establishing the program

should include:

* A definition of the program's goals and

purposes.

e A general definition of the subject matter

to be dealt with in the program.

* A designation of responsibilities for policy

making, planning, implementation, evaluation

and supervision -- with a clear definition

of the powers and responsibilities of the

entities involved, including the powers of

the principal planning and executing entities

which will enable them (at least in principle)

to achieve the coordination necessary in the

program.

e An identification of the other principal laws

and regulations relevant for IIPUP.

The law or administrative decree establishing special.

funding for IIPUP, if there is to be special funding, is

likely to have to include:

9 A definition of the general purposes of the

fund(s).

* An identification of the sources which can be

drawn upon to provide capital.

* A definition of Lhe specific purposes for

which the fund(s) can be used.

e Guidelines for or specific restrictions on the

use of the fund(s) for each eligible purpose

PA
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(for example, requirements for cost recovery,

terms for loans and grants from the fund, etc.).

9 An identification of the entity responsible

for the administering of the fund(s) and its

specific powers and responsibilities.

* An identification of other laws and regulations

relevant for the administration and use of the

fund(s).

(ii)

Modifications in the laws and administrative

decrees which define the powers and responsibilities of

entities expected to participate in IIPUP. The laws and

regulations affected will, of course, vary from country to

country. A fairly typical set might include:

* Modifications in the laws governing the

acquisition and disposition of land for

public use or public purposes.

(These

modifications might, among other things,

add IIPUP projects to the list of specified

public purposes for which land can be ex

propriated.)

" Modification of statutes governing the ad

ministration of existing social service

programs to determine whether they are

unnecessarily restrictive regarding groups

to be served, kinds of services to be

provided and eligibility requirements for

participation. Often categorical aid pro

grams are unwittingly narrowly focused and

thus are not amenable to being integrated

into programs which have more open-ended

objectives such as serving the urban poor.

" Modifications in the regulations governing

the annual budgeting of participating

entities, requiring them to allocate a

part of their budgets to IIPUP, with the

amount to be determined each year by the

IIPUP program adopted for that year. Even

where some joint funding is achieved, regu

lations may have to be changed so that

categorical funds can actually be pooled

and that the requiremenLs for accountability

from participating entities are noL over

whelming.

* Modifications in the law(s) governing the

powers and responsibilities of state and/or

local governments to enable (or require) them

P A D C 0

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to assume responsibility for IIPUP or

specific aspects of IIPUP. This may

include, for example, their taxation and

other revenue-raising powers.

o Modifications in the regulations governing

the formal credit system to ensure or fa

cilitate flows of funds into IIPUP on terms

which will make it possible for the program

to be financially viable and at the same

time economically feasible for its target

groups.

o Modifications in the laws or regulations

governing participating entities to enable

them to use the special fund(s) available

for IIPUP.

o The introduction of legislation to permit

relevant public entities to use betterment

charges (called vaZoriacion in Latin

America) for the financing of the capital

costs of infrastructure and other public

improvements appropriate for this type of

funding.

* Modifications in the regulations governing

the provision and pricing of public trans

portation to ensure adequate levels of

service to low income areas, achieve

efficiency in scheduling and help to en

sure the financial viability of services.

The introduction of a law or administrative

deciULU or the modification of an existing

one to provide for free or low cost legal

services to be made available to IIPUP

target groups and their members to assist

them in acquiring titles to land, to help

them acquire secure rights as tenants, to

help them to negotiate more effectively for

services to which they are entitled and to

assist them in litigation.

e Develop regulations with respect to the

allocation of personnel to enhance the

possibility that programs oriented toward

the poor will be served by personnel who

are as well-qualified or better qualified

than those serving more affluent groups.

Often persons in cadres which provide the

staffing for public assistance programs

avoid assignments in areas where problems

P A D C O

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are more complex and working conditions more

onerous. Possibly, incentives can be given

to personnel willing to work with the urban

poor. Such arrangements would involve affirm

ative regulatory measures affecting the

assignment of personnel to agencies serving

the urban poor.

b. Laws and Regulations Defining Private Rights

or Regulating Private Activities

The types of laws and regulations likely to be relevant

in this category include:

e Laws, regulations and procedures pertaining

to the transfer of property rights and the

registration of rights in real property.

For example, it may be necessary to modern

ize, simplify and accelerate procedures for

title registration in order to enable low

income groups to acquire secure titles and

to discourage multiple mortgaging and other

illegal practices which result in clouded

titles or otherwise inhibit the participation

of the poor in the formal real estate market.

e Regulations governing land use and construc

tion. In many cases, it is likely ti be

necessary to introduce lower standards for

the sub-division of land, the installation

of infrastructure and residential (and

possibly other) construction to reflect the

real economic capacities of low income groups

and enable them to participate in legal land

use, thus entitling them to receive public

urban services which they are presently denied

on the grounds that their settlements are

illegal. Often it will be desirable to pro

vide the progressive upgrading of settlements

in stages consistent with the economic

capacities and social practices of IIPUP

target groups. This has been done already

in Bogota, Colombia, and has been recommended

recently for the modification of land use

regulations in San Salvador, El Salvador.*

EDURES, (Estudio de Desarrollo Urbano y Regional de El Salva

dor), Ministerio de Planificacion y Coordinacion del Desarrollo

Economico y Social, Govierno de la Republica de El Salvador.

A Program for the Integrated Improvement of Critical Metropoli

tan Areas in El Salvador, Document No. 25, Final Report, Vol. 1,

San Salvador, El Salvador: EDURES, May 1978, Chapter IX.

P A D C 0

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* Regulations governing basic sanitation in resi

dential space. It may be necessary to modify

these regulations to achieve standards which

are economically realistic for landlords pro

viding rental space to low income groups at

rents they can afford to pay, at the same time

achieving sanitary conditions which are accep

table from the point of view of tenants and the

community at large. More modest standards may

also be easier to enforce than existing

standards which, though relevant for middle

and upper income residential areas, are simply

unenforceable in low income areas.

" Regulations governing the rights of tenants in

residential rental space.

" Regulations governing the standards to be

achieved in the public and private provision

of primary and secondary education and voca

tional training.

* Regulations governing the standards of service

and hygiene to be achieved in the public and

private provision of health services.

" Regulations controlling the prices of com

modities important for low income groups

(including, for example, the regulation of.,

residential rents. Frequently, rent controls

have been introduced with the intention of

ensuring an adequate supply of decent rental

space for low and middle income groups, but

thr rent levels established have been econ

omically unrealistic and the net effect has
been very negative, resulting in the deterior
ation of existing rental space and the dis
couragement of the construction of new space.
It may be advisable to remove such controls
immediately, or in stages coordinated with other
measures designed to encourage the improvement
of new rental space. This has been recommended
in El Salvador, for example.*)
e Laws and regulations which provide incentives

for increasing the supply of commodities impor

tant for IIPUP target groups.
(For example, the

introduction of incentives for increasing the

EDU*AES, op.cit., Chapter V.

PA

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supply of land and shelter -- through the

legalization of higher residential densities

than those presently considered acceptable

and improvements in the urban property tax

to encourage a more efficient use of land and

discourage the withholding of land for specu

lative purposes, coupled with other measures

suggested earlier -- the introduction of

economically feasible development standards,

the elimination of rent controls and the intro

duction of betterment charges for the financing

of infrastructure.) This also has been pro

posed for San Salvador.*

e Laws and regulations governing the creation

and operation of cooperatives and other forms

of communal organization.

c.

Related Laws and Regulations

Some of the laws and regulations which need to be modified

may be concerned with aspects of public or private powers,

rights and activities which are related only indirectly to the

improvement of conditions in low income settlements but which

nevertheless can have a substantial impact on the well-being

of IIPUP target groups. Changes in some of the laws and

regulations in this category may have a significant impact

on other groups and on national or local macro-economic con

ditions. These other potential impacts should be evaluated,

together with the expected impacts on IIPUP target groups, in

deciding whether or not to introduce such changes. The

following are examples of laws and regulations of this type:

Laws providing for the introduction or improve

ment of urban cadastral surveys. From the point

of view of an IIPUP program, this may be de

sirable as a basis for modernizing property

records, facilitating the introduction of

betterment charges for the financing of infra

structure and the upgrading of the property

tax to improve the functioning of the urban

real estate market. Although it often will be

difficult to get political support for such a

change for obvious reasons, the results have

been dramatic where sound cadasters have been

introduced -- in Medellin, Colombia, for

instance, and more recently in Tegucigalpa,

Honduras.

EDURES, op.cit., Chapters II, V, VI and IX.

P A D C O

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" The legislation governing the urban property

tax. It may be desirable to increase urban

property tax rates to generate more funds for

IIPUP. Increases in private property values

in urban areas are partly the result of public

investment; recouping part of the capital

gains generated by such investment is a very

reasonable way to finance IIPUP and other

socially beneficial programs. In addition

to being an elastic form of tax and a means

of recouping for the public sector increases

in value attributable to public action, the

urban property tax, if properly designed and

administered, can also encourage the efficient

use of urban land, as noted earlier.

" Legislation and regulations concerned with

working conditions and minimum wages. Modi

fications in these may be a potentially useful

way to improve working conditions and increase

incomes for IIPUP target groups, but the likely

impacts of changes of this type need to be

analyzed especially carefully because they may

increase production costs without inducing

increased revenues or otherwise burden employers

and thus discourage the creation of new job

opportunities. In many cases, employers have

tended to work existing employees for longer

hours, or even reduce their labor force, when

"improvements" in labor legislation have been

introduced.

" Industrial licensing laws and regulations. In

some countries, import licensing, for example,

is tied to capacity rather than production.

This may encourage the development of a

secondary market for imported materials and

further concentrate wealth but does very little

to increase employment opportunities so that

its overall impact on the urban poor is nega

tive.

* Laws and regulations designed to encourage the

establishment of small scale enterprises under

highly competitive conditions. Legal measures

of this type may help to keep the prices of

essential consumption items low at the same

time as they encourage the generation of addi

tional job opportunities for members of low

income households.

P A D C O

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" Restrictive laws and regulations which have a

generally negative impact on IIPUP target

groups. It may be desirable, for example, to

repeal regulations which attempt to restrict

or prohibit street vending -- measures often

introduced simply to "improve" the appearance

of central city areas for tourists and the

elite or on the grounds that the removal of

vendors will facilitate pedestrian traffic

movement. Such regulations are fairly common;

they have been applied with varying degrees

of success in Karachi, San Salvador and Port

au-Prince, for example -- in each case with a

negative impact on low income groups, at least

to the extent that they have been enforced.

" Import and export regulations and tariffs which

affect choices of technology and, in particular,

decisions on degrees of capital intensiveness.

Often these are structured to protect and

encourage domestic (and inefficient) enterprises

using capital intensive technologies.

" Laws and regulations designed to protect or

improve environmental quality. Legal measures

of this type, designed to control the discharge

of wastes into rivers and stream beds, the

dumping of solid wastes and the pollution of

groundwater often are relevant for types of

areas where low income groups settle by default

(near river beds, on or near garbage dumps, in

areas where shallow wells can be dug easily,

etc.).
Protective legislation, if economically

realistic and well-administered, can help to

improve the immediate environmental conditions

of the poor at the same time as it improves

conditions indirectly for the community at large.

3. STRATEGIES FOR INITIATING CHANGES IN THE

LEGAL FRAMEWORK

The large amount of potentially relevant legislation and

regulations serves as a reminder of the complexity of IIPUP

programs. It serves also as a reminder that in the early

stages of a program it is likely to be possible to modify only

a small set of the relevant laws and regulations. The

strategic selection of the instruments to be changed will

be important to the full effectiveness of IIPUP activities;

moreover, attempts to change intractable legislation or regu

lations may threaten the entire IIPUP effort.

P A
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In most situations, it will not be possible to introduce

major new blocks of legislation and regulations which are

designed explicitly and exclusively to benefit IIPUP target

groups. A useful general strategy may be to seek out the

administrative regulations which can be modified in relatively

inconspicuous ways to change the "rules of the game" in the

various marketplaces in which low income households nego

tiate to obtain the services they need. In some cases, it

will be necessary to seek modifications in legislation also,

but administrative rather than legislative instruments are

usually more susceptible to change. As a part of this

strategy, it will be useful to look for changes which will

benefit other groups as well as the poor.

The specific instruments which will be most amenable to

change and most effective from the point of view of IIPUP

program needs will depend upon the particular institutional

system involved and current political priorities. However,

it is possible to identify, among the many potentially

important instruments listed in the previous section, several

which are likely to be useful in a number of countries to

spearhead improvements in the legal framework.

A key area of concern will be the administrative pro

visions made for the IIPUP program itself -- which may require

the creation of a new special-purpose entity and the legisla

tive decrees associated with this. As a general rule, the

creation of a new entity should be used as a last resort

and only where all existing entities are functionally inap

propriate or too weak to assume responsibility for the program.

The creation of a new entity is likely to require the passage

of special legislation. It is likely to drain skilled

administrative manpower from other entities. And it may

hinder, rather than facilitate, coordination and efficiency

i.n jIvLnmont. As an alternative, it may be possible to

strengthen a weak existing agency -- for example, a public

housing agency which has considerable technical capacity but

which has been focusing on conventional middle and lower

middle income housing and can be redirected towards the

improvement and development of low income settlements.*

A second potential area for the selective modification

of legislation and/cr regulations which often can be subject

to early action is in the redefinition of the responsibilities

of entities potentially relevant for IIPUP. The existing

administrative decrees establishing their responsibilities

may be defined too narrowly to permit (or require) them to

This strategy has been proposed and tentatively adopted in

El Salvador for the improvement of critical low income areas

in San Salvador.

P A D C O

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provide services for low income communities. A further

useful device may be to enable the agency with principal

responsibility for IIPUP to enter into contractual agree

ments with public, as well is private, entities for the

provision of specific fa ilities and services in IIPUP

projects -- with the IIPUP agency, in effect, providing a

part of the budgets of the other agencies in the years in

which they participate in this way.

It may be desirable also to modify banking and credit

regulations to permit (and encourage) formal credit to be

extended to low income groups. Analyses in several coun

tries suggest that it is possible to extend formal credit

to low income groups at market rates, including a special

provision for risk, and still have them pay much lower

rates of interest than they pay presently in informal credit

markets.

An instrument whi.ch may take longer to introduce, al

though it already is being used very effectively in a number

of LDCs, is a system of betterment charges (called valoriza

cion in Latin America) foi financing the capital costs of

basic infrastructure in IIPUP schemes.

The laws and regulations defining private rights and/or

providing incentives for private action constitute another

area in which selective early action is likely to be very

effective. One of the most common problems in existing land

use regulations is that even the lowest standards permitted

for urban development are too high to be affordable by IIPUP

target households. Work in a number of countries -- notably

Colombia and El Salvador -- suggests that a lowering of

standards, without sacrificing health or other social con

cerns, can Wring low income settlements into the domain of

legal, rathe: than illegal, development and thereby remove

low income households from the threat of prosecution, facil

itate their obtaining registered titles to land and facilitate

their bargaining with public agencies to obtain the services

to which they are entitled.

A related area of concern in many countries is the

property title registration system. Often these systems

are archaic, slow in operation and far from complete in

coverage. This is one of the factors which makes it diffi

cult for low income households to obtain formally registered

titles. Slow procedures also facilitate multiple mortgaging

and other practices which result in clouded titles.

An opportunity for action which may benefit other groups

as well as the poor is in the provision of incentives for

increasing the supply of low cost rental shelter. This may

be supported through the provision of credit for improvements

P A D C O

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in, and additions to, existing rental units through the sim
plification of building regulations and land use controls to

reflect the realities confronting low income households and

their landlords and through incentives for the construction

of new low income rental space (possibly accompanied by the

public construction of prototypes to demonstrate what is

feasible).

Finally, there may be an opportunity for early action to

modify laws or regulations which affect the welfare of low

income households generally, although they were not enacted

directly in connection with the provision or regulation of

low income settlements. As suggested earlier, it may be

possible, for example, to revoke regulations which restrict

unnecessarily the activities of low income groups (e.g.

street vending).
It may be feasible also to introduce or

improve legislation necessary to permit the cadastral surveys

needed for modern property registration and taxation -- both

of which are important to the proper functioning of the

urban land market and to the raising of public revenues for

the improvement of low income settlements as well as other

purposes. Regulations which presently discourage the gener

ation of additional employment for low income household

members (for example, those which subsidize, directly or in

directly, the importing and use of capital equipment and

thereby discourage the use of more labor intensive production

technologies) may take longer to modify than the other in

struments suggested here, but improvements in them may be

important to a better utilization of resources from a national

economic point of view, at the

same time as they benefit the

urban poor through the generation of additional employment.

The introduction of an IIPUP program at the national

!-iLy and at.. t&: ai inceLive for
the recLification of longstanding deficiencies in a variety

of laws and regulations which will benefit the community as

a whole, not only IIPUP target groups.

level may provide an opa:,r

P A D C O

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G,

IIPUP EVOLUTION AND THE NEED

FOR FLEXIBILITY

The concept of IIPUP stresses comprehensiveness and

integration. This concern is largely an outgrowth of

failures and frustrations with programs which have focused

on only a few types of action (for example, water supply,

sanitation and shelter or water supply and sanitation

alone) in response to what have appeared to be the most

urgent needs in particular situations. In some cases,

especially where the arguments for comprehensiveness and

integration are used also as arguments for the creation

of a new special purpose entity, this may reflect a desire

to bypass existing bureaucracies which are cumbersome, in

efficient or corrupt. It may also reflect a desire for

new empire building.

The plea that facilities and services should be more

comprehensive and better integrated is appealing.

However,

the apparent appeal of comprehensiveness and integration

should be scrutinized carefully and critically in each new

situation. There are several reasons why it is likely to

be difficult or impossible to achieve either quickly.

First, the priorities of the target groups who are

supposed to be the beneficiaries of a program may be

focused on just a few of the issues addressed by a compre

hensive agenda -- perhaps employment, the securing of

titles to land, improved water and sanitation and the

maintenance of
a tight limit on fixed monthly expenditures.

They may be simply uninterested in and/or not sufficiently

mobilized and organized to absorb a more ambitious program.

They may also distrust ambitious projects which not only

promise great achievements but also would place upon them

a considerable burden.

Second, some of the features of IIPUP programs are

innovative from the point of view of both the target groups

and the governments involved (for example, where they in

volve the introduction of new types of physical layouts

for settlements, the use of new forms of domestic fuel,

new

forms of household credit or new forms of community organ

ization).
Considerable experimentation is required to

determine what is socially and administratively, as well

as economically, feasible.

Third, the individual public entities which would have

to deliver many of the services in a comprehensive program

may need to be considerably strengthened before they can be

ready to participate.

P A D C o

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Fourth, the task of coordinating the variety of entities

required for comprehensive coverage and for the integration

of their individual contributions in policy making, planning,

implementation and evaluation is formidable. It is rarely

achieved in the so-called developed countries with well

established administrative systems, let alone in the devel

oping countries in which many of the potentially relevant

entities are in the early stages of their own evolution.

Fifth, many governments, even those which are facing

up to the growing problems of rapid urbanization and urban

poverty realistically, still have a majority of their popu

lation living in even more desperate conditions in rural

areas and cannot instruct their executing agencies, already

overloaded, to give urban projects the additional priority

implied by IIPUP.

Sixth, some governments are unwilling to encourage the

kind of community mobilization and participation that the

successful planning, execution and maintenance of an IIPUP

program requires.

Faced with these realities, it is necessary to think

carefully in each situation about the sequence in which

program components might be introduced. In some cases, it

is necessary simply to be satisfied with much less than full

comprehensiveness or integration, more or less permanently.

That may be all that is sensible in relation to the real

priorities of target groups and the economic and administra

tive context of a particular country.

Because of the above constraints, there are several

aspects of program development in which gradualism and

flexibility may deserve attention:

" In selecting the target groups on which the

program is to be focused.

* In deciding on the components to be introduced

in individual projects.

" In deciding on the geographic coverage of the

program.

* In the institutional arrangements for the

program.

1.

THE SELECTION OF TARGET GROUPS

There are at least two major criteria relevant in de

ciding which target groups should be focused on first -- the

P A D C 0

-74

scale and urgency of the problems faced by each potential

target group and the feasibility of dealing effectively

with their problems.

All of the urban poverty groups of a country (defined

in terms of the U.S. Congressional mandate which refers to

households at or below the median income or

in terms of

the World Bank definition which focuses on the income

needed for basic survival) deserve early attention. How

ever, financial and administrative resources are likely

to be insufficient to tackle the problems of all of the

specific target groups within this broad group simultane

ously. Priorities based on urgency and equity may favor the

lowest income households. Priorities preoccupied with

feasibility and the desire to achieve visible results as

a basis for enlisting additional political and popular

support for the IIPUP program may favor households in the

upper levels of the poverty group.

A fairly typical sequence for selecting target groups

might be to begin with groups which are of the second kind,

proceed later to lower income groups needing stronger sup

port but still interested in improving their condition

where they are and, finally, extending the program to

support low incone households in rental space. This might

well be the sequence adopted eventually in the El Salvador

program.* The particular sequence which makes sense will

depend upon local conditions and priorities.

2. THE GRADUAL INTRODUCTION OF PROGRAM

COMPONENTS IN INDIVIDUAL PROJECTS

Once a decision is made about the priorities to be

assigned to individual target groups it will be important

to determine carefully what the priorities should be for

these groups, recognizing that preliminary judgments about

their priorities are likely to have entered into the

decision establishing priorities among groups.

The

principal factors relevant here should be the priorities

and capacities of the target groups themselves, the

external effects of action (or failure to act) in target

settlements on the rest of the community (for example,

the communitywide health hazards likely to result from a

failure to introduce basic sanitation) and the economic and

EDURES, op. cit.

PA D C

75

administrative feasibility of introducing individual program

components.

Some of the organizational arrangements for integration

entail a gradual introduction of project components. This

is important in developing countries where administrative

capacities and political commitment may be slow to develop.

A sequence reflecting fairly common target group priorities

might be, for example:

o Stage 1:

Employment generation with vocational

training.

Community organization.

Adult literacy.

Legal assistance.

Securing of land tenure.

Provision of credit for land purchases

and shelter.

Upgrading of preventive health services.

Improvements in garbage collection and

disposal.

o Stage 2:

Upgrading/introduction of safe water

supply, basic sanitation, drainage

and erosion control.

Street lighting and street improvements.

Domestic electricity.

Technical assistance for the construction

or improvement of shelter and community

facilities.

Improvements in shelter through self-help

and mutual aid.

* Stage 3:

Credit and technical assistance for small

scale enterprises.

Introduction or upgrading of primary

education.

Improvement of links with secondary and

higher education services.

Improvement of links with higher level

health services.

The particular sequencing which is appropriate will de

pend, of course, on the specific target groups involved and

the situation.

3. THE EVOLUTIONARY GEOGRAPHIC EXTENSION

OF THE PROGRAM

Because of the experimental nature of IIPUP and the

limitations in administrative capacity which are typical of

P A
D C O

-76

most developing areas, it will not be feasible or advisable

to attempt to launch the program in a larger number of urban

areas simultaneously. Decisions as to which urban areas

should receive attention first should be based on criteria

which includes:

*
The scale and urgency of the problems of the poor

in individual cities and towns.

" Administrative readiness, including the readiness

of the municipalities involved if local government

is to play an important role in the early stages

of IIPUP.

* Community willingness to receive the program and to

contribute towards its success.

" Replicability, which will depend upon conditions

in other areas.

" The political priorities associated with individual

centers.

The first, second and fourth criteria might lead to a

decision to introduce the program initially in the largest

and/or fastest-growing major city which will often be the

capital. If success can be achieved there,

a second stage

of coverage might include the city with the next most severe

poverty problems and a smaller town selected as a pilot area

for the purpose of identifying the major differences between

desirable project characteristics in larger and smaller

centers.
In both the larger and smaller centers, the IIPUP
program might be used as an entry point for the strengthening
of local goverrnc'nn

iL

the same HT---)s

it is

targeted on

the urban poor.

In a recently designed IIPUP project in Honduras, the

strategy calls for initial pilot projects in Tegucigalpa and

San Pedro Sula. These two cities were chosen because they

are relatively advanced administratively and because of the

relative size and urgency of the problems there. In

Tegucigalpa in particular, there is a strong interest in

IIPUP, and the municipal government has improved its admin

istration dramatically in the last five years with, among

other things, the completion of a proper cadaster, the

introduction of vaZorizacion for the financing of infra

structure and improvements in the property tax.
The lessons

learned from the experiences of these two cities will be

useful in setting up the program on a national level through

the Community Development Unit of the Ministry of Government

and Justice during a second phase.

P A D C O

-77

4. THE EVOLUTIONARY DEVELOPMENT OF THE

OVERALL PROGRAM

The preceding discussion of sequencing issues serves as

a reminder of the desirability of planning at the national

level for the overall schedule in which the IIPUP program is

expected to evolve. This is particularly important for the

institutional development that may be necessary to prepare

for the various stages anticipated in the evolution of the

program.

The following hypothetical example serves to illustrate

this point:

* Phase I:

Analysis of problems.

Program design.

Policy adoption of the program.

Assignment of institutional

responsibilities.

Initial funding.

"

Phase II:

Institutional preparation to provide

for initial implementation.

"

Phase III:

First pilot project in major city,

with target group(s) with already

established momentum.

Evaluation of pilot project.

Phase IV:

Second pilot project in major city,

with more difficult target group.

Evaluation of Phase IV.

"

Phase V:

Extension of program to second major

city.

Pilot project in smaller town.

Evaluation of Phase V.

"

Phase VI:

National extension of the program,

with priorities established in the

context of the national socio

economic plan.

Continuing evaluation and improvement

of the program.

In this purely illustrative example, it is likely to be

desirable to undertake additional institutional preparation

in Phase III in order to be able to extend the program to

target groups with more intransigent problems in Phase IV.

It is likely to be desirable also to begin the strengthening

of municipal administration if that is to be the vehicle for

P A D C O

-78

implementing the program in a smaller center in Phase V.

During Phase IV, it is likely to be necessary to begin a

variety of types of institutional reinforcement to prepare

for the extension of the program to all of the nation's

urban areas in Phase VI.

5.

CONTINGENCY PLANNING

Because of the uncertainties inherent in IIPUP, it is

advisable to undertake contingency planning for the program

explicitly. The key external events which are likely to

affect it should be analyzed, and the alternative courses

which those events might take should be identified (with

probabilities attached to each alternative if this is

feasible).
A series of alternative strategies for the

IIPUP program should then be established, allowing for

each of the pusgible series of events which has been fore

seen.

The types of questions which should be addressed in

this process include:

e What is the range of resources that can

realistically be expected for IIPUP and

what should be done if the resources actually

available turn out to be at the lower rather

than upper end of that range?

What are the foreseeable responses of the

initial target groups to the program and what

should be done in relation to each response?

If public land acquisition is an important

feature of the initial projects, what should

be done if the necessary land purchases (or

expropriati, ; prove to be impossible or are

delayed a y f?

Planning fDr important contingencies such as these should

be a basic feature of IIPUP programming -- for the program as

a whole and for individual projects within it. The system

atic anticipation of alternative possible futures and explicit

flexibility in the program are likely to greatly enhance its

chances of success.

P A D CO

-79

PART II

MANAGEMENT AND ORGANIZATION FOR IIPUP

P A D CO

-81

A.

THE MANAGEMENT TASK

The urban poor -- the target group -- are the prime

concern. But a second group of people is of operational

significance in raising the standard of living of the target

These are the members of the IIPUP programming and

group.
They include the policy makers,

project teams.
administrators, finance officers, physical planners,

technologists and technicians of the "head office" and the

field engineers, cost supervisors and community development

From among them is drawn the

staff of specific projects.

membership of implementing committees and probably the project

manager.

The following sections are focused on implementation.

They assume that a national

They are concerned with "doing."

or metropolitan policy for IIPUP programming already exists.

IIPUP policies and programs set out the intent and level of

It is through good management that the programs and

effort.
projects are realized.

1.

POTENTIAL IMPLEMENTATION DIFFICULTIES

IIPUP projects will be difficult to implement because of

the necessity of deploying and coordinating the efforts of so

Many problems of coordination between

many contributors.
implementating agencies can be foreseen during the design

stage but not all will be apparent. Ther2 may also be

problems with the community that is to be assisted once

Only then do community leaders see

implementation begins.
what is really intended, often despite many hours of prior

Some of the more specific problems that may be

explattiion.
encountered during IIPUP implementation are as follows:

a. Organizational Difficulties

* Lack of structure in decision making between

national, provincial, metropolitan and local area

agencies.

* Lack of clear standing of the project implementation

committee, and so of its members, who may not be able

to decide in committee, only having the authority to

refer back to their home departments for later

decision.

0
Problems of communication of intent within the lead

agency and between the agency and contributing

agencies and insufficiently developed persuasive

powers to balance out weaknesses in formal powers of

authority.

P A D C O

-83

* Failure to nominate a project

in charge of operations.

leader who

is clearly

* Lack of centralization of the authorization of

expenditure or centralization away from the project

operating team's home agency (in, say, a Ministry of

Finance).

b. Managerial Difficulties

Incompatibility of IIPUP tasks with other

corrmi tments.

* Contributing agencies may have a preference

commitments.

for other

* The form of organization of the lead agency may be

ill-suited to the development task.

* The project may lack the requisite high level

political support, legal powers and administrative

support so that the project team is having to rely on

powers of persuasion rather than command.

c. Operational Difficulties

* Inability to manage cash flow.

* Delays in payment of contractors.

"

Problems with building materials supply.

"

Problems with obtaining title to

"

Difficulties with the timing of the provision of

services by contributing agencies.

land.

d. Difficulties of Personal Dissent

" A growing resentment by senior officers of the

organizational changes accompanying the

im-lementation of the project both in the lead agency

anu in contributing agencies.

Disenchantment by senior officers who cannot relate

personal career advance with project type (i.e. civil

engineers may not regard environmental upgrading as a

"status" activity) or with the new form of

organization in the lead agency.

P A D C O

-84

Problems stemming from having an operating dependence

upon others who lack all sense of project urgency.

Trying to achieve project implementation against such a

flood of difficulties presents a challenge to project

management. It underlines
the need of project conceptualizers

and implementors to understand the nature of management skills

and their relationship to IIPUP implementation. Two early

decisions for a project management cornrittee will be the

selection of an appropriate management style and the focusing

of project leadership. For these decisions to be optimal, the

nature of the management challenge has to be directly faced.

2.

IMPLEMENTTrION MANAGEMENT IN PRACTICE

The example of a large integrated program for new low

income settlement in a major Asian city illustrates the

In the early

problems that can arise during implementation.

people

200,000
1970s, the ciLy was expanding rapidly by about
or 33,000 households per year. To provide for this increased

population, a program of 22 separate new, low

income projects

was planned for a five to six year period which would

eventually accommodate 869,000 persons.

The program was established within the frame of a

It was well planned

in relation to the

detailed master plan.

It was to include

financial capacities of low income groups.

advice on house

including
services
community
and
many social
loans, mass

business
small

employment,
on
advice
construction,
community

and
programs
education
adult
media education,
development.

Among the government agencies concerned, there was a wide

consensus about the desirability of an integrated program to

provide for the low income population. The program was

included in the country's five-year development plan.

A special operating unit was established to administer

the program within the physical planning department of the

Metropolitan Development Authority.

The project manager role

was
retained by the Chief Executive of the Development

Authority but delegated in practice to the departmental head

of the planning department. He in turn redelegated to a

senior officer who was effectively the project officer in all

but name and needed powers.

The operating unit was to report to an executive

committee of 16-18 members with the status of chief or senior

executive officer in their respective departments within the

Metropolitan Authority. The departments involved would be

those most directly concerned with the range of services to

be

P A D C O

-85

provided by the program. The executive conmnittee was to

report to a high level steering committee chaired by the

provincial Minister of Housing, Town Planning and Local

The initial efforts of the unit were focused on

Government.
the detailed design and implementation of the first project

site.

In spite of the very comprehensive planning which

preceded the program, it met initially with only limited

success.
After a two-year implementation period, the first

project site was only 60 to 70 percent complete and major

The

problems with land titles and financing remained.

standards of the core houses and the plot sizes had been

altered frGm their original design which made them less

affordable by the target group. With the exception of small

business assistance, few of the social programs were

Sites for two further projects had been

implemented.
identified, but the land had not been officially designated

The prospects for completing the original

for low income use.

large scale program seemed considerably diminished.

The implication of involving such a large number of

agents in the service delivery process had not been fully

Physical development of the project site

appreciated.
involved a large number of organizations including many

departments within the Metropolitan Development Authority and

These included a water department, a public

outside agencies.
works department, a gas company and an electric company.

Social projects

Housing finance organizations were involved.

required collaboration with health and education authorities

and with existing programs for small business assistance and

Each agency had its own existing programs,

adult education.
priorities and budgets prior to the addition of an integrated

was

settlements program. The project operatin* un.

The site

continuously short of professional personr,..

engineer was changed four times during the implementation of

the first settlement site which greatly complicated site

management.

The program coordinating committees proved ineffective.

The executive committee met twice a.. the beginning of the

The steering committee -- the

program and then not again.

high-level control connittee -- vas never formed and never

The Dilector General of the Metropolitan Development

met.
Authority, in his seldom exercised role of project manager,

had to intervene on an ad hoc

basis between feuding agencies. His direct intervention

brought the water, sewerage and gas authorities into partial

compliance with the program. Direct intervention also helped

secure an adequate supply of cement for the initial project.

However, this type of forced coordination did not build any

Rather, it created an

long-term foundation for success.

P A D C O

-86

antagonism among staff of the participating agencies whose

further cooperation was needed on the later settlement sites.

In this Foutheast Asian city, the policy for the

new

urban settlements was formulated by a relatively small group

of higher level government officials and foreign

There was little real agreement among the many

technicians.
There was too little

agencies which were

to carry it out.
to integrate their

groups
dialogue with the affected community
Yet,

in many

priorities into the new settlement policy.

conceptual

a
respects, the program was a model of its kind:
model from whose study many have since profited. As an

implementation model, important

lessons have been learned:

* Diffuse patterns of management

leadership and purpose.

lead to confusion of

" Steering committees that do not meet are seen not to

be steering. This creates the impression that the

project they are supposed to be implementing has a

low priority.

* Crisis management may give immediate results under

an

influential officer, but it lays no base for

continued cooperative activity.

* Unless clearly led, agencies having to work together

may become antagonistic rather than cooperative,

forcing a project manager into a continuous stance of

conflict management.

The implementation of IIPUP is not different in kind from

It

other socially-oriented environmental upgrading projects.

of

complexity
the
reflects

it
so,
In bei!-g
is wore complex.
project purpose. Those that have been delegated to play a

part in the project team may appear during the initial

The reality

programming discussion
to have common interests.
around

coalition
is more likely that they have formed a
They

overlapping interests -- which is not the

same thing.
of

some
may eventually be distracted by other commitments,
political

higher
which may be of longer standing and have
priority than the current project appears to have.
In such

circumstances, a project leader who has

not been given clear

authority and requisite powers will find himself unable to

implement his responsibility.

P A D C O

-87

B.

THE CONTEXT OF MANAGEMENT

IIPUP projects are usually managed either in the offices

of a city or municipal government (or that of its development

authority) or in a national Ministry of Local Government (or

Ministry of Interior).

The administrators, managers and local politicians

perform their management task in any particular city in

accordance wth the history and traditions of their people.

The administrations they operate have evolved through history

-- their own history plus the history of encounters with other

nations, people, international agencies and foreign advisors.

There

is usually a need in

IIPUP programming to focus on:

9 The improvement of the functioning of the general

city administration (departmental organization, taxes

and revenues, etc.).

* The improvement of the implementation of public

services (health and education, etc.) and of public

works projects.

Tradition is not the sole constraint upon administrative

Other constraints include:

reform and managerial development.

* A lack of awareness of the relevance of modern

management theory and techniques to development

situations.

0 The difficulties in transferring management

tvc, nin,,es from one culture to another.

0 The difficulties in transferring new techniques of

management and administration to great numbers of

people from one country to another.

1.

DIFFERENT FORMS OF CITY GOVERNMENT

Not all cities are governed

number of possible forms are:

in the same way.

Among the

a. Citywide

0 City government as part of central government.

0 City government as part of provincial government.

P A D C O

-89

* Unified metropolitan area government but as

provincial or national system.

* Self-government
authority.
-unitary
-multi-level

part of a

through a metropolitan elected

b. Single Purpose Authorities

* Physical

development authorities.

* Water authorities.

* Harbor authorities.

0 Military areas
c. Combinations of

in the city.

the Above

The more integrated into the national administration it

is, the less responsive the city government is likely to be to

proposals for operational change.

2.

THE OPERATIONS OF CITY ADMINISTRATION

A city administration will operate most effectively when

its operating systems (administrative ways and means) are

appropriate to its cultural environment.

Yet more may be

required.
If improvements are to be made, some aspects of

culture may have to evolve; new attitudes may have to be

developed.
Effectiveness in a world of change may be brought

about by developing administrations that grow with change,

some of which the administrations try themselves to bring

about.

The form of city administration can be characterized by

three operating patterns:

* Habit or the tendency to treat cases by following a

more or less conditioned set of responses -- which

indeed may all be codified in forms.

* Analysis or the tendency to examine reasons for

events, cases and phenomena in order to try to

understand situations and work towards apt solutions.

P A
D C 0

Synthesis or the tendency to administer through

intuitive feel for what is important and what is less

so.
This is creative administration based upon an

interpretation of the intention behind the rules

-90

rather than the following through of the rules

themselves in a flat-footed way.

An organization has an efficient administrative style

when habit governs its activities in a stable situation,

analysis in an environment of change and synthesis in times of

great transformation in politics and economics.

3.

ADMINISTRATIVE REFORM

Having undertaken an appraisal of a national ministry,

operating department or city government, some designers of

If

integrated social development projects heave a large sigh.

been

has
what
then
made,
be
to
is
journey
the development
The

uncovered does not seem to offer a starting point.

resclve is made to set up a new and semi-autonomous department

free from the shackles of past and present custom.

It is tempting but

This reaction is understandable.

programs

integrated
With widely-spread
seldom relevant.
operating

local
and
having national, provincial, citywide
seldom of

is
contexts, the introduction of another agency
initial

some
This is despite (possibly)
long-term utility.
some

of
eye
apparent success when, under the delighted
benevolent minister, big decisions
are made that other

operating units (working under quite different conditions of

stress) reluctantly acquiese in only to renege on later as

political pressures from other quarters force them back to the

decision base of their own sector and the need to defend their

It cannot be claimed that the

own narrow interests.

will
never be part of a national

agency
new
a
of
establishment
likely that the IIPUP program

more
is
it
but
strategy,
IIPUP
and reform existing

upgrade
to
need
the
will precipitate
be

This wij
are added.
functions
new
the
as
administrations
assistance.

technical
and
training
patience,
achieved through
Successful implementation of the administrative reform

program will depend upon the leadership and support of the

political authorities and the governing bodies of the city

This

government and urban development authorities affected.

will

members
staff
many
since
rushed
be
cannot

implementation
new

a
in

anew,
it
practice
or
have to change their function,
an

example,
For
setting developed from new objectives.
organization that reorganizes around "service to the public"

rather than "meeting the government requirements" will undergo

a major change.

Change itself is often an obstacle to change. A major

obstacle to the implementation of administrative reform is the

real or imagined threat that the proposed changes present

to

The chances of implementation

the affected administrators.

P A

Co

-91

are enhanced if special attention is given to the officials

affected and a due process is proposed whereby their real and

This should

imagined grievances may be given consideration.

be combined with a program of incentives that support the

changes.

4.

PROJECT ENVIRONMENT

National, provincial, citywide and departmental

management is described in this setting as being "context."

Project management as an art is quite different in nature from

Long

the general run of government administration.

established managements collect an undergrowth of procedures

and approval systems which tend to become more important than

actually getting anything of substance achieved. Project

management has, on the other hand, been likened more to an

activity like that of the "jungle fighter" in which one has

always to be on the alert for traps, delays and the

unsuspected and be ready at a moment to change the plan of

implementation, timing and even the choice of men for a task

Project

in the light of the newly perceived context.

management is action oriented.

P A D C

-92

C.

PROJECT MANAGEMENT

A project is managed at a particular place and time. The

project environment is in part conditioned by the nature of

the substantive work and in part by the nature of the

organizations through which the project work is implemented.

The administration of an implementing agency will

probably directly reflect in style the national form of

Projects are

administration (centralized or decentralized).

conceived in agencies and ministries as they now are, yet they

may have as a major intent the translation of the agency into

another form of organization -- one more suited to development

administration.

The key concepts

of project management are:

" The project manager should be clearly in charge and

preferably from the stage of project identification

through project design to implementation.

* There should be a planned program of integrated work

which includes the contributions of all those outside

the implementing agency who are called upon to

contribute to the project.

One or the

These two concepts are supportive of each other.

other al ne will not achieve the desired result of focused

command.

Project management and department management are very

It is quite common in

distinct management tasks (Table II-l).

practice for a project manager to continue to hold

responsibility for the operations of a single functional

This often leads to

department (such as water supply).

conflict situations for the manager as he is asked to give at

the same time priority to his general program of work and to

A project manager who is also head of the

the project.
department of water supply may have difficulty in reconciling

pressures from one quarter to finish his general city water

supply programs and sub-tasks while receiving pressure from

another quarter to put all his best staff onto the completion

of a priority project that is in part financed from overseas.

A project has (1) a manager; (2) a project control

These four aspects

system; and (3) a mode of implementation.

are reviewed in tluri.

1 Archibald, R.D., Managing

Projects, Wiley, 1976.

PADCO

High

-93

Technology

Programs

and

TABLE II-1:

PROJECT MANAGEMENT VERSUS DEPARTMENT MANAGEMENT

Project

Functional Department of Organization

1. A specific life cycle:

identification, preparation, design,

implementation, evaluation.

Continuous life from one year to the next.

2. Distinct start and finish dates.

Not particularly tied to dates except to

the annual budgeting exercise and perhaps

to climatic seasons if a construction

department.

3. Subject to sudden close-down if

goals of project cannot be realized,

Closed in any event when project is

executed.

Continued existence of the function is

generally assured even in the face of

quite major administrative reforms.

4. Often a pilot project with many

issues of management encountered for

the first time.

Usually undertaking well-established

functions within well-tried procedures

and with perhaps some tasks only slightly

different from those traditionally under

taken.

5. Work to be completed within fixed

Maximum work is carried out within the

time and at agreed cost.

annual budget ceiling.

6. Ultimate prediction of project

time span and of completion cost

difficult because of environment of

mechanistic administration and

under-development.

Prediction of annual expenditures (up

dated for inflation) comparatively easy.

7. Involves many skills and profes-

sions from many organizations. The

range of organizations may change

from one stage of the project to

the next.

Involves one or a few closely related

skills and professions within one well

defined organization.

8. Rate and type of expenditure ever-

Relatively constant rate and type of

changing.

expenditure.

9. Dynamic and fluid in nature.

Steady state in nature.

Source: Adapted from Archibald, R.D., Managing High Technology Programs and Pro
jects, Wiley, 1976.

P A D C 0

-94

1.

THE PROJECT MANAGER

The project manager usually has responsibility to a

steering committee for implementing the project or program.

Through

His role is to organize, staff, direct and control.

overall management and communication skills, the project team

has to be led and external agency project contributors

coordinated from start to finish.

A competent person should be identified when an IIPUP

Should nobody of the needed

program is being identified.

it will be necessary to

available,
be
qualities and knowledge
or she has training

he
that
groom someone for the role (see
and is exposed to project management situations in his/her own

The identification of a project

country and/or overseas).

manager is seen by many as the prerequisite for proceeding

with IIPUP project preparation work. This is because it is

strongly felt that the project manager should be involved in

the preparation work.

The cutting edge of

follows:

the project manager's work is as

0 To manage the flow of substantive work components and

products of the project to enable socially valued

change to take place.

* To produce the IIPUP project within the cost and time

specifications using the specified technical means.

* To meet the revenue targets of the project or, if

these are to follow in time, to lay the physical

infrastructure and operational capacity which will

enable the revenue earning capacity to be realized.

* To be ready to alert higher authority when at any

time during project implementation it appears that

timing and costs are getting out of line.

* To make or force needed decisions and to do this with

as much diplomacy and tact as the situation allows.

* To be ready to recommend project closure midway or

pu! forward an alternative project schedule or design

if it becomes apparent that declared project

objectives cannot be met ur are seen

to be

irrelevant.

* To serve as a prime contact point for the project for

the AID financiers, local agencies, project team

members and managers in contributing departments.

P A D C

-95

*
To negotiate work orders with contributing

departments to perform work within

time, cos
quality specifications (see Checklist 11-1).

and

If a project manager is to be successful in carrying

through these functions, then other managers with

responsibility in the implementing agency's

line and operating

departments need also to have an

understanding of the

character of project management. This will be acutely the

case where the project manager has only

a small project team

and relies upon contributions from functional depaitments

within his organization. Because of the close

interrelationship between project management and

implementing

agency administ-rative management, both have

to be considered

in project management study. The implementing agencies that

are of concern
have names such as Development Authority,

Planning and Budget Division, City or Metropolitan

Corporation.

The project manager may fulfill his duties on a full-time

One form of part-time service is when the

or part-time basis.
project leader has more than one
project to manage.
Another

is the case of the project manager who shares his time with

another responsibility
--- the headship of an operating

department in the organization that is implementing the

project.

2.

PROJECT

CNTROL

In appraising or designing an organization in which an

of the

IIPUP project is to be managed, it is not just a ma'ter

pyramid

the
arrangement of the administrative departments into

of the whole.
These units provide but a framework within

Of equal importance to IIPUP

which many variations occur.

implementation
is just how tight or loose the administrative

Other issues include how generally or sharply the

rules are.
duties of
each office holder are defined; how restricted is

the official channel of communication (i.e. open downwards,

closed upwards, non-existent laterally); and how centralized

or decentralized the pattern of authority within the whole.

Taken together these variations act as indicators of the

extent to which the organization is a rigid bureaucracy.

At one end of
the spectrum of types of management

having

organizations is the mechanistic. At

the other end and
relationships

staff
a much more fluid definition of
duties,
Archibald, R.D., Managing
Projects, Wiley, 1976.

P A D C O

High

-96

Technology

Programs

and

and authority is the organic.

In Table 11-2, these two models

are contrasted according to organizational characteristics.

Through a mixture of historic and cultural reasons, a

majority of organizLtions in the countries in which IIPUP

projects will be proposed are of the mechanistic kind.

Unfortunately, this type of organization is the least suited

for developmental tasks and especially unsuited for

interagency cooperation.

a. Decision Making in Theory

Problem solving or decision making is the heartland of

management.
The essential operation can be conveniently

described in relation to a four-stage model.

Information is gleaned from data -- not all data

information.

is

* An assessment is made based on

-analysis

-- review of strategies

* A choice is made from among alternatives

of declared criteria.

in the

light

0 A plan of implementation is made to govern the

carrying through of the decision (this being perhaps

the most neglected stage).

Stages 1 and 2 in decision making are governed by the

notion of "bettering the situation."

Stages 3 and 4 are
dominated by the consideration of the range of strategies
available to depiders -- what is appropriate to the
achievement of a realistic goal.
In this, the
iLructure of
formal authority (those who hold high office) dominates over

the autho;ity of those who "know" in the technical or

professional sense. Here, then, is the location of conflicts

of value between those who have peofessional knowledge and

those who have to satisfy a political program. Here also is

the location of conflicts of value for those from overseas who

work with local administrators and professionals to produce

designs for IIPUP projects.

Each contributing group may

define the "needs" of the poor quite differently against a

background of differing policy parcels and tactical

requirements.

b. Decision Making in Practice

In public life, and certainly in the conception and

implementation of an IIPUP project, there will be the need to

pursue the decision taking process in the open and in

-97

TABLE 11-2:

THE CHARACTERISTICS OF ORGANIZATIONS AS DIFFERENTIATED

IN THE MECHANISTIC AND ORGANIC MODELS

Mechanistic

Characteristic

Organic

High, many and sharp

differentials.

SPECIALIZATION

Low, no hard boundaries,

relatively few different

jobs.

High, methods spelled out.

STANDARDIZATION

Low, individuals decide

own methods.

Means.

ORIENTATION OF STAFF

Goals.

By superior.

CONFLICT RESOLUTION

Interaction.

Hierarchical based on

PATTERN OF AUTHORITY,

implied contractual relation.

CONTROL AND COMMUNICA-

TION

Wide net based upon common

commitment.

At top of organization.

LOCUS OF SUPERIOR

COMPETENCE

Wherever there is skill

and competence.

Vertical.

INTERACTION

Lateral.

Directions, orders.

COMMUNICATION CONTENT

Advice, information.

To organization.

LOYALTY

To project and group.

From organizational position.

PRESTIGE

Source:

From personal contribu

tion.

Litterer, J.A., An Introduction to Management, Wiley, 1978.

P A D C

-98

committee.
In many project designs, there will be much

interagency discussion (see Table 11-3). Reaching agreements

or changing attitudes depends in part on the persuasiveness

and knowledge of key individuals, but it also depends upon

clearly identifying the purpose of meetings.

Management techniques to enable collaboration to take

place are needed.

Table 11-4 presents some useful techniques

for arranging collaboration and comments on their suitability

for certain types of decision and action.

The table is organized under two main headings:

collaboration between political representatives and

collaboration between government officers. This is not

intended to exclude representatives of private bodies and

industries whose presence will often be required if informed

decisions are to be made.

Politicians make the policy.

Government officers prepare policy options, prepare ways of

execution and manage execution.

c. Managing the Project Team

This is a central internal task of project control.

Three levels of responsibility of operational departments can

be identified:

" The function manager (head of a department).

It is

with him that the project manager negotiates the work

units and services he requires to serve the project.

* The departmental delegate or representative who is

nominated by the head of a department to perform or

present the function at meetings and on the job.

(In

practice, this can be a frustrating appointee to have

dealings with unless he has been given full power of

decision regarding the provision of his function

within the agreed project policy to design.)

" The task leader.

This is the professional or

technician who gets a particular function or

component in place in the project.

The project leader has to establish his authority in

different ways towards differing people in accordance with

their formal responsibility to him (or his to them) at the

administrative level.
He can, according to the situation,

draw on rank ("I am the project manager"), the authority of

knowledge ("I know"), moral integrity or personal qualities of

approachability or empathy.

P A D C 0

-99

TABLE 11-3:

DECISION MAKERS IN THE DEVELOPMENT OF A FIVE-YEAR

METROVILLE SITES AND SERVICES PROJECT

Programmers

Role

(IIPUP IN CONCEPT)

Information Required

Commissioner, Karachi
Set policy for the pro-

District

program.

RPO, P&D, Planning

Review projects and

Commission

annual budgets.

Assist in financing.

Coordinate with slum

improvement program.

Population accommodated.

Income levels.

Financial situation.

Organization.

Squatting situation.

Director-General, KDA
Prepare projects and

Member (Finance), KDA

annual budgets.

Member (Technical), KDA

Acquire sites.

Obtain financing.

Director, MPECD

Manage the program.

Deputy Director

(Metroville Cell)

Population accommodated.

Ite leced.

Staging of projects.

Financial situation.

inance.

Sourcs
finance.

of
Sources
Organization.

Squatting situation.

Standard designs.

Chief Engineer, KDA

(Water)

Provide water supply,

advise on availability

of water.

Chief Engineer, KDA

(Development)

Prepare engineering de-

Site selected.

sign, carry out construc-

Standards.

tion work.

Staff required.

KESC

Provide electricity,

advise on availability.

Sites selected.

Electricity demand.

KGC and Community

Services Agencies

Provide gas, advise on

availability.

Sites selected, gas demand.

KMC

Coordinate with slum im-

provement program.

Advise on design.

Provide services.

Sites selected, population

and income levels, stan

dards and designs.

Land Manager, KDA

Acquire and protect

sites.

Sites selected.

-100-

Sites selected, water

demand and sewage generated.

continued ..........

TABLE 11-3

(continued)

Programmers

Role

Information Required

Commissioner, Karachi
District (in addition to above)

Assist in site protection.

Sites selected.

HBFC and Commercial

Banks

Review projects, provide

construction and house
building finance.

Population, income and

financing required.

Source: PADCO and Metroville Cell, MPECD, Karachi.

Legend: KDA
RPO
PandD
KESC
KGC
KMC
HBFC

=
=
=
=
=
=
=

Karachi Development Authority

Regional Planning Organization

Planning and Development Department

Karachi Electrical Supply Corporation

Karachi Gas Company

Karachi Metiopolitan Corporation

Housing and Building Finance Corporation

-101

TABLE 11-4:

DECISION ON IIPUP ISSUES --

JOINT ACTION NEED

1. Different ministries and

departments need to be aware of

each others views, programs and

projects.

WAYS OF WORKING TOGETHER

POLITICAL REPRESENTATIVES

Type of Linking

Action

Comment

GOVERNMENT OFFICERS

Type of ,inking

Action

Comment

Informal meetings,

dinner parties, tele-

phone contact.

May be of key

Regular informal and

siqnificance in

personal contact be
realizing cooper-

tween Permananet

ative efforts in

Secretaries and Heads

government offices.
of Departments:

telephone, dining

together.

Request Minister from

one Ministry/Depart-

ment to attend

meetings in another

Ministry/Department.

Most essential to

Regular formal dis-

This can become

set up meeting well

tribution of relevant
part of the day
and define clearly
information plus

to-day formal

purpose of co-option
summaries so that

office work with

(i.e. to obtain

items can be placed

one officer in

politically accep-

on agendas quickly

each ministry and

table decision)..

for note and comment,

department re
sponsible for

ensuring informa
tion is exchanged.

Invitation to envir-

Demanding a poli
onmental and physical
tician's time but may

planning presentations
save much time later

by professionals.

when formal stages

are met.

2. Continuous consultation is

needed between two or more

authorities (i.e. in sanitation

and health programs).

Formal consultation

Very necessary.

meetings with joint

directives on collab-

oration to be followed

as a result.

Establish formal con-

sultation and coor-

dination procedures

between officers.

Needs to be moni
tored by coordi
nation committee

(or responsible

ministers) who

should check every

six months that

consultation is

taking place.

TABLE 11-4

(continued)

JOINT ACTION NEED

POLITICAL REPRESENTATIVES
Type of Linking

Action
Joint consultative

committee.

GOVERNMENT OFFICERS

Type of Linking

Comment
Little point unless

there is strong

feedback to parent

Ministry bodies who

Action

Comment

Standing joint working

groups having very
specific terms of
reference.

Limit number of
these to those
absolutely essen
tial. Demand

act on Consultative

reports up to

Committee recommen-

dations.

heads of depart
ments every six
months. Review
need each year.

Ad Hoc Working groups

Shculd have limited

on special topics of
life and special

area improvement,

tasks. Main task is

to feed in proposals

to responsible and

powerful committees

or to key individuals.

3. Recurrent decisions that

have to be taken jointly,

Joint standing

committees with dele-

gated powers.

Effective. But only

Starting joint
if the committee

working groups.
members can truly

commit the parent

For economy of
people and time,
similar types of
decisions can be

department.

grouped together

and dealt with by

a single working
group (i.e.
timing and exe
cution of utilities
contracts).
Joint meetings of

full committee,

Cumbersome z.nd only

to be used where a

decision cannot be

delegated to a

special joint com

mittee.

continued ..........

TABLE 11-4 (continued)

JOINT ACTION NEED

POLITICAL REPRESENTATIVES

Type of Linking

Action

Comment

4. When a very specific policy

Special Steering Comdecision has to be taken

mittee.

jointly-

Special committee
having delegated
powers.

S5. The overall policies of

different Ministries and

Departments need close co-

ordination (i.e. in financial

planning and budget prepara-

Meetings of Ministers
or of officers given
authority by them
(i.e. heads of

departments).

GOVERNMENT OFFICERS

Type of Linking

Action

Comment

Time-consuming since
Ad Hoc joint project
every decision must
teams,

be referred back to

parent departments

and Ministries.

Important that

terms of reference

are clear and who

is to receive the

recommendations

are defined.

Usually the
more effective apfroach.

another department,

Important that the

terms of reference

of the task be

clearly prepared.

Regular meetings of
those having departmental leadership and
management responsibility.

Could be only a

talking shop unless

clearly directed

by policy and a

person.

Regular meetings of a
few key officials

from various depart

ments.

Essential.

Staff secondment be-

tween departments.

Good for career

development.

Staff in one department work on consulting assignments for

another.

Need for clear

brief and terms of

reference for each

assignment.

Potentially very
powerful means of

obtaining unity of

purpose and decision,

Consulting task
carried out by one

department for

tion).

6. Scarce professional staff

can be shared between depart-

ments.

Source:
Sunderland Council and McKinsey and Company, The Sunderland
Study: Tackling Urban Problems, HMSO, U.K.,
1973.

The project leader will know that the relationships of

administrative units are governed by forms of aut ority of

which two are universal and two culturally bound:

* Universal
-structural authority;
-sapiential authority;
experiential knowledge

the right to command

rooted in professional or

* Culturally bound

-moral

-personal

This is an area of potential conflict in the design of

management systems for the implementation of IIPUP projects.

Implementation may appear to rest necessarily in a command

This, however,

structure based upon professional knowledge.

may appear as a threat to those who already hold command by

virtue of authority gained by climbing a career ladder based

on age seniority.

d. Conflict Management

However skilled in project planning, conflicts will arise

that the project manager has to resolve. These tend to fall

into several categories:

"

Conflict over priorities within the team over work

elements and between the team and other project teams

also seeking support from busy or overloaded function

departments.

Very likely

* Conflict over administrative procedures.

where the project style of management develops along

lines very different from that of its host body -

the implementing agency.

Conflict of technical opinion and over technical

trade-offs.
These conflicts often circulate around

the issue of appropriate standards.

* Conflict over staffing and the use of manpower.

These often stem from the use in the project team of

professionals and technicians from operating or

functional departments.

3 Paterson, T.T., "A Problem-Solving Approach to Management

Countries"
in

Education
with
Reference
to
Developing
Management Development for Industrializing Countries, eds.

G.
and
Brodie,
M.B.,
Betriebswirtschaftlicher

Morello,
Verlag Dr. Th. Gabler GmbH. Wiesbaden, West Germany.

P A D C O

-105

relate to the

functional

more funds for their

the project budget.

These often
Conflict over cost.
estimates of support groups from
departments who say they require
contribution than are offered in

Everyone says they

Conflict over project scheduling.
have not enough time for their contribution. On the
other hand, the project sponsors are adamant that the
schedule not be changed.

0 Conflict among personalities which often stems from

("Will I be overtaken by this task

career worries.
"Should I not be back in

leader from department X?"

battles over

my operating department where the real

4

out?")
played
being
are
promotions
Conflict management is a particular challenge to project

leaders in which personal qualities of leadership have to be

Techniques include:

drawn upon.
* Compromising -- i.e. when dealing with heads of

departments.

* Smoothing-- i.e. when dealing with sponsors.

* Withdrawal
from clear.

--

when, for

the moment, what to do is far

* Forcing a decision -- when

has to be done.

it is only too clear what

* Confrontation -- the 5
working out of the differences

between 8dversaries.

Responsibiiity conflicts are most likely to be

common

between
the project manager himself and the heads of operating

Although it is possible to

or functional departments.
differentiate between their duties logically, it is not so

Honest differences will

easy to do in the run of daily life.

appear.

* The project manager directs what the project tasks

are, when they should start and finish and says how

much money is available.

4 Thampain, H.J.
and Wileman, D.C., "Conflict Management in

Project Life Cycles," Sloan Management Review, Summer 1975.

5 Blake, R.R. and Mouton, J.S., "The Management Grid," Gulf

Publishing, U.S.A., 1964.

P A D C-106

3.

The manager or head of a functional department

directs who will perform the

tasks, how the technical

work will be done .nd

says how much money is needed.

THE RELATIONSHIP OF IIPUP MANAGEMENT TO COMMUNITY GROUPS

at

The basis
for successful project implementation is set

stages

These
stages.

the project identification and design

of
all

should bring a project together which has the backing

This,
in fact, seldom happens. Rather,

interested parties.
gather
around a project that reflects

groups
and
organizations
a convergence of interests.
Not all hope for the same

outcome.
Key partners in project preparation are:

Representatives
of the target group.

The project preparation

team, which will probably

have a very wide display of value systems and

motivations among
its members and contributing

official spokesmen from other agencies.

Appreciating that there

are differences of interest and

concern is a starting point

for any IIPUP project.

next

Characterizing the
nature of these differences is the
be

to
is
project

IIPUP
necessary step if an implementable
born.

The most extreme differences are likely to be found

between the conceptual

world of the people in the community

who are to be helped and that of the organization(s) through

or values

which they are to be

offered help, whatever the form
chasm-like

of that organization.
This is because there are
and those

differences between :he ties

that bind organizations
that bind social grojps
in community.

They seek

Organizations deal in hard facts.

Getting

administrative, financial and

productive efficiency.
of

touchstone
the
a return in excess of investment is
People who live in
target conmmunities are not devoid

success.
a

of concern for such matters but

are more likely to inhabit
conceptual world shaped by religious faith, local community

Togetherness within
the

norms, family traditions and values.

place of

particular
community, household affairs,
the
expected to be

be
can
residence and the world of
the spirit
Naturally, what

dominant themes and to structure daily life.

not be seen

is seen to constitute progress

for such people may
makers

to be so by the criteria of officials and social policy

in organizations.

-
The view that
the chief administrators
-- the managers
people

poor
of
takes
of a
particular governmental organization

PADCO

-107

and their concerns will be colored by the kind of men they are

and by the kind of organization that they lead. The contrast

of the mechanistic and organic models of organization reveals

how wide a range there is (see Table 11-2).

The

characteristics of the organization that is basically

mechanistic have been noted.

This has a strong hierarchy of

authority in which communication is lopsided; messages flow

down the pyramid of administration but only with great

difficulty up and seldom laterally between departments.

Such

organizations are frequently encountered in less developed

countries.
This type of organization is not one in which

there is likely to be much comprehension of that other kind of

world in which people are bound in community through a faith

jointly shared, through custom and through having a particular

view of community space and place.

Table 11-5 outlines the

principal considerations for achieving greater conmunity

participation in the development process.

Cleavages between the conceptual worlds of the to-be

helped and the helpers may prove disastrous in single sector

project preparation work.

They can be fatal to an IIPUP

project if not well handled at the identification and design

stages.
To state the obvious:
a project has to be successful

in the eyes of those helped as well as in the eyes of those

helping. Each group can be expected to have quite distinctive

criteria for assessment.

Because of the two traditions -- that of working for the

improvement of a community and that of working with a

community so that it may improve its own levels of living -

we have inherited two languages of project discourse that flow

into, and sometimes fuse, in the writing about IIPUP.

"

A form of words that seeks to define social needs in

terms of user requirements -- an outgrowth of the

bureaucratic mode and somewhat mechanistic in

approach (see Checklist 11-3).

A form of words which brings together concepts of

religious intent and social and cultural practices

through which a community expresses its desires.

The difficulties of interpreting through the latter are

immense, but for a community based IIPUP project there is

little choice but to do so.

A national level IIPUP program

can be designed in the setting of humanitarian principle and

common sense management. However, at the local level,

humanity is replaced by people.

People are less easy to deal

with than humanity.

The attempt to so arrange things that the

people in community are free to say what they wish may be

unintentionally undermined by saying that they must arrange

their community representation along the dictates of a western

P A D C 0

-108

TABLE 11-5:

THE COMMUNITY AND THE DEVELOPMENT PROCESS IN AN

IIPUP PROJECT

PART I:

--

AN
ORGANIC APPROACH

DIMENSIONS

1. People/land/services

2. Goals

i. The community.

ii. The environment.

iii. Patterns of belief and activity.

i. Goals, status system of the community tod.y.

ii. Goals proposed for them by others (e.g.

better water supplies, a sanitary environ

ment, employment).

3. Survey Knowleqqe

i.

ii.
iii.

Factual knowledge of situation today: survey

direction is given by the development
perspective proposed.
Identify factors working against the achieve
menlt of externally conceived goals.
Identifv trends working for the realization
of goals.

4. Government

i. Identify levels of decision taking and kinds

of decisions taken at national, provincial/

regional and city level.

ii. Plan development through local representative

bodies.

iii. Recognize importance of communicating with

informal patterns of leadership in effected

communities.

5. Plan Authority

i. Plans unrelated to planning powers will not

be implemented.

ii. Establish what authority is responsible

for what.

iii. The issuing of controls entails the respon

sibility of issuing guidelines to the

community illustrating how requirements

can be met.

6. Process

i. Recognition of the area-in-change as being

an event that has to be guided.

ii. Accept that conflicts of goals and tensions

are inevitable and determine the procedure

for settling of differences.

iii. Plan to ease conflict situations before they

arise.

continued ...

-109

..........

TABLE 11-5 (continued)

7.

Physical Planning Study.

i.

ii.

iii.
iv.

8. Policy Formation and

Implementation

i.

ii.

iii.

9. Implementation Strategy

i.
ii.

iii.

10. Organization and Execution

i.
ii.
iii.

11. Evaluation

i.
ii.
iii.

The relationship of the area or district

plans to metropolitan, rural and national
plans.
Let area representatives make their plans
and/or contribute to appraising relevance
of yours.
Do not attempt plans without agreement on
standards.
Share a dream: something more than municipal
engineering is required -- people matter.

Conceive policy making, implementation and

phasing of completion as being all one
management activity. Do not declare policy
without any idea of "what it will look like
on the ground."
Marry local community goals to nationally
declared goals. This implies flexibility,
regional solutions to national problems.
Policy does not relate only to the future
but also to the past, past policies,
present efforts and present conditions.

The present day condition moves towards a

changed future.
Ideas of a future condition presses back
communicate this to
towards the present:
local community.
Each phase of the implementation will con
tain elements of (i) and (ii) in Section 9.

Primary decision making at national level.

Releases secondary decision makinc at the
level of concerned organizations.
Which work with local community representa
tives to help them where required to take
own decisions:
suggest alternatives
-review probable outcomes
--

Each stage executed modifies the next and

may change the development perspective.
Evaluate the evaluation of the local
community.
Evaluate according to project criteria es
tablished earlier as part of project design.

continued ....

-110

...........

TABLE 11-5 (continued)

12. People/land/services

PART II:

i. Have we helped people or are we just saying

so?

ii. Is the project, if suitably amended, the

basis for a continuing program?

iii. If not, why not?

DYNAMICS

1. Communication

i. Community to organizations.

ii. Organizations to community.

iii. Bear in mind the idea of change as being

an obstacle to change.

2. Developmental Philosophy

i. Opportunity offered to all who wish to

avail.

ii. Order amid change: change with order (make

this principle guide pace of development).

iii. Help people to find their own way into the

IIPUP developmental process.

3. Reciprocal Causation Spiral

4. Decision Making

Source:

i. Each element of the implemented project

precipitates new developmental possibilities.

ii. Ensure adequate social, legal and technical

framework available to allow possibilities

to develop into potential.

i. Leadership within local community.

ii. Leadership from outside community.

iii. Durit-g the IIPUP implementation process, the

frame of reference within which local com

munity takes decisions expands and changes

in character.

Oakley, David J., The Phenomenon of Architecture, Pergamon Press, Oxford

and New York, 1970.

-iii

type democracy -- dictates of which they may be quite

ignorant.

4.

PROJECT IMPLEMENTATION

Project implementation is the unifying theme for much

that has gone before, the content of which is summarized in

The following principles offer guidance to

Checklist II-1.
They are

the project manager in framing his approach.

amplified in part by Checklists 11-2 and 11-3.

In the design of management procedure, the existing

conflicts between implementing agencies should be

recognized and potential ones drawn forward for

Potential misunderstandings and

management action.
conflicts between the project approval criteria and

the expressed concerns of communities that are to be

helped should be foreseen and "bridges" built as

early as possible.

* Management decision should be centralized but as

democratic as possible (Table 11-4) given the

multiplicity of implementing agents in an IIPUP

program. Once policy is decided on any aspect, the

project manager should be trusted with the authority

to make implementing decisions -- and the status to

take decisions -- in order to reduce the inevitable

chain of "clearances" which accompany project

The centralizing of spending powers

operations.
within the operating lead agency is also a great aid

to efficiency and speedy implementation.

Adaptability and responsiveness are required of the

institutional arrangements to enable the management

organization to adapt to changing circumstance.

There should be a built-in process of review and

evaluation which can lead to a modification of policy

and procedure in the light of experience after

discussion within the coordinating committee to whom

the manager reports.

* The gap that may occur between policy formulation and

implementation needs to be reduced to a minimum and

this will be a central task of the coordinating

committee and the project manager in dialogue with

national policy level administrators on one hand and

people living in specific communities on the other.

In addition to dialogue, training is likely to be

required for all participants from the highest level

to effected individuals experiencing the impact of a

sanitation or health care program.

P A D C O

-112

"

Since competent personnel will be scarce, they should

be wisely used, receive encouragement and

recognition. Overloading the few competent in order

to increase the number of those "being carried" on

the project is unwise.

" Phasing of the project activities and their breaking

down into sub-projects interrelated within one

management frame of reference is a necessity of

implementation success.

It is in the nature of the IIPUP program that

training activities will form an important part of

the whole implementation strategy. Training will be

required for management concerned professionals and

administrators, as well as for comunity leadership

and the recipients of specific services.

"

Implementation should be accompanied by further

seminars and on-the-job training sequences.

Training

takes time and should be prograrmmed for in the

project time chart.

P A D C O

-113

CHECKLIST II-1:
1.

The Project Manager

--

--

To see that decisions are taken.

--

To establish and maintain effective control of the project.

To ensure that all plans and schedules are appropriate.
To ensure that team members carry through their planning
and control functions.

--

Project Control

--

---

--

--

--

--

3.

To be responsible for planning work, scheduling, monitoring

of progress, reporting and evaluation.
To perform strategic planning work to give direction to
those who have more detailed planning responsibilities.

--

--

2.

IIPUP IMPLEMENTATION, PLANNING AND CONTROL

Establish with team members objectives and goals at the

operational level.
Define the tasks that are to be performed.
Plan and schedule the tasks in relation to project need
and available manpower and material resources.
Record and measure progress and performance through an
orderly system.
Guide and correct team members and project contributors
from outside departments when progress drops behind the
executive plan.
Resolve schedule and resource availability conflicts and if
necessary raise them higher and higher in the organization
until they are resolved.
Have all the necessary information available.

The Project Identification Document

This should cover:

--

The scope of the project.

--

Objectives

" substantive -- how the poor are to be helped

* institutional -- technical, revenue earning, etc.

--

Management approach.
Contractual requirements

--

"
"
-------

agencies

operating units

Specification of physical work elements.

Target schedules.

Resources required and timing.

Listing of contributors to project.

Recognition of financial and cost flow problems.

Listing of particular constraints or risk issues.

Source: Derived in part from Archibald, R.D., Managing High Tech

nology Programs and Projects, Wiley, 1976.

P A D C 0

-115

CHECKLIST 11-2: GUIDELINES FOR THE PROJECT MANAGER WHEN PLANNING THE

IMPLEMENTATION OF A COMMUNITY BASED IIPUP

1.

Detailed Service Planning (within the framework established by

initial program and project planning and tentative budgeting;

see Checklist II-1).

(a) This includes:

detailed analysis of user needs, capacities

to participate (and pay if service charges are to be levied),

users' behavioral characteristics (the types of service accep

table, reactions in supplier-user relationships, willingness

and ability to participate in service operations and main

tenance, the types of payment system to which users are likely

to be responsive, etc.).

--

--

--

It is important to consult directly with leaders of the

community and user groups and observe their present use
of existing services.
Realistic options for immediate services and future ser
vice development should be discussed with users, including
identification of direct user costs and other implications.
Opportunities should be created for exploring the possi
bility of community participation in service delivery and
system maintenance.

(b) It is important to achieve full user involvement in the

service. There should be detailed planning of service install

ation operations, maintenance and evaluation and of the coordi
nation needed among related services (e.g. water supply,

sanitation and basic education for health and sanitation, job

counselling coordinated with vocational training, etc.).

-- IIPUP service planning should include consultation with

user groups, but it probably is unrealistic to expect them

to have the time or capacity to participate substantially

in detailed planning. Potential users will reveal their

intimate concerns based upon moral or religious practices

and this is important knowledge for the IIPUP implementa

tion team.

-The services that are to be provided by project associated

operating departments should be identified and initial

installation coordinated. The types of coordination

which are in the mutual interests of the organizations

involved should be identified, ratler than attempting all

out comprehensive coordination (e.g. water supply,

drainage, sanitation, street lighting, domestic elec

tricity and street paving and maintenance).

-Identify employment generation opportunities for groups

in the tr'munity as a factor in selecting among alterna
tive methods of implementation.
-Schedule implementation realistically in relation to
capacities of both implementing agencies and users.
--
Do explicit contingency planning (e.g. identifying pri
orities if funds are less than expected, identifying
corrective action if user maintenance fails).
continued......

P A D C 0

-117

CHECKLIST 11-2 (continued)

(c)

Detailed financial planning and budgeting.

--

This should be undertaken in collaboration with the pro

posed implementing agencies and departments; should help
to achieve coordination.

--

Budgets should be structured

--

--
--
--

--

(d)
--

--

--

o to show how budget items for individual components are

related to one another as well as to budget aggregates.

* to identify the budget for each participating agency

explicitly.

* to identify priorities in case less than the full

budget is made available.
Off-site project expenditures should be included as well
as necessary expenditures in related programs and projects.

Identify cash flow.

Identify funding sources.

Identify expenditures by community target groups, as well

as by project component.

Identify cost recovery mechanisms with specific institu

tional responsibilities.

Identify explicit and implicit subsidies by community

group and by project component.
Detailed annual planning of staff preparation and training.

Differentiate existing and new staff and identify changes

in status, salaries, etc. for existing staff.
Identify expected sources of new staff and methods for
recruitment.
Identify detailed schedule for staff appointments and
training and institutional responsibilities for appoint
ments and training.

(e) Detailed planning of service promotion and user education

(see Checklist 11-3).

2.

Contracting for Service Installation

(a) Use explicit and public methods for selection of any

private contractors used.

(b) Consider employment generation and other impacts on target

groups as a factor in selecting contractors.

(c) Encourage target group participation, under contract, for

installation.

(d)

Establish penalties for delays, non-performance.

(e)

Allow reasonable market rates of return to contractors.

(f) Get binding contracts/agreements with participating public

agencies responsible for installation.

continued

P A

Co

-118

CHECKLIST 11-2 (continued)

(g) Organize contracts in functionally related sub-projects

under single management groups to facilitate coordination and

pinpoint responsibility.

(h) Establish a centralized pool of critical materials and

plan and maintain inventories systematically to minimize bottle

necks in implementation.

(i) Monitor implementation systematically and circulate infor

mation on status, shortfalls, etc. regularly to participating

contractors and contributing departments and agencies.

3.

Personnel Management and Development

(a)
--------

Provide for
Selection.
Training.
Supervision.
Counselling.
Evaluation.

Personnel services (credit, social activities, etc.).

Dismissal, with due process, but simple to achieve.

(b) Provide opportunities for members of labor force in com

munity target groups to be system personnel wherever possible.

Involve them as employees in locations other than their own to

avoid conflict of interest.

4.

Information Systems Management

(a) Ensure establishment of a rudimentary but sound informa

tion system by each contributing agency, together with a

centralized IIPUP information system to support planning and

management of service provision and initial operation.

(b) Establish and maintain information for policy formulation,

planning, service operations and maintenance, evaluation,

service promotion, user education and background analysis.

(c) Keep information system modest; focus on most urgent

information-user needs and operate cost effectively.

(d) Include for the promotion of information services and

training for both users and suppliers of information.

PADCO

-119

CHECKLIST 11-3: ON WORKING WITH USER GROUPS IN

IIPUP PROJECT

A COMMUNITY BASED

1. Service Promotion

(a) Describe and promote each service in the IIPUP with system
atic follow-up based on evaluation of initial responses, not

just one-shot promotion.

(b) Involve contributing departments in promotion of their own

service fields.

(c) Encourage leaders in community target groups to assist

in promotion.

(d) Promote discrete sub-projects with the specific target

groups for which they are most relevant.

(e)

Identify specific responsibilities for promotion

explicitly.

(f) Use promotion as a device for identifying opportunities

for community and user group participation in service delivery,

maintenance and evaluation.

(g) Schedule IIPUP implementation to get service operations

functioning successfully as soon as possible to provide con

crete evidence for further community promotion.

2. Community Education

(a) Appraise the education needs and identify those agencies

who could assist with training.

(b) Implement public education programs ahead of and concurrent

with the provision of services.

3. Establishment of Contracts/Agreements with User Groups for

Service Delivery

(a) Commitments must be realistic in relation to user capaci

ties (i.e. provision of labor, skills or products such as

handmade soil or cement blocks).

(b) Ensure adequate communication and understanding of service

benefits and user rights and obligations.

(c) Provide follow-up on-site counselling to assist users to

get full advantage of services, fulfill their obligations and

avoid defaults.

4.

Operation of Services and Coordination of Related Services

(a) Assign responsibility and power for coordination of

functionally related services to single entities, with central

coordination by the principal organization responsible for the

IIPUP program.

continued .......

P A D C O

-121

CHECKLIST 11-3 (continued)

(b) Centralize a pool of critical supplies and maintain

inventory systematically to minimize bottlenecks in operations

and facilitate coordination -- do this for each of the con

tributing departments' services wherever possible.

5.

Collection of User Charges

(a) Make frequency of collection and the collection methods

compatible with users' ability to pay and their behavioral

characteristics.

(b)

Impose significant penalties for failure to pay.

(c) Use private sector collection agencies rather than public

authorities.

(d) Involve leadership of user groups or cooperatives in

collection procedures wherever possible.

6.

Handling of User Grievances

(a) Establish explicit and well-publicized mechanisms of

handling grievances.

(b) Undertake regular field checks of user satisfaction and

service problems, in addition to responding to user-initiated

grievances.

(c)

Respond promptly to grievances.

(d) Make specific operating units of the IIPUP responsible for

responding to grievances in their own service fields, with

independent and regular evaluation of their responsiveness.

(e) Provide simple legal procedures for appeals against

decisions on grievances.

7.

Imposition of Sanctions for User Defaults

(a) Ensure sanctions explicit and well-publicized when ser

vices are initiated.

(b) Ensure sanctions politically feasible, legal and equitable,

with due process, but also simple to apply.

(c) Make institutional responsibilities for application of

sanctions explicit.

(d)

8.

Apply sanctions rigorously.

System Maintenance

(a) Establish clear institutional responsibilities for

maintenance.

(b)

Involve user groups in maintenance as fully as possible.

continued .......

P A D CO

-122

CHECKLIST 11-3 (continued)

(c) Have responsible entities undertake regular maintenance

checks with follow-up.

(d) Include centralized independent checking of system opera

tions.

9.

Regular Service Evaluation and Follow-up

(a)
--

Provide for
internal evaluation of service delivery systems.

--

evaluation of user participation.

--

evaluation of effectiveness of assistance offered by

IIPUP.

(b)

Provide for direct user participation in evaluation.

(c) Make institutional responsibilities for evaluation and

follow-up explicit. Have evaluation of services undertaken

by the responsible operating units plus an independent

evaluation.

P A D C 0

-123

PART III

TRAINING

P A D CO

-125

A.

1.

THE TRAINING ONTEXT

INTRODUCTION

If an organization
is to be aided to make changes, there

will be the need

for long-term relationships between
the

organization and its "change agents"

in addition to short-term

intensive functional and reorganization advice.

The
change

agents
will have to learn as well.
Change management requires

extended time and continued contact between the

learners
and

the teachers.
Role reversal frequently takes place.

The teachers and the

taught will learn together the

particular effects of
uniting universal management expertise

with a particular organization in a particular environment

favoring the
following particular objectives:

* There will be a need

to understand and reconcile

the

conflicts between management techniques developed

in

the western world and

the cultural values of a

particular nation and

the form of the administrative

power elite.

* This value/management conflict will become more

apparent as the attempt

to transfer management

techniques to a developing organization proceeds.

* Management patterns will

need to be more responsive

to environment and to individuals (users)

than

previously, as well
as to internalized norms

(cultural, managerial or professional).

* There will have to be understanding of the boomerang

effect
of policy change.
The wide environment of the

organization will be affected and react:

the inner

organization of the corporation or authority will

sense changes in the power situation and promotion

status
and will react.
Old customers of the

authority will bemoan the changes (and start

counter
reformation pressure groups)
and new customers will

queue at the door demanding service.

Many administrative systems must

change to realize

development goals.
Such administrative reorientations

do not

come easily in nations where the administrative tradition

is

basically regulatory.

Whatever organization is devised

to serve an IIPUP

project, it can be assumed

that new organizational entities

will be created within existing or new bodies.

Unless
special

P A D C 0

-127

consideration is given
to the career prospects of officer

grade levels, the possibility of securing appropriate

qualified personnel for the organization may be limited.

Urban development authorities, unless granted special

political and administrative recognition,

are often unable to

compete for suitable talent with the private sector in their

own
country or with newly oil-rich states paying high rates.

IIPUP programs will need personnel who can expect

reasonably
secure tepure with the project.
To lose trained

and experienced personoel too frequently, especially during

the formative years of

the project, is particularly harmful.

A major intent behind a training program should be the

building of institutional competence. This cannot

happen if

the organization
is plagued by frequent transfers.

A factor which can profoundly influence the success of

training is the level at which persons

are recruited for posts

and the standards of selection used.

IIPUP management must

initially define the

kinds of skills which will be required
to

specify the qualifications and performance standards required

of each post.
Training cannot overcome
the basic skill and

attitudinal deficiencies which may result

from recruiting

persons with inappropriate backgrounds.

Training can help

with these deficiencies, but it is not

a substitute for sound

recruitment and placement procedures.

The initiation
chance to implement
change the delivery
appropriate changes
Training will be an
2.

of a national IIPUP program offers

a

reforms.
In fact, it may be
impossible to

of services to the urban poor without

in administration and management.

important agent in this change.

TRAINING PURPOSES AND TASKS

Training is an
integral part of the development of the

IIPUP organization.
It must support the project, respond to

the manpower or skill needs

of the organization at all levels

and be oriented to prepare persons

to assume necessary roles

within the IIDUP structure.

The training of personnel will

need to be conmenced before or concurrent with the setting up

of the IIPUP urganization.

Training design and content should

be derived from an

analysis of organizational needs and

skill requirements.

Figure 11-i illustrates the linkages among project goals,

organizational needs and training needs.

An IIPUP

organization must have clear objectives, program targets and

personnel and skill requirements prior to defining training

programs.

P A D C O

-128

FIG. III-1:

THE TRAINING CYCLE

Project Coals/Objectives

Organizational Structures --

Objectives and Functions of

Organizational Units

Training Needs -- Training

Plans and Programs

Personnel Requirements --

Duties and Responsibilities

Skill Requirements -- Job

Qualifications

P A D Co

-129

In one major authority in South Asia, the

indiscriminate

assignment of personnel to training programs created

the

illusion that staff competence was being developed.

Examination of performance showed

little improvement
in

organizational effectiveness.
In fact,
the lack of a

systematic scheme for

utilizing trained officers
was
the main

factor limiting the impact of training. Unit heads

did not

analyze the skill deficits of their departments; they

were

merely responding Zo training opportunities proposed

by

external training organizations.

In considering an IIPUP project,

it is possible to

specify a range of purposes to structure training programs.

(i) Establishing project legitimacy.

Training is a

device for securing recognition for the project and

of the

needed management style.

(ii) Developing individual

skills.
Certain

technical/operational competencies will

be common to
all

projects
ir-luding accounting and financial management,
staff

supervision, survey techniques and data analysis.

There
will

also be a range of professional competencies reflecting

the

service sectors
in the project. An inventory of required

skills based
on functions of the IIPUP organization
should be

made and corresponding training needs

identified and
served.

(iii)
Developing policy
consensus.
Joint professional

dialogue and discussion

can assist the project team
to clarify

its goals and achieve a consensus.

Such
team training

sessions will '.e particularly crucial

in projects where

various sectoral activities support

a common !IPUP objective.

(iv)
Improving organizational communication. The

exchange of information
among staff members is essential
to

improve the flow of information within the organization

or to

develop linkages among key operating units.

(v) Developing organizational responsiveness.

Organizational renewal
i likely to be a continuing

requirement of IIPUP projects.

There is always the
necessity

to review progress, to amend policies

and procedures
to bring

the operations
into line with project objectives.

(vi)
Improving management skills.
Specific operational

management skills
are included under other
functional
areas of

training (i.e.
planning, scheduling, monitoring, finance
and

budgeting). The
focus here should be on the behavioral
skills

of managers --
leadership, staff motivation, coordination
and

negotiations with
contributing departments.
Management

training can help to cultivate the necessary abilities.

P A D C 0

-130

Community development training. This can take

(vii)
various forms. One might assist leaders of the target groups

to develop the ability to negotiate for change. Another form

might be assisting with self-help organization.

3.

LIMITATIONS OF HIGHER EDUCATION

The limitations of formal education offered

administrators, planners, engineers, architects and

accountants will affect the design of training programs for

In reviewing the overall manpower and

IIPUP projects.
human settlement work, the Habitat

for
needs
training
unanimously concluded that:

subject
the
Committee on
. . . it does not appear that current systems, including

course structures and methodologies offered in

universities, are adequate to the task (of preparing

Rarely does
one

professionals in human settlement work).

find an emphasis on multidisciplinary course work in
projects or on projects or on seminars stressing the
integral unity of environmental concerns. . . . In short,
few programs provide students with a knowledge of the

contemporary reality of human settlements."

The general inadequacy of formal university
the kinds of planning, management an6 operational
needed in IIPUP projects presents a challenge to
Training programs will need
of IIPUP personnel.
compensate.

training to

skills

the training
to

1
Blair, Thomas L., "Training for Human Settlement

Development," Habitat International, Vol. 4, No. 1/2,

P A D C 0

-131

p. 13.

B.

ESTABLISHING THE PARAMETERS FOR IIPUP

RELATED TRAINING

Time and resource availability limit the amount

of

training that
can be adopted.
The following points should be

considered in establishing policy for training.

1.

PRIORITIES

IIPUP management must decide which

training needs
are

most urgent.
Certain criteria should govern these choices:

* The seriousness of the skill deficit of the

group

being considered for training.

Some persons may
have

sufficient knowledge to commence work

on the project

without training.
On the other hand, the training
of

managers in inter-departmental planning may be

more

urgent because understanding the integrated nature

of

the IIPUP project is fundamental.

The availability of suitable

conduct the training.

training resources
to

* The scheduling of activities in the

project.

Depending on how sector contributions are phased,

the

training of personnel associated with these

contributions could be
phased accordingly.
The

project itself may provide part of the setting

for

training.

2.

Level of authority.
It may be necessary to focus on

senior policy making officers before proceeding

to

train other executive and

technical personnel.
The

outcome of training at the policy making level

may

provide the context

in which the training of other

persons can occur.

DEVELOPING A TRAINING PLAN

This plan should list resources, numbers and kinds

of

persons to be trained, the scheduling of training

and
the

methods and techniques to be employed.

The plan
should say

who is responsible.
It should be coordinated with plans for

staffing and project sequencing. Wherever possible

the

training plan should be

integrated
into some wider
training

program of government
so that project personnel
in other

programs can share in and contribute to the training

experience.

P A D C 0

-133

3.

DETERMINING RESOURCES

The many training needs which have

to be tended
to

obviously cannot be managed and

implemented exclusively
by the

project management.

* Where projects are of sufficient size, a training

officer should be designated. This person should

be

at a senior level with a background in training.

Although technical expertise in the

fields of urban

planning and community development would be desirable

attributes, other important skills needed

are in

management training and organizational development.

The typical duties of the training director

are
given

in Checklist 111-1.

* An inventory of relevant
training resources
in the

host country should be made.

Universities, technical
institutes, government

training centers
and other research and training

bodies should be solicited for their ability to

meet

training needs.

Depending on the extent

of community development
or

human settlement projects being carried out

in the

country, a suitable institution could be found

to

undertake training that would cut

across

organizational lines and serve human

service/settlement specialists and persons

in related

or allied programs.
The work being done in Indian

district administration, especially as

it pertains
to

agricultural development, by
the Indian Institute
of

Management, Ahmedabad,
is an example of such a

national organization.
This arrangement permits a

sharing of experiences among professionals in

a

common work area.

Such training tends to mitigate

organizational parochialism.

If arrangements can be established with suitable

research or training organizations, efforts should

be

made to develop case

materials and other empirically

based exercises which support various

areas of
urban

development
and human services planning.

4.

PREPARING SUPERVISORS AS TRAINERS

All training cannot be undertaken in structured

classroom

situations. An alternative, although not

at the
exclusion of

PA DC 0

-134

all

formal

training, is to give emphasis

to on-the-job

training.
There are two essential conditions:

0
Experienced, senior
personnel must be available.

* On-the-job training must involve more

than exposure

to work.
The activities of staff must be directed,

observed and evaluated by more experienced personnel.

5.

TRAINING OF TRAINERS

Any plan to improve the training of human services

personnel must also consider means of increasing the number of

training personnel for

IIPUP and similar human settlement

programs.

The following
are some possible sources of recruitment:

Directors and personnel of training institutions.

Staff and instructors from universities, particularly

in the physical planning and social science fields.

* Middle and senior managers in private and public

industrial, commercial and agricultural enterprises.

0 Government administrators and

technicians.

The training needs of such persons will be one or all of

the following:

* Planning and management of

settlement projects.

intersectoral human

Interpersonal,
human relations and communications

skills.

0 Methods and techniques of training, training needs

assessment and training evaluation skills.

Training programs for trainers should see that

among these skills is developed.

6.

some balance

DETERMINING THE SOPE OF TRAINING PROGRAMS

Given the frequent serious skilled manpower deficits,

training should be given priority in some situations.

One

strategy which might be effective would be to begin an IIPUP

program with a demonstration training project.

It would serve

as a pilot effort in training persons for project

P A D C O

-135

responsibility.
The important consideration

is that the pilot

project be placed within

a training context.

In accepting this
approach, project organizers
would have

to allow sufficient time for both

structured
and
informal

training and to assume a longer period

of
implementation

because of
the training obligations incurred.

The fact that a

project is in operation would satisfy

those who were
concerned

about
deferring the project operations
until training needs

were satisfied.
It would provide a practical
context in which

training could occur.

P A D CO

-136

C.

TRAINING OVERVIEWS

For projects in an
IIPUP program, training forms a

necessary component, but training is not the focus of the

project.
The proportion of the overall budget available for

training will
never be large enough.
It is thus important

that value is obtained for the money that is spent.

It is

important that the designers of the project identify the key

training needs
from among the vcry wide range of training that

might be considered desirable.

Key persons in implementation

who cannot be left out will

be the chairperson of the

Executive Committee, the professional engineers (low cost

sanitation measures,
for example), the community development

field workers and a representative number of the local

cormmunity leaders.

On the supply side, in some project organizations,

accounting and bookkeeping may be poorly staffed.

In
others,

the collection of rents and mortgage payments may be

unsatisfactorily organized. Where there are

a number of

projects of a like kind, it may be wiser to

focus an

interproject group training budget upon

the training of

trainers.
Such a concept would need
to be followed through

well ahead of the implementation of any specific project

in

the IIPUP sequence so that the new trainers could apply

themselves in part to the organization and tuition of on-the

job training sequences, coupled with seminars held in parallel

with project implementation timing.

Where an IIPUP program is

a nationally based effort, the training of trainers is an

economical approach to the training task.

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D.

DEFINING SPECIFIC TRAINING PROGRAMS

Training may be needed at the:

0
Policy level.

* Implementation

level

* Delivery level

for specific operational units.

* Delivery level

for community development.

* User

level

for management and planning.

for community leadership.

* Community level for corimunity workers and

paraprofessionals.

The nature of each type of training is described in the

following paragraphs and summarized in the checklists which

accompany this chapter.

1.

POLICY LEVEL TRAINING

a. Objectives

It is especially essential to develop a high level policy

commitment for IIPUP.

Policy level training is an effective

way for IIPUP programs to overcu.ne the disadvantages of their

multi-sectoral and multi-agency orientation.

Such training

should:

0 Develop an understanding of the relative advantages

and difficulties of integrated projects compared to

single service delivery.

* Involve directors of contributing agencies in IIPUP

issues such as the selection of target groups and the

suitable project mix for serving those groups.

* Develop understanding of IIPUP as an experimental

program capable of being expanded and replicated if

results warrant.

0
Establish regular channels of communication among key

policy makers and between policy makers and field

operations.

* Develop a climate of cooperation that will be

conducive to information exchange and lead to

cooperative problem solving initiatives.

P A D C 0
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b. Target Audience

Policy level

training should

involve:

a Senior staff from program agencies (e.g. health,

education, agriculture, social welfare and human

resources and water).

* Senior staff from key regulatory agencies whose

policies may affect project implementation (e.g.

civil service commission).

* Senior staff from key financial

monitoring agencies.

* Senior staff

control and

from key planning agencies.

c. Training Methodology

Seminars, conferences or workshops should be organized to

permit participants to contribute to their own training.

Studies, reports and reviews should be prepared on the

types of projects for servicing the urban poor, possible

methods of coordination, financial implications and criteria

for monitoring and evaluation.

Task groups within the

training group should conduct intensive exploration of key

issues and report their findings and recommendations to the

larger group.

Field trips to prospective project sites can be arranged

with opportunities for consultation with community

representatives.

d. Training Resources

The principle trainers will be agency, department or

ministerial representatives.
Early courses in an IIPUP

program could benefit from technical assistance. The national

planning authority or some similar organization which has

oversight for development programs could host the training.

An objective, external facilitator would be useful to

lead the training. This person might be drawn from outside

the government, preferably from a national training

institution, a university or a management training center.

Where indigenous expertise is lacking, foreign expertise will

need to be engaged.

P A D C o

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e. Scheduling and Duration of Training

One week is usually the minimum amount of time for this

type of training exercise. The training should be located

where participants can give undivided attention to the

agenda. Considerable lead time for preparing reports and

discussion materials should be provided.

2.

IMPLEMENTATION LEVEL TRAINING (MANAGEMENT AND PLANNING)

a. Objectives

Training at the implementing level should include some

elements of policy training such as developing an

understanding of the TIPUP approach, but it should be more

specifically geared to setting up an operation and making it

work.

The objectives of training at this

level

include:

* Understanding the target population, the various

constituencies within the target community and

relative differences of their respective needs (i.e.

to develop an ability to discriminate among levels

and kinds of needs).

* Understanding the importance of the various sectors

in the project and appropriate areas of interaction

and collaboration among them.

* Understanding the
groups.

interdependent needs of urban poor

0 Appreciaring the management context of multi-sectoral

projects and appreciating the potential areas of

cooperation and conflict.

0 Developing the ability to apply management principles

applicable to IIPUP projects:
-flexibility of approach
-- delegation and decentralization of decision making
-feedback
-- accountability (in terms of delivering services)
-- staff supervision
-responsiveness to user groups of the community
-- public relations and promotion
b. Target Audience

The participants should

include:

P A D C 0

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* Project managers.

* Other managers of specialists (i.e. housing, health,

education, executive engineers of various public

authorities).

* Representatives from state and municipal authorities

who may be immediately external to the project but

who have some governance over project activity

(planning comnission, budget officers, licensing

agencies, zoning comrission, public utilities and

public works).

c. Training Resources

If institutes of management and social welfare exist

within the host country, the organization of such training

might be carried out by a collaborative effort between the

two.

In a country where several projects are planned, a panel

of resource persons could be assembled from which trainers

would be drawn.
A common scheme for organizing and conducting

the training, including the preparation of suitable training

materials, should be prepared.

d. Training Methodology

The most effective training methodology is a combination

of theoretical and applied study. Substantial emphasis should

be given to case studies.

These could be derived from

existing projects or from raw data on the target community

being served by the IIPUP project.

e. Scheduling and Duration

The training could be combined with the ongoing work

responsibilities of the officers. A training cycle of one to

two years might be desirable. At various intervals following

the orientation training, more formal sessions could be

arranged, the purpose of which would be to analyze field

experience and to develop approaches to problems.

3.

DELIVERY LEVEL TRAINING (SPECIFIC OPERATIONAL UNITS)

a. Objectives and Purposes

Previous work of officers will have been principally

administrative. Past responsibilities are more likely to have

been oriented toward compliance with procedures than towards

service to target groups.

The underlying objective of this

P A D C 0

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training should be to improve the ability of trainees to

relate their professional knowledge to the needs of the

community.

Training, therefore, should strive to:

Improve understanding of the needs met by each sector

and the relationships to other service needs.

* Gain an understanding of the family unit or household

as the context for providing a service.

* Develop the ability to plan for services on the basis

of user needs rather than preconceived objectives and

to plan services in conjunction with related

programs.

* Develop an understanding of critical points of

intersection among programs (for example, to

distinguish when a health need should be handled only

in conjunction with sanitation improvements.)

b. Target Audience

The training audience would consist of:

0 JKrimary sector specialists.

* Secondary sector specialists.

* Project managers.

* Social planners.

* Other social managers with generalist backgrounds.

c. Training Resources

A principal resource could be the target group itself or,

more specifically, a particular family within the target

Families might be "adopted" by trainees with the

group.
intention that, through observation and diagnosis, the

concepts cited above would be understood and diagnostic and

Such an approach

problem solving skills would be developed.

to training can only be successful if the director of training

has established a close rapport with community leaders.

P A DC O

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4.

DELIVERY LEVEL TRAINING (COMMUNITY DEVELOPMENT)

a. Objectives

This training is for the intermediaries who translate the

sentiments of citizens to project administrators and likewise

interpret the project and its services to the target

population.
They will have to dispel misconceptions and

apprehensions about the service, convince community residents

to participate and aid in the formulation of community

organizations.
Their training should enable them to perform

the following tasks:

* Preparing the community for

specific service inputs.

* Securing community involvement

priorities.

* Designing service
community needs

inputs

in determining service

in ways which conform to

and capacity to absorb.

Ensuring effective and proper utilization of service.

Encouraging community self help.

* Stimulating the community to extend service benefits

into other cormunity-initiated projects.

* Assisting the community to develop leadership and

organizational resources.

* Assisting the community to adapt to changes required

with new or modified forms of service.

* Assisting the community to handle conflict situations

among competing groups or community interest.

b. Target Audience

All persons on the project team who have significant

contact with the target groups comprise the target audience.

c. Training Resources

This training revolves around communication and

motivational skills.
There is no set format for such

training.

P A D C 0

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d. Training Methodology

The laboratory approach is desirable. This permits

individua.s to experiment with various behavioral styles in

order to test personal approaches to other persons and

situations and to improve skills in handling different

situations.

e. Scheduling and Duration

The training of community development personnel should be

continuous.
Changing circumstances during the evolution of a

project introduces new elements in the interaction between the

service providers and the users.

Training interludes of a

week to ten days might be organized twice yearly.

5.

USER LEVEL TRAINING (COMMUNITY LEADERSHIP)

a. Objectives

The helping of indigenous leadership to more effectively

represent the community and motivate residents to use the

services provided through IIPUP is a principal objective of

training at the community level.

The objectives of such

training are to:

* Develop an understanding with local

objectives of the project.

leaders of the

* Assist indigenous leaders to identify the problems of

target groups and to identify a range of needs to be

satisfied.

0 Develop a sense of responsibility for

community welfare.

improving

* Help local leaders to see that their own stature as

leaders will be enhanced by assisting in settlement

improvement programs.

* Assist local leaders to understand organization and

plavning aspects of conmunity improvement.

b. Target Audience

Community leadership may be either formal or informal.

Formal leaders include religious leaders, teachers or persons

holding office on councils or voluntary agencies.

Other

sources of leadership will be less obvious.

Their leadership

skills are more achieved than ascribed. An initial concern of

any community leadership program will be to search out

P A D C O

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"natural" leaders who are willing to assert

advancement of their fellow residents.

themselves for the

Leadership should also be drawn from sectors where

For example,

project activity is likely to be focused.

midwives could be decisive agents in promoting health and

nutrition programs.

Caste and region of origin may also play a role in

To the extent

deciding upon the leaders to be cultivated.

possible, leadership should express the diversity of the

commun ity.

Some combination of the following criteria is proposed

selecting candidates for leadership training:

in

* Already serving as leader in community by virtue of

administrative, comercial, economic, religious or

political role.

0 Represents significant constituency which the project

proposes to serve.

* Has demonstrated ability to organize and motivate

members of the community to action.

* Has good

linkages with outside agencies.

* Has long-standing association with the community and

thus is generally knowledgeable about its problems

and needs.

* Has good communication with residents of target area.

6.

USER LEVEL TRAINING (COMMUNITY WORKERS/PARAPROFESSIONALS)

a. Objectives

There are generally two roles for

support of IIPUP projects:

community residents

* As local organizers and facilitators

components.

* As paraprofessionals

in

of project

in service dispensing roles.

The first role is an extension of the community

The major

development function of project personnel.

distinction, however, is the greater extent of loyalty to the

They are to be

community by the indigenous community workers.

viewed essentially as agents and spokespersons of the

P A D C O

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community and can be expected to take an advocacy position.

Their training needs are essentially the same as those

identified under the leadership and community development

training to be provided to user groups.

Local paraprofessionals can improve the effectiveness of

service delivery and provide relevant feedback to project

Paraprofessionals must be occasionally supported in

managers.
their work by professional guidance. The most important

objectives to be met in the training of indigenous community

workers or paraprofessionals are:

* Developing a sufficient level of technical

carry out service activities.

skill to

* Assisting community workers to communicate service

benefits and motivate user involvement in the

project.

* Assisting the conmmunity to work cooperatively on

problem solving.

0 Assisting community workers to organize residents and

self help projects.

b. Target Audience

The target audience is the community based

paraprofessionals. Community leaders could be involved in the

non-technical elements of the training.

c. Training Resources

The same resources required for community leadership and

community development training apply to the training of

paraprofessionals.

d. Training Methodology

Role playing exercises and related participatory training

devices should supplement a human relations type training.

The paraprofessional aspect of the training should be provided

largely through demonstration projects and simple how-to-do-it

manuals.

P A D C O

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e.

Scheduling and Duration

The training should take the form of induction training

followed by in-service training, the latter designed to

refurbish skills on the basis of experience. Programs of a

month to six weeks have generally been sufficient to equip

most paraprofessionals.
Periodic in-service training and

consultation should be arranged.

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CHECKLIST III-1:

DUTIES OF AN IIPUP DIRECTOR OF TRAINING

1. To survey the wider training scene in the nation to see if IIPUP

training can be undertaken in part with the training of other

technicians and community workers.

2. To work with other trainers and training institutions to

establish common core training programs where possible.

3. To prepare phasing plans for training of all levels of officers

and community members to illustrate the interrelated sequence

of their training needs and time that it is estimated it will

cost.

4. To prepare comparative estimates of alternative ways of imple

menting training nationally and locally, at home and overseas.

5. To develop annual training plans for the project personnel.

6. To coordinate with managers and supervisors within the organiza

tion concerning the training needs of staff.

7. To develoe
internal training programs where such are warranted

and contact and prepare resource persons who would be needed

for such training programs.

8. To coordinate organizations whose services as trainers would be

needed to meet the training needs of the project.

9. To prepare annual training budgets in consultation with the

management of the project.

10. To designate and approve persons being sent for training.

11. To monitor and evaluate training and facilitate the integration

of training experiences with management and operational respon

sibilities.

P A D C O

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CHECKLIST 111-2:
POLICY LEVEL TRAINING

1.

Objectives

(a)

To develop a high level policy commitment to IIPUP.

(b)

To develop understanding of advantages and limitations or

integrated projects.

(c) To identify difficulties in implementing IIPUP projects

and produce possible remedies to anticipated problems.

(d)

To adopt possibility of project being replicated and

expanded.

(e)

To establish communication channels among policy makers

and between central agencies and field operations.

(f) To develop cooperative attitude among participating

ministries and departments.

2.

Target Audience

(a)

Senior personnel from substantive ministries.

(b)

Senior personnel from regulatory agencies.

(c)
Senior personnel from financial control and monitoring

agencies.

(d)
3.

4.

Senior personnel from planning agencies.

Methodology

(a)

Seminars.

(b)

Workshops.

(c)

Conferences.

(d)

Task force committees.

(e)

Field obrervation and analysis.

Resources

(a)

Agency personnel

(b)

Management or public administration expert.

(c)

Human relations specialist.

(participants).

5.

Duration -- approximately one (1) week.

6.

Timing -- at time that project is adopted.

P A D C 0

CHECKLIST 111-3:

1.

IMPLEMENTATION LEVEL TRAINING (MANAGEMENT AND PLANNING)

Objectives

(a)

Understanding environment of target site population.

(b) Develop inter-- or trans-departmental approach to services

provision.

(c) Ability to relate specific services to interdependent

needs of target group.

(d) Understanding management tools and procedures for admin

istering coordinated, integrated projects.

(e) Ability to apply suitable management principles to IIPUP

projects.

2.

Target Audience

(a)

Project manager.

(b)

Operating department managers and specialists.

(c) Representatives from other authorities able to affect

project.

3.

4.

Resources

(a)

Community development specialists.

(b)

Management specialists.

(c)

Management departments or institutes.

(d)

Social welfare and community development institutes.

(e)

Panel of resources; in lieu of suitable institute support.

Methodology

(a)

Lectures/discussions (management issues).

(b)

Case studies/management exercises.

(c) Controlled training demonstration project (applied).

(d)

Consultants.

(e) Staggered work/training program -- work experience

training.

5.

Duration -- staggered training/work cycle of one (1) year.

6.

Timing

(a)

At project inception stage -- orientation.

(b) Intervals during first and second year of project

-in-service training.

P A D CO

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CHECKLIST 111-4:
DELIVERY LEVEL TRAINING (SPECIFIC OPERATIONAL

UNITS)

1.

Objectives

(a) Relate operating specialty to other related service needs

of users.

(b)

Understand households as critical target of services.

(c)

Plan services on basis of user needs.

(d)

Understand points of intersection among service components.

(e) Ability to relate user needs to other relevant services

and programs.

2.

3.

Target Audience

(a)

Sector specialists (primary).

(b)

Sector specialists (secondary).

(c)

Iiuman service/community development generalists.

(d)

Project manager.

(e)

Project planners.

(f)

Engineers and other professionals.

Training Resources

(a)

Target site families.

(b) Series of transsectoral seminars organized by suitable

in-country institutions supplemented by international technical

assistance agency.

4.

Methodology

(a)

On-site observation and involvement.

(b)

Seminars involving interdepartmental participation.

(c)

Case studies.

(d) Lecture/case study presentations for project management

skill development components.

5.

6.

Duration

(a)

Foundational training -- minimum

(b)

Project management skill training -- 4 2-week sessions.

two (2) weeks.

Timing

(a)

Foundational training -- prior to or at inception of project

(b) Project Management skill training -- intervals during first

year to 18 months of project.

P A D C O

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CHECKLIST 111-5:

1.

DELIVERY LEVEL TRAINING (COMMUNITY DEVELOPMENT)

Objectives

(a)

Develop ability to generate interest and prepare community

for project.

(b)

Develop techniques of determining community-perceived

needs.

(c)

Design service provision in conformity with community

needs and social system.

(d)

Develop ways to assure effective use of services.

(e) Assist community to organize local help and extend bene

fits of initial project input.

(f)

Assist with development of community leadership.

(g)

Assist community to adapt to change.

(h)

Assist community to handle and resolve conflict situations.

2. Target Audience -- all personnel assigned by project to assist

recipients directly.

3.

Training Resources

(a) Experts in communications, human relations and inter

personal relations training.

(b) Local or overseas human relations or community development

training institutions.

(c) International aid agencies (i.e. American Friends Service

Committee, OXFAM and UNICEF).

4.

5.

Methodology

(a)

Laboratory or human relations training.

(b)

On-the-job training with consultation.

(c)

In-service refresher training.

Duration and Scheduling

(a)

Induction training

--

two (2) weeks.

(b)

Refresher training

--

bi-annual sessions of one

to ten (10) days.

6.

Timing

(a)

Prior to project start-up.

(b)

Semi-annual refresher training.

P A D C O

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(1) week

CHECKLIST III-6:

1.

USER LEVEL TRAINING (COMMUNITY LEADERSHIP)

Objectives

(a)

To help local leadership to accept project objectives.

(b)

To help local leaders develop ability to identify and

prioritize problems.

(c)

To develop leaders who identify with community welfare.

(d) To assist leaders to organize and plan

sources.

community re

(e)

To enhance confidence of leaders in possibility of

improving community.

(f)
2.

Target Audience

(a)

Politicians.

(b)

Religious leaders.

(c)

Leaders of voluntary community organizations.

(d)

Teachers.

(e)

Representatives of important constituencies in community.

Cf)

Potential leaders by virtue of

-----

3.

To help leaders help residents to identify with community.

knowledge of community.

natural communication skills.

organizational skills.

influence with outside (larger) community.

Training Resources

(a)

Community development training centers.

(b)

Social welfare training centers.

(c)

Local colleges and universities -- social welfare depart

ments.

(d)
4.

Human relations/communications experts.

Methodology

(a)

Role playing exercises.

(b)

Supervised projects.

(c)

Human relations/group dynamics training.

(d)

Simulation exercises/leadership development games.

continued .......
P A D C 0

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CHECKLIST 111-6 (continued)

5.

6.

Duration
(a)

Intensive training of six (6) weeks to two (2) months.

(b)

Periodic reinforcement sessions of one (1) week.

Timing

(a) After project has been formally established and begins

operations.

(b)

P A D CO

On-going with refresher experiences at least annually.

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CHECKLIST 111-7:

1.

USER LEVEL TRAINING (COMMUNITY WORKERS/PARA-

PROFESSIONALS)

Objectives

(a)

Develop technical skill.

(b)

Develop communication and motivational skills.

(c) Develop ability to foster cooperative problem solving

in community.

(d) Assist community to organize to improve services through

self-help projects.

2.

3.

4.

Target Audience

(a)

Paraprofessionals.

(b)

Professionals -- supervisory.

(c)

Community leaders.

Training Resources

(a)

Professionals (extension and supervisory personnel).

(b)

Community development specialists.

(c)

Communications, motivational and human relations experts.

(d)

Community development training centers.

Methodology

(a)

Role playing exercises.

(b)

Demonstration/pilot projects; on-the-job training.

(c)

"How to" manuals.

(d) Supervision and consultation by professional (counselling)

counterparts.

5.

6.

Duration

(a)

One (C) month to six (6) weeks for skill development.

(b)

Periodic in-service training.

Timing

(a)

Prior to or at outset of project.

(b)

In-service training to be given bi-annually.

PADCO

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PART IV

DATA COLLECTION, SURVEYS AND EVALUATION

FOR IIPUP PROJECTS

P A D C o

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INTRODUCTION 1

To accomplish the design of IIPUP projects along the

guidelines outlined in Part I, project planners will require a

In addition, baseline

large amount of information.

information (prior to the project) will be required for use in

program and project evaluation. However, before embarking on

overly ambitious data collection efforts, IIPUP project

planners should consider the following principles:

IIPUP is not an academic exercise; it is a complex

Information is required to make

but focused program.

specific design decisions about the target group to

be benefited, the mix of project components, the

geographic scope of the project and the appropriate

institutional, financial and legal arrangements.

Only the information required to make these decisions

and to evaluate the ultimate success of projects

It is not uncommon for data to

should be collected.
be collected in excess of the actual needs of the

project.

* Data is frequently unusable for project design

because it has not been originally collected with

For example, most countries

projects in mind.
compile volumes of census data on housing conditions

which is usually of little use for project design

because there is no correlation of housing conditions

with the social and economic characteristics of

This

occupants such as rents, employment and income.

information is essential in designing an IIPUP

project, especially if there is a shelter component.

0 Data collection is difficult enough in the developed

It is especially difficult and costly to

countries.
In

collect data in the less developed countries.

addition to the numerous cross-cultural

interpretation problems listed below, it is

frequently difficult to find adequate resources for

data collection and analysis. There is a shortage of

personnel with the required skills at all levels.

The time required to organize surveys in the

1 The material presented in Part IV draws heavily on material

originally prepared by Mathematica Policy Research, Inc.,

"Surveys for Designing and Evaluating Integrated Improvement

Data Needs and Survey Methods,"

Projects for the Urban Poor:

Princeton, N.J., 1980; and "Evaldating Integrated Improvement

Projects for the Urban Poor: Guidelines for Evaluation

Methodology," Princeton, N.J., 1980.

P A D C O

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developing countries is usually longer than

developed countries.

in the

* Given the high costs of data collection and the

focused data requirements for IIPUP planning, it is

legitimate to question the need to collect highly

detailed and precise data. Mathematically precise

data may not be justifiable to make the decisions

required in IIPUP project design. The costs may be

prohibitive, especially for relatively small IIPUP

projects, and the improved effectiveness of design

decisions made with more detailed and precise data

may be slight.
In short, diminishing returns can

become a factor very early in data collection for

these types of projects.

Shortcut methods are often

adequately precise for IIPUP project design.

0 Some reliable data is important for project design

and evaluation, but it cannot replace the need for

experienced interpretation.
IIPUP projects involve

an extremely complex set of relationships. Much of

the ultimate success of IIPUP will rest on the

judgment of the experienced practitioners who must

make the leap from a data base to the realities of

project design and implementation.

The data collection process should begin with an

assessment of the data that will be required for project

identification, design and evaluation, keeping in mind the

principles outlined above.

The data requirements will depend

to a large degree on the type of sequence being followed in

project development.
Data will be required for two main

purposes:
(1) to identify the urban poor target groups and to

define their needs, priorities and resources, and (2) to

identify the capacities and potentials of service delivery

systems which may be available to meet the needs of the target

groups.

Much of this data, especially data to meec the latter

purpose, may be available from existing secondary sources.

In

addition, it is usually possible to obtain information about

the service delivery system from informal interviews with

agency representatives.
It is important to exhaust potential

secondary sources and interviews fully prior to undertaking

expensive and time-consuming field surveys.

Nevertheless,

some specific information may have to be collected from the

target group using specialized field surveys.

This may be

necessary to obtain data for both project 'dentification and

design as well as to generate baseline information for later

evaluation.
The analysis of aerial photography is
a

particularly useful shortcut means of collecting data on the

target group and stratifying samples for subsequent

specialized field surveys.

P A D C 0

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A.

DATA NEEDS

The development of individual IIPUP projects can follow a

number of different sequences.

These are presented briefly

below and in Figure IV-1.

1.

Beginning with a national urban poverty assessment,

moving to identification and analysis of target

groups and then to project identification.

2.

Beginning with identification of target groups,

moving to an IIPUP resource assessment and to project

identification.

3. Beginning with an idea about the usefulness of

combining some specific services into an integrated

services package, and then proceeding to identify and

analyze the target groups, an IIPUP resource

assessment and specific siting of the project.

4. Beginning with a specific project opportunity, moving

to identify the specific target groups and to an

IIPUP resource assessment, and then identifying the

project's

services package.

The focus of data collection and the level of detail

required is likely to vary depending on the project

development sequence being followed.

Sequence 1 will require

a broad-based national urban poverty assessment prior to

identifying specific target groups and services packages.

This approach to IIPUP is likely to require the most extensive

data search.

Sequence 2 begins with a target group already

identified. Data collection can focus much more narrowly on

that target group and its specific needs.

Sequence 3 begins with the identification of a potential

services package. Data collection can concentrate on the

existing capacity to deliver those services and on identifying

those groups which would benefit from the services package.

In Sequence 4, a particular project opportunity is

identified at the outset, including the specific target

group(s) and site(s).

In this case, again, data collection

can focus on the specific needs of those groups and areas.

Although the focus is different in each sequence, in all

cases data for project identification and design is required

for two basic purposes.

The first is to assess the needs,

P A D C O

-167

FIG. IV-1:

SEQUENCE 1

National

Urban Poverty

Assessment

,-'/

Identification

and Analysis of

Target Groups

Identification

of Project

Services Package

and Siting of

Project

ALTERNATIVE SEQUENCES OF IIPUP PROJECT IDEA DEVELOPMENT

SEQUENCE 2

Identification

of Target Groups

SEQUENCE 3

SEQUENCE 4

Identification of Project

Services Package

Identification of

Project Opportunity

(Site and Target

Group(s)

_T

Analysis of

Target Group(s)

IIPUP Resource
Assessment

Identification
of Project
Services Package
and Siting of
Project

Identification and
Analysis of Target
Groups

IIPUP Resource
Assessment

Project Siting

Analysis of Target

Group(s)

IIPUP Resource
Assessment

Identification

of Project

Services Package

priorities and capacities of the urban poor groups (target

This will enable the target group(s) to be

group assessment).
categorized according to their current consumption, capital

needs and territorial orientation, as suggested in Part I,

The second purpose is to assess the capacity of

Section B.
the services delivery system, including the financial and

administrative capacities of the relevant agencies in each

sector and the effectiveness of their outreach to the urban

poor (IIPUP resource assessment).

Table IV-1 outlines each of these purposes in detail and

shows how they differ in emphasis depending on the type of

Table IV-2 outlines the data needed to meet

project sequence.
these purposes and shows how the focus of data collection for

each purpose varies depending on project sequencing.

The data required for IIPUP project identification,

design and evaluation can be divided into several categories

as listed below:

Demographic Characteristics

Demographic characteristics

0
Social characteristics

0
Economic Characteristics

Income, net worth and expenditures

0
Personal credit

*
Housing

Health and Welfare

Food and nutrition

0
Water

*
Health and sanitation

&
Infant and child health

0
Family planning

*
Labor and Education

Employment

0
Vocational skills and training

0
Education

0
Transportation and Communications

Transportation

*
0
Communications

The data required in each category is listed in detail in

It contains the types of data that may be required

Annex III.
for each category with brief explanations of why each type of

In addition to the sectorial orientation

data may be needed.

of the list, the data needs are further disaggregated into

data on (1) characteristics, needs and behavior of populations

P A D C

-169

seset

Poet
L~~oa~ra

i~~

Napro

of

~iisafc

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i~eG~p'
-FdnUct~
1tcat~
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snd
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n
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atis iiw'uot
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plt
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thats will consrai

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Eanye qleverl and dstriut inter- socialuxe
socil, arvlc~agecle1

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td'-

Pro

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targie
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eism ntjcusng
choose
pakg
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s
gropndeemn
t
releonf thectre
Examin
ou
eglcted in ork'd to determin
aio
t
pag-*sorei'
s ri
wpeii costran
anda regional level

Analyze level and distribution of social

sehavee tonteece

Anaayyze level

evc

ed

-tat

adequacytn

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um

jdfi~nervceel_

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af~vet~
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4
1nries
,

and
erie

tha

caeac

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ne

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:ityiinryo
chetIi~
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'.d. ff cia cy)eS

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and

~n

symptoms~th
trhe

on f finansial exemanatei
itretor gro ectd tof ded ina"
n t anderii'-tse
i tr~al
cons
fritiigna ragional.
hoe1~r~
orlcllvl1o
and spec tic ifte

a unm ser

srves opas ag ad
s to atn
-dnti~
___
Idteniy sioaina(aret
ria
o
hr
s
xaaminatndofntegraonica
vice
mpat ndtOfl'
roe da~usyequty,
mpoveadquacj
i~tgrtin iuiyr
olpc
sarfiiLcy'pckqa
rinaeo
ascessint foffina
agtruaad~
ii
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dlo ve, a
goan

~e

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Ai pc ji~

ed,

'

(r

goupas)dtter.

oential'

agtgo
oeta
and distribution
ofscanopr
ofsrie
order to slcen

tage gouus wthy

to tesee go~ps
denifyj
o eaeofieness~(inzp'aand
eiey
A :xmie effectivsea5o
toeficiency)
o pcicsrisbysco
Identifyfotential
andIdandify
tafgdelgoups

heatina

impaect 'oservice esa

nl df

'I,

.zmr~oe

lelt

ol
ti
Stugie

at the' national

to*,* progdams

nobeadequacy

5et-s
RyCE aresSLYT
level

dtayeminet

on.

ditrbu
Malzeae
Ed
a eeleet r
ofaerice.
i

oetdrtineinet'adequacynt'eratlcn

yroi~sro

cyes,

that

eln av ute
cootrm
lsi roi t~i~ a~
Cee
sptie
seeced
poll'o
p irtne',

coodintio o 1age n i
ffcthataet
are
agruss

afetndatlP

of

,cornationD
alnde' a tio
iin coj
se~il iey~i

NPOETSQEG

NDPN

PURPOSE~ OF-'DATA cLE

ABLEIV-1:

os

noa

cOe
eaie

ua

~yo~opU
qiy
fetvns

potentc

oms popoed'

wourdices i fr~a

impacserid
of4-r
dnifya
t)
'~in

pfackae-c

roup
targPoetia
tuiilaton
i

'
Awaort ad
evcs
nyo
n~fi
aid tjingAt ra oni&i
'adlie
tagt,
jsatkage a ld selc~
of

oftth.e
C
jovry
'p ofvrt

eigcniae

ase

r
a odn
ceth,,trg

jinifytusoe

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Ja

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kev~div~
f'~

OJCasth

tragop ~

ts

sm

TABLE

IV-2:

DATA NEEDS DEPEND ON PROJECT SEQUENCE

Se.uenze 1:
ua.tional urbar, Poverty Assessment-!dentf. ator. cf Target Groups-4 Projects

SEQUENCE 2:
SEQUENCE 3:
SEQUENCE 4:
identification of Target Groups
-.
Project Package Identification -Project Opportunity-->Analy-sis
Project Identification and IIPUP Resources Identification of Target Groups and
of Target Groups 4 IIP' PeAssessment
IIPUP Pascsrce Assessment
source Assessment and 5er.i:ns
Package

.cllect natonal Jata pertaining to social

servces sectors:

Collect national data pertaining to social Collect rltional data pertaining to Collect national data perta:irg

to social services needs of

service package selected:

services needs of target group(s)
selected:
target group(s) selected:

::PL.P RESCUCE
E kSSE5SME!VT5
" Natcnal prcorctles, policies and
plans affectinq ..
ca:) services detarget groups.
livery to potent:.a

s
National priorities. policies and
plans affecting urban services delivery
to selected target group(s),

cverr..ent strJ:ture, interagency

zooperactln, :ooidination ot social
ser'.iceaqenries.

a Government structure, interagency cooperation, coordination of social

service agencies concerned with
selected target group(*).

National priorities, policies,

plans affecting delivery of
selected services to potential
target groups.

National priorities, policies

and plans affecting urban
services delivery to selected
target group(s).

Government structure, interagency cooperation, coordination of services in selected

agencies.

Government structure, inter

agency cooperation, coordina
tion of social service
agencies concerned with
selected target group(s).

Delivery of social services by sector

in terrs of idequacy, equity, impact
and effectiveness of services deliverto selected target group(s).

Delivery of services selected

to potential target groups in
terms of adequacy, equity, impact and effectiveness.

Delivery of social services by

sector in terms of adequacy,
equity, impact and effective
ness of services delivery
to selected target group(s).

National services expenditures oy

sector to selected target groupks).

National expenditures for

services in package selected.

National services expens.otures

by sector to selected target
group(s).

Economic and tax strjcture information.

Effect of economic and tax structuie

on selected target group(s).

Effect of economic and tax

structure on services in
package selected,

Effect of economic and tax

-'-':c.ureon selected target
group(s).

"

Legal
.tructure of social services
sectors,

Effect of legal structure of social

services sectors on target groups
selected,

Effect of legal structure of

services package selected on
social services delivery.

Effect of legal structure on

target groups selected.

Managerial and technical capabilities

in social services sectors,

Effect of managerial and technical

capabilities on target group(s)
selected.

Managerial and technical capabilities of social services

sectors selected,

Effect of managerial and tech

nical capabilities on target
groups selected.

"

Delve.. of 3ocial services oy sector

in terms if adeiuay:, equity. impact
and effectiveness.

"

National
sector.

"

eri.es

expenditures oy

Collect statistics identifysng potential

target groups:

As services package emerges. obtain above

data on more detailed basis for relevant
sectors,

As target groups emerge, obtain

above data in a more detailed
Da~a
basis for target group(s).
identifying potential target

groups :

" population trends

population trends

" income distribution

income distribution

e employment data

employment data

* consumption data and unmet service

needs,

consumption data and unmet

service needs.

Supplement national data with interviews of national officials and experts

about social services delivery .

As services package emerges,

obtain above data on a more de
tailed basis for relevant sectors.

Supplement national data with interviews

of national officials and experts about
social services delivary to selected
target group(s).

Supplement national data with interviews of national officials

and experts about social services
delivery to selected target
group(s).

Supplement national data with

interviews of national officials
and experts about social services
delivery to "lected target

group(s).

Collect regional and local data on

potential target groups:

Collect regional and local data on

selected target group(s):

Collect regional and local data

on services in package selected.

Collect site data on:

" Services delivery to potential

target groups:
-unret needs
-equitable distribution
-impact

Services delivery to potential

target groups:
-unmet needs
-- equitable distribution
-impact

Services delivery to selected

target groups at the site:
-unmet needs
-equitable distribution
-impact

"

a Existing services delivery systems

selected target group(s):

Existing service daliverl ayetems to potential target

groupst

Existing services delivery

systas at the site:

IDENTIFYING AND ANALYZING TARGET GROUPS

Existing services delivery systems:

Services deliver to selected target

groupfs):
-unmet needs
-equitable distribution
-impact
to

continued

-171

(on

ABLE
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ration forraevaluatioit

p
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and subgroups; (2) cultural values and beliefs, knowledge,

practices (attitudes and opinions) of populations and

subgroups; and (3) institutions. Data for the first two

categories may be available from secondary sources, but it

Data

must frequently be collected from target group surveys.

secondary
from
be
collected
can
generally
delivery
on service
It may also
sources and interviews with relevant officials.
be necessary to collect some data on service delivery from
target group surveys as well as determine the actual

accessibility of existing services to the target group.

Annex III is intended as a checklist to remind the user

In most cases,

of all the types of data that may be required.

this checklist should be narrowed to a more limited set of

For example, if it has already been determined

data needs.
that a project will focus on particular sectors, such as

health services and education, particular attention should be

However, even if a

paid to those parts of the list.

particular sector has already been selected, data will still

undoubtedly be needed on the demographic, economic and social

characteristics of the target population. Also, other parts

of the checklist should be reviewed because of the strong

interrelationships among the various aspects of poverty.

The scope of the data required also depends on the

If

sequence of project idea development, as discussed above.

particular target groups have not yet been identified, the

data may have to be national in scope. Where target groups

have been selected, the user can refer to Table 1-3 (Part I)

to identify the project types most appropriate for those

Data collection can then be concentrated in those

groups.
In most cases, sector specific data will have to be

sectors.
complemented with data on the demographic, economic and social

characteristics of the target population.

The list in Annex III is intended as a reasonably

However, it may not be exhaustive.

comprehensive checklist.
Each country and poverty situation has its own unique economic

and cultural facLors and problems, some of which may not have

been anticipated in the preparation of this list.2

For project evaluation purposes, it is important that the

data be selected which best measures the most significant

The following list of AID evaluation criteria

impacts.

2 A supplementary list of data needs can be found in E. Muller

and D. Freedman, Standard Package of Demographic and Economic

9uestions, Population Studies Center, University of Michigan,

1976.

P A D C 0

-173

starting point for reviewing data needs

provides auseful
3

evaluation.

for

* Comprehensiveness and coverage. Data selected should

be sufficiently comprehensive to illuminate all

significant impacts.

Each indicator should accurately reflect

* Validity.
variations in the quantity, quality, intensity, etc.

of the change.

The indicator should be

* Objective verifiability.
(i.e. it will receive

incontestable
and
unambiguous
or more observers).

two
by
the same interpretation
Indicators should be able to reflect the

0 Time.
appropriate time dimensions of the change.

0 Corroboration. A limited amount of redundancy in

indicators can serve to corroborate the measurement

Redundancy is insurance against the

of change.
effects of unforeseen variables and misleading

signals in the measurement process.

Data must be obtainable easily or

0 Accessibility.
indicator is not useful.

the

The specific purposes of evaluation are discussed more

fully in Section D below.

3 AID Handbook on Evaluation, Appendix B, p. 167 (draft,

12/1/79).

P A D C 0

-174

B.

ASSESSING EXISTING DATA

Having determined the data needed for project design and

evaluation, a project officer must then decide whether to

If so, he must determine the

conduct a field survey.

appropriate focus of that survey.

Surveys of the urban poor are particularly difficult and

Consequently, the

costly, especially in developing countries.

decision whether to conduct a survey should be made

carefully. Any survey contemplated should be highly focused

on the information required to avoid excess costs and

Tho following steps should be followed

extraneous problems.
to assess survey needs:

* Review existing secondary data to determine whether

the data needed for project design or evaluation are

This review should entail an item

already available.
by item comparison of a list of data needs (compiled

with available data.

using Annex II1)

0 Conduct selective interviews with service agency

officials to complement secondary data and further

meet identified data needs.

0 Examine the quality of the available information that

How was it

Is it reliable?
fits data needs.
How

obtained? What is the extent of its coverage?

recent is it?

0 If. there are gaps in the data or if aspects of those

data are inadequate, what will be the effect of these

shortcomings on project de3ign and evaluation?

survey may not be cost effective.

* Draw up a precise list of the data needed that cannot

Is

be obtained from secondary sources or interviews.

every item essential?

Secondary information may be found in government reports

Population data,

or reports from human services agencies.

survey or

statistics,
service
socio-economic characteristics,
be

all
may
expenditures
on
data
census data and published
reported in tabular form. A census typically obtains

age, sex and birthplace

information on household composition:

of each household member; social, economic and educational

In

characteristics; religion; property; and health status.

of

censuses
conduct
to
plan
countries
95
years,
few
the next
population and/or housing. Many developing countries have at

least one household survey or employment survey for the major

P A D C O

-175

cities. 4
Table IV-3 suggests some potential secondary data

sources for three types of data needs.

In the majority of less developed countries, some

secondary information and data exist pertaining to programs,

In addition, many

plans, policies and human services needs.

countries may have primary data available including raw data

tapes with information gathered directly from interviews,

self-administered questionnaires and program records designed

These data can frequently be analyzed

for specific purposes.

for different purposes and special tabulations obtained.

A project officer must assess the reliability,

It is best

appropriateness and completeness of existing data.

to synthesize information and data from a variety of sources,

thus offsetting the disadvantages of any one source (and

implicitly one methodology), thereby providing a combination

of sources upon which to base project design, implementation

or evaluation.

Thus, considerable secondary data exist on urban poverty

in developing countries, and those data are improving.

Nevertheless, the available data may be inadequate for project

design and evaluation, so site surveys must be considered.

4 A useful bibliography of those surveys can be found in C.

Chiswick and J. Kipnis, Size Distribution of Income:

Bibliography of Basic Sources, Staff Working Paper 217, The

World Bank, Washington, D.C., March 1978.

P A D C O

-176

TABLE IV-3:

SOURCES OF SECONDARY DATA

Data Needed

Sources

DEMOGRAPHIC AND SOCIAL CHARACTERISTICS

Household characteristics

Census, recurring and

special urban sample

surveys.

Values, beliefs and attitudes

Academic studies, sample

surveys.

ECONOMIC CHARACTERISTICS AND ACTIVITY

Finance Ministry, Planning

Commission, relevant

government departments,

World Bank, U.S. AID and

other international assis

tance agencies, commercial

marketing firms.

SECTORAL CHARACTERISTICS AND ACTIVITY

Relevant department/ministry,

sectoral offices of inter

national assistance agencies,

national professional

associations.

P A D CO

-177

C.

1.

CONDUCTING A FIELD SURVEY

SAMPLE DESIGN

A sample survey is an abreviated alternative to

Sample

collecting information on all members of a population.

IIPUP field surveys are likely to focus on one or more target

groups to discover their characteristics and behavior as well

as their attitudes, opinions, priorities and knowledge (as

A survey may be based on a

outlined in Annex II1).

probability or non-probability sample. A probability sample

is selected according to statistical specifications requiring

that every unit in the population have a known, non-zero

chance of selection in the sample and that the probability of

selecting every unit of the population be known in advance.

In a non-probability sample, the selection of sample members

Non-probability

depends on the judgment of the investigator.

are fairly

members
sample
the
that
hope
on
the
samples rely
population.

the
of
typical
Sample design using strict probability sampling methods

can be difficult and costly, especially in the developing

For this reason, a shortcut technique has been

countries.
developed for selecting samples for field surveys based on the

interpretation of aerial photography. The use of this

technique also generates a large amount of information about

the living conditions of the target population which can be

combined with more specific field survey data to construct a

full profile of the target population.

a.

The Interpretation of Aerial Photography

The interpretation of aerial photographs, together with

selected field sample surveys, has proven an excellent way to

generate a citywide data base quickly for the development of

The technique can be used to

IIPUP and shelter projects.

identify the physical characteristics of residential

neighborhoods in a metropolitan area, such as house size,

Social and

building materials and residential density.

economic data, such as income and rent levels, collected in

traditional surveys is of little use for project design if it

This method

is not correlated with physical characteristics.

with

correlated
be
to
characteristics
physical
on
data
enables
overall housing market data.

5 This methodology is explained more fully in "Methodology for

Aerial Photo Interpretation in Policy Formulation and the

Identification and Design of Housing Projects for the Urban

Poor of Developing Countries," CITRUD, Washington, D.C., 1978.

P A D C O

-179

First, aerial pholographs of the city are prepared if

A scale of 1:8,000 enlarged

recent ones do not already exist.

to 1:4,000 is appropriate for analysis in most situations.

The photographs are analyzed to identify a housing settlement

typology to be used as a basis for subsequent field

Most cities have

investigation of household characteristics.

identifiable areas with reasonably homogeneous house types and

socioeconomic characteristics.

This is especially true in developing countries where

squatter areas and other densely settled low income areas are

The area occupied by each type should be

easily visible.
measured, the number of houses in each type counted and the

land use parameters (lot size, street width, etc.) and

construction materials prevalent in each area should be

The materials used for roofs can be easily

observed.
Sometimes the sides of

identified from aerial photographs.

In any case, there is usually

houses can also be identified.

a high correlation between roof types and other construction

This can be identified with limited field

materials used.
checking.

Next, maps s*:ould be prepared of the low income

settlements identified and of population density by area and

Population density will have to be estimated

housing type.
initially from existing data on families per dwelling and

persons per family by income group. This can be cross-checked

Finally, a limited number of houses

later in field sampling.

within each area should be identified for sample field

This requires a judgment about which housing units

surveys.
appear most representative of their respective housing

The entire analysis to this point can be accomplished

types.
for a city of one million inhabitants by a team of six persons

(three skilled technicians, three trainees) in three to 6

four

weeks if satisfactory aerial photographs

are available.

With the population divided according to the physical

characteristics of the type of housing it occupies, the

results of the field survey for each housing type can be

The social and economic

extrapolated to a citywide basis.

questions answered in the field surveys can also be easily

correlated with the data on the physical characteristics of

housing gathered from the aerial photographs.

6 See Plan de Developpement de Port-au-Prince et de sa Region

Metropolitaine, Projet Nations Unies HAI/77/R-40, Vol. 1, Plan

de'Ensemble, Annex Methodologique, United Nations, New York,

PADCO has also applied this methodology in Yaounde,

1977.
Cameroon and in Santo Domingo, Dominican Republic.

P A D C O

-180

The hypothesis underlying this methodology is that

homogeneous housing types with similar physical

characteristics (spatial organization, density, plot and house

size, infrastructure level, construction materials, etc.) are

inhabited by relatively homogeneous populations with similar

Although this sampling

socioeconomic characteristics.
technique cannot guarantee the precision of more traditional

statistical methods, it has been used with success in

designing projects for the urban poor in many cities in the

It has yielded accurate enough data to

developing countries.
make the necessary project design decisions.

This method is much more inexpensive and less time

In most cases, it

consuming than more traditional techniques.

is the only methodology that can be used by a developing

country agency to generate a data base for IIPUP using its own

staff. More sophisticated methodologies are likely to require

outside consultants.

b.

Traditional Probability Sampling Techniques

In some cases, it may be necessary to locate a

representative sample of the target group(s) using more

If enough information is

statistically accurate means.

it may be possible to design

sources,
secondary
from
available
an efficient sample that concentrates surveys

disproportionately in areas that are most likely to require

When there is insufficient secondary data

IIPUP programs.
available to design an efficient probability sample to locatr

the IIPUP target populations, preliminary screening can be

used to identify two or more strata in which the distribution

of the target population substantially differs.

For example, assume that a survey is being conducted to

evaluate the impact of IIPUP on a target group, defined as

families and unrelated individuals residing in sub-standard

housing. The urban area impacted by IIPUP is segmented

geographically into neighborhoods or census enumeration

These neighborhoods should then be stratified

districts.
based on the expected percentage of target group households.

Let us assume that stratum A includes neighborhoods in which

at least 50 percent of the households reside in sub-standard

housing; stratum B, 25 to 50 percent; and stratum C, less than

These strata should then be sampled at different

25 percent.
the "yield" of sample members with respect

optimize
rates to
interview. Preliminary screening is

completed
per
to cost
enumeration which is a labor

interviewer
on
based
usually
The urban area expected

process.
time-consuming
intensive and
to include the target population is divided into segments for

enumeration, either from existing maps or from preliminary

Representatives of all or a

listings of physical structures.

sample of the dwellings in these segments are interviewed to

P A D C O

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ascertain the presence of persons or groups of persons (e.g.

households) that meet the target population criteria. Based

on this information, the segments are strqtified and sample

members are selected for the main survey.

There is a general problem with this method that applies

to developed as well as to developing countries. Screening is

bound to result in false positives (sample members erroneously

included in the target population) and false negatives (sample

members erroneously excluded). The probability of screening

error increases with the complexity of the screening

criteria. False positives can be identified during the main

survey. However, false negatives go undetected unless a

subsample of "ineligibles" is sampled for the main survey.

The size of this subsample in relation to the total sample

depends upon the magnitude of the problem.

2.

FIELD SURVEYS IN THE DEVELOPING COUNTRIES

Interviews with members of the IIPUP target population

must generally be conducted in person. These interviews are

usually conducted in the sample member's residence, but they

may be more conveniently scheduled at the respondent's place

of work or other location.

a.

The Principal Problems in Questionnaire Design

The most difficult task in designing questionnaires or

interview schedules is developing concepts and measures that

are equivalent in meaning across the cultural groups which are

sampled. Four major areas of equivalence must be addressed in

cross-cultural questionnaire design. 9 These include (i)

comparability in the meaning of the concepts (conceptual

equivalence); (ii) equivalence in the operational definition

of the concepts; (iii) linguistic equivalence through

translation; and (iv) comparability in responses. These four

areas are discussed below.

(i) Conceptual equivalence. Many concepts do not have

the same meaning for different cultures. A concept such as

7 Methods used to optimally allocate the sample are discussed

in Kish, Chapter 11, 1966.

8 Several references are cited in the bibliography to this

chapter which describe techniques for fielding surveys,

In this section, we

training staff and coding the results.

concentrate on survey issues of particular interest in the

eveloping countries.

Almon(, G. and Verba, S., The Civic Culture, Princeton

Univertity Press, Princeton, N.J., 1961.

P A D C 0

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"looking for work" may have a very different meaning for a

recent rural migrant than for a long time urban resident.

Even if a

(ii) Operational definition of the concepts.

it is

cultures,
different
to
meanings
similar
concept has
personal

from
measures
develop
to
extremely difficult
For example, even a seemingly

interviews that are equivalent.

simple measure such as age may be very difficult to measure

comparably in cultures where tribal "age grades" or relative

ranking within a group are used.

Economic concepts and attitudes are especially difficult

For example, wealth

to compare for different cultural groups.

is measured very differently in different societies.

Linguistic equivalence. Typically, questionnaires

(iii)
are designed in English or another language that is foreign to

the target population, translated to a major regional language

and further translated into local dialects. There are several

The translations

potential problems with direct translations.

tend to be stilted and unnatural in the local setting. The

translations may contain offensive words that touch local

taboos, may include words for concepts outside of the

respondent's experience or may include incongruous words that

suggest concepts different from those intended.

A procedure used to minimize these problems is back

translation. A bilingual person translates the questions from

language A to language B, and another bilingual person

independently translates the draft interview schedule back

If the new version A is comparable to the

into language A.
original, the translation is reasonably accurate.

There may be

Comparability in responses.
(iv)
differences in response styles that are determined by cultural

In one study in Malaysia, the

norms, values or social class.

questions and the

to
precoded
frequency of "no answers"
varied

questions
frequency of answers to openended
10
In

significantly between Chinese and

Indian respondents.
many cultures, there exists a "courtesy bias" in which the

The

respondent gives answers to please the interviewer.

charucterize

also
may
which
bias,
Jesirability
social
different social classes in more ethnically homogeneous

developed societies, may also be a problem. The respondent

gives socially acceptable answers that he or she presumes to

This type of bias is more of a problem for

be proper.
attitudinal than behavioral questions but may affect

10 Warwick, Donald P. and Lininger, Charles A., The Sample

Theory and Practice, McGraw-Hill Book Company, New

Survey:
York, 1975.

P A D C 0

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behavioral questions that indicate social status, such as

income or employment status.

In other cases, members of a

cultural group may deliberately deceive an interviewer in

order to outwit an outsider.

These problems highlight the value of indigenous

investigators to the survey. An indigenous investigator

can

bring to the questionnaire design process an understanding of

the potential conceptual, operational, linguistic and response

problems.

b.

Small

Interviews and Pretests

Unstructured field observations (of physical

characteristics) and interviews with a small sample

representing the target population can help in questionnaire

design. The main intent of the interview is to obtain the

respondent's ideas, evaluations, descriptions, attitudes and

behavior with respect to particular concepts.

This method

provides the researcher with insights to the population's

values and attitudes and provides indications on how people

use language to express these values and attitudes.

Detailed questionnaires should be pretested prior to

being applied to the entire sample population.

Such pretests

should test the content of the questionnaires with respect to

respondent burden (the length and difficulty of the responses

required), field procedures, such as optimal times for

interviewing and problems in locating respondents, formatting,

coding and data processing.

The size of the pretest may be constrained by cost and

the time schedule.

If there are no major concepts
or

procedures to be formally tested, the results of the pretest

can be evaluated during a debriefing which includes

investigators, project evaluators, survey supervisors,

interviewers and, in some cases, respondents. A pretest of

under 50 observations should be sufficient.

If there is a

formal test of two or more alternative methods of measurement,

data collection or field procedures, a larger sample is

required.
The size of the larger sample should depend on the

variation in the data to be collected and the desired

precision of any statistical tests to be performed.

The questionnaire should be evaluated for clarity,

sensitivity, complexity and relevance.

Is a question

ambiguous or does it take too long to get to the point? Are

some questions too sensitive or embarrassing for local

traditions, superstitions, taboos or politics? Are questions

insensitive to local status distinctions? The order of

questions is important.
Are the sensitive questions located

at a point in the interview at which the respondent has

P A D C 0

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developed trust? Can the impact of the sensitive questions be

moderated by being placed after less sensitive warm-up

Do questions pose options or situations which are

questions?
outside the respondent's experience?

C.

Encouraging Respondent Cooperation and Accessibility

Non-completion of interviews due to the sample members'

refusal to participate or because of inaccessibility will bias

the results of the survey if the missed respondents differ

There are

systematically from those who complete interviews.

several precautions that can be taken to minimize this

problem. These include presurvey publicity, an appropriate

introduction, privacy and confidentiality.

Publicity is desirable if the

(i) Presurvey publicity.

subject of the survey can be presented as beneficial, or, at

least, non-threatening to the community. The survey should

not be construed as a tool for use in taxation, conscription,

political surveillance or prosecution. The publicity campaign

may include a press release (a valuable device for

institutional populations), radio or television advertisements

or an explanatory pamphlet which the interviewer can leave

with the respondent (if literacy is moderately high).

The introduction to the interview

Introduction.
(ii)
should include information on the subject and spensor of the

These topics should be presented in a brief and

survey.
honest description if the topic is not sensitive or

threatening and the sponsor is well regarded. A more diffuse

approach may be required for possibly threatening subjects or

if the sponsor is associated with a foreign or unpopular

In a fertility study in Jamaica in which the

government.
government was not mentioned in the pretest introduction,

there were positive results.11 However, a new government

which was perceived to be more favorably disposed toward the

lower income sample, came into power after the pretest.

Respondents were then disturbed at the omission of government

sponsorship.

In some rural studies, it is also necessary to get the

sponsorship of the village headman, tribal elders or an

important landlord to encourage cooperation of sampled

This may be less necessary in urban areas, but

respondents.
it may be desirable to involve local influential

cases
in some
religious or political leaders, in the

as
persons, such
survey.

11 Back, Kurt W. and Stycos, J. Mayone, The Survey Under

Unusual Conditions: Methodological Facets of Jamaica Human

Fertility Investigation, Society for Applied Anthropology,

Ithaca, N.Y., 1959.

P A D CO

-185

In some surveys in developing countries, there is

suspicion or superstition about the interviewer's motives.

This includes fears about the effects of medical services,

changes in taxation policies and fulfillment of religious

prophecies. Another problem in gaining access is resistance

resulting from low opinions that respondents may have of their

own status or abilities. For example, women may wish to defer

to their husbands or young adults to their elders.

It is

important to be aware of these potential problems before the

survey begins so that measures can be taken to allay

respondents' fears.

(iii)
Privacy and confidentiality. Confidentiality is

generally stressed during the introduction to western

surveys. This may not be necessary or even desirable in some

developing countries which do not share western notions of

privacy. An extreme example of this problem is illustrated by

the Jamaican study cited earlier. During the pretest,

interviewers were physically threatened in rural areas after

stressing confidentiality. The residents did not value

privacy and associated the interviewers' concern with

witchcraft.

Although privacy is generally preferable during the

interview for most attitudinal and many behavioral questions,

it will often not be possible and, in some situations, not

desirable. For example, persons other than the sample

respondent may be able to provide better information for

household income.

Although interviewers sometimes may use their ingenuity

in getting rid of unwanted third parties, there are many

situations where this is not possible. Husbands may refuse to

let their wives be interviewed in person. The mother-in-law

may insist that only she can speak on child rearing.

In some

situations, household members may be interviewed as a group.

(iv)
Scheduling interviews.
In any cultural setting, it

is essential to know when respondents are likely to be

available. The survey director and supervisors must be aware

of respondent work schedules, marketing hours and times when

interviewing may be unsafe.

It may also be useful to schedule

interviews away from the home at a time and location which is

convenient for the respondent if privacy is necessary for the

interview.

PA D C 0

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d.

The Cost of Surveys

The cost of a survey includes personnel, other direct and

indirect (overhead) costs and any fees charged by

participating organizations.
Surve3y
are often underbudgeted,

especially when surveying populations whose responses are

difficult to predict.
It is important for all participating

organizations to review project costs regularly and discuss

problems that may revise the expected cost or schedule of the

survey.
These problems may include a greater than expected

number of pretests to develop instruments, unexpectedly high

screening costs to locate the target population, difficulty in

recruiting or training staff, interviewing problems that

result in low interviewer productivity or unexpected problems

in processing or cleaning the data.

Table IV-4 provides a list of the types of costs which

should be considered in survey design.12 However, each survey

may have unique costs which must te added to this list.

The interviewing of urban poverty groups is very

difficult in western as well as in developing countries.

Despite careful budgeting, unexpected problems in the conduct

of IIPUP surveys could result in substantial cost overruns in

order to salvage the survey.

In the United States, some

important surveys of urban poverty groups have resulted in

additional costs of as much as 100 percent above the original

estimates.
Program officers should approach surveys with an

awareness of the potential costs and the risks of obtaining

incomplete or biased data. These considerations must be

balanced against the potential value of data obtained through

surveys.

3.

IMPACT EVALUATION

Since IIPUP activities are usually intended to extend

over a period of several years, it will be necessary to set up

a monitoring and evaluation system. Where IIPUP programs

are

of a sufficient scale, a monitoring and evaluation unit can be

established within the agency in charge of IIPUP. Monitoring

and evaluation systems differ, but they have the common

purpose of documenting the experience gained from projects so

that the planning and implementation of future projects can be

improved.

Monitoring is a system of reporting on actual progress

within a program or project.

It is a management tool and is a

more routine exercise.

It is usually done within the

12 Warwick and Lininger, op. cit.,

P A D C 0

-187

pp.33-34.

TABLE IV-4:

CHECKLIST OF FIELD SURVEY COST COMPONENTS

1. Salaries and Other Personnel Costs

(a) Administrative staff: project director for general admin

istration and coordination and others as needed for supervising

the work in the study. Estimates should include time for planning

and reviewing the literature, sampling, questionnaire design and

pretest(s), interviewing, coding preparation, editing and coding,

consistency checks and "data cleaning" tabulations, analysis and

report writing and publication.

(b) Clerical staff:

recordkeepers, etc.

secretaries, sampling clerks, accountants,

(c) Field staff: field supervisors, interviewers, drivers, others

needed to collect the data. Budget estimates should allow for

training and practice interviews, as well as any field work that

may be needed for the sample.

(d) Consultants: general consultation and specialists such as

sampling experts and computer programmers needed only in certain

stages of the study.

2. Travel Costs and Living Expenses in the Field

The travel costs and maintenance of study direcLors, supervisors,

samplers, and interviewers during sampling; pilot tests of the

questionnaire; interviewers' training; and actual field work.

Estimates should include transportation to group meetings and the

costs of maintaining the staff while away from home

(per diem).

3. Services

(a) Printing of questionnaire and instructions.

(b) Vehicle operation and maintenance; insurance.

(c) Coding of the data:

personnel.

(d) Machine consistency checking and corrections.

(e) Data processing:

equipment expenses.

f) Publication costs:

personnel, computer time or other

editing, typing, printing.

4. Equipment and Supplies

Vehicles (including mileage charges by the staff for the use of

their own cars as well as rentals in the field); office equipment;

paper; printing the questionnaire and miscellaneous printing and

P A D C 0

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continued .......

TABLE IV-4

(continued)

reproduction costs; telephones and other communications

expenses.

5.

Other Costs

(a) Overhead (indirect costs of maintaining the buildings, ad

ministrative staff, library, auditing, etc.).

(b) Publicity for the study; conferences during the planning

stages or later to discuss the results.

(c) Transportation of materials and equipment to and from field

sites.

(d)

P A D C 0

Rent for temporary office space during field work.

-189

implementing agencies. Monitoring systems should be concerned

with measuring actual progress against planned schedules and

identifying the reasons for any substantial delay in the

program. Monitoring should also keep track of actual versus

planned expenditures, noting the reasons for any overruns or

shortfalls in estimates. Other easily measurable indicators

such as the level of community participation or the rate of

attendance at training programs can also be monitored where

appropriate.

The monitoring system adopted should be kept as simple as

possible to limit the management resources required. Only the

This should be

most salient information need be tabulated.

done in aggregated indices at reasonable intervals.

Evaluation provides an analysis of the effects of a

project on the target population after the project is

It tests the success of the project in achieving

executed.
The results of the evaluation

its initial goals and purposes.

should be used to improve the policy, planning and

It is often preferable for

implementation of future projects.

evaluations to be carried out by outside agencies such as

Evaluations can be extensive and

universities or consultants.
The cost of evaluations should be kept in

costly efforts.
proportion to the scope of IIPUP programs and projects. Given

the limited scope of many of the initial IIPUP efforts, the

scale of evaluation must be held to reasonable levels.

Evaluations can be limited in their complexity to reduce the

time and expense required. They can also be undertaken on a

limited scale only on selected projects which have particular

characteristics of interest.

Evaluations should measure the impact of the project in

terms of its original goals and, purposes (see Part I, Section

Accurate indicators will be required to measure progress

A).
towards these goals and purposes.

Indicators of the goals might include the daily

consumption of water or the caloric intake of the target

Indicators of improved asset positions might be home

group.
Measures of intermediate

ownership or increased land values.

These might include the

purposes will also be important.

levels of employment and incomes of the target groups and the

The AID logical

availability of essential goods and services.

framework matrix provides a useful format for establishing

Table IV-5

evaluation criteria and means of measurement.

shows the goals and purposes of an IIPUP project with small

scale enterprise assistance in Tunisia and how they are to be

measured.

In order to be able to evaluate the project, it is

necessary to select appropriate indicators before initiating

PA D C 0

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TABLE IV-5:

THE GOALS AND PURPOSES OF SMALL SCALE ENTERPRISE

ASSISTANCE IN THE TUNISIAN IIPUP PROGRAM

GOALS

MEASURES OF GOAL ACHIEVEMENT

" Improved viability of

small business,

* Reduced business failure in project

area.

" Increased incomes.

9 Business and household incomes in

project area.

" Increased employment.

0 Levels of employment in project area.

Number of people employed by small

enterprise.

PURPOSES

CONDITIONS THAT WILL INDICATE

PURPOSE HAS BEEN ACHIEVED

" Establishment of re-

volving loan fund.

o At least 200 loans for small scale

enterprises issued per year in the

project area; minimal default rate.

* Establishment of

technical assistance

for small scale enter-

prises in:

-accounting
-inventory management
-marketing

* Trained technicians within the Labor

Office providing regular technical

assistance as required.

PADCO

-191

This should be done

the project and gathering baseline data.

at the time of initial data collection and surveying.

Baseline data may be available from secondary sources; it may

have to be collected from the participants.

An evaluation compares the outcome of the project, as

measured by the selected indicators, to what the outcome would

The key indicators

have been in the absence of the project.

are studied using one or more of the following comparisons:

* The comparison of before and after program

situations.

* The comparison of individuals randomly assigned

the project to individuals not participating.

to

* The comparison of indicators from the project area

with indicators from areas that did not experience

the project.

* The comparison of indicators on groups of individuals

who experienced the project with groups who did not

(whose selection cannot be purely random).

a. Comparison of Before and After Situations

The simplest type of evaluation is a before and after

comparison which measures the impacts of the project on the

target group.
Such a comparison requires that adequate

baseline data be collected in advance of the project for the

types of indicators suggested above.

These indicators should

be reassessed at appropriate times after the project.

In the

case of a project which involves physical improvements, such

an assessment should take place immediately after the

improvement and again after a period of two to three years.

Before and after comparisons may be sufficient to assess

For

many of the types of improvements brought by IIPUP.

example, an increase in the consumption of water after the

installation of a water system would probably not have taken

place without the project.

Changes in other indicators such

as land value increases or higher incomes may not be entirely

due to the IIPUP project.

For this reason, more complex

evaluation systems may be required.

b.

The Comparison of Individuals Randomly Assigned to

the Project with Individuals Not Participating

Errors may arise in an evaluation if the project results

are compared to situations using a methodology that is either

biased or inefficient.
An evaluation is biased if there are

systematic differences between the two situations or groups

P A D C 0

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being.compared other than those related to experiencing or not

experiencing the program. An evaluation is inefficient if

there are so many random differences between comparison groups

that there is a high probability of obtaining a spurious

result.

Bias in an evaluation can be minimized if participants

are assigned randomly to the program and a control group is

maintained of individuals who do not participate.

Random

control group selection minimizes the effects on the

evaluation of extraneous factors.

Random assignment does not necessarily eliminate

inefficiency, however, for although there may be no systematic

differences in the two groups, there may be a substantial

degree of random difference.

The random element can be

reduced by simply increasing the sample size in the evaluation

because random differences usually average out in large

samples.
Thus, although random assignment is the most

desirable evaluation from the point of view of bias, its

advantage from the standpoint of efficiency depends upon how

many observations can be examined, which is in turn a function

of the evaluation budget.

Although purely random assignment can provide the least

biased evaluation, it is neither possible nor desirable in

most IIPUP situations.

IIPUP projects which are concentrated

in specific sites cannot select individual participants

randomly. By their nature, they must cover the entire site.

Random selection and the maintenance of control groups is

time-consuming and expensive and probably not affordable in

most IIPUP situations.

It would also be difficult to deny

services to the control group.

For these reasons, somewhat

less precise evaluation methodologies may be more appropriate

for most IIPUP situations.

c. The Comparison of Indicators from the Project Area

with Indicators from Other Areas

Because many IIPUP programs will be located in specific

sites, it is possible to undertake quasi-experimental

evaluations that approximate random assignment. The approach

is to select control sites that are similar to the IIPUP

program sites.
Project participants are randomly selected

from the project sites and control or comparison group members

are randomly selected from the control sites.

The World Bank

is using this type of evaluation for many of its slum

improvement projects.

It is important that the control sites selected be well

removed from areas in which the program is taking place.

If

the sites overlap, two kinds of problems could arise.

First,

P A D C O

-193

individuals in the control sample may have had the opportunity

to participate in some aspects of the program but decided not

to participate.
This could result in a s3lectivity bias.

Second, a program concentrated in a geographic site may have

effects on the behavior of nearby non-participants.

For

example, a program that provides job training to some

residents of the program site may reduce the supply of

unskilled labor in the entire area and raise the wage rates

for unskilled labor.

This may encourage nearby residents who

otherwise would not be in the labor force to look for work

(e.g. women).

Control sites should be identified that match the program

site as closely as possible along important dimensions of

target group and area characteristics.

Then, each site should

be given a selection probability in proportion to its

similarity to the program site, and control sites should be

randomly selected. Next, the population of each control site

should be examined and each individual assigned a selection

probability according to the individual's similarity to

program participants.
The control sample should then be

selected randomly with probability proportional to similarity

to the experimental sample.

This method produces two groups that will probably not

differ in important ways.

Any remaining observed differences

can be accounted for in the evaluation analysis.

d. The Comparison of Indicators on Groups of Individuals

Who Experienced the Project with Groups Who Did Not

This type of evaluation is similar to the one described

above.
It is used by the World Bank for the evaluation of

sites and services projects.

A control group is selected

randomly from non-participants from the same sites fron which

participants are selected. Thus, control groups come from the

same low income population as the participants sample.

As discussed above, this type of evaluation may result in

a biased evaluation for two reasons.

First, because the

members of the control group may have had an opportunity to

become members of the participant group, either through their

own choice or by being chosen for services, the possibility of

a selectivity bias exists.13 Second, because the control

group lives in the same neighborhoods as the participant

group, the possibility exists that they would be affected by

13 Early tabulations

from the San Salvador

site

indicate that

indeed the characteristics of the control group differ from

that of the participant group.

The latter sample has higher

income, better motivation, more education, etc.

P A D C O

-194

the project through the kinds of spill-over effects described

above.
For example, the price on availability of housing,

building materials or construction labor may change in the

site as a result of the project.

This type of evaluation is somewhat short of pure random

assignment but maintains many of the advantages of more

statistically accurate methodologies.

It provides a good

compromise between limited evaluation resources and the

realities of operating in the developing countries on the one

hand, and requirements of accuracy in evaluation on the other.

P A D C O

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PLANNING

AND

DEVELOPMENT

COLLABORATIVE

INTERNATIONAL

INTEGRATED IMPROVEMENT PROGRAM

FOR THE URBAN POOR

AN ORIENTATION FOR PROJECT

DESIGN AND IMPLEMENTATION

VOLUME II

ANNEXES

MAY

1980

PADCO
AN INTERNATIONAL COLLABORATIVE FORMED TO
PROVIDE GOVERNMENTS AND PRIVATE CLIENTS IN
AFRICA, ASIA, LATIN AMERICA AND THE NEAR EAST
WITH INTEGRATED RESEARCH, PLANNING AND MANAGEMENT
SERVICES
FOR URBAN AND RURAL DEVELOPMENT

a'L

INTEGRATED IMPROVEMENT PROGRAM FOR THE

URBAN POOR

AN ORIENTATION FOR PROJECT DESIGN

AND IMPLEMENTATION

ANNEXES

Volume II

Prepared

by

PADCO,

Inc.

AID Contract No. AID/otr-C-1627

Work Order No. 16

May 1980

P A D C 0

ANNEXES

Volume II

TABLE OF CONTENTS

pae

ANNEX I:

Components of IIPUP Projects

..

ANNEX II:

Case Studies .......

.......

. A-

..................

Case Studies from Domestic Experience

A- 39

Case Studies from International

Experience ......
................

A- 41

.A-

73

ANNEX III:

Checklist of Data Requirements for Designing

and Evaluating IIPUP Projects ..

.............

A-'91

ANNEX IV:

Bibliography ........

A-119

PA DCO

..................

ANNEX I

(X)MTPONENTS OF IIPUP PROJECTS

PADCO

A-I

ANNEX I

COMPONENTS OF
IIPUP PROJECTS

A/B. PROJECTS IN URBAN SHELTER PROVISION (A. Upgrading

of

Existing Settlements; B. Development of New Low Income

Communities)

1.

Shelter and the Urban Poor

Shelter is recognized as one of the basic

needs.

Most developing countries have established some human

kind of public

sector shelter program though the scale and terms of provision

vary widely.
As a general rule, the stated objective
of

public sector shelter programming is to meet the needs

of

the urban poor. However, all too often the actual result
of

such public sector activities has been to meet the needs

of

middle income groups, often with substantial subsidies,

rather than the needs of the urban poor.* Therefore,

signing IIPUP initiatives which involve the provision in de
of

shelter, particular concern must be given to insuring that

the desired target group is in fact benefited.

The priority given to shelter will tend to

vary according

to the target groups of concern. Shelter will be given

a

high priority by "consolidating households," somewhat lower

priority by "beachheading households" and "households .Lenting

by choice" and very low priority by "single migrants."

In responding to the shelter needs of the urban po>],

governments have essentially three areas of intervcoi.or

to

consider:

(a) To build shelter. Governments can actually

build the shelter units and provide them to the urban

poor

as rental or sales units

-- with or without subsidy,.
This

approach is the most expensive course of act i.on

as the

government is the developer and financier of all aspects

of

the shelter construction process.

It is also the most
de
manding on government technical and management resources

which are often in short supply.

(b) To finance shelter. Governments can arrange

for the financing of shelter with individual

households or the

For further details on this subject, see Preparing a National

Housing Policy, Alfred P. Van Huyck, Washington, D.C.,

1977.

P A D C 0

A-3

private sector responsible for planning and construction.

If government funds are used as

seed money through financial

institutions which also mobilize private savings, this ap

proach can ultimately provide more total dwelling units with

less public capital investment and with lower requirements

for government technical and management resources.

(c) To facilitate shelter. Governments can also

facilitate the provision of shelter by households and the

private sector through incentives such as tax incentives,

legislation such as building codes and zoning and provision

of technical assistance. This is the least costly to govern

ment and, unfortunately, a frequently overlooked approach

to reducing shelter deficits.

Shelter sector programs for the urban poor, to be effec

tive, must meet certain basic criteria:

* Shelter programs for the urban poor must be

capable of massive application on a sustained

basis.

They must have acceptable low per capita capital

and operating costs with potential for cost

recovery from the urban poor.

* They must provide substantial opportunity for

self-help and participation from the urban poor

themselves.

* They must have acceptable low levels of adminis

trative requirements.

* They must be flexible and capable of change in

response to changing needs of the urban poor

target groups.

Increased cost recovery from the dwelling units provided

is a particularly sensitive issue. Public housing units today

are often almost given away without recovery of either

principle or interest (in that if maintenance and adminis

tration were costed and inflation considered, recoveries would

not cover the replacement cost).

There is often little

relationship between rents and the ability to pay.

A much

greater share of real cost must be borne by the occupants if

housing production is to be increased.

At the heart of any public financial policy for housing

is the basic issue of subsidies. The subsidy element implied

in some public housing programs may be as high as 75 to 85

percent of the total cost of units for the low and middle

income groups. The real subsidy will actually increase in

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A-4

the years ahead as the real income of the target group lags

behind the increased cost of construction. All too often

subsidies in housing are not even known in quantified terms.

Subsidy estimates frequently fail to consider land costs,

trunk infrastructure and community facilities, steadily

increasing estate management costs and, importantly, the

need for a reserve for uncollected payments.

In most cases, the use of subsidies by governments acts

to the detriment of the housing sector because it tends to

limit the amount ef housing which can be built by the public

sector; it drives the private sector away from meeting the

needs of middle and low income groups because they cannot

compete with the subsidized pricing policies. It may not

be possible for a country to terminate all subsidies abruptly,

particularly in situationj in which a large amount of subsi

dized housing has already been introduced in the market.

The objective should be to

phase out general subsidies

over a reasonable period of time in order to establish viable,

self-financing public sector housing institutions.

The

first step is initiating adequate cost accounting of the

subsidies provided and moving away from interest rate sub

sidies (which require annual subsidy contributions during

the life of the mortgage) toward once-only write-down

subsidies. Specialized modest subsidies, which have a

national purpose, might be appropriate for clearly defined

situations.

It is relatively new to consider the provision of

shelter within the context of integrated programming for

the urban poor. In part, the recognition of the need for

a larger framework comes from the realization that higher

standards of shelter alone can contribute very little to

sustained economic and social improvement of households.

Shelter alone does not add to family income except when

subsidized shelter provides in-kind benefits.

Shelter does

not improve job skills for the unemployed, or literacy for

the illiterate or health care for the sick.

In short,

better shelter is not a solution to the root causes of

poverty. Therefore, housing planners have begun to think

of shelter as one part of an integrated physical, economic

and social program for the urban poor. In this sense, a

shelter component should be considered as simply one possible

element in IIPUP. The decision to include or not to include

a shelter component must be made based on local conditions,

the priorities of the target group beneficiaries and the

availability of resources.

Shelter may or may not be a component of an IIPUP program,

but if it is to be provided it should be related to other social

and economic programming if the full benefits of shelter are

to be realized.

P A D C O

A-5

The major advantages to including a shelter component

in IIPUP are:

9
It provides a locational focus to the program

and clearly identifies the target groups of

concern geographically.

9
It provides a dramatic physical change in the

residential environment which is often conducive

to community participation in follow-on social

and economic program components.

* If the shelter is provided on the basis of sales

to the target group households, it can make a

direct contribution to increasing the pool of

capital assets of the urban poor. This is a

major justification for sales of shelter rather

than renting of shelter by the public sector.

Equity in shelter can be used by households as

collateral for borrowings the generation of

economic activities, higher education or health

care, if required.

9 Shelter, when combined with secure land tenure,

encourages a sense of security and reduced vul

nerability which, in turn, is conducive to
com
munity organization and participation. These

are vital elements in the IIPUP process.

The major disadvantages to including a shelter component

in IIPUP are:

o
Shelter tends to be capital intensive, even when

care is taken to focus the program on minimum

standards and cost recovery.

9 Shelter and other physical components such as

infrastructure can be planned and built in

a

relatively short time (say one year or 18 months),

whereas other IIPUP components require much longer

time spans to be planned, implemented and have

the desired impact on the community. Therefore,

the shelter component often does not integrate

well into joint physical and social/economic pro

grams. This problem can be overcome initially by

recognizing the different time horizons of the

various components.

P A D C O

A-6

2. Types of Shelter Projects Likely to

be Important for IIPUP

Assuming that a shelter component is selected for in

clusion in IIPUP, there are
two types of projects likely to

be most relevant:
(a) upgrading

of existing settlements

and (b) development of new low income communities.

(a) Upgrading of existing settlements. In almost

all developing countries, the shelter deficits among the

urban poor are so great that the demolition of shelter units,

no matter how low standard, is rarely justified. The ulti

mate objective of shelter policy should be the maximum net

addition to the housing stock with the resources available.

Since demolition results in a reduction of housing stock,

it should be avoided except in necessary situations such as

housing which is subject to flooding or along essential

rights-cf-way.

Once the decision has been reached that low quality

shelter areas will not be demolished, it becomes logical to

upgrade them to provide a healthier environment and to en

hancc the standard of living of the occupants. Thu7, they

become excellent potential sites for IIPUP.

Upgrading programs as currently being undertaken by

developing countries, frequently with AID or World Bank

assistance, have been primarily concerned with improvements

in the physical infrastructure such as improvements in road

surfaces and footpaths, drainage, water supply, sanitation

and solid waste disposal. The standards used will obviously

affect the cost, but, in Indonesia and India, significant

environmental improvements have been made in uprading areas

with costs as low as U.S.$40 to U.S.$60 per capita.

Upgrading programs have been most successful when some

form of legal land tenure has been provided for the occupants.

With legal land tenure has come an increased sense of security

which stimulates household investment in the shelter units

themselves.
This process can be further enhanced if the

households are provided with access to credit for home im

provement or for locally based economic activities. Other

social and economic components can also be added to upgrading

programs either concurrently or as follow-on activities after

the physical improvements are in place.

The process of conducting an upgrading program can in

itself be used to
stimulate community organization for self
help. This is particularly useful for the maintenance of

improvements which has frequently proven to be

a problem if

neglected during the planning.

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A-7

The actual mix of physical, social and economic

improve
ments to be provided in an upgrading program should
be

carefully selected to reflect the real needs and

priorities

of the target groups in the area.

If the upgrading
program

does not meet the objectives of the community, it

often

leads to neglect of the facilities or even the

departure of

the target group and replacement by others. For

standards are set too high, the upgrading area mayexample, if

become so

attractive to middle and upper income households

that the urban

poor will be forced out of the improved area.

Individual upgrading projects make less impact

if they

are not undertaken as part of an overall citywide

program.

From the start, upgrading should be thought of as

a continuing

program activity.
Some cities have managed to upgrade
10

percent of the target areas per year with a second

round
of

upgrading following during the second decade of

the program.

This requires the establishment of a permanent upgrading

capability within the city government.

(b) Development of new low income settlements.

One

of the most dramatic phenomena of the last third

of the 20th

century is the accelerating shift from rural to

urban centers

of the population of the developing countries.

This,
with continuing high rates of natural increase within coupled

the

existing urban centers, places enormous pressure

on govern
ments to increase the housing stock.

The reality is that walk-up flats or complete housing

units of relatively large size simply require too

much
per unit for the public sector to make the investment capital

at the

scale required or for the majority of the urban

population.

New approaches must be applied.

Sites and services
is one

.promising approach.

Sites and services is the general name

to
an entire

range of shelter solutions which fall

short given
of the provision

of complete dwelling units.

Most often sites and
services

projects fall into cne of the following categories:

9
A land plot with community shared water supply

(standpipes), sanitation (pit latrines) and

footpaths.

*
A land plot with individual plot connected water

pipes and sanitation.

e
A land plot with some form of partial dwelling

unit ranging from a plinth, a plinth with walls

or roof or a single room (frequently called a

core house).

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A-8

In every case, a sites and services project provides

a household with a plot (the site) and some access to

infrastructure
(the services).
The infrastructure and

core house standards vary widely.*

Sites and services projects assume that the individual

household will continue to improve its shelter over the years

of occupancy.
This ability of individual households has been

demonstrated in many existing projects.

When additional

credit is available to the household, this process can be

accelerated.

The major advantage to governments of the sites and

services approach is that it reduces the capital costs of

providing initial shelter to a household. Experience has

shown that six %Lc

ten sites and services units can be pro
vided for the cost of one walk-up flat, depending on the

actual standards used.

A major obstacle to increased use of the sites and ser

vices approach seems to be the resistance of politicians to

accept the reality that government cannot provide mass

shelter at high standards. There is also an apprehension

that the sites and services solution is too far below the

aspirations of the people to be accepted without political

cost.
(This ignores the fact that "aspirations" are

frequently a reaction to the promises of the politicians

themselves.)

It is frequently desirable to combine sites and servic.s

projects with other IIPUP components. Whereas in upgrading

programs neighborhoods already exist with some form of social

organization, sites and services projects involve new house

holds with an urgent need for social services, community

development activities and economic procrams.

C. PROJECTS IN EMPLOYMENT GENERATION: ASSISTANCE

TO SMALL SCALE ENTERPRISE**

1. Assistance to Small Scale Enterprise and

the Urban Poor

Industrial policy in the developing countries has tradi

tionally encouraged the growth of large scale firms based on

For a methodology for planning appropriate standards, see

A Model for Analyzing Alternatives in Urban Project Design,

Alain Bertaud et aZ., CITRUD, Washington, D.C., 1978.

This section relies heavily on the materials contained in

Employment and Development of Small Enterprises, The World

Bank, February 1978.

A-9

Western models. Although such a policy has clearly resulted

in higher levels of output and productivity, unemployment

levels have frequently remained very high. Thus, rising

output has often been associated with rising poverty.

It is for this reason that creating jobs for the urban

poor through assistance to small scale enterprise (SSE) is

now regarded as
an important component of industrial de
velopment policy. The policy's conceptual basis rests on

the fact that the labor absorption capacity of SSE is

greater than it is in other sectors. In other words, SSE

is able to substitute labor for capital more efficiently

than either agriculture, which suffers chronically from

overemployment, or modern large scale industry where invest

ment costs per job are relatively high.

Before this absorption capacity potential can be rea

lized, however, SSE requires various types of external

assistance to resolve certain problems tending to restrict

its development.

Any catalog of these problems should distinguish be

tween those faced by small (formal sector) enterprises that

are relatively modern and organized and those faced by firms

(informal sector) which account for the major share of non

agricultural employment typically engaged in repair work,

artisan production, market vending, lical transportation,

handicrafts, custom jobbing, construction and small scale

processing of primary products.

On the other hand, the

differences in these problem sets are often a matter of

degree; all SSEs are faced to a greater or lesser extent

with the following five types of problems:

(a) Limited access to credit. Securing credit

to finance fixed and working capital needs is perhaps the

most difficult problem confronting SSE in both the formal

and informal sectors. Since neither has access to institu

tional credit facilities, firms in the formal sector are

usually limited to internal cash generation and personal

savings, while those in the informal sector whose saving

propensities are much lower typically depend on the money

lender who charges rates of interest considerably in excess

of market rates and who rarely makes loans for investment

purposes.

(b) Limited markets. A central problem for most

small businesses is the limited size of their markets.

This

constraint can be largely accounted for by the following

factors:

e
Shifts in consumer demand away from traditional

SSE products.

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A-10

Spatial remoteness from medium and large scale

industry.

The lack of direct institutional (government) pro

curement of SSE products.

(c) Limited space for industrial establishment

and expansion.
Space for small scale industries is often

limited.
It is not unusual for small commercial enterprises

to be located in densely inhabited dwelling units where space

is already limited, particularly in low income areas.

A

study in Honduras found that a major constraint in the

growth of small scale industry was a lack of space for ex

pansion of existing enterprises and for the establishment of

new ones.

(d) Limited access to material supplies. Due pri

marily to their dependence on middlemen whose services are

often unreliable and to inadequate cash or credit for economical

and timely purchases, SSE has poor access

to both domestic and

imported material inputs. Moreover, when supplies are ac

quired, they are likely to be of relatively inferior quality.

(e) Limited levels of technology and organization.

Small scale businesses, by definition, cannot capture the

benefits of scale economies and specialization. Thus, SSE

is characterized by poor purchasing, production and marketing

organization, particularly in the informal sector where a

single person frequently performs all functions. Individually,

the SSE cannot afford the large amounts of capital and

specialized personnel needed for bulk raw material purchases,

improved production technologies and sales promotions that

would be essential to expanding their operations and creating

additional jobs.

2.

Types of Projects for Assisting SSE

As these developmental problems have come into sharper

focus, external assistance programs have devised a number of

projects to assist SSE in resolving them. The following

summarizes some of the more noteworthy approaches.

(a) Projects for improving access to credit. Pro

jects for improving SSE access to credit in the developing

world usually concentrate on the working capital needs of

labor intensive firms in the manufacturing sector. In

some

cases, they include loans for the purchase of buildings and

equipment.

P A

CO

A-II

The most conventional approach utilizes financial inter

mediaries* to make loans to SSEs in the formal sector at

reduced interest rates over extended repayment periods. For

example, in El Salvador, a World Bank loan to finance a SSE

credit scheme is being administered by FEDICREDITO (Federcion

de Cajas de Credito), an autonomous state enterprise which

has 39 affiliated branches. Loans are made for working

capital, tools and equipment and workshop construction and

improvement. The loans are at 15 percent, repayable in one

to 12 years.

The World Bank's Manila Urban Development Project pro

vides yet another example of the approach. Here, the Develop
ment Bank of the Philippines administers a World Bank loan

($440,000) to provide credit to small businesses at 12 per

cent, repayable up to 7 years. This is an experimental

program to see if arrearage levels can be kept low enough

to attract private sector banking interest in administering

such funds.

The more non-conventional approaches to widening credit

access feature efforts to reduce the collateral requirements

of financial institutions through devices such as hire

purchase agreements, government guarantee funds or outright

seed capital grants.

Unfortunately, efforts to channel credit to the informal

sector are severely restricted by the inadequacy of existing

financial institutions to service the needs of vast numbers

of small non-manufacturing enterprises. There are, however,

some projects in the experimental state that are seeking ways

to replace middlemen and moneylenders with formal structures

or to modify the nature of their relationships w-th small

firms.

(b) Projects for increasing market size. A number

of public programs to encourage direct institutional procure

ment of SSE products have been established in developing

countries. These programs recognize that small firms can

compete effectively in supplying many kinds of standard

products: tools, uniforms, office equipment, etc.

Financial intermediaries can include commercial banks, in

vestment companies, mass-oriented intermediaries (such as

worker's banks, credit unions, savings and loans, etc.),

co
operatives, middlemen and moneylenders and institutions engaged

in development programs which incorporate credit and assistance

to SSEs.

P A D C O

A-12

To actually enable small firms to obtain contracts,

however, a wide range of assistance mechanisms are required.

In India, for example, the Government Stores Purchase Program

reserves 192 types of products for the exclusive purchase

from (21,000) SSE participants. In a less forceful manner,

Botswana and Lesotho use SSE intermediaries which attempt

systematically to keep the SSE sector aware of tender notices;

to help them fill out contract forms and provide other tech
nical assistance; to intercede with the authorities against

unduly restrictive specifications or contract conditions;

and to provide finance when needed.

In addition to final products, SSE is also capable of

supplying many kinds of standardized intermediate goods if

technical assistance to promote subcontracting is forthcoming.

Institutional support to widen SSE markets through subcon

tracting has been extensively applied in Japan, Korea, India

and Latin America where programs have ranged from the pro
vision of blueprints and models to advice on using the right

kinds of machines and fixtures to the application of new

products and to intensive help on managerial problems.

Another important way to promote subcontracts for SSE in

the formal sector is through the design of industrial estates

that provide space and facilities for a wide range of estab

lishment sizes. An illustration of this approach is provided

by the Rabat Urban Development Project of the World Bank

where the design of an 11 ha. industrial estate will promote

SSE integration by means of a small business promotion unit

that will provide technical assistance in marketing, pro

duction and management.

(c) Projects to provide space for commercial

activity. Frequently land for commercial activities such

as manufacturing units, workshops and commerce is included

in sites and services and squatter upgrading schemes.

Basic Tnfrastructure necessary for small scale industry

is difficult for entrepreneurs to obtain on their own.

When serviced sites are provided in close proximity to each

other, it makes it easier to provide services and technical

assistance. It also may facilitate the transition from

individual to cooperative transactions which permit bulk

procurement of materials and supplies.

In the World Bank's Zambia project, industrial and com

mercial facilities will be grouped in areas of about one

hectare consisting of about 40 sites. Serviced small

industrial sites of about 250 m

2 will be allocated with

building loans at market prices for use by manufacturing

or repair shops. Some groups of sites will be rented or

sold to non-profit institutions which will provide

P A D C O

A-13

superstructures, credit, technical assistance, related training

and cooperative activities. Land will also be developed for

individual use for informal commerce. Rental kiosks for small

shops will be provided at densities typical of existing low

income areas.
Market space for hawkers of food and consumer

goods will also be provided.

(d) Projects for raising levels of technology and

organization. Project support for small enterprises in this

area typically falls into two categories:

Technical assistance in modifying existing tech

nologies in production and in quality control.

Technical assistance in marketing, production

planning and financial management.

An excellent example of the first type is the case of the

Tanzanian Integrated Boat Building/Fishing Project whose ob

jective was to increase employment and income by revitalizing

two declining industries. The project successfully experimented

with the conversion of traditional boats with simple tools and

converted industrial engines.

This approach had the advantages

of using local resources, introducing a technology under

standable to the craftsmen and enlarging the catch area for

fishermen who use the boats.

The use of imported boats would

have furthered dependency rather than self-reliance.

Examples of the second type are often contained as items

within an assistance package; the World Banks' Ghana Urban

Development Project is a case in point. In addition to es

tablishing a financial intermediary program for improving

access to credit, the Project also provides for advisory

services and training for small businesses in conjunction

with a management intermediary: the Management Development

and Productivity Institute. This component includes assis

tance in such things as filling out loan applications, advicc

on day-to-day management problems and information on training

opportunities.

D. PROJECTS IN EMPLOYMENT GENERATION; OTHER

EMPLOYMENT ASSISTANCE

Creating jobs for the urban poor is a large and complex

task requiring progralrLmatic action along a number of fronts.

As such, the development of small scale enterprises must often

be augmented by approaches that are more direct. Two of the

most important of these approaches involve:

9
Efforts to increase direct governmental hiring of

individuals.

P A D C 0

A-14

e
Efforts to raise the productivity of individuals

outside of specific enterprises.

Before describing each of these approaches, note that

the latter would attempt to increase the supply of skilled

labor, while the former, as in the

case of SSE assistance,

concentrates on the demand side.

1.

Direct Governmental Hiring of Individuals

The relative importance of individual sectors in employ

ment assistance projects based on direct governmental hiring

of individuals will vary from place to place.

Where national
ized industry is significant, there will be opportunities in

manufacturing.
Even where this is not a sector in which

there is major governmental activity, there are likelv to hP

opportunities in construction, public transportation, environ

mental sanitation and administration.

In construction, it is likely to be possible to reach

well down the income scale.

Here, there are excellent

opportunities for governments to influence both employment

generation and product quality through experiments with more

labor intensive building technologies, through building

research and through demonstration projects. The scale of

government building operations often is such that governments

can also encourage standardization and efficiency in construc

tion related industries such as brickmaking, joinery, hardware

and furnituremaking.
The nature of the employment impact of

construction will depend partly upon the particular sub

sectors involved. In housing, for example, if there is a

steady demand for housing, there will be an opportunity to

generate relatively stable employment. In subsectors such as

road construction, public buildings and utilities, levels of

activity may fluctuate markedly; if this is the case, it will

be important to schedule individual projects to avoid major

localized peaks and drops in the demand for labor.

In the mass transportation sector, there are opportunities

for generating employment at a variety of skill levels in pro

duction (e.g. body-building), operations, maintenance and

management.
This sector also provides a useful training ground

for the development of skills that will increase labor mobility.

In sanitation, there may be opportunities to use tradi

tional labor intensive technologies for street cleaning,

drainage maintenance, garbage and the collection and disposal

of human wastes. In addition to the employment advantages

of this, it may also help to avoid the maintenance problems

P A D C O

A-15

and expense often associated with the adoption of sophisti

cated capital intensive technologies.

In administration, there are many opportunities to employ

maintenance and security staff, messengers and low skilled

support staff of various kinds.

Support staff used purposely

to back up the very limited number of skilled administrators

usually available can increase the productivity of the latter

greatly, especially where such things as communications and

transpor-ation are underdeveloped. A caution is in order,

however, since excessive numbers of "support" staff can

easily become counterproductive.

Direct governmental employment in sectors such as those

suggested can impact virtually all target groups except those

whose productivity is so inherently low that they need remedial

or special support. It is important that it be used construc

tively and aggressively, however, to increase productivity -
not just as a cushioning device which maintains a permanent

state of subsistence for the otherwise unemployable.

2. Increasing the Productivity of Individuals

Outside of Specific Enterprises

Provided that real demand exists, other types of employ

ment assistance projects may focus on the supply side
-- that

is, on increasing the productivity of individuals directly so

that they can take advantage of existing or new demand.

Such

projects (in contrast to worker training in an enterprise)

often are undertaken outside individual enterprises:

e
Because their intention is to prepare individuals

to respond to a variety of types of job opportuni

ties.

* Because there is no
formal training available in the

enterprises for which individuals presently work.

e Because the individuals involved are not yet skilled

enough to obtain jobs in any enterprise.

It may be useful to consider such productivity oriented

projects in two broad categories:

o
Projects intended to increase worker productivity

generally.

o Projects intended to
increase productivity for a

specific skill or a specific range of skills.

P A
D C 0

A-16

Projects of the first type include those which incorpor

ate such things as water supply, sanitation, nutrition,

personal health care and literacy. Projects of the second

type are designed to develop a specific set of skills;

they often need to have projects of the first type under

taken with them if they are to be fully successful.

Projects of the first type often will be basic ingredients

of household or community improvement programs. A word of

caution is in order on projects of the second type. There

have been many cases in which worker (or potential worker)

training undertaken outside of a particular enterprise has

failed -- either because the skills imparted were not really

of high enough quality to be utilized by any serious enterprise

or because there was

no real demand for the skills provided.

Some artisan training projects have suffered from the second

problem. As a general rule (to which there are, of course,

exceptions), it seems preferable to undertake technical

training within enterprises so that the skills developed can

be tailored to real needs. When this is not possible, there

should at least be an opportunity for potential employers of

trainees to influence training programs to help to insure that

they will result in the development of employable skills.

In some cases, community center projects have been de

signed to increase local income and employment through the

development of basic skills such as carpentry, masonry,

plumbing, welding and sewing and through support for home

industries which can be organized into cooperatives. Some

training centers carry out market research and project iden

tification work, as well as acting as production centers and

marketing agents, achieving financial self-sufficiency through

commissions earned on their marketing services.

Projects designed to increase productivity outside

specific enterprises are likely to be most beneficial for

the unemployed. Properly designed, they should be able to

reach a wide variety of types of unemployed individuals,

including women with continuing family responsibilities who

can undertake only part-time employment. They are also among

the types of support that should be able to reach those who

are "externally-oriented" or "in-transit" and without property

rights or secure squatting status.

In Guyana, a community "resource center" in an urban slum

has evolved into a training, production and marketing center

for the unemployed. The center began with the provision of

pre- and post-natal care and developed into a local meeting

place, thus establishing strong roots and identity within the

community. It became an urban grassroots mechanism for the

stimulation of community action. The self-help/training

project utilized employment-oriented action programs as an

P A D C 0

A-17

instrument for awakening productive community participation.

Its principal objectives were to develop local skills and

talents and to help organize home industries to produce income

and employment where none presently existed.

It also aimed

to nurture self-reliance through self-employment. Twelve

week courses are now offered in carpenty, masonry, plumbing,

welding, sewing and candymaking to a total of 500 students

throughout the year. Those who complete the courses are

encouraged to set up home workshops which will be organized

into cooperatives, while those unable to work at home continue

to use center facilities.

E.

SERVICES IN INFORMAL ADULT EDUCATION

1.

Education and the Urban Poor

Formal education systems are frequently blamed for edu

cational deficiencies in the developing countries.
They often

lack the coverage to provide even basic education to the poor.

Although this problem is usually more critical among the

rural poor than among the urban poor, the urban poor frequently

lack the same access to formal education facilities as is

provided to middle and upper income groups.

This problem was

highlighted in an appraisal of squatter settlements in Lusaka,

Zambia, which showed that there was only one school in all of

the city's squatter settlements. Fifty percent of the

capital's population was virtually unserviced. In squatter

areas, primary school enrollment was only 36 percent compared

to 90 percent in the rest of the capital. New school facili

ties and improved staffing and equipment could be considered

as possible IIPUP components where formal education is

inadequate. IIPUP planners should be aware of the need to

improve access by the poor to educational systems. However,

major improvements to formal education systems are generally

beyond the scope of IIPUP programs and are not considered

in detail here.

The content of school curricula is another issue which

is potentially important to the urban poor.

Formal education

is frequently oriented too much towards preparation for

higher education and modern sector employment. This is often

dysfunctional because the majority of employment is in the

informal sector and other jobs requiring low skills. The

result in many countries has been large groups of unemployed

youths with few practical skills. However, although the con

tent of school curricula is important to the poor, major

policy changes in the type of education offered in formal

education systems will also generally be beyond the scope of

individual IIPUP programs.

PA D C

Problems of limited access to formal education and inap

propriate education can be partly addressed through separate

vocational education programs which teach practical skills

in both on and off-the-job settings. Some types of vocational

education which could be considered for IIPUP are presented

in Section D.

In many cases, the most relevant types of educational

services which can be considered for IIPUP are informal adult

education programs.
They are often run by health or social

welfare agencies rather than by education officials. These

can
be organized relatively quickly to meet the most pressing

educational deficits of specific low income communities through

a variety of means.
Examples of the most important types of

adult informal education are presented below.

2. Types of Adult Informal Education Relevant

to IIPUP

(a) Non-formal education programs in urban health,

sanitation and family planning. Non-formal education can be

an important complement to health services delivery programs

and environmental sanitation programs for low income groups.

People need basic information about the care and feeding of

children, childbirth, the preparation of food, disease

prevention and treatment, the protection of water and the

disposal of human and other wastes.

Community education

campaigns concerned with mass vaccination, environmental

sanitation, rat extermination and other related programs can

help to develop new attitudes about health.

Basic information on health and related subjects can be

conveyed to urban residents through a variety of means. Many

health education programs involve the use of health "promo

ters" who make family visits, especially to counsel expecting

and new mothers on child care and nutrition. Health promoters

are frequently trained with basic paramedical skills as is

the case of the "Red Medical Workers" in urban China who are

local housewives.
They provide basic health information to

households as well as simple preventive and curative medicine.

Television, radio, public billboards and other media have

been used effectively. A new low income settlement project

in Karachi, Pakistan, used television to deliver a number of

types of informal education including programs dealing with

public health, personal hygiene and sanitation.

Urban health centers are frequently important focal

points in community education. One center in Chetla, in

Calcutta, India, organized mass compaigns in smallpox vac

cination, cholera prevention, environmental sanitation and

family planning. It also provided consultation on malnutrition.

P A D C 0

A-19

(b) Literacy programs. Wide-ranging literacy is

clearly essential for effective social change of many kinds.

In many countries, literacy rates are especially low among

the less socially mobile families (Types I and II in Chapter

II).
In these cases, low literacy tends to be both a cause

and a result of poverty. However, the urbanization process

itself provides a useful opportunity for literacy programs.

New Urban migrants are often more highly motivated for

learning. The advantage of acquiring literacy is more

evident to them than to those who remain in rural areas.

Many literacy programs have concentrated on the general

population using such media as radio, television and news

papers to teach functional literacy. Others have used more

standard literacy training. There are many good examples

of innovative literacy instruction using these and other

means. However, many have failed because they have not

recognized the importance of individual motivation. While

it is important to select motivated individuals for training,

it is also important to offer literacy programs in

an envir
onment which is conducive to motivation. For this reason,

many literacy programs have been combined with other programs

of interest to the target population such as vocational

training, on-the-job work training and social centers.

An

example of this is a functional literacy program in a West

African country which was closely linked with a groundnut

production program at the local and national levels.

Another example of this type of motivation was recommended

for a low income settlement upgrading program in El Salvador.

A maximum effort was to be made to generate employment for the

unemployed residents of low income neighborhoods in the con

struction of infrastructure. Those benefiting from this

employment would also be encouraged to participate in func

tional literacy training as well as limited on-the-job

vocational education.
The program was to be conducted in

conjunction with several government adult education agencies.

(c) Education in civic participation. Much of the

effort to involve residents in the development of their

communities, as described in Section I, requires a range of

non-formal education to bring residents into productive

community participation. Households need certain types of

basic information in order to adapt and survive in an urban

environment. Less socially mobile households (Types I, II

and III described in Chapter II) need basic information on

employment opportunities, consumer information and information

on available community programs and services.

Consolidating households generally require a wider range

of civic education to facilitate their permanent settlement

in the urban areas. This may include information on

P A D C 0

A-20

participation in the political process, legal information,

public safety information, information on family budgeting

and the use of financial institutions. Many also require

information on cooperative techniques and community organi

zation.

There are many media channels available for this type

of community education. These include household visits,

community and religious meetings, advertisements in public

places and mass media.

F.

PROJECTS IN ENVIRONMENTAL SANITATION

1.

Environmental Sanitation and the Urban Poor

The components of environmental sanitation projects are

likely to be important parts of physical improvement and new

housing projects. Environmental sanitation is presented

here as a separate project type, however, because of its

special importance for the poorest urban groups. Many of

the poorest urban communities urgently require at least

minimal investments in water supply and sanitation. Such

minimal investments may differ from projects involving more

comprehensive urban upgrading because they involve a lower

standard of service. Minimal services may be provided in

communities which are not scheduled for permanent improve

ment but which suffer from immediate sanitation and disease

problems. There may be a greater argument for not recup

erating costs from such minimal investments because they are

relatively small, and they benefit the poorest groups.

Environmental sanitation is extremely important for the

health of the urban poor. It is generally a more important

determinant of health conditions than the level of health

services.
Groundwater is frequently polluted by inadequate

sewage disposal which makes surface wells unsafe for drinking.

Populations with poor water supplies have high rates of

morbidity-and mortality. In Honduras, over half of all

morbidity and mortality is due to water-borne diseases. The

incidence of typhoid, cholera and diarrheal disease is sig

nificantly less where there is a safe municipal water

supply. The incidence of disease has also been reduced

by the introduction of sanitary excreta disposal.

The most vulnerable poor living in crowded and unsani

tary conditions are the most exposed to the risk of disease.

They must frequently live in low-lying marginal areas subject

to flooding with little or no public services.

P A D C O

A-21

The problem of inequity has at least two important as

pects -- the physical availability of services and their

cost. Conditions in a major AsJ ,n metropolis

illustrate the

problem of physical availability. Only 30 percent of all

households have piped water connections. Only 20 percent

have sewer connections.

In that city, and in many others,

current policies are systematically biased in favor of the

affluent minority and a very small middle class

-- together

constituting somewhere between 10 and 20 percent of the

urban population. Water and sanitation systems are extended

expensively to serve large plots they have purchased specu

latively but do not occupy.
Taxes and low interest borrowing

are thus used to subsidize low density living for the few.

In addition to the lack of availability and poor quality

of water in poor neighborhoods, the poor frequently pay a

higher unit price for water.

A gallon of water distributed

through the informal system is generally more expensive than

water from direct connections. In one Latin American city,

the poor pay five to nine times as much for water as those

connected to the formal system.

(a) Water supply.

(i) Optimization of existing systems.

It is

not uncommon for large amounts of water to be lost from

existing systems. Repairs and maintenance of existing systems

can lead to substantial savings and an increased availability

of water for the poor.

Meters can be placed on the supplies

of large users. Overflow valves can be required on private

reservoirs and tanks. Inspectors can find and eliminate

illegal connections, damaged, missing and leaking faucets

and valves. Financial losses can be reduced through better

accounting, budgeting and collections. Many of these reforms

may be politically difficult, but the possible savings can

greatly reduce or
postpone capital investment.

Rationing and improved pricing can also increase the

water available for consumption by the urban poor. Water can

be rationed to prevent wasteful consumption by upper income

groups.
It can be more directly allocated to outlets in

poorer neighborhoods, especially during periods of critical

shortage.
Pricing systems can be reformed to establish more

equitable unit costs.

User charges can be adjusted to

assure that affluent consumers (who typically use large

quantities of water for non-essential purposes) pay the full

cost of extending infrastructure to

low density residential

areas.

(ii) Expansion of distribution systems. It

important to expand water systems to unserviced low income
is

areas, especially where groundwater is contaminated. Some

small improvements can be made to existing systems to increase

P A D C 0

A-22

output without large capital outlays. The distribution

system can be extended from existing mains to low income

neighborhoods as
part of squatter upgrading projects (where

existing slum areas are being improved) or sites and ser

vices projects for new low income settlement. Additional

community water taps can sometimes be added to existing

mains with relatively little effort.

Water supplies can be

stabilized by installing balancing reservoirs. In addition,

pressure in the system can be increased by greater pumping

from existing sources.

However, net benefits from increased

pumping will be reduced if existing losses from the system

are not first eliminated.

In many cases, large scale additions to treatment and

distribution systems are necessary.

One Asian city with a

serious water supply problem has developed a 10-year program

to expand its water supply. Estimates for 1973 showed a per

capita consumption of 34.5 gallons per day and a total con

sumption of 138 million gallons per day.
Total supply

amounted to 162 mgd.

Sixty percent of consumption was used

by households, but domestic water consumption varied from

10 gallons per day among the lowest income households to 100

gallons per day by upper income groups.

The 1985 water demand

has been assessed at 390 mgd. for a population of 6.9 million.

The cost of expanding the system has been estimated at about

$213 million, representing a cost of roughly $1.07 million

for each additional mgd. of capacity.

This includes roughly

equal costs for developing new sources and expanding the

distribution network.
It is expected that the distribution

of water will also improve among low income groups. By 1985,

approximately 80 percent of households are expected to have

individual water connections compared with a 1973 level of

33 percent.

(b)

Sewe: age.

(i) Optimization of existing systems.

High

proportions of the populations of most cities in the LDCs,

even the larger ones, have no access to a water-borne piped

sewerage system.
They are forced to use available open spaces,

streams or river beds or use simple (essentially village) pit

latrines, night soil collection systems or communal cess

pools.
The use of urban open spaces clearly has to be dis
couraged where densities are high.
The use of simple units

such as pit latrines, however, may have to be considered

acceptable, even at quite high densities, where capital

resources are very scarce.

In such situations, the task is

to make the necessarily simple system as economic and

hygienic as possible.

Latrines are often in poor states of repair.

They should

be inspected and repaired it neccesa-y to assure they are not

PA D C 0

A-23

accessible to flies or other animals.

It should also be

ascertained whether they represent a threat to groundwater,

especially if they are close to surface wells.

Night soil

collection can first be improved by making them on a more

regular basis and using more sanitary containers which

minimize exposure and danger of spillage. Specialized

trucks and other equipment can be used. Likewise, the

collection of wastes from cesspools can re improved.

In

both cases, collected wastes can be used in agriculture.

While the dangers of such systems can be minimized, contam

ination nevertheless remains a much more likely possibility

than with piped systems.

(ii) Additions to systems. In areas

are not too densely populated, new pit latrines can which

be con
sidered. This may not be possible where large amounts of

waste disposal would risk contamination of underground water,

surface water or surface soil.

In some cases, open surface sewers may be a "best

possible" solution.
The risks of contamination can
be mini
mized by separating them as far as
possible from homes,

covering them at least partially and assuring their outfall

to safe open water bodies or to existing trunk sewers.

Where

they must be close to residential or other major activity

areas, it may be possible to organize housing and other

land uses so that only small numbers of people are respon

sible for the maintenance of the sewers immediately serving

them; if this can be done, there may be

a direct sense of

responsibility and relatively good maintenance.

Even in
the

poorest areas, standards of hygiene and maintenance in private

or semi-private (in contrast to public) space often

are

quite high.

Communal cesspools and septic tanks are other intermediate

methods which may be appropriate in certain situations.

Where

populations are dense and latrines cannot be built, cesspools

may be the best solution. This may be especially true for

densely populated staging areas where residents and landlords

are unable or unwilling to make substantial investments.

As with individual night soil collection systems, cesspools

must be periodically drained of waste, and it may be possible

to process that waste for use in agriculture.

Conventional sanitary sewer connections are still pref

erable in a number of situations, especially for the more

stable poor who are becoming permanently established in

urban

areas. Standards may be reduced through the use of less

ex
pensive fixtures without compromising on sanitation. Where

individual installations are not feasible, as in the case

of many squatter upgrading programs, community facilities

may be constructed reasonably inexpensively from a limited

P A D C 0

A-24

number of sewers in the project area.

with water outlets in bathhouses.

These can be combined

Incremental additions can be made to existing water

borne systems to use those systems more fully and make them

more responsive to the needs of the poor. Additional collec

tion points often can be added to existing sewerage lines

at little expense.

(c) Drainage. The most vulnerable of the urban

poor, especially those living in low-lying, flood-prone areas,

suffer the most from the poor state of most drainage systems

in the developing world. In addition to physical vulnerability,

health conditions are notably worse among the urban poor

during seasons of heavy flooding.

Many existing drainage systems were designed to service

much smaller urbanized areas. However, as increased amounts

of land are covered with pavement and housing, less rain

water is absorbed by the soil. Frequently, it is necessary

to expand existing systems Lo cope with larger amounts of

flood water. The problems of drainage, however, are affected

by problems in other sectors which should also be looked at.

Sometimes water, gas or sewer lines may be laid across storm

drainage channels to partially block the flow. During storm

flows, debris carried by high water may be caught on such

obstructions, block the flow and result in additional flooding.

Where solid waste systems are inadequate, large amounts of

human waste in storm drains, pose a serious health problem,

particularly during floods. Short term actions can be taken

to regulate street sweepinq and the dumpinq of sewaqe into

storm drains.

Poorly planned urbanization and improper agricultural

methods can cause erosion which clogs storm sewers during

floods. Where this is a problem, natural drainage channels

are likely to have to be stabilized as an immediate measure

to control erosion. Sustained improvements in the regula

tion of land use and the protection of ground cover are

likely to be necessary long term measures in such situations,

as noted later.

Several actions can be taken to alleviate the most im

mediate prcblems of drainage systems. Drains can be cleared

of mud, debris and other obstructions, channels and pipes

can be repaired and manhole covers can be replaced. This

may involve the establishment of regular clearance schedules

before seasonal rains to reduce flood damage. Private

maintenance of local drains can be encouraged. In some

cases, local surface drains can be constructed relatively

quickly to discharge into existing main drains to utilize

existing capacity fully.

P A D C 0

A-25

A variety of long tezm programs should be considered

to control erosion damage. Urbanization can be regulated in

erosion-prone areas.
Check dams can be installed in areas

above cities to slow runoffs and to build up groundwater

levels. In addition, harmful agricultural practices such

as overgrazing may require organizational changes and staff

training (including a rethinking of the territorial respon

sibilities of municipalities) as well as considerable public

education.

(d) Solid wastes. Traditional collection methods

can be regulated and upgraded.

This may include improvements

to handcarts, the organization of the manual recovery of

reusable wastes and the organization and regulation of dumping.

In some cases where conventional truck collection, incinera

tion and sanitary land fill are already in use, they can be

improved and regulated more efficiently.

Most cities in the LDCs must expand their conventional

recovery, treatment and disposal systems substantially to

cope with growing quantities of solid wastes.

Such programs

are likely to benefit the urban poor directly. Low income

households are the most vulnerable victims of disease, rodent

infestation and other problems resulting from poor solid

waste removal systems.

One large Asian city is faced with a typical solid waste

problem. Approximately 1.2 pounds of refuse are generated

per head per day.* This produced a total of about 2,000 tons

of garbage per day in 1973. The figure may be as high as

4,000 tons per day by 1985.

A refuse collection program

utilizing heavy-duty 20-cubic yard compacting vehicles, two

20 ton per hour composting plants, eight bulldozers, 2,000

refuse bins and the development of disposal and land fill

sites is under consideration there. The development of such

a large scale program will require considerable staff training

and user education.

Resource conserving recovery and reuse systems may be

appropriate in some developing countries.

Informal systems

of recovery already exist in most cases.

The economic

feasibility of using such systems, or more labor intensive

ones, in the developing areas is likely to vary greatly with

the design of development. Scavengers extract every salable

Rates
than in
day may
careful

P A D C 0

of generation in the LDCs are generally much lower

the MDCs (where seven or eight pounds per capita per

be generated) because there is a necessarily more

use of almost everything.

A-26

item --
old
machine parts, used household utensils, scrap

paper, metal and the rest.

G. PROJECTS IN URBAN HEALTH SERVICES

1. Health and the Urban Poor

Although the rural poor often have more limited access

to health services than the urban poor, the health conditions

of the urban poor are in many ways more alarming. Low income

neighborhoods typically have high residential densities and

poor water supply and sanitation. These conditions facili

tate the spread of
a variety of air-borne and water-borne

communicable diseases as well as

serious epidemics. Envir
onment related health problems are exacerbated by malnu
trition and, in many cases, ignorance about basic health

practices. Preventive and curative health services are also

generally inadequate. Poor health can result in job

absenteeism and low productivity. The cost of curative

treatment can require a high percentage of household income.

It is difficult to separate the health problems related

to poor environmental conditions from those related to poor

health services and ignorance. It is clear, however, that

health problems can frequently be addressed more effectively

by improving environmental conditions, particularly sani

tation and water supply, than by improving health services.

In most instances, the types of improvements listed in

Section F will be at least as

important in improving urban

health conditions
as will be improved health services. The

dissemination of information about basic hygiene and health

practices will also be import-.

(see Section E, "Services

in Informal Adult Education").

2. Types of Health Projects Likely to be

Important for IIPUP

Curative health services are unlikely to have adequate

results if preventive measures are not adequate.

The per

capita cost of preventive services is also likely to be much

lower than curative services.

A wider impact can be achieved

with preventive services from the same level of expenditure.

Most health services provided through IIPUP should be con

centrated on disease prevention, although improved low cost

curative services may be important in some instances.

(a) Preventive

health services.
The most important

components of preventive service projects are likely to

include regular health surveillance, regular dissemination

P A D C 0
A-27

of information on desirable health measures and available

health services, vaccination and instruction in personal

hygiene and nutrition. IIPUP programs can provide for the

construction and staffing of community health centers, but

such centers should generally require low amounts of capital

expenditure. In many cases, the construction of new facil

ities should be discouraged.

The focus should be on preventive health services and

improved community outreach. Paramedical personnel with a

wide range of health skills may be more effective for this

service than more specialized health professionals. Cases

requiring more expensive curative care can be referred

elsewhere. Where local clinics are not feasible or cannot

achieve the necessary coverage, mobile units or other

means of community outreach can be considered.

Paramedical personnel are an important part of urban

health delivery in China where large numbers of "barefoot

doctors," midwives and health aides are used in preventive

medicine and in the treatment of minor health problems.

Basic health services are thus made available to a broad

segment of the population. Cases requiring specialized

treatment are referred to central health care units.

An IIPUP project being implemented in a low income

neighborhood in Tunis will provide improved preventive

health services. An existing community healih center is

being strengthened to provide increased community outreach.

Initially, it will also pay the salaries of some of the

health personnel. Limited curative treatment will also be

provided, but more serious cases will be referred outside

the neighborhood.

(b) Mother/child, family planning and nutrition

services. In many cases, services related to pre- and post

natal care and family planning are carried out separately

from other health services. These services are aimed at a

specific target subgroup which can often be reached more

effectively with specialized services. In some cultures,

it is preferable to treat these matters separately from

other health services.

In Zambia, the emphasis in both nutrition and family

planning is on outreach to the target groups in their homes

as well as conventional activities in the clinics. The

nutrition component will consist of making mothers aware

of the importance of nutrition and of simple means of pre

paring locally available inexpensive foods. The project will

fund vehicles and equipment for home visits.

The Tunisia IIPUP program is planning to provide

improvements in mother/child care and family planning.

P A D C O

A-28

The

basic health center which will be supported by the program

will unite the services of a previously separate mother and

child center with a health dispensary in a new, larger

facility. The equipment and personnel will be improved,

and new efforts will be made to extend the program to

previously unreached families.

H.

PROJECTS IN PUBLIC TRANSPORTATION SERVICES

1.

Transportation and the Urban Poor

Projects in urban transportation services have their

most visible impact on "Consolidating Households" (Type V)

who generally live in the newly developing outer areas of

cities and in middle and upper income groups. These groups

require transport to commute to work and have the means to

pay for it. Nevertheless, in some of the larger cities with

populations of several million, walk or walk-and-cycle

trips may constitute as much as 40 percent of daily person

work trips and 60 to 70 percent of all daily person trips.

Transportation in its simplest form (including pedestrian

paths, bicycles and traditional modes) is, therefore, very

important to the
lowest income groups. Many pedestrians

are among the poorest and most debilitated of the poor for

whom the shortening of trip lengths is important.

Transportation provides the poor not only with access

to jobs. In itself, it is a source of employment. Trans

portation services facilitate the distribution of essential

commodities and the access of the poor to essential urban

services. They increase the supply of land suitable for

low income families and increase the value of land which

may be owned by those families.

There are several important issues which should be

recognized in planning transportation services for the urban

poor. They are important to the urban poor and should be

considered during IIPUP project planning, but they generally

involve policies which are beyond the scope of individual

IIPUP programs. The most important of these follow:

e
Policies should insure that a part of any additional

land supply created by improvements in transportation

becomes available to low income groups. Likewise,

policies which affect land use and the density of

residential and other land should strive to minimize

the need for transportation services, especially

for low income groups.

o
It may be advisable to restrict the importation,

production and use of private vehicles because they

P A D C 0

A-29

are inefficient and often inequitable users of

road space and energy.

* The choice of public transportation modes can be

important to low income groups.

Some employment

in traditional modes may be lost (for example,

as public transport is improved through the

adoption of intermediate or modern technologies).

* Importation and tax policies are important if

there is an intent to improve levels of service

in mass transportation for the poor, and there

is a heavy dependence on imports to achieve

this. Import regulations and tariffs should be

made consistent with this objective.

2. Types of Projects in Transportation Services

Relevant to IIPUP

As opposed to the broad types of policy measures listed

above, the following more specific project types may be of

direct applicability in IIPUP programs.

(a) Improved facilities and support for pedes

trians. Improvements in pedestrian movement benefit all

low income groups and often can be achieved very quickly at

low capital cost. In new low income areas, it is usually

possible to arrange land use to keep trip lengths short

enough for walking. In already built-up areas,

it is often

possible to improve conditions for pedestrians considerably

-- by changing traffic regulations which neglect them; by

improving sidewalks; by providing protective barriers

between pedestrian and vehicular movements in areas of

extreme conflict; and by preserving as pedestrian ways small

streets that are not needed for major vehicle movement.

Recent examples of metropolitan planning in which an

attempt is being made to exploit the potential of walking

for low income groups include the Karachi Development Plan,

1974-1985.*

(b) Facilities and support for bicycles.

The

bicycle is one of the most convenient and energy-efficient

forms of individual transportation available.

It is a mode

generally available to all but the lowest income groups.

Improvements in the levels of service can be achieved quickly

at very low capital cost through changes in traffic

Karachi Development Plan, 1974-1985, Master Plan Department,

Karachi Development Authority, 1973, pp. 244, 247.

P A
D C O

A-30

regulations and through reductions in import and sales

taxes.

The types of support for bicycle transportation that

can be considered include: assistance for production and

servicing; use of bicycles as parts of payment-in-kind

packages for labor contributed for housing and other pro

jects; provision of rights-of-way and facilities; estab
lishment of traffic regulations to support bicycle use; and

road user education.

The bicycle is used extensively in urban areas in a

number of countries including, for example, India, parts of

Pakistan and Tunisia.

(c) Facilities and support for traditional modes.

Traditional modes of goods and person movement for the poor

bear a great variety of local names. They include animal

drawn carts
for goods movement, handcarts (small and large

-- such as the 2-man handcards common in India),

animal

drawn vehicles for passengers (for example, the tongas and

victorias of Karachi), bicycle rickshaws and auto rickshaws.

All of
these provide adaptable forms of transportation

at relatively low capital cost.

The production, maintenance

and repair of vehicles, as well as their operation, provide

useful
sources of relatively low skilled employment. Like

bicycles, they can serve widely dispersed origins and des

tinations. Because the equipment and experience necessary

for operating traditional modes usually are readily

available locally, expansions in traditional systems

usually can be achieved quickly.

Their major potentially negative impact is their inter

ference with mass transit vehicles. This can be ameliorated

if fast and slow routes can be differentiated appropriately,

but this is often difficult to do.

To the extent that they can be provided for without

interfering excessively with essential forms of mass

trans
portation as
systems gradually modernize, traditional modes

should be encouraged rather than discouraged.

For the

non-motorized traditional modes, the case for supporting

them has become even stronger in the last several years as

fuel prices have risen.

The types of project support for traditional modes that

may be worth considering include:

9
A differentiation of the services that traditional

and modern modes can provide and the different i.n

centives and restrictions appropriate for each
-with large mass transit vehicles excluded from
P A D C 0

A-31

small streets that can be served best by smaller

vehicles and vice versa.
"

Support for owners and operators of traditional

modes in the form of credit and assistance in
obtaining parts and materials for construction
and maintenance.

"

Careful structuring of taxes and licensing fees

to avoid discouraging traditional modes.

(d) Mini-bus systems. The

the jeepney of Manila, the tap-tap of
forms of a small mass transit vehicle
transportation services for a part of
lation of those cities.

mini-bus of Karachi,
Port-au-Prince are

that provides useful

the low income popu

The ease and rapidity with which services can be expanded

with project assistance will vary considerably from place to

place depending, among other things, on the degree to which

the purchase of chassis involves foreign exchange versus the

conversion of existing used vehicles and the extent to

which bodies can be produced locally.

For these reasons and because of relatively high fares,

the role of mini-buses in low income transportation may be

more limited than most of the other modes discussed here,

but they can provide a higher level of service than buses

since they provide seats, travel at higher speeds and make

fewer stops.

(e) Buses. Buses are likely to play a major role

in transportation for the poor throughout the foreseeable

future in most cities of the developing world. Although

many bus systems are poorly managed, dramatic improvements

in services for low income groups can be achieved relatively

quickly through programs which combine the purchase of

additional vehicles with improvements in management, routing

and scheduling.

In undertaking projects to improve bus systems, it often

will be important to incorporate at least eight types of

action --
each of which, of course, may deserve different

emphasis in specific instances.

(1) IL may be necessary to expand bus fleets.

(2) It may be desirable to provide funding and

technical assistance for the design and pro

duction of complete vehicles or major components.

(3) It is likely that technical assistance will be

needed to improve system management. Deficiencies

P A D C 0

A-32

usually range from service planning (including

routing, scheduling and pricing) through pur

chasing procedures, workshop management and

maintenance.

(4) Realistic fare structures must be established

to enable systems to be commercially viable.

(5) Import

regulations and tariffs, vehicle and

fuel taxes and licensing fees should encourage

the development of effective bus services, not

hinder their development.

(6) It may be necessary to construct additional bus

terminals and/or intermodal terminals and im

prove layouts and facilities in existing terminals.

(7) It may be necessary to improve overall traffic

operations in order to help to take full advantage

of the potential efficiencies of buses.

(8) In almost all cases, it will be necessary to

undertake sustained driver training and road user

education programs.

I. PARTICIPANT MOBILIZATION

1. Participant Mobilization and the

Urban Poor

Effective community development is both an end in itself

and an important means of implementing many of the

other sub
stantive components of IIPUP.
The increased independence of

the urban poor is a fundamental concern of IIPUP.

It is

important for the poor to be involved in the decisions which

shape their lives. More participation by the poor in de

cision making will help to
insure future self-reliance.

Likewise, the opportunities for social interaction afforded

by the community development process are themselves important

to enrich the lives of the poor.

Community participation is also an important prerequisite

for the successful implementation of most of the IIPUP pro

ject components described here.
Where effective community

leaders and organizations exist and are involved in the

planning and implementation of IIPUP programs, the chances

of success and longevity of those programs are much greater.

P A
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2.

Types of Community Participation

Community participation is essential at a number of

stages in the IIPUP process. The urban poor have important

roles both as active participants in the planning and im

plementation process and as
informed beneficiaries of IIPUP

programs.

(a) Community involvement in project identifica

tion and design. Community organizations and representatives

can be used in gathering socioeconomic data for IIPUP project

planning. This may be especially useful in areas with

strong community organizations.

In many cases, community groups and leaders should be

involved in the project design process. This may be neces

sary to obtain community acceptance of a project. The

World Bank community improvement project in Zambia involved

community leaders in the physical design process.

A group

of community leaders was formed to decide on the alignment

of roads and community facilities. The project's pro

fessional staff acted as consultants to them.

The community improvement project planned for San Sal

vador recognized the importance of community involvement and

acceptance during the project design process, especially

where the costs of the project were to be recovered from

beneficiaries. In that project, community groups were to

be presented with sets of alternative levels of service for

infrastructure and community facilities together with cost

estimates in terms of the monthly payment required per

family for each level of service. The communities were

then to be given the opportunity to choose the set of

standards they were willing to pay for.

(b) Community involvement in project implementa

tion.
Many projects give community groups the opportunity

to participate in implementation. This can reduce the cost

of works and help build local self-reliance. In the

Indonesian Kampung Improvement Program, the kampung com

munities help to organize self-help labor, but most major

works are executed by contractors. There are many obstacles

to be overcome in organizing effective community mutual help

projects. The Zambia project ran into considerable problems

with self-help and it played a considerably smaller role

than was expected. Because mutual help used unskilled and

inexperienced labor, it required a large amount of super

visory personnel and was not cost effective. In the end,

contractors were allowed to use hired personnel in cases

where self-help interfered with the timely execution of the

project.

PA DC 0

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Self-help or mutual help should be distinguished from

individual self-help.
In many cases, individual self-help

is a more effective means of inducing participants to

contribute labor than mutual help.

However, projects in
volving individual self-help have to be carefully designed.

In many projects where participants were intended to

contribute self-help, they hired outside labor instead.

Beneficiaries frequently do not have enough spare time to

contribute the required self-help.

Cooperatives can be a useful means of involving com

munities in IIPUP projects. Housing cooperatives have been

used in many cases to mobilize support for planning and

implementation.
They are useful vehicles for project

management and maintenance after the implementation period.

Cooperatives can themselves be a means for achieving service

integration by channeling a range of services to members.

The Kampung Improvement Program in Jakarta, Indonesia,

has kampung (neighborhood) committees that are directly

involved in planning, execution and maintenance of works

executed in each kampung. The organization helps to es

tablish priorities for improvements which reflect the views

of residents. They respond to

official proposals concerning

the balance of social and physical infrastructure, location

of roads, footpaths, community sanitary facilities, schools

and health centers. They also respond to proposals on the

relocation of households and collections and expenditures

of compensation.

Community participation is especially important where

substantial road realignment, reblocking and relocation are

to occur (i.e. the value of people's assets are to be

affected).
For this reason, community participation has

been especially active in the Tondo Foreshore Redevelopment

Project in Manila where large numbers of households are

being relocated and otherwise significantly affected by the

project.

In many projects, there are opportunities for community

residents to work as paraprofessional staff. This is the

case, for example, of the "Red Medical Workers" in China

who perform a number of health maintenance and educational

tasks in their communities.

Many projects involve community residents in ongoing

project management, maintenance of improvements or collection

of payments.
In the Indonesian Kampung Improvement Program,

the Kampung Committees collect money for kampung maintenance

work and distribute money to help residents who are dislo

cated. However, in some cases, collections through community

organizations are difficult.

In the Zambia project, community

P A D C O

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leaders diJ not want to be involved in payment collection

as it was not to their poli.tical advantage.

(c) Community involvement in project evaluation.

IIPUP projects require constant feedback from beneficiaries

to assure their success and to improve the design of

sequent projects. Community organizations, together sub
with

project staff and social workers, have an important

role to

play in determining the impact of projects on beneficiaries

and conveying the results to IIPUP project planners.

(d) Community preparation for project participa

tion.
Many of the urban poor require specific information

or counseling in order to benefit fully from the services

offered under IIPUP.

Some of these types of information
are

referred to in Section E.
Two other areas are of such

importance that they merit specific mention.

(i) Information on credit.

Many of the urban

poor have no experience in the use of credit.

They
be familiarized with credit institutions and trained need to

in the

use of credit for home purchase and productive investment.

They must be convinced of the importance of repayment.

The

education of beneficiaries in the use of credit is

the best

way to reduce the risk of lending to low income groups

and

to increase the replicability of credit programs.

(ii) Legal assistance. Many compleN

actions may be necessary to implement IIPUP programs,legal

par
ticularly where changes in land tenure or rental status

are involved
(see Chapter VI).
It is important
provide

legal assistance to individual residents affectedto by

these

changes. The type of legal assistance will vary depending

on the specific types of changes contemplated. For

example, renters with landlord disputes will require

different services from those who own their houses

and

need to legalize their tenure.

J. PROJECTS TO IMPROVE THE WELFARE OF

THE NEEDIEST GROUPS

In every society, there are people in a position

dependency.
This includes the physically and mentally
of

handicapped, senior citizens and children.

Households

headed by women are

particularly disadvantaged in
many

societies. Chronically unemployed persons may require

special attention. In most countries, extended families

have traditionally cared for those who cannot care

for

themselves. However, traditional patterns frequently

break down as societies become urbanized. The pattern

this breakdown varies from country to country.
Urban
of

P A D C 0

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migrants who remain externally oriented may be performing

a welfare function for old and young relatives left in the

villages. As they become more consolidated in urban areas,

welfare ties usually become less important.

Most developing countries do not have the resources for

comprehensive welfare programs.

For this reason, governments

should strive to encourage family and other private welfare

activities. In most developing countries, there

are private

religious or other social services groups providing specialized

welfare assistance to the neediest groups.

It may be appropriate to include specialized welfare as

sistance in some IIPUP programs where a clear need can be

identified among the target population and a means of service

delivery exists. It may be less appropriate for governments

themselves to undertake major new programs in this field

unless resources are available and a high priority is at

tached to the service. A full listing of the types of welfare

services that that might be required is beyond the scope of

this paper.

Some of the types of services that might be considered

include programs to train the physically handicapped and the

blind and deaf, programs for orphans, programs for the elderly

and programs for the chronically ill. Daycare facilities

may help single parents who must work. Temporary shelter and

remedial shelter may be required by the chronically unemployed.

P A D C O

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ANNEX II

CASE STUDIES

PA DC 0

A-39

CASE STUDIES FROM DOMESTIC EXPERIENCE

The following case studies review the experience

of

several domestic programs with services integration.

Because

they deal with the problems of integrating services

provided

by a multiplicity of agencies, all of the cases

have
relevance to IIPUP programs.
The many difficulties some

cited in

domestic experience with integration suggest

that consid
erable cautior should be exercised in developing
services

integration programs elsewhere.

The Model Cities program was the most ambitious

federal

program attempting to integrate urban services.

It
provided

large grants for comprehensive programs in

cities.

with very limited success for a number of reasons, It met

including

a series of unforeseen obstacles to coordination

among

government agencies.

The Community Development Block Grant

(CDBG)
program

which has superseded the Model Cities program

gives
grants

for local discretionary use.

Because it has
a minimum of

restrictions and does not establish priorities

from above,

the program has met with greater success in

terms
of project

accomplishments.
However, the government is
less able to

assure that projects are directed to

the poor.

The Department of Health, Education and

Services Integration Targets of Opportunity Welfare
(HEW)

(SITO) program

experimented with several different types of

services inte
gration. While the results were varied, they
showed many

difficulties in building interagency linkages.

Title XX of the Social Security Act is

to promote services integration. It combinesanother attempt

several pre
viously separate grants into a single funding
source and

encourages more coordinated planning.

This
system
with some success, perhaps because its 6bjectives has met

were
limited.

Tn the United States, improved coordination

and joint

planning have worked best when the purpose was

to
fill a gap

in services.
They have not worked nearly as
well when they

have attempted to restructure the existing service

delivery

system.
This is partly because agencies are
reluctant
to

yield their "turf,"

even if it would decrease
their
workload.

In the developing countries, many IIPUP efforts

will inevi
tably involve new delivery systems where services
already exist or where they are not being extended do not

to the

target population.
In these cases, there is
likely to be

less conflict among agencies.

P A

C 0A-41

One of the major constraints to services integration

in

the United States has been the existing rules and regulations

governing the spending of federal funds.

The use of
funds is

often specified by client group and program category,

together

with detailed reporting requirements. This leaves government

agencies with little room to adjust their programs

to meet

integrated service delivery plans.

In the developing

countries, this is less likely to be a constraint.

New

programs will be less constrained by existing regulations.

In many cases, the availability of foreign assistance

may be

an inducement for changes in existing regulations.

The developing countries have less immediate need for

user

related services such as information systems, referral

and

individual outreach.
Such systems assume that a basic
service

delivery capacity is already in existance. This is

not the

case in most developing countries.

There, the emphasis

usually should be oni

building effective delivery systems.

In spite of the differences between developed and devel

oping countries, both will share many of the
same difficulties

and frustrations in building integrated service delivery

systems. Many of the problems relate to the nature

of in
dividuals and of institutions which is similar in most

countries.

Where some cooperation can be achieved in service delivery,

there are serious questions about the cost effectiveness

of

integration. This points to

the need to proceed cautiously

with any effort of services integration. A deliberate,

incre
mental approach is most likely to succeed.

P A D C 0

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A.

MODEL CITIES (HUD)

1.

Purpose of the Program

According to the enabling legislation, Title I of the

Demonstration Cities and Metropolitan Development Act of

1966 (P.L. 89-754), the purpose of Model Cities was

to pro
vide assistance for:

"comprehensive city demonstration projects containing

new and imaginative measures to rebuild or revitalize

large slums or blighted areas, expand housing, improve

job and income opportunities, reduce dependency on

welfare payments, improve educational facilities

and p:.ograms, combat disease and ill health, reduce

the incidence of crime and delinquency, enhance

recreational and cultural opportunities, establish

better access between homes and jobs, and generally

improve the living conditions of people who live in

such areas."

To qualify for grants, cities were required to submit a

proposal that described the nature and causes of the conditions

requiring correction, explained the proposed approaches for

solving the pi-blems in an effective and imaginative way and

demonstrated the competence of the city to execute the

proposed program successfully.

The legislation has since been superceded by the Housing

and Community Development Act of 1974 under which Model Cities

type activities can be funded through Community Development

Block Grants.*

Prior to the Model Cities program, the type and organiza

tion of federally funded social services varied depending on

the administration and on the social climate.**

In the 1930s

when community development meant funding for public works such

See Block Grant Case Study.

Community Development and the Model Cities Legacy, Bernard

Frieden and Marshall Kaplan, Joint Center for Urban Studies,

M.I.T.-Harvard, Cambridge, Mass., 1976.

P A D C O

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as playgrounds, the relatively well-to-do communities

usually

benefited
more than the poor. In the 1950s,
local and

federal funds destined to improve slum communities

went into

the physical aspects of urban renewal such

as highway con
struction, water and sewer facilities and open
Lyndon Johnson's Great Society program in the space.

1960s was

designed to alleviate both the physical and

the social mani
festations of poverty.
Between 1953 and 1966,
the number

and coverage of categorical aid programs had

increased

significantly. Congress established about

220 new grant

programs, more
than doubling the total number
in existence

prior to that time.

Most of the programs qualifying
for

funds had to follow detailed federal regulations

which
blocked

local initiative for solving poverty problems

in
a
comprehen
sive manner. The cities could not easily make
sense out of

the sizable inventory of various federal categorical

grants.

In addition, the success of the principal urban

categorical

program was questionable.

At a cost of over
$3 billion,

the Urban Renewal Program had actually decreased

the supply

of low cost housing in American cities.

The War on Poverty, administered by the Office

of Economic

Opportunity, was a response to this and an

effort to coordinate

the operations of numerous federal and local

institutions and

also to encourage community participation.

Thousands of

Community Action Agencies were created.

However,
in many

cases, mayors felt that their power was being

threatened and

demanded that Washington reduce the role of

the poor.

The next phase began when President Johnson

the Department of Housing and Urban Development established

(HUD) to co
ordinate aid to cities.
It was felt that
the Executive

Office could play a key role in the planning

and implemen
tation of urban policies and apply presidential
pressure to

encourage coordination among uncooperative

agencies.

task force was set up to design a coordinated

project.
How
ever, none of the task force members had sufficient

experience with federal agencies and many underestimated

the obstacles most agencies would place in

the way of reform

and change -- especially when agencies felt

that their "turf"

was being invaded.

The task force proposed
a
demonstration

city program requiring the coordination of

all available

talent and aid.

2.

Administrative and Financial Aspects

The Model Cities program intended to coordinate

levels

of government vertically and independent federal

agencies

horizontally under the direction of HUD, which

was newly

established at the time.

Many of the relevant
programs would

continue to be administered by other departments

and agencies,

P A D C O

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but HUD would be responsible for negotiation with those

agencies to achieve coordination and policy consistency

across departmental lines. The other departments to be

involved were not represented on the task force that

planned the program.

There were two stages to the program. The first gave

municipalities a year to plan a one-year action plan and

to set comprehensive five-year goals.

The second stage was

implementation.

While the cities were responsible for planning the

programs, final decision making authority rested with HUD.

The weakest link in coordination was the state. Governors

were given no role in the program. Applications from the

cities did not flow through them and they were not given a

voice in selection. After cities had been chosen for

participation, federal officials visited the governors to

explain the program.*

During the Model Cities program, there were projects in

145 cities costing a total of $2,519,320,104 distributed as

follows:**

Planning grants:
Operating funds:
Technical assistance:
3.

$
22,222,450
$2,467,593,901
$
29,503,753

User Group Participation

While user group participation was encouraged under Model

Cities, it was difficult because of the adverse reaction of

government officials to the Community Action Agencies founded

during the War on Poverty. Funds were made available for

citizens' groups to hire their own professional planners.

This was considered more effective than having

agencies'

planners work for the citizens because there wasthe

often mutual

distrust.***

In some cases, citizens participated in implementation

by finding locations for the project and raking staffing

Making Federalism Work --

A Study of Program Coordination

at the Community Level, U.S. Department of Commerce Economic

Development Administration, June 1969.

Programs of HUD, U.S. Department of Housing and Urban De

velopment, Washington, D.C., June 1978.

Urban Planning for Social Welfare: A Model Cities Approach,

New York, Praeger, 1970.

P A D C 0

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suggestions. Low level administrative positions became

training grounds for low skilled community residents with

potential to improve themselves.

It was found that neighborhood residents demanded and

maintained more control over new programs that were started

in their areas than in programs that were in place before

the program began.

New programs included the concentrated

employment program, the community action program, health

and recreation.
This was because the more established

programs such as welfare, education and police protection

were more resistant to change. Citizen control in estab

lished areas was impeded by federal and state laws, the

administrative interpretations of the laws and local

procedural, personnel and program practices.

The descriptions of specific projects which follow this

overview illustrate various types of user group participation.

4.

Difficulties Encountered

Concentrating federal resources in demonstration

neighborhoods and improving the management of the federal

grant system under the Model Cities program ran counter to

the "deeply ingrained ways of managing programs in

Washington."* In particular, attempts in the following

areas fell short of expectations:

e To establish Model Cities agencies as the single

entry point for federal aid.

To simplify the federal review process.

To make categorical programs more flexible.

o
To provide effective technical assistance.

Five overriding factors contributed to many individual

impediments. They were:

(a) a lack of national commitment;

(b) lack of capacity in the cities;

(c) lack of community

power; (d) ineffective training and technical assistance;

and (e) problems of coordination.

Politics of Neglect: Urban Aid from Model Cities to Revenue

Sharing, Bernard Frieden and Marshall Kaplan, Cambridge, Mass.:

M.I.T. Press, 1977.

P A D C O

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(a) Lack of national commitment.

(i) A program aimed at changing operating policy

or procedures must provide a significant percentage of

total
resources of the program in order to be effective.the

In

the case of Model Cities, the federal government, for

political reasons, was not willing to concentrate enough

funds in a few cities to make the program successful.

(ii) There was not sufficient interagency cooper

ation at the federal level for comprehensive
local progzamming,

and cities had difficulty coping with the federal maze

to get

funds.

(iii) No provisions were made for existing client

groups.
By asking agencies to redirect their resources
to

the urban poor, the existing client groups who were politically

important would lose out.

(iv)
Even if agencies had wanted to cooperate through

focusing programs on
the model neighborhoods, it would
have been

difficult because most of their funds were already earmarked.

Out of the HUD budget of 1968 for $6.4 billion, only $181

million was not committed prior to the start of the program.*

(v) It was difficult for cities to take full ad

vantage of the program because of national administrative

procedures. One reason was the length of time which cities

had to wait after submission of their plans before they

received HUD approval, the contract signed and a letter

credit issued.
It often took up to eight months during of

which

time key staff left in both the lead and coordinating agencies

and residents lost interest.

Similar problems were incurred

by the lengthy amendment process. There were more delays

when cities began detailed negotiations with operating

agencies.

Mixing federal grants was difficult because a city may

deadlines for grants while waiting for the preliminary miss

funding

for a project to be approved.

(b)

Lack of capacityin

the cities.

(i) Some cities were tied up by their own oper

ating procedures which required lengthy reviews for all
new

projects. A study of why New York City was only able

to spend

half of its first-year grant of $65 million revealed that

purchasing a piece of equipment required 71 steps by 10

city

Between the Idea and the Reality: A Study of the Oriin,

Fate and Legacy of the Model Cities Program, Charles Haar,

Boston, Mass.: Little and Brown, 1975.

P A D C O

A-47

agencies; hiring a person required 56

steps by five different

agencies; and a contract could not be signed until 12 agencies

examined the papers.*

(ii) Many cities delegated planning to planners

whose primary interest and experi4ence was in physical planning.

In many cities, agencies such as school boards were not in

volved.

(iii) In many cases, the Office of the Mayor or

Assistant Mayor lacked staff to administer the program. The

staff available in the various city agencies lacked experience

in planning and managing such a broad range of activities.

(c) Lack of community power. The Community Development

Associations had the broad responsibility for coordination

at the local level but lacked the power to control any of

the agencies they were attempting to coordinate. In the case

of the Atlanta program, they looked higher up in the government

structure of the city for assistance in control but found

the power lacking there also.

Cooperation did not necessarily lead to coordination. In

the case of New York City, public and private agencies were

willing to discuss with each other and the Community Develop

ment Associations issues of welding programs together, but

they were not willing to give up any of their staff or authority

to insure greater effectiveness of the program.

(d)
Ineffective training and technical assistance.**

(i) Members of staffs of implementing agencies below

certain sizes were not allowed time away from the performance

of routine tasks to learn from the consultants providing

technical assistance.

(ii) Several cities experienced massive staff turn

overs during the contract period causing a loss in the impact

of technical assistance efforts. In a city where the entire

staff left, sophisticated training was terminated and replaced

by training sessions for new staff which strongly stressed the

rudimentary outlines of the Model Cities program.

"$65 Million U.S. Slum Aid Snarled in City Red Tape," New

York Times, November 11, 1971.

An Analysis of the Impact of Training and Technical Assis

tance in Model Cities, Organization for Social and Technical

Innovation, Inc., Atlanta, Ga., 1979.

P A D C 0

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Staff turnover on a less massive scale was also a problem.

During a one-year consultant contract in 21 cities, key staff

in nine cities who had been receiving or would have received

training in planning and evaluation left.

(iii)
Where directors were aware of deficiencies

in themselves or their product, they felt threatened by the

technical assistance consultants who might expose these

deficiencies.
When directors saw that the technical assis
tance remedy would be more damaging to their security than

the continued exisLancc of the problem, the effect of technical

assistance was even more limited.

(e) Problems of coordination. The planned coordination

that the program depended on never materialized. In spite of

the legislative directive to "insure

. . . maximum coordination

of federa) assistance," no mention was made of specific

objectives of coordination or how they were to be achieved.

It was felt that a review of all programs affecting a model

neighborhood by the Community Development Associations and the

mayors would improve linkages between the federal government

and the city halls. Some federal agencies, however, did not

want their programs reviewed and approved.

There were nine federal departments and agencies admin

istering Model Cities activities which required coordination.

At first, informal discussions took place. Then the agencies

participated by reviewing the cities' applications. Six

months later a Washington Interagency Coordinating Committee

was set up. This arrangement was formalized in December 1968,

more than a year after the program started, when a group of

assistant secretaries and agency representatives was estab

lished to set policy and oversee coordination at the federal

level. A regional interagency coordinating group was also set

up to provide technical and informational services to the

cities and to
oversee federal agency coordination at that level.

A third group at the city level was to assist the City Demon
stration Agency in coordinating with other local agencies and

solving daily problems. The interagency group, which included

the Bureau of the Budget (now the Office of Management and

Budget), Department of Health, Education and Welfare, Office

of Economic Opportunity (OEO) and the Departments of Justice

Agriculture, Commerce, Transportation and Labor, met and made

general agreements, but tangible commitments to coordinate

were not forthcoming.

The performance of the regional and local interagency

teams was also disappointing. Working groups existed in only

a few Model Cities and attendance was irregular. The agency

representatives did not have the authority to make commitments

to programs. Even HEW, the most sympathetic of the agencies,

used Social Security staff who were not the best qualified to

represent a task of this sort.

P A D C O

A-49

OEO had organized citizens' groups (called Community

Action Agencies) under a previous program. They were not

subject to mayoral control as would be the Community Devel

opment Agencies which could coordinate the Model Cities

activities at the community level.

Each, naturally, favored

its own citizens' groups.

The Department of Labor had two similar programs in

manpower training and concentrated employment for poverty

areas which it did not wish to integrate with the model

neighborhoods and the mayors.

Model Cities participants continued to have to follow

all statutory and administrative rules for the various cate

gorical programs. They received no priorities in treatment

or funding.

It was hoped that the Model Cities supplemental grants

from HUD would attract other major categorical grants to the

neighborhoods. The actual annual earmark of "new money"

for all Model Cities was roughly equivalent to the Model

Cities supplemental grant for two or three medium-sized

cities.* When this did not happen, the cities used supple
mental funds &f'-r activities that could have been funded

under the grants.

A further impediment to coordination was a difference of

opinion as to who was an expert in a substantive area. Some

functional specialists on the Model Cities staff felt that

they knew better what should be done than the office whose

expertise covered the a-ea. Rivalries developed between

agencies which inhibited coordination.

Haar's comprehensive analysis concluded that coordination

was seen by the federal bureaucrats as a way to get control

over others' resources:

"Like many supposedly all-technical scientific terms,

'coordination' is not wholly neutral.

In part it is

-- denoting the elimination of administrative inco

herence and of inconsistent and overlapping structures.

But it can also have a connotation of empire-building.

On occasion departments expressed resentment over HUD

having final approval authority of Model Cities plans

because HUD, in their opinion, was attempting to control

all programs operating in the neighborhoods. From

Guidelines and Goals in the Model Cities Program, Lawrence

Brown and Bernard Frieden, The Brookings Institution, Washington,

D.C., 1978.

P A D C O

A-50

HUD's viewpoint, too, the program opened new horizons

of a broader constituency for the entire department and

greater influence for its secretary: by coordinating

and convening, it could achieve recognition as the

department for cities.

While to HUD coordination meant

the use of other agencies' funds by having them assign

top priorities to the model neighborhoods, thereby

giving HUD control over those programs for its own

objectives, other departments, when not defensive of

their own territorical imperative, viewed coordination

as a way of using Model Cities funds as a source of

extra cash to
beef up, in turn, their own programs. In

a large number of cities, the City Demonstration Agencies

requested HUD to
assume costs in programs cut down by

other departments.
For example, while the Department of

Labor was phasing down the Concentrated Employment for

Poverty Neighborhoods program, it developed a political

momentum of its own, with the result that many applica

tions contained requests that the programs be kept

going with supplemental funds.

HUD was, in effect,

writing out a check

to the other departments, whether

it liked it or not."*

5.

Accomplishments

Although Model Cities did not live up to its expectations,

it did have noteworthy successes, especially in comparison to

previous federal programs.**

(a) Model Cities agency and other government jobs were

opened to the poor due to

their required participation.

Nationwide, 74
percent of Model Cities employees were model

neighborhood-residents.***

(b) Low income and minority communities increased their

political strength as new groups organized and already or

ganized groups became stronger. An outstanding example is

Reading, Pennsylvania, where both citizens' groups and city

officials have formal veto power over each other.

By becoming

involved, more residents were encouraged to run for public

office. Communities applied pressure to decrease disparities

in money spent in various urban neighborhoods -- especially

in cases where needier areas had been short-changed.

Harr, p. 169.

Community Development and the Model Cities Legacy, Bernard

Frieden and Marshall Kaplan, Joint Center for Urban Studies,

M.I.T.-Harvard, Cambridge, Mass.,

1976.

Model Cities: The Lessons Learned, National League of

Cities, Washington, D.C., 1972.

P A D C 0

A-51

An evaluation of Model Cities* concludes that it

was a

success in some respects but not in others.

The
participa
tion of minorities and the poor in government increased,

funds were channelled to poor neighborhoods and

cities were

given more of an opportunity to exercise creativity

in

program design than in categorical programs. The

actual

services offered, however, were not very valuable.

The case studies at the end of this section illustrate

two programs that were effective at the local level.

systematic analysis of all local programs has never

been

undertaken.

6.

Replication

The lessons learned from the Model Cities

cate that several basic changes in the system ofprogram indi
government

would be necessary in order to avoid repetition of

problems encountered. The concentration of power the

necessary

for successful implementation simply did not exist.

This

is evident from the legislation as well as from

the imple
mentation attempts. Coordination with agencies other
than

HUD was needed in the form of flexible program guidelines,

earmarked funds and technical assistance. This type

support was not forthcoming in spite of intervention of

by the

Johnson and Nixon White House.

The White House,
due
statuatory constraints and overwhelming departmental to

resis
tance, was not able to provide enough sustained support
to

cut through bureaucratic red tape, rivalry and statuatory

and administrative criteria.

At the local level, the mayors were committed to

the

program, but many city agencies were not.

While
HUD
at
national level failed to bring in sufficient resources the

from

other agencies, in the cities the mayors failed to

coordinate

agencies funded by other federal departments.

7.

Examples of Model Cities Projects

(a) Educational Services Center

(Turtle Creek

Valley, Pennsylvania).
The Educational Services Center
(ESC),

the administrative arm of the Turtle Creek Valley

Consortium

School District Superintendents, Inc.,

has established
a

comprehensive learning program.

Funds from federal,
state

and local sources are funnelled through the Center

to provide

Marshall and Kaplan, ibid.

P A D C O

A-5.2

educational and family services to meet the unique

needs of

each of the five school districts in the model neighborhood.

It includes 11 pre-school centers serving approximately

600 children.
In addition, in cooperation with local
uni
versities, the ESC staff is establishing five development

schools in the valley.

These schools use innovative

teaching methods which are

designed to complement
pre-school program and can be disseminated to otherthe

ele
mentary schools in the system.

Recognizing that education must be a cooperative

endeavor between the schools, the family and the community,

ESC has designed and implemented a project funded by

the

Pennsylvania Department of Public Welfare to provide

family

services to complement the pre-school program. Ideas

for

services are given by the community and cover a wide

spectrum of activities, including recreation, adult

cation, leisure time activities, career counselling edu
drug abuse education and referral.
Local schools areand

used

for recreation.

The local cable television station is used to inform

parents concerning the pre-school program so that they

can

reinforce their child's learning experience at home.

There is a tuition reimbursement program for model

neighborhood residents and employees wishing to pursue

higher education to increase their job advancement

possi
bilities.

(Source:
Lessons Learned from Model Cities,
of Cities, 1972.)

National League

(b) The Pikesville "Cut-Through" Project (Pikes

ville, Kentucky). Pikesville became eligible
to receive

Model Cities funds in 1968 to attack its problems of

confinement, isolation, lack of social opportunities cultural

and lack

of education and employment opportunities. The city

is

service center for a population of approximately 200,000 a

with

the potential to become a regional center serving a

larger

part of southeastern Kentucky.

One of the major barriers to development is a

of developable land.
Most is used for residential shortage

and com
mercial projects. The "cut-through" would rechannel
the

river and relocate a highway and the C&O Railroad.

This

would open up several hundred acres of land for industrial,

commercial, residential and civic development. Land

services could put Pikesville in a take-off position and

for

intensive development.

P A D C O

A-53

The Pikesville Model Cities Agency served as the

catalyst in launching the project. It provided $395,000

annually in local matching funds to attract additional

money from the Kentucky Highway Department, HUD Renewal

Assistance Grant Funds, the Appalachian Regional Commission,

the Corps of Engineers and a special federal appropriation

for the project.

Failure of any one of the agencies
cooperate would have hurt the success of the project, to

but,

under the leadership of

a strong mayor, all cooperated.

(Source: Lessons Learned from Model

Cities, National
League

of Cities, 1972.)

B.

COMMUNITY DEVELOPMENT BLOCK GRANTS

1.

Purpose of the Program

A block grant is a grant in a broad functional

area

distributed by HUD under an allocation system

and with a

minimum of federal restrictions.

Funds are provided
to

cities, counties, towns and states to develop

viable urban

communities by providing decent housing, a suitable

living

environment and expanded economic opportunities,

principally

for persons with low and moderate incomes. Eligible

activities include acquisition and disposition

of land;

construction of public works and facilities such

as water

and sewer facilities, neighborhood facilities,

senior citi
zens' centers, centers for the handicapped, pedestrian
malls

and certain public services; and rehabilitation

of housing

and economic development activities. Communities

may carry

out activities directly or contract with non-profit

organiza
tions or local development corporations. Social
services

programs must be directly related to physical

improvements.

Block grants finance activities previously funded

under

six categorical grant programs and Model Cities.

The separate

categorical programs were water and sewer grants;

neighborhood

facilities grants; public facilities loans;

rehabilitation

loans;
and open space, urban beautification and
historic

preservation grants.

2.

Administrative and Financial Aspects

Eighty percent of the funds are earmarked for

cities of

at least 50,000 population and 20 percent for

urban counties

with populations of 200,000 or more.

The amount
each city is

entitled to is calculated by a formula that takes

into con
sideration population, poverty, overcrowded housing,
age of

housing and growth lag.

Local governments that
have

P A D C 0

A- 54

participated in certain categorical grant programs but do

not qualify for an equivalent block grant were funded for

three years at the same level as in the past in order to

complete projects already under way.

For fiscal years 1978-80, $10.95 billion was authorized.

More than 1,300 communities received entitlement grants in

each of the first two years.*

The origins of the Community Development Block Grants

(CDBG) program can be traced to Nixon's "New Federalism."

While the executive branch stressed flexibility, Congress

wrote in objectives, restrictions on the use of funds,

established application and planning procedures a review

by HUD state and regional bodies. State and regional

reviewing bodies can make suggestions and comments on the

consistency of the programs with areawide objectives, but

they cannot veto an application. Reviews are largely

perfunctory.

HUD area offices carry out application reviews, perform

ance monitoring and site visits.
Applications are automatically

accepted if objections are not raised in 75 days.

Out of 61

projects in the first two years of the program, only 16

cases

were influenced by HUD as compared to 45

cases where HUD had

little or no influence. Influence was the greatest in smaller

communities with little or no experience in categorical

grants.** Applicants are required to estimate their lower

income housing needs and address them in the overall community

development plan they submit to receive their grant.

3.

User Group Participation

There is less participation of poor people and minorities

under the CDBG program than there was under Model Cities.

Lack of participation by these groups has resulted in less

money reaching the poor. In some cases, funds have been

spent on programs that only marginally benefit the poor while

they are directed at the community at large. Others do not

benefit the poor at all and are backed by elected officials

using the excuse that the poor do not vote.

For example, in Gulfport, Mississippi, local officials

actively directed community development funds away from

Programs of U.S. Department of Housing and Urban Develop

ment, HUD-214-4-PA2, Washington, D.C.,
June 1978.

Community Development and the Model Cities Legacy, Bernard

Frieden and Marshall Kaplan, Joint Center for Urban Studies,

M.I.T.-Harvard, Cambridge, Mass.,

1976.

P A DAC

A-55

activities that would help the poor.

Residents
a city questionnaire by listing their priorities responded to

in community

development as housing rehabilitation, clearance

of dilapi
'ated buildings, storm drainage, streetpaving
and
new
sidewalks. Dissatisfied with these answers, lights and

bent out new questionnaires.

The result of this officials

was that a higher priority was given to building second survey

a central

fire station.
The first station was built.

In response to

allegations that Gulfport failed to follow its

own citizen

survey, a HUD review states

"The statute makes
it very clear

who makes the final decisions after it has followed

the

citizen participation process."*

4. Difficulties

As mentioned above, loopholes made it possible

for cities

to avoid targeting money to the poor.

Model
Cities
was
HUD's

only program designated explicitly for the poor.

The

principal

objective of the CDBG, on the other hand, is

the tying to
gether of HUD's urban programs to cut red tape.
Model Cities funds were channelled to the poor, While in

in the CDBG

program they are more

likely to go to politically
stronger

constituents. Between 1968 and 1972, the Model

Cities program

spent 18 percent of HUD's total community development

aid

budget in poor neighborhoods. Only 12 percent

of this budget

goes to such neighborhoods under CDBG programs.

5. Project Accomplishments

The
CDBG program is succeeding in simplifying the
bureau
cratic procedures which cities previously had
to go through

to get grants. Now, a single application does

the work of

seven under the previous system.

6. Example of a Community Development Block

Grant

Program

(a) Community

Development Block Grants
(Baltimore,

Maryland).
In the Park Heights neighborhood
of Baltimore, the

city Department of Housing and Community Development

is using

block grant money to demonstrate that physical

development

and community service programs can be coordinated

a neighborhood.
Park Heights is an area containingto revitalize

over 11,000

structures and about 45,000 people.

It underwent
rapid
transi
tion from a middle class white neighborhood to
a
lower
and

middle class black neighborhood during the 1960s.

By 1973

Frieden and Kaplan, ibid.

P A
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A-56

when the CDBG program started, schools were overcrowded

because of a great increase in the number of young people.

There was little social infrastructure and the housing

stock

built before World War II was rapidly deteriorating.

Crime

and drug abuse were increasing.

HUD requires that Community Development Block Grants

be used in a "comprehensive" approach to community develop

ment in Neighborhood Strategy Areas such as Park Heights.

Several programs have resulted, many of which are operated

by the Park Heights Community Corporation (PHCC) which

represents the entire community.

The emphasis has been
on

sanitation, education and recreation.

The PHCC has used

CDBG funds to provide sanitation and education to residents,

lead cleanups to which the city has assigned special sani

tation crews
paid for by CDBG funds, paid the city's

Bureau of Animal Control to pick up stray dogs

and hired

its own rat eradication crew.

The city Bureau of Recreation

was paid to hire youths to keep recreation centers in

the

community open longer hours.

Space in a public library

was rented, supplies bought and salaries paid for the

director and for the neighborhood highschool students

who

served as tutors in an after school tutoring program.

The

school building has been renovated and the salaries and

operating costs have been paid at at the Park Heights

Street

Academy, a non-profit college preparatory school for 120

14 to 21 year-old dropouts.

Park Heights receives about $2 million annually, of

about half is used to pay the salaries of 34 PHCC staff which

and

the operating costs of the community service programs.

Baltimore receives a total of nearly $29

million per

year in block grants.

Funding is awarded on a competitive

basis within the city based on HUD guidelines. Over $6

million supports 17 programs of the Urban Services Agency

which is the successor to the Model Cities Agency and

Community Action Agencies. Another $1.million funds
the

projects in areas that have not been designated neighbor

hood strategy areas. These programs include:

o Starting a neighborhood credit union.

o
Subsidizing operating costs for a neighborhood

design center.

o Matching community funds for the purchase and

remodeling of vacant buildings.

* Operating a neighborhood tool bank.

P A D CO

A-57

0
Supporting scholarships to send promising minority

students to top business schools on the condition

that they return to Baltimore to work in the

business community for a set number of years.

CDBGs have been much more effective than traditional

urban renewal in improving communities. It is hoped that

the

projects will continue when block grant money stops.

(Source:
"Using Block Grant Money for People, " Fred
Schultz
in Planning, American Planning Association Magazine,
September
1979.)

C. SITO (Services Integration Targets of Opportunity)

EXPERIENCE WITH SERVICE INTEGRATION

1. Introduction

In the United States the organization of human services

is generally vertical between a federal agency, a state

bureau administering the federal-state program, local

offices

of the state agencies and client groups. Attempts to

strengthen horizontal linkages have met with varying

grees of success. One such attempt was HEW's support de
of

45 Services Integration Targets of Opportunity (SITO)

pro
jects, most of which involved the establishment of state

and local interagency linkages in attempts to solve the

problems caused by the numerous categorical integrated

pro
grams.
Of a total of 45 programs funded, ten were "tech
nical studies" and the remaining 35 were planning and

demonstration projects conducted by state or local governments

or by private agencies.

Final reports or evaluations were available for 19 of

the projects. They were analyzed in respect to five

aspects

of integration in the Human Services Monograph Series.*

20th project -- the Comprehensive Services Delivery

System

(CSDS) in Palm Beach County, Florida -- was also included.

Although not funded as

a SITO project, it was similar
to

many SITO projects and received HEW financial support.

The results of the program have been assessed to

the impact of various types of service linkages on the determine

delivery

of services.
The types of linkages which were evaluated

include fiscal, personnel, co-location, planning and programming,

Managing the Human Services System, Human Services Monograph

Series, No. 4, August 1977.

P A
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A-58

administrative support, core services and case

coordination.

Experience was measured in terms of the following

goals for

improved service delivery:

"

Accessibility.

Availability.

A holistic approach to clients.

Responsiveness to clients.

*
Impacts on costs and accountability.

As the following sections show, the results

of the SITO

experience have been varied.

The SITO program
has shown,

however, that it is difficult to build interagency

linkages.

This process requires political skill and is

best approached

incrementally.
The results also indicate that,
while inter
agency linkages can improve service delivery
in
some cases,

they are unlikely to cut costs.

2. Examples of Programs with Fiscal

Linkages

The Jonesboro project found that barriers to

joint

funding were insurmountable. The original

plan was to

assess each agency a prorata share of the cost

and services to carry out a particular activity.of staff

However,

this was prevented by federal regulations and

to

some

degree by state law.

Federal agencies insist
that
funds be used only for purposes clearly consistent their

with

their legislation. Thus, specific funds can

only
be
used

for specially defined groups of clients and

specifically

defined services.

The Hartford, Connecticut Community Life

(CLA) project in the early 1970s had a budget Association

of pooled

public and private funds for client services.

requested pool funds on
the basis of detailed The CLA

program plans

that outlined the purposes for which the

funds
would
spent, the type of services that would be purchased be

and

the outcomes that could be expected as

a result
of
the

expenditure.
Pool funds were used only for
purchase
client services and not for staff or administration. of

With

the combination of funds available, the CLA

case managers

could issue service purchase orders against

the
funds to obtain most of the services necessary pooled

on behalf

of a client.
As client needs not covered by
pooled funds

were discovered, additional funds were sought.

P A
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A-59

When it was determined that a service

resulted in dissatisfaction, CLA could turn was faulty and

to another type

of service or another source of delivery.

In the case of the

Personal Care Program, a number of agencies

were providing

similar services, but CLA provided such a

large
proportion

of business that some adjusted their services

to be more in

line with CLA needs.

The Community Life Association served

into the social service system for a wide as
an entry point

variety of clients.

Even if CLA could not respond to a specific

need, the problem

was documented in the management information

could be used to generate a community needs system which

assessment.

When a service did not exist, it could be

developed. If the

service could be financed for expansion or

the CLA resource pool, efforts could start development from

immediately. If

the required expansion was beyond the financing

capabilities

of the pool, CLA would have the documentation

with which to

seek additional funding.

The accounting procedures for joint

more complex and expensive than expected. funding proved much

It had to be as
sured that funds contributed to the pool would
for clients or activities that the donor agency not be used

could not

legally support. For example, the United

Way grant could

not be spent on welfare clients despite the

fact that they

were most needy and made up the majority of

CLA's case load.

The inability or unwillingness of donor agencies

to

remove the restrictions on their funds and

a state and city

fiscal squeeze brought an end to the project

it was unable to obtain further funding after in 1975 when

expired. State funding that could have been HEW funding

used
was instead used for state budgeted expenditures.
for CLA

3.

Examples of Projects with Co-Location

and Personnel Linkages

The Comprehensive Services Delivery System

in Palm Beach

County, Florida, was the only one to report

on
the
cost im
plications of co-location. They estimated
that the project

saved the state $71,602 per year by joint

use of conference

rooms and other space in the co-located centers.

Space

utilization in counties where services were

co-located
was

one-half to two-thirds the space per staff

member as in

counties having separate facilities.

P A D C O

A-60

Experience in the effects of co-location on the

sibility of service to clients is often affected by acces
other

events.
In Hawaii and Seattle, accessibility was increased

simply becausc the new co-located facility was the

facility placed in the target area.
In the Florida first

Compre
hensive Service Delivery Program, co-location was combined

with the inauguration of a bus route, thereby increasing

accessibility.
It is not clear whether co-location
would have increased accessibility. In Bremerton, alone

Washington,

in the Washington Integrated Service Delivery Project,

co
location involved moving existing offices to a less

convenient location.

Evidence of the impact of co-location on interagency

relationships is also mixed.

In the Utah project,
the
of different divisions of the state Department of Socialstaffs

Ser
vices were co-located and responsible to a single district

manager.
There was a strong case manager system.
This re
sulted in a greater number of informal case-conferences

between family service and mental health staff.

This
de
creased the duplication of services between family
service

and mental health workers.

Several projects reported that co-location raised

territorial issues between the agencies.

in particular,

there was tension between the managers of the co-location

centers and the line managers of the co-located agencies.

4. Examples of Projects with Planning

and Programming Linkages

Eighteen of the twenty projects studied attempted

planning and programming linkage. A frequent problem a

that agencies felt that their "turf" was threatened. was

Of

the five projects which successfully implemented joint

planning and programming, participation by agencies

was

voluntary in foyer. Questions of

"turf" were avoided
limiting interagency discussions to new services.
by

case of the Seattle project, a voluntary interagencyIn the

board

worked with participating agencies to modify and improve

their programs.
In two cases, a single manager had
authority

to enforce coordination.

in eight other projects, joint planning was ineffective

or counter-productive.
The Duluth, Minnesota Human
Planning Coalition
(HRPC) planned to bring agencies Resources

together

for joint planning and programming but ended up giving

technical assistance to individual agencies.

The HRPC
Board

of Directors was weak and the agencies disagreed about

the

goals and means of coordination.

In fact, many agencies

saw HRPC as a competitor.

P A
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A-61

The five projects involving multi-service centers also

had negative experiences with efforts to coordinate planning

and programming.
Conflict over lines of categorical auth
ority made it impossible for agencies to work together.
In

the Hawaii Waianae-Nankuli Human Services Center project,

multi-service centers were

designed without considering the

relation of the center managers and division managers. The

program was not successful because this issue was never

resolved.

5. Examples of Projects with Administrative

Linkages

None of the projects evaluated used centralized or

consolidated grant management.

Three used some central

support services such as centralized purchasing, auditing

and equipment control, but no information on the impact of

these is available. Ten projects attempted to develop

common records or information systems for ulti-agency use.

The systems varied in design and met with various degrees

of success.

All fo these attempted to use a common intake form

containing demographic and diagnostic information and usually

the goals of providing service to the client. Only two were

able to gather enough information to determine whether clients

were eligible for particular services.

The Polk County system was designed to link eleven

agencies.
It would "equip intake workers at participating

agencies to assess client problems, identify required

ser
vices, consult a community resource inventory to locate the

services needed, gather information concerning eligibility,

make appointments for services at other agencies and track

the clients' progress through the service delivery system."

It was underutilized. The evaluation report lists factors

that would be necessary for the success of a similar project

but were lacking in this case:

"a high degree of interdependence between partici

pating organizations, facilitative relationships

(mutually supportive goals), a high volume of inter

organizational exchanges, standardization of these

exchanges, and strong administrative and policy-level

support for the linkage."

P A
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6. Examples of Projects with Core

Service Linkages

Core service linkages include outreach, diagnosis,

referral and follow-up.

Most agencies provide information

about services available from other agencies, refer clients

to these agencies and may provide some follow-up services.

In addition to coordination by case managers and case teams,

nine projects attempted to institute some core services

on a multi-agency basis.

In Chattanooga and Louisville, the core services of

outreach, intake, referral and follow-up were provided by

agencies participating in a multi-agency information

system.

CSDS-Florida and East Cleveland operated bus systems

for clients of several agencies. The Anacostia, Nyssa and

Seattle projects operated outreach units which attempted to

service potential and current clients of many agencies. The

Glasgow project employed a large staff of paraprofessionals

who provided outreach, transportation and other services to

clients of many agencies. These services were usually pro

vided in addition to the services already offered by agencies

rather than by displacing them.

There is little evidence of

agencies voluntarily cutting back on their core

service

activities because a SITO project had begun to provide them.

Client education rather than agency coordination has

been the best way of improving accessibility to services.

In the Chattanooga Neighborhood Service Center project,

suggestions of the delegation of supportive services met

with disinterest.
The focus was then shifted from the

agency level to the client. Door-to-door surveys were made

to inform residents of services offered through the Neigh

borhood Service Centers. In a short period, the number

of clients increased by 414 percent.

7. Examples of Programs with Case

Coordination Linkages

Twelve of the twenty projects discussed attempted some

form of case coordination. The varieties wer

the case team

model, a case manager or case coordinator model and some

form of regular interagency case conferencing. Case con

ferencing was found to be relatively ineffective. However,

case team and manager linkages increased accessibility,

P A
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comprehensiveness and the volume of services provided.

The

impact of case teams or case managers is greater when

they

have some control or influence over other agencies,

such as

the power to purchase services.

8. Example of a SITO Project

Brockton Area Human Resource Group, Inc.

(a) Background.
The Brockton Area Human Resources

(multi-service) Center was

formed in 1967 as the result
of

decisions by the Public Welfare, Mental Health, Rehabilita

tion and Public Health departments to form an integrated

multi-service delivery system for the residents of Brockton,

Massachusetts.
The initial plan involved agreements
between

agencies to operate a coordinated system of services

through

the Brockton Multi-Service Center which was to be adminis

tered by the Department of Mental Health.

The focus of the project shifted from services integration

at the agency level to a system which was client oriented.

This development coincided with the availability of funds

to

establish service integration projects and the general

accep
tance among human service professionals that social service

systems had been too strongly committed to agency priorities

at the expense of client needs.

Client dominance in

determining service priorities was a more

appropriate
means

of organizing social service systems.

Thus in 1972,
Brockton project became a Services Integration Targetsthe

of

Opportunity (SITO) project under grant assistance made

available by HEW.

The Brockton SITO project represents a model of citizen

control which places citizens in direct governance roles,

relies heavily on citizen indications of service requirements

and citizen assessment of the adequacy of services.

The

project's board is comprised of two state legislators,

gov
ernment representatives from ten communities which comprise

the Greater Brockton area and at-large representatives

of

target groups, including various special interest groups.

(b) Administration. The responsibilities of the

governing body and advisory group are to seek and secure

funding, document performance, approve budgets, determine

audit and evaluation procedures, contract with the

system

manager and conduct community audits.

The delivery system is administered by a single manager

who is accountable to the governing board.

The project
had

the same project manager for the first four years of

its

operation.
The
manager is assisted in carrying out his work

P A
D C O

A-64

by client monitors who are the principal linkage between the

system and clients. Monitors help citizens to assess their

service needs and act as advocates of needed citizen services.

Monitors do a fairly complete inventory of citizen needs

through a Problem Oriented Record System (PORS) which

records data on a range of problems, including physical

and mental health, employment, family planning and legal

difficulties.
By feeding this data into a central informa
tion system, gaps in services required for individual

clients can be identified. By aggregating data from indi

vidual client profiles, the system manager and the governing

body can determine what service needs are most frequently

demanded and gauge whether the provision of services is

adequate to meet demand.

(c) Funding. The user participation system is

intended to keep services as responsive to citizen needs

as

resources and technology permit. Integration is achieved

not through coordinating agency efforts but rather through

examining all client needis and negotiating for the various

agency services that might be required. If a needed

service is not available, the system can contract it.

For example, an emergency housing service for welfare

recipients was created through a contractual arrangement

among the Brockton Multi-Service Center, the project's

major administrative unit, the Brockton Welfare Department

and a local hotel which made housing available. Some

projects are undertaken directly by the Service Center

(such as a 24-hour emergency medical hotline service for

citizens who may not be able to afford or have access to

primary medical care).

In other instances, the system acts

as the citizen's broker in arranging for the service which

is needed. This function is facilitated by maintaining

an exhaustive inventory of community resources which are,

where possible, meshed with client needs.

The system does

not presume to integrate service providers but rather to

put the service provider and the client into direct contact.

Faulty performance by the provider would surface through

the audit function which the system administers.

Some interagency collaboration has been achieved as

evidenced by a legal referral program which has

some

funding from the Department of Mental Health with the

Brockton Area Multi-Service Center providing space and

services provided by volunteer staff of the Brockton Dis

trict Bar Association.

The project is supported by funds from the Social

Rehabilitation Service which finances the developmental

and administrative activities of the project.

Local

governments, the Department of Mental Health

(the major

P A D C O

A-65

contributor) and local private agencies are the funding

base for the operational or service aspects of the

project.

(d) Project accomplishments. Although still in

the developmental stage, the project has given evidence

of

some
achievement.
The unique element of the project
-- a

system which integrates services through a client

audit,

monitoring and service referral rather than through

agency

coordination

--
seems to avoid administrative difficulties

encountered when agency jurisdictions and priorities

must

be reoriented in a more consolidated approach.

More

importantly, the system has the advantage of keeping

client

needs pre-eminent in determining how services are

oriented.

It gives the client the option of using service *'puts

at

a time and in combinations which are deemed most

approp
riate to his needs.
The system also has the flexibility

to shift service priorities if client needs dictate

that

shifts are necessary.

The system has the leverage
service provider agreements to influence the kind through

of service

which providers offer to clients.

Monitoring and
evalua
tion are conducted independently of the agency providing

the service; therefore, self-serving evaluations

are less

likely to be a problem.

(e) Project problems. A major

of the

project is that client monitors can guide premise

and direct clients

to appropriate services and that these services

will be

available. Project staff members cite the lack of

a suf
ficient number of monitors with sufficient diagnostic
skills

to handle the range of client needs which arise.

Because

the service system is staffed largely by persons

mental health profession, their orientation needs from the

to be

broadened to understand other client needs which might

occur. As commented by a member of the project staff,

"The

need to educate monitors and service providers

. . . getting

across the importance to account for the people" is

a task

yet to be fully accomplished by the project.

Because the project depends heavily on agencies

side its jurisdiction for client services, it cannot out
easily

assure that appropriate agency responses will be forth

coming. Jurisdictional boundaries may impede the
ability

of an agency to reorient its service as required.

project does not have full. financial control of the The

local

service delivery system and lacks authority for services

outside the mental health area.

The leverage of
the sys
tem rests with its ability to negotiate with service

providers for the kind of service needed.

Nevertheless,

the Brockton Area Human Resources Project is a flexible

PA D C 0

A-66

service system which integrates services according

to
needs and avoids some of the more intractable problems client

of

coordination which more unified systems often encounter.

D.

TITLE XX OF THE SOCIAL SECURITY ACT (HEW)

1.

Purpose of the Program

Title XX of the Social Security Act, enacted in 1975,

represents an attempt to coordinate social services

funded

by the federal government, particularly HEW services,

with

each other and with state social services programs.

It
is,

therefore, directly relevant to IIPUP.

Increased
coordination

was considered necessary to confront the range of problems

faced by multi-generation family units.

The program
has

attempted to accomplish this by combining previously

separate

federal grants to states under a single fundi;ig source.

There are five goals of Title XX:

Encouragement of economic self support.

o
Personal self support for the handicapped.

Protection of children and adults from abuse and

neglect and maintenance of the family unit during

periods of crisis.

o Deinstitutionalization by providing services to

the family and community.

o Appropriate institutionalization where necessary.

2.

Administrative and Financial Aspects

The mix of programs and methods of coordination to

be

used is the decision of the states.

There are, however,
five

regulations which must be adhered to:

e A Comprehensive Annual Service Program (CASP) must

be designed with participation open to all groups

and individuals.

o The plan for participation must be submitted for

federal approval.

0 At least one service must be directed towards each

of the five goals listed above.

P A D C 0A-67

e
At least three services must serve Supplemental

Security Income Maintenance recipients (the aged,

blind or disabled).

e There is a fiscal penalty if states do not offer

family planning services at least to AFDC recipients.

Title XX does not actually require direct program coor

dination.
Rather, it requires that states receiving Title XX

funds submit CASP plans describing how the planning and

provision of services will be coordinated with Aid to Fami

lies with Dependent Children (AFDC), Child Welfare Services,

the Social Security Insurance and Medicaid programs and

state financed human services programs, such as programs

for senior citizens, children, the developmentally disabled,

alcohol and drug abusers and programs in corrections,

public education, vocational rehabilitation, mental health,

housing, medical and public health, employment and manpower.

There is a limited annual authorization of $2.5 billion

for Title XX. In addition, Congress has made $200 million

available specifically for daycare services and to hire AFDC

recipients for jobs in daycare.

The training authorizations

are not included under the ceiling. In the past, this amount

was unlimited, but in 1980 a ceiling of $75 million was

imposed.

Services can be provided directly by the state or pur

chased from private agencies. The federal government provides

75 percent for Title XX, 90 percent for family planning and

100 percent for daycare, with the remainder payable by the

states.

States have used several types of coordinating mechanisms

including advisory committees, task forces, public hearings,

advertisements, workshops and training sessions, formal agree

ments and joint funding. The Urban Institute has conducted

a survey of coordination mechanisms in use and their effec

tiveness.*
All states have set up some type of advisory

committee or task force.

These were considered the most

effective methods of coordination and were particularly ef

fective when professionally staffed with clearly defined

authority and responsibilities.

Public hearings or meetings are the second most frequently

used coordinating technique. However, attendance at the

"The Effects of Title XX on the Coordination of Social Ser

vices," Bill Benton et al.,
The Urban Institute, Washington,

D.C., November 1977.

P A D C O

A-68

meetings generally dropped after the first year unless there

were specific items of importance and interest to discuss.

Display advertisements are the only form of coordination

specifically mandated by Title XX.

It is felt to be the

least valuable and there is no evidence that it has increased

the number of people aware of Title XX services.

Workshops and training sessions provide an atmosphere

conducive to the discussion of substantive issues not found

in public hearings. Training is of limited use, however,

because Title XX training funds cannot be used to train

administrators of provider agencies under contract to the

state or local agencies, even though purchased services rep

resent about half of all Title XX expenditures.

Formal agreements on service coordination tended to be

general and there was little implementation. The signing

of agreements was sometimes considered the end rather than

the beginning of the coordination effort.

Joint funding is successfully being used in many areas.

For example, Title VII of the Older Americans Act is used to

fund the noon nutritional component of Title XX-funded senior

citizens centers; school lunch program funds are often used

in Title XX daycare centers. CETA staff are used as personnel

in some human services agencies.

Other coordination methods tried and found fairly useful

include the sharing of staff between agencies, the formal ex

change of written comments between agencies on their respective

plans and open meetings of Title XX administrative staff.

3.

Difficulties

(a) During the first two years beginning in 1975,

Title XX was not well integrated with existing means of co

ordination. With the exception of North Carolina and New

York, the Title XX advisory committees functioned separately

and apart from pre-existing boards whose purpose was the

formulation of social policy. This implies that policy or

budgeting decisions were not determined in conjunction with

CASP.

(b) There are few incentives to coordinate, and

there are no penalties for failing to coordinate beyond the

minimum required advertising and production of a CASP plan.

When CASP plans include services not funded by Title XX, the

other services have to comply with the contracting, reporting

and eligibility requirements of Title XX. Even if other HEW

funded programs are included in the CASP plan, they must still

P A D C

A-69

be published as separate plans.

An HEW study
observed that

HEW itself "requires every state receiving

funs under its

46 formula grant programs to submit or annually

update 24

separate state plans."*

(c) Title XX did not provide any

grams funded under different legislation werenew funds. Pro
merely trans
ferred to Title XX. Additional funds would
provide
more

incentive for coordination.

"This type of
coordination
among

social services can only be achieved by expanding

the
re
sources each service needs in order to collaborate
with

other services.
When scarcity prevails, coordination
fails."**

(d) State governments do not perceive Title

XX as

anything more than a source of funds.

There
is no focal point

for comprehensive, coordinated social services

at the federal

level.
Social services at HEW have been consolidated
into

an Office of Human Development Services (OHDS).

OHDS
is

supposed to be concerned with cross cutting

categorical

programs.
However, it categorizes Title XX
as
"miscellaneous,"

that is, serving none of the categorical groups

such as
the

aged, disabled or children, into which it divides

its pro
grams.

(e) Even when coordinated planning takes place,

it

is difficult to change existing programs.

They have been built

up over time in response to perceived needs

and
staff and client groups.
Also, there has been have loyal

limited staff

planning capacity and difficulty in restructuring.

evaluation of Title XX concludes that "Expectations An

for

improvements in the planning process were most

likely
based

upon unrealistic assumptions about the flexibility

in
shifting

programs and presumptions that changes to

the planning process

would make a difference in service delivery."***

4.

Training

Social services staff training is administered

on the

state level.
It can be long or short term
and either academic

or in-service.
The staffs of state social
service agencies or

other agencies directly involved in services

delivery are eligible.

"Ties That Bind.

." U.S. Department of

and Welfare, Seattle, Wash., Region X, July Health, Education

4, 1976, p. 16.

"Service Delivery Problems and Block Grants,"

Martin Rein,

Bryn Mawr, Pa., Bryn Mawr College, undated

memo.

Sharing, Project Share, Vol. 3, No. 2, Spring

1979.

P A D C O

A-70

There are five training mechanisms.

is considered the most useful.*

In-service Lraining

" In-service training by trainers who are part of

agency staff.

* In-service training by outside experts.

* Educational leave for staff.

* Training for people who have a commitment to

work for the agency in the future.

e Grants to undergraduate, graduate and secondary

schools to develop curricula in classroom in

struction or field work in any discipline related

to Title XX. Two or more Title XX workers must

be in each class.

5.

Project Accomplishments

The Urban Institute's research indicates that coordina

tion has increased during Title XX.** It assessed the extent

of coordination among organizations or groups on a scale

of 1 to 3 as follows:

1
2
3

----

Minimal effort in coordination

Active solicitation of input only
Fully coordinated planning

Groups assessed include state social services offices such

as Aging, Mental Health, Vocational Rehabilitation and CETA,

client groups and staffs.

The pre-Title XX average assessment was 1.7. It in

creased to 2.2 during the first year, decreased slightly

to 2.0 during the second year and was expected to increase

to 2.4 during the third year.

Research on the state of the art of Title XX training, in

cluding case studies and policy recommendations, is now being

carried out by the Social Welfare Research Institute for the

Public Services Department of HEW.

**

The Urban Institute, ibid.

A-71

CASE STUDIES FROM INTERNATIONAL EXPERIENCE

International experience to date with projects resembling

IIPUP is quite limited. The major international lending agencies

traditionally have focused their efforts on the improvement of

existing settlements and the development of new low income

neighborhoods. Only recently have components been introduced

in many projects to improve social and economic onditions and

to involve poor communities more effectively in their own

development.

The Ahmedabad Urban Development Project in India was an

early attempt to improve social as well as

physical conditions

and to involve the poor in the development process. The inte

gration of a number of services was achieved under the

leadership of a private voluntary group and with the collab

oration of a number of local and international agencies.

Although the project did have a significant impact, it in

volved a high level of subsidy and would be difficult to

replicate on a large scale.

The Zambia sites and services and squatter upgrading

project managed to integrate the physical improvements and

social services provided by a number of international agencies.

However, the project demonstrated the difficulties that can

occur when the agencies supporting the different components of

an integrated project themselves have distinct objectives.

The Indonesian Kampung Improvement Program has had a wide

impact on the urban poor in Indonesia, particularly in Jakarta.

Its success is due not only to the minimal nature of the

physical improvements it has attempted. The number of social

components has also been limited, and the program has been

expanded slowly from a small beginning.

The details of two additional integrated projects planned

for Kenya and Honduras are also presented. The Kenya project

shows an interesting example of coordination between national

and local authorities to deliver a variety of service com

ponents in an urban development project. Local committees

with primary responsibility for project planning and imple

mentation have representation from national as well as local

agencies. This system has been developed based on previous

successful interagency collaboration in similar projects.

The project planned for Honduras recognizes the probable

institutional resistance to services integration and the

problems of initiating a large number of project components

too quickly. It recommends a staged development of project

components and of institutional structures.

P A D C 0A-73

A.

AN INTEGRATED URBAN DEVELOPMENT PROJECT FOR

THE URBAN POOR IN AHMEDABAD

The city of Ahmedabad in Gujurat State of India is

typical of many metropolitan areas in developing nations.

It has a high annual population growth rate (4 percent) and

a lack of adequate housing to accommodate the burgeoning

number of urban poor who need shelter. A Government of

India housing survey in 1973 indicated that nearly 85 per

cent of Ahmedabad's housing shortage was being experienced

by families with monthly incomes below Rs.

250 ($30) per

month. Some 65,300 families who needed shelter were in the

income category of Rs. 100

($12.50) per month.

About

81,000 families were residing in 700 slums or makeshift

settlements throughout the city.

The desperate state of Ahmedabad's urban dwellers was

matched by a modest response by the Ahmedabad Municipal

Corporation, the agency initially responsible for providing

shelter to slum dwellers. The Corporation provided about

36,000 housing units under a slum clearance program from

1956 to 1973. The need was in excess of 2.5 times what was

provided by the Corporation.

The type of housing provided was not considered satis

factory in responding to
the housing shortage of Ahmedabad's

urban poor. The dwellings were multi-storey dwellings, too

expensive for the poor who could barely afford to pay Rs.
15

($2) per month for rent and too different from traditional

dwellings to allow for a lifestyle to which the urban poor

were accustomed.

Environmental upgrading and sites and services projects

were undertaken as alternatives to dealing with urban housing.

Both measures were inadequate since most squatter housing was

on private land and any upgrading involved legal issues which

were difficult to resolve.

Also, a lack of political commit
ment, particularly to sites and services projects, was a

deterrent to any real progress in the housing sector.

1.

A New Approach:

Integrated Urban Development

A serious flood in the summer of 1973 precipitated a

change in the city's approach to handling the housing problems

of the urban poor. A private voluntary group, the Ahmedabad

Study Action Group, offered an alternative to the usual

flood relief programs by proposing a relocation program which

would involve the victims in the planning and execution of

P A D C O

A-74

new communities. Affordable housing would be one component

of the project. The group believed that the problems of

previous programs were caused by a failure to involve the

slum dwellers with projects. It felt that such projects

should not be limited to housing alone; social and economic

problems needed to be addressed if genuine improvement in

the plight of slum dwellers was to occur.

As the former

director of the program expressed the group's objectives:

"(a) comprehensive approach incorporating social,

economic, educational and motivational inputs, along

with housing, would lead to the emergence of an al

ternative value system and bring about attitudinal

and behavioral changes."

2.

Administrative and Financial Aspects

Four separate agencies were involved in the project.

The Municipal Corporation, which endorsed the more compre

hensive developmental approach recommended by the ASAG, set

aside a 43-acre site for a new community and provided a

subsidy of Rs.
700 per family to assist them in resettlement.

OXFAM, a private British voluntary agency, provided Rs. 400

per family to support a social action component of the pro

ject. The Corporation provided infrastructure services,

even though the project site was outside its jurisdiction.

Low interest, easy repayment loans for new housing were

provided through the Housing and Urban Development Corpora

tion.
ASAG was the key coordinating and administering agency

for the project. Administratively, the project was unique

because a semi-autonomous organization was created to imple

ment the project.
State and municipal authorities had the

major responsibility for securing resources and guiding the

project through procedural and technical difficulties, but

the major planning and implementation responsibility was

assigned to the ASAG. OXFAM was instrumental in strength

ening the project as a multi-disciplinary development effort.

OXFAM was a training and technical assistance resource to

the project. ASAG had previously been involved in low cost

housing schemes in 20 rural communities; and, although the

circumstances of the Ahmedabad project were different, ASAG

had credentials in the housing/community development field.

After considering various alternatives, the prospective

residents of the new community opted for a collective housing

solution which would supplement the various individual

subsidies. Their objective was to add to the subsidies pro

vided in order to build permanent shelters -- an alternative

that was possible only if costs could be held down through

a collective borrowing scheme.

HUDCO provided loans at 6.5

percent to be repaid in monthly installments over a 20-year

P A D C 0

A-75

period. Occupants would pay Rs. 20 per month for 20 years

for housing which would cost about Rs.

2,900 to construct.

Part of the monthly payment would be used to defray the cost

of municipal services.

3.

User Participation

An important ingredient in the project was full par

ticipation of the residents since the ASAG organizers assumed

that slum conditions could not be eradicated until slum

dwellers developed new attitudes toward their environment.

The population ratio of the project areas was 56 percent

Hindu and 44 percent Muslim. Residents also opted for a

housing design which conformed to their traditional prefer

ence for high physical and social interaction with fellow

residents. The physical arrangement of the community

required positive and cooperative attitudes among residents.

Individual choice of the location of houses was worked out

in consultation with residents through a rather elaborate

exercise.

To respond to the community building objective, a social

action component was prov.ded. The social action component

was concerned with facilitating the process of resettlement

and building local capabilities to increase earning potential,

to take fuller advantage of social welfare, education and

health services. This component was carried out through

trained community workers whose preparation was largely the

responsibility of OXFAM.

4.

Related Project Activities

Income generating activities were focused on about 300

families with incomes below Rs. 250

($30) per month. The

purpose of this strategy was to provide a sufficient income

level for the poorest persons to be able to buy and maintain

property. Small scale entrepreneurship was made possible

through a credit referral service and the inauguration of

cottage industries. A primary education project was launched

which emphasized the experimental, creative aspects of

learning -- an objective supportive of the larger goal of

building a more self-confident and enterprising community in

the target area. Paramedics were used to provide low cost

health care and preventive services as well as health

education for the community. A daycare center for working

parents was also included in the community services component.

P A D C o

A776

5.

Accomplishments and Difficulties

The fact that the project was comprehensive in its

response to
the needs of poor urban dwellers invited problems

from the outset; yet the project organizers accepted the

challenge as preferable to schemes which were concerned

ex
clusively with housing.
The social action component was
not

viewed as a project add-on

but rather as an indispensible

project component which had to be provided if the objective

of removing slum dwellers from a permanent dependent situation

was to be achieved.

Difficulties appear to
stem from dissatisfaction with

the quality of housing provided. Even though the housing

is

permanent, it is very basic and far from the pukka housing

that many of the former slum dwellers had hoped for.

This,

however, might be viewed positively as a manifestation

of

the rising expectations of

a group which previously had
only

survival as a goal.
Relations among the municipality,
the

ASAG and the community are less harmonious than at the

outset

of the project, which results (according to the former

pro
ject director) from the failure of the municipality to

provide necessary social and physical infrastructure as

promised.
Also, allegations of financial mismanagement
which

are being investigated further strained relations between

the

residents and the municipality.

There have been accomplishments:

in 26 months, 2,250

units were provided -- a faster race of providing housing

than under previous schemes; construction costs have been

maintained at Rs. 11.25 per square foot;

in community
devel
opment, evidence is emerging that citizens are more assertive

in demanding their share of municipal services; citizens

have

filed a civil suit against the municipal government for

failure to provide services as promised at the time of

re
settlement. While such developments indicate tension within

the project, they also reflect a growing consciousness

about

improvements to
achieve social and economic advancement
among

the urban poor.

The Ahmedabad Integrated Urban Development Project was

undertaken as a prototype which might become standardized

in

dealing with the housing and related problems of the urban

poor. However, widespread adoption of this type of project

is unlikely.
The project was subsidized to the extent of

65 percent --
a high rate of subsidy when compared to the

rapid build-up of population, both from migration and natural

increase in major metropolitan areas.

This makes it difficult

to cope through projects which are more long range and

compre
hensive in their approach. However, if the assumptions
behind

the development of the IUDP project are accepted

-- that
"the

P A D C 0A-77

problem of slums remain essentially attitudinal, political,

behavioral, economic and social in nature"

-- then the
IUDP

strategy after a longer period of implementation might

become adapted to other comparable situations.

B.

THE PROPOSED HONDURAS IIPUP PROGRAM

1.

Background

In Tegucigalpa and San Pedro Sula, approximately 310,000

people have incomes below the median level and live in settle
ments that lack potable water, sanitary waste disposal,

drainage and other basic urban services. The 6 percent

annual growth rate of the marginal population indicates the

two major cities will have 390,000 marginal residents by

1983. The percentage of the urban population that caA be

classified as marginal is
even greater in the secondary

cities, and the shortage of services is even more

severe.

There have been very few efforts of integrated development

to address these problems. In response, the AID Office of

Housing

and the AID mission to Honduras have developed, with the Govern
ment of Honduras, a pilot project.
It will reduce the negative

effects produced by the lack of coordination of technical and

financial resources in the provision of social and housing

services for the urban poor.

The major physical upgrading

part of the program is environmental sanitation.

Both Tegucigalpa and San Pedro Sula have municipal

departments of social work which work with representatives

of the community organizations such as patronatos to coordi

nate their efforts with those of the municipality for barrio

development. Through this process, schools have been

constructed and settlements upgraded.

Thus, both cities

have experience in community development work, enjoy the

confidence of the communities and have obtained financial

backing from the Autonomous Municipal Development Bank (BANMA)

and the Interamerican Development Bank.

2. Organizational Arrangements

Given that experience with integrated programs of the

IIPUP type is very limited, the program would be initiated

through pilot projects undertaken by Tegucigalpa and San Pedro

Sula -- the two municipalities which are relatively strong

administratively. In Tegucigalpa, in particular, tLere is

a

strong interest in IIPUP.

The substantial improvements in

local administration which have been achieved in the last

several years indicate that there is a very real concern with

the continued improvement of local government. If the pilot

projects are successful, the lessons learned from them can

A-78

provide a basis for determining the exact configuration for

the organizational arrangements for the program at the national

level.

At the national level, the Institute of Community Devel

opment (INDECO) within the Ministry of Government and Justice

is legally the most appropriate institution to develop and

implement an IIPUP program. The law creating INDECO was

enacted in 1966 to facilitate the establishment and regula

tion of community development and the implementation of

integrated development projects coordinated at the local level

through the joint efforts of the government and individual

communities.

If INDECO eventually becomes involved as a national level

program coordinator, a small, high level inter-ministerial

Executive Council has been suggested within INDECO to represent

the principal sectors that will be involved in the provision

of services. It should be made up of the Ministers of Health,

Transportation and Public Works and Interior and the National

Social Welfare Committee. A small Executive Management

Unit within INDECO would be responsible for inter-ministerial

coordination, but the institutions in each sector would be

responsible for the provision of services in that sector.

The Executive Management Unit should have the power to make

agreements and contracts with autonomous institutions, public

interest associations and private entities in order to

realize the basic goals of IIPUP.

One of INDECO's major coordinating instruments would be

its control of the proposed IIPUP Development Fund which would

initially be complemented by a $350,000 grant from AID.

The Executive Management Unit of INDECO would be directed

by an executive secretary chosen by the Executive Council.

The other members of the unit would be chosen by the partici

pating ministries, seconded to INDECO and devote full time to

it. This would assure direct commitments by the ministries

to the IIPUP concept. Private non-profit organizations (of

which there are several working with the urban poor) would be

informed of IIPUP activities and invited to participate. They

may find this attractive since they can increase the impact

of their programs by combining resources.

A contingency plan exists in case administrative problems

cannot be resolved. If the project does not function smoothly

under INDECO, it can be taken over by another agency such as

the National Social Welfare Committee.

Community participation in the IIPUP program will be

through the mobilization of community groups such as patronatos

P A D C 0
A-79

and other community organizations. A community board repre

senting the various interest groups will be formed to repre
sent the barrio before local authorities. Where they do not

exist, Community Development Departments will be formed to

assist the communities in dealing with local and national

institutions.

Paraprofessional staff will be trained in leadership

for community development, environmental health and preventive

medicine and will work in the communities where they live.

Training at the municipal level will increase the capacity

of the municipalities in planning and in augmenting municipal

revenues. National level activities will include policy

level training in service integration, technical training

in the sectors covered by the project and training of service

delivery personnel.

3.

Other Project Components

Attention will be given to the following types of laws

and regulations which affect the urban poor:

"

Regulations pertaining to the transfer of property

rights and the registration of rights in real
property.

"

Laws governing the rights of tenants and environ

mental sanitation in rental space.

"

Laws governing the creation and operation of co

operatives and other forms of community organization.

A further component of the project will be the development

of new techniques and capacities for valorizacion or betterment

taxes and the study and updating of the regulations for land

use and development.

4.

Financing

The sources of IIPUP financing will be different at the

three levels
-- national, municipal and community. International

assistance will be complementary to internal financing and

assist in the initial organization of the program through loans

and grants for technical assistance and specific projects. At

the national level, the principal sources of funding to be

developed include the central government, the ministries,

autonomous institutions and private non-profit organizations.

At the municipal level, effective sources of funding will depend

PA D CO

A-80

upon the upgrading and improvement of the local governments'

cadastral systems,
the sale of municipal bonds, the National

Autonomous Municipal Bank, the creation of new taxes, more

effective systems of tax collection and valorizacion or

betterment tax systems.

Community involvement and contri
butions will complement public funds. Community input will

include contributions from community groups and organizations,

unskilled and semi-skilled labor and locally available

materials.

C.

ZAMBIA SITES AND SERVICES/SQUATTER UPGRADING SCHEME

1.

Purpose of the Project

The aim of the Lusaka project has been to provide im

proved social and physical infrastructure to 29,000 families

in Lusaka through 4,000 serviced plots and the upgrading of

25,000 existing units.

There are four upgrading sites and

six areas of serviced plots. The project was to have been

completed between 1974 and 1979, but construction has been

slightly delayed by factors external to the project. It is

about 90 percent complete.

While the World Bank is the major lender, the American

Friends Service Committee

(AFSC) and UNICEF are also involved.

A smaller American Friends Service Committee community

development project in the city of Kafue, 26 miles from

Lusaka, involving 228 families had been important in securing

government acceptance of the upgrading concept and the par

ticipation of the AFSC in the World Bank funded project.

After successfully completing the Kafue project, AFSC and

UNICEF had planned to carry out a somewhat larger pilot

demonstration squatter upgrading project in Lusaka using

government funds. The emphasis was to have been on social

development rather than on physical works with programs in

maternal and child health, pre-school care and vocational

training.
This was never carried out because both organiza
tions were asked at that time to participate in the larger

World Bank project.

2.

Administrative and Financial Aspects

The Lusaka City Council is the executing agency. A

special Housing Project Unit divided into engineering, social

services and finance and procurement divisions was established.

It reports to the Council's Finance and General Purposes

Committee which is made up of the chairmen and vice-chairmen

of the other committees. Actual project work is done by

field teams in which all divisions of the project unit are

represented.

P A D C 0

A-81

The main forum for coordination between physical, social

and financial components at the project level is the weekly

meetings attended by the field team leaders, their deputies,

the heads of project unit divisions and the communications

officer.

Coordination among the organizations funding various

aspects of this program is achieved by involving each

organization in providing the technical or financial assis

tance in its area of expertise. While the World Bank's

major concern has been physical upgrading, both UNICEF and

AFSC have focused on social development. The delivery of

social services was not technically part of the project as

agreed between the government and the World Bank, although

a community dynamics component was included as an appendix

to the government request for a loan. UNICEF has a separate

agreement with the government to "promote the participation

of social and family welfare services in the project" and

particularly the participation of youth and mothers. UNICEF

has been the major contributor to the Project Support

Communications Unit which plays an important role in es

tablishing links with the community. It also assisted in

the establishment of a community development group in the

Housing Project Unit of the City Council. Fifty assistant

community development officers were trained by UNICEF and

AFSC jointly.

AFSC is taking advantage of its grassroots level experi

ence in Zambia to work closely with the communities in

community development and organization for self-help.

A fourth organization called Social Action in Lusaka was

indirectly involved. A private, non-profit organization sup

ported by the Christian churches in Lusaka and later by a

grant from the World Council of Churches, it publicized the

activities in squatter settlements.

Physical aspects of social services include 20 primary

schools, three health centers, 17 multipurpose community

centers which will also serve as pre-schools, 17 markets and

11 demonstration houses/site offices. Sixteen sites for

small industry are to be made available within squatter

settlements.

The Housing Project Unit itself has carried out the

training of community workers, using the facilities of the

University of Zambia and the Kitwe Urban Community Development

Staff Training College. UNICEF has paid the salary of the

trainer and provided vehicles for field training. It also

has assigned experienced community development staff as field

training supervisors.

P A D C O

A-82

3.

User Group Participation

Both the technical and social staff work together with

the residents of the communities to assure their participation

in the later stages of planning, including the location of

facilities. In the earlier stages of planning, however, there

has been no input from residents. This has been in order not

to raise false hopes before money is available. It was

originally planned to upgrade all of the squatter areas in

Lusaka. In the end, some major areas had

been left out.

Had these citizens been involved in initial planning, they

would have been left with unfulfilled expectations. There

has been limited participation in implementation through

collective self-help.

4.

Difficulties

(a) The original time frame for the project was

1974-1979. It has been delayed by factors external to the

project. The government has not been able to finance its

counterpart contribution. Also, difficulties in importation

have reduced the original scope of the project. The delay

has particularly affected the delivery of community develop

ment and social services. It was decided to delay the

construction of schools, clinics and multipurpose centers

while proceeding with infrastructure and housing. As of

1978, only seven of the 17 proposed multi-service centers,

three of the proposed 20 primary schools and the three

community health centers had been built.

(b) The default rate on service charge payments

is around 50 percent, and it is much higher on loan repayments.

In most similar projects in Zambia, however, the rate has been

even higher.

(c) The problem of poor maintenance, giving the

impression that nothing has changed in the slums, has given

the residents an excuse for withholding their service payments.

The City Council has not been able to provide garbage collec
tion because about 80 percent of the garbage trucks are out

of use due to a lack of foreign exchange to purchase spare

parts.

The housing prcject brought an additional 180,000 people

under the City Council's authority with added responsibility

for roads, drainage, pipelines and water system in addition

to garbage collection. In terms of staffing, the Council was

barely equipped to carry out its original responsibilities.

Many senior Council positions remain unfilled due to a nation

wide freeze on government hiring.

P A D C O

A-83

(d) The self-help component has not worked out as

planned. Out of $16.2 million budgeted for civil works in the

project agreement, $3.9 million has been allocated for works

to be executed through self-help labor. As of 1978, only

$10,000 had been spent. Contractors have been reluctant to

work with the communities because it reduces their overheads.

It has been difficult for them to provide adequate super

vision to unskilled community laborers whose participation

increased construction time.

Construction advisors have normally been recruited

directly from the building industry. Because they had little

experience in dealing with the public, they have received

brief community development training courses. This has

been done during rather than before the start of the project

and has resulted in some inconveniences.

(e) The community development staff of the project

unit has not met the expectations of AFSC and UNICEF. Their

work has reflected more the priorities of the government and

the World Bank than those of UNICEF or AFSC. Attempts to

change attitudes in the Community Development Department by

training only junior staff have not been effective in bringing

about structural change. They have actually led to frustra

tions among the '-rainees whose superiors did not understand

the non-traditional approach they had been taught.

(f) The objectives of AFSC and UNICEF to implement

social and community development components were not fully

realized. In his AFSC appraisal of the project, Ledogar

states that "while participatory agencies such as UNICEF and

AFSC can provide a large urban project with important com

ponents such as training which are useful to the accomplish
ment of the project's goals, it is doubtful that such agencies

can accomplish their own goals if these are not essentially

identical with the goals, both explicit and implicit, of the

project itself."*

5.

Accomplishments

The upgrading process which affected about 30 percent of

Lusaka's total population has been carried out with a high

degree of community acceptance due to the considerable effort

of informing and involving community leadership. Some 35,000

to 40,000 former squatters have been given legal tenure to

the land they occupy. However, the social service components

have not been provided as planned. The role of smaller

organizations in a project funded by a large donor, when goals

The Role of the American Friends Service Committee in the

World Bank Funded Lusaka Housing Project, 1973-1978, Robert J.

Ledogar, American Friends Service Committee, 1979.

P A D C 0

A-84

are not identical, should be considered before similar projects

are undertaken.

(Source: Based on materials from the World Bank and American

Friends Service Committee.)

D. THE INDONESIAN KAMIPUNG IMPROVEMENT

PROGRAM (KIP)

1. Purpose of the Project

The Kampung Improvement Program in Indonesia began during

the First Five-Year Development Plan (1969-74) as an attempt

to improve the physical infrastructure in some of the worst

kampungs (neighborhoods) in Jakarta.

The size and scope of

the program have been enlarged substantially since that time.

It has added other components in addition to physical im

provements, and it has been expanded to other cities.

The Kampung Improvement Program in Jakarta has been quite

successful in terms of the number of beneficiaries. It has

provided minimum infrastructure to a significant proportion of

the urban poor at a reasonable cost. The items delivered

include footpaths, secondary roads, surface drainage ditches,

water supply systems and public standpipes, individual toilets,

(mainly pit privies and some community toilets) and garbage

collection facilities.
The program also provides elementary

schools. In addition, it has included a health and nutri

ion

component which has sought to provide a health post for each

3,000 population.
These are simple two-room facilities for

general health care and young child care,

focusing on nutri
tion, disease prevention and education of pre-school children.

The health posts

serve as bases for community health care

personnel who make home visits.

Training for the health care

personnel was also included in the project.

2. Administrative and Financial Arrangements

The Kampung Improvement Program in Jakarta is managed by

a separate KIP unit within the city government. Because the

program has been assigned a high priority from the beginning,

the KIP unit has been able to coordinate effectively with

other departments of the city government to provide health

and education services to the projects. The KIP unit itself

is responsible for the detailed planning and implementation

of the projects.

As KIP has been expanded from Jakarta to other cities in

Indonesia, the function of nationwide KIP coordination has been

assigned to the Cipta Karya Department of the Ministry of

Public works.
It is expected that each large city (kotamadya),

of which there are 22, will eventually establish a KIP unit to

direct local KIP projects. This has already happened in

A-85

Surabaya. The Ministry of Public Works will give technical

assistance to the local KIP units. This system may have to

be modified when KIP is finally expanded to smaller cities

where the establishment of a separate KIP unit may not be

economical and complementary services such as health and

education are not readily available within existing city

government structures.

The World Bank has provided much of the recent financing

for the program, but KIP was already an ongoing progrffi )unc
tioning with IMPRESS grant funds from the national government

before the World Bank was involved. It was expected in the

firt World Bank project that some cost recovery would be

achieved through an improved property tax system, but this

has been slow to develop. The Jakarta government has also

considered levying a betterment tax on the beneficiaries, but

this would be difficult because no such tax is collected in

higher income neighborhoods.

3.

User Group Participation

In the Jakarta KIP program, committees at the kampung

level are directly involved in the planning, execution and

maintenance of KIP works. The organization at the kampung

level collects money for kampung maintenance work and dis

tributes money for residents displaced by KIP. The committee

is composed of the Lurah's (sub-district chief) staff and

other residents. It establishes the priorities of kampung

residents and responds to official proposals for social and

physical infrastructure. It instructs kampung residents on

the use of facilities and helps with the relocation of

families displaced by KIP works.

4.

Difficulties and Accomplishments

The program has been quite successful in meeting the

scale of the problem with a minimal investment of $59 per

person (1976 prices).

It has now been expanded to all of

the more densely populated kampungs of Jakarta and is being

expanded to other cities in Indonesia as well.

In Jakarta, it has been successful because it is managed

by a strong KIP unit within the city government which has

been assigned a high political priority and controls a

special KIP budget. The KIP unit is responsible for planning

and implementing physical works. The other components of

the program (health and education) are provided by other

departments of the city government, generally without resis

tancea because of the high political priority assigned to the

P A D C 0

A-8.6

program by the mayor.

One of the main problems faced by the

program has been the acquisition of land for health centers

and schools. This is the responsibility of the five sub

mayors in Jakarta and has been more difficult to coordinate.

Perhaps one of the reasons for the success of the KIP

program has been that it has not attempted too many components,

and it has expanded slowly in area from a small initial base.

The program has focused primarily on physical improvements with

only limited health and education components. This has

minimized the need for interagency coordination compared with

more ambitious IIPUP type programs.

It has also expanded

slowly from a small, locally-financed base to a larger, inter

nationally-financed nationwide program.
This incremental

growth has been largely consistant with local implementation

capacities.

E.

THE KENYA URBAN DEVELOPMENT PROJECT

1.

Purpose of the Project

The purpose of this World Bank financed project has been

to increase the housing stock for the low income population,

improve the supply of basic and essential services to the

poor and increase income earning opportunities. Detailed

design and engineering began in mid-1978.

Overall implemen
tation is expected to take four years.

In addition to the sites and services and physical

upgrading components, it is intended to:

* Demonstrate an effective low cost delivery system

for health, nutrition and family planning services.

"
Stimulate and encourage employment and income

generating activities for the urban poor.

" Strengthen the institutional capabilities of

government and local authorities f(ir implementing

and managing urban development.

" Assist the government in improving the financial

resources and management of local authorities.

* Help local authorities control the pattern of

urban growth and develop land more effectively.

The project is located in the three largest cities

-- Nairobi,

Mombasa and Kisumu -- which together contain over 60 percent

of the urban population of Kenya.

P A D C 0

A-87

2.

Administrative and Financial Aspects

National ministries are responsible for policy, financing,

land acquisition and national level coordination. The local

governments in the three cities are responsible for carrying

out the project, operating and maintaining facilities and cost

recovery. Local charitable organizations, local entrepreneurs

and plot allottees contribute to the financing of physical

facilities on project land.

The Ministry of Housing and Social Services is the lead

agency responsible for coordinating with other ministries for

both policy and implementation. A new Sites and Services Unit

has been established under the Housing Planning Division for

this purpose. The Ministry of Local Government will carry out

its usual functions of supervising local governments and pro

viding technical assistance in management, administration,

accounting, financial management and property valuation.

Direct responsibility for implementation rests primarily

with the city governments where Housing Development Depart

ments (HDD) have been set up with the same status as other

city departments except that, rather than reporting to a

series of standing committees, they are responsible to a

single Housing Development Committee. The members of the

Committee are the chairmen of all of the other city standing

committees, the mayor and deputy mayor and representatives

of the Ministries of Housing and Social Services, Local

Government and Finance, and the National Housing Corporation.

The provincial or District Commissioners are also members.

The Committee is unique in that no meetings are held without

central government participation.

Several other groups are involved in specific project

components. The Medical Research Center in Nairobi assists

the Public Health Department staff in carrying out nutrition

baseline and evaluation surveys. Home visits, which will be

part of the project's health component, are expected to lead

to more effective coordination between the city Public Health

Department and the Family Planning Associaticn in Kenya which

has had a home visits program in Nairobi and Mombasa for

about 20 years. The National Christian Council of Kenya

(NCCK) has had successful programs in job generation and com

munity development in the Nairobi slums for years. Land will

be allocated to it at cost for training centers, community

development work and workshops for individual entrepreneurs.

In Nairobi, serviced land is also being offered at cost to two

other non-profit groups. One is a Catholic foundation focusing

on training and sponsoring individual entrepreneurs which will

build a secondary technical school. The Lions Club is building

a dispensary.

World Bank financing to the Government of Kenya of $50

million will cover almost three-fourths of project costs. The

remainder will be paid by the Government of Kenya. The govern

ment will lend funds to project cities.

A-88

3.

User Group Participation

The communities will be informed and consulted on

aspects of development. Community information officers all

in the

Housing Development Departments will give advance notification

of the dates structures will be torn down and assist with

plot

applications and transportation to

new sites, if necessary.

Community development officers will assist in resettlement.

The final detailed plans for each site will be approved

or amended by the residents of the site. Residents will

also

be involved in phasing decisions so that they can stay in

their present dwellings until the new plots are ready.

It is the Government of Kenya's policy that primary

schools be constructed using self-help. However, since com

munity groups capable of organizing self-help do not exist
in

the project areas, building levies will be charged throughout

the municipality at a small rate per pupil.

All physical

project components, including land for small businesses,

will

be self-financing.

Efforts will be made to attract small contractors

the project towns to construct community facilities by from

grouping

contracts within their range.

4.

Difficulties

This project follows the successful first urban project

in Kenya.
Standards of self-help and self-contracted construc
tion were very high, and cost recovery has been excellent.

Difficulties in the first project arose due to government

ad
ministrative weaknesses rather than shortcomings of the
target

group.
It is predicted that these difficulties will be
fewer

in the second project because of lessons learned in adminis

trative procedures and because there is greater acceptance

of both the concepts of sites and services and upgrading

and

of the physical standards involved.

Thus far, there have been few delays caused by adminis

trative and political problems. This can be partially

attributed to the continuous involvement of all the senior

officers of the three City Councils in project preparation,

particularly in decisions regarding standards.

5.

Accomplishments

This project has not been in operation long enough

its accomplishments.
However, based on the experience ofto list

the

first urban project in Kenya, it should meet its goals.

(Source:

This case
study is based on information contained
in

World Bank documents.)

A-89

ANNEX

III

CHECKL 7 ST OF DATA REQUIREMENTS FOR

DESIGNING AND EVALUATING

IIPUP PROJECTS

PA DC 0

A-91

CHECKLIST OF DATA REQUIREMENTS

This annex provides a checklist of data requirements for

designing and evaluating IIPUP rojects.

The types of data

which may be required are listed together with brief

explanations of why each type of data may be

needed.
In

addition to the sectorial orientation of the list, the data

needs are further disaggregated into data on (1)

characteristics, needs and behavior

of populations and sub
groups; (2) cultural values and beliefs, knowledge, practices

attitudes and opinions) of populations and sub-groups; and

3) institutions.

The annex is intended as

a comprehensive checklist.
In
most cases, this list should be narrowed to a more limited set
of data needs to focus on the particular sectors and/or target
groups involved in specific IIPUP programs.

P A D C O

A-93

DEMOGRAPHIC AND SOCIAL CHARACTERISTICS

DATA NEEDED

USE

A. Demographic Characteristics

1. Characteristics of individuals

in population, subgroups, target

groups:

Information on the basic composition

of the population and its subgroups

and of households in the population

and its subgroups is essential to

Sex

developing measurements of needs and

Age

resources and the number of people

who would be potential users or

Marital status

beneficiaries of IIPUP programs.

Certain of these data (such as the

Characteristics of households and

ratio of the sexes) are also important

families in population, subgroups,

in the categorization of people
into

target groups:

the target groups such as:

* chronically marginal households

Adults and children in immediate

* single migrants

household:

* beachheading households

" number

e households renting by choice

* sex of each

* consolidating households

" age of each

* female-headed households

* relationship of each

" economic dependency of each

Adults and children in immediate

family but living elsewhere (e.g.

in home village):

* number

* sex of each
* age of each
* relationship of each
* economic dependency of each

* distance of place of

residence

2. Attitudes of population, suL-

groups, target groups:

Some IIPUP programs may directly

or indirectly affect household

composition. It may, therefore,

Attitudes regarding household

be necessary to have information on

composition, present and possible

people's attitudes and desires with

future

regard to household composition.

continued .......

P A D C O

A-95

Demographic and Social Characteristics (continued)

DATA NEEDED

B.

USE

Social Characteristics

1. Characteristics and behavior of

Various societal groups have dif
population, subgroups, target

ferent mores and cultural patterns

groups:

that affect the forms poverty takes

and affect the potential impact

Ethnic group

and value of various kinds of pro

Religion

grams to combat poverty. It is,

therefore, necessary to determine

Primary language or dialect

to which groups people belong.

Social class or caste

2. Attitudes of population, sub-

groups, target groups:

Mores and customs of the group

Self-esteem

Aspirations

Hopes for the future

" for self

" for offspring

Trust in government

Trust in charitable services

Social and political integration

Desire for participation in

community decision making

P A D CO

A-96

Programs to aid the poor can succeed

or fail depending on the attitudes

and responses of the intended bene

ficiaries. In addition, these atti
tudes may condition program partici
pation and involvement in project

design and redesign. Information

on relevant attitudes is therefore

necessary.

ECONOMIC CHARACTERISTICS

DATA NEEDED

A.

USE

Income, Net Worth and Expenditures

1. Characteristics and behavior of

Measurement of individual
and house
population, subgroups, target

hold or family income, savings,

groups:

property and debts are needed in

order to determine who are poor and

Individual income

how poor they are: the degree of

* earnings

their ability to pay for needed

* transfer income*

goods and services.

* other

Household or family income

* earnings

* transfer income*

* other

Savings/Capital

* money

* property

* other

Debts

* amount

* type

Percent of income spent on

* food and water

* housing

* fuel for cooking and

heating

* clothing

* transportation

* health services

* other necessities

Percent of income paid out in

the form of taxes on income,

purchases and property owned

Percent of income sent to

immediate family members living

elsewhere (e.g. home village)

It is necessary to know how income

is spent in order to determine

whether and how a particular level

of income is insufficient for basic

needs.

Information on income sent to family

members elsewhere can also help in

the categorization of people into

the five target groups.

continued .......

*Welfare payments, food disbursements, rent subsidies, etc.

P A D C 0

A-97

Economic Characteristics (continued)

DATA NEEDED

USE

2. Service delivery:

National and local government

Programs developed to alleviate poverty

9 laws and regulations re-

may need to address the national and

garding taxation of income,

local regulations regarding home

savings, property owner-

ownership, land tenure, rental property,

ship and financing

home financing, credit and the tax

-equity of laws and

structure if they substantially affect

regulations
the resources of the poor to pay for

---

manner of enforcement
degree/consistency of

needed goods and services.

enforcement
--

B.

equity of enforcement

Personal Credit

1. Characteristics and behavior

of population, subgroups, target

groups:

Use of personal credit

" purpose/type

" amount

" length of loan

* source

" cost

2. Attitudes of population, sub-

groups, target groups:

Attitudes toward the use of

personal credit

Since credit is an important financial

resource, or potential resource, for

people trying to escape poverty, it is

important to have information on

people's ability to obtain, and their

use of, personal credit. This infor

mation can also assist in categorizing

people into the five target groups.

It will be important to know whether

there are any prevalent attitudes that

may create barriers to people's use

of credit where available.

Attitudes toward institutions and

services providing credit

3. Service delivery:

Information on credit-providing insti

tutions will be important in determining

Institutions or services

the potential involvement of those

providing personal credit

institutions in IIPUP programs to in

* how organized and financed
crease credit availability to the

" availability/accessibility
urban poor.

" methods of delivery

* efficiency of delivery

" equity of delivery

" impact

National and local governments

* laws and regulations

regarding credit and the

institutions and services

providing credit

" plans and pending legisla-

tion

i-9

Information with regard to laws and

regulations that can affect the avail

ability of credit will be particularly

important if IIPUP programs are aimed

at increasing credit availability.

HOUSING CHARACTERISTICS

DATA NEEDED

A.

USE

Housing

1. Characteristics of housing for

population subgroups and/or target

groups:

Type of housing unit

* conventional -- home,

apartment, flat

* mobile -- trailer, boat,

tent

* improvised -- makeshift

structures

* group quarters -- room,

bed

The characteristics, permanency and

adequacy of the housing of individuals

and families are important measures

of degree of poverty, and can help

to categorize people into target

groups. This information is also

needed in the development of programs

designed to upgrade housing.

Relationship with housing unit

* own

* rent

squat

Source of housing

* built (or improvised ) by

resident
* private enterprise

* government

Adequacy of housing

* space, privacy

* protection from the

elements

* heat, ventilation

* running water

* food preparation and

storage

* facilities

* toilet and washing facil

ities

* sewage facilities

Housing materials

* type

* degree of permanence

Safety of structure and location

* fire

* natural disasters (flood,

storms, earthquakes)

9 crime

P A D C 0

A-99

continued .....

Housing Characteristics (continued)

DATA NEEDED

USE

2. Attitudes of population, sub-

groups, target groups:

Degree of satisfaction with

housing

Housing desires and preferences

" location

" type

People's attitudes and desires re

garding types, locations and security

of housing will be important to the

design of housing-related programs

that will be accepted by the people

for whom they are intended.

Security and safety of dwellings

3. Service delivery:

Institutions providing mortgages

" how organized and

financed

* availability/accessibility

" methods of delivery

" efficiency of delivery

" equity of delivery

" impact

Institutions providing for public

safety

" police and other security

services
--

how organized and

--

availability/accessi

--

--

methods of delivery
efficiency of delivery
equity of delivery

--

impact

Information about existing institutions

providing mortgages will be important,

especially in order to assess their

potential role in providing mortgage

availability.

financed
bility
--

"

fire services
--

how organized and

financed
--

availability/accessi

bility

--

methods of delivery
efficiency of delivery
equity of delivery

--

impact

---

"

disaster services relating

to floods and severe storms
--

how organized and

financed
--

availability/access

bility

--

methods of delivery
efficiency of delivery
equity of delivery

--

impact

---

PA DC 0

A-10O

continued.

Housing Characteristics (continued)

DATA NEEDED

USE

National and local overnment

a policies, practices, laws

and regulations regarding

housing, safety, zoning,

mortgages, etc.

National housing plans and

pending legislation

P A D C O

A-101

Knowledge of the legal and govern

mental aspects of housing and security

is necessary in the design of programs

related to housing.

HEALTH AND WELFARE CHARACTERISTICS

DATA NEEDED

A.

USE

Food and Nutrition

1. Characteristics and behavior

of population, subgroups, target

groups:

It is necessary to have information

on food consumption, nutrition and

supplies in order to determine needs

and design programs to improve nu

trition and alleviate hunger.

Food consumption

quantity

* nutritional adequacy

* wholesomeness, safety

* seasonal and weather

fFctors

Food consumption in relation to

special needs of

* pregnant women

* nursing mothers

* infants

* growing children

* the elderly

* the sick and disabled

Food preparation and storage

methods and equipment

Sources of food

* home raised

* purrchased

* othc
2. Attitudes and knowledge of

population, subgroups, ta
et

groups:

Knowledge of nutrition, sources

of nutritious foods, preparation

methods that preserve nutritious

value

Lack of knowledge regarding nutrition

and food sanitation can contribute to

malnutrition and health problems.

Such knowledge can sometimes serve

to improve the welfare of the poor

without any change in the food supply.

It is, therefore, important to have

information on such knowledge.

Knowledge of sanitary methods

of preparing and stocing foods

Attitudes and prefcrences with

regard to

* types of food

* preparation methods

* storage of food

* sources of food
P A D C O

In order to achieve acceptance, programs

that improve food supplies will have to

take customs and preferences into con

sideration.

continued .......

A-103

Health and Welfare Characteristics (continued)

DATA NEEDED

USE

3. Service delivery:

Markets and other institutions

providing food

" how organized and financed

" availability/accessibility

" methods of delivery

" efficiency of delivery

" equity of delivery

* impact

Institutions and other services

providing information and edu-

cation regarding food and

nutrition

" how organized and financed

" availability/accessibility

* methods of delivery

" efficiency of delivery

" equity of delivery

" impact

National and local government

o policies, informal practices, priorities, laws

and regulations regarding

food and its sources and

suppliers

B. Water:

Information about existing stores and

othcr institutions providing food will

be important, especially in order to

assess their potential role in im

proving food supplies.

If there are any institutions or ser

vices providing information or education

on food and nutrition, information on

them will be important, especially in

order to assess their potential role in

any kind of educational program con

cerning food and nutrition.

If there are governmental policies, laws

or regulations relating to food or its

sources and suppliers, it will be

important to take them into consideratior

in designing programs relating to food.

Availability, Accessibility and Utilization

1. Characteristics of water

consumption of population, subgroups, target groups:

Water consumption

" distance to water source

" adequacy of quantity

" wholesomeness, safety

" seasonal and weather

factors

If the urban poor, or subgroups or

target groups among the urban poor,

lack an adequate and steady and afford

able supply of wholesome water, that

can be a major contributor to health and

other problems. It is, therefore, neces

sary to have information regarding

water supplies and consumption.

2. Service delivery

Water supply systems and water

purification plants

" how organized and financed

" availability/accessibility

" methods of delivery

" efficiency of delivery

" impact

National and/or local policies,

plans,,programs to increase

water availability and accessi-

bility

A-104

continued .....

. . . .

Health and Welfare Characteristics (continued)

DATA NEEDED

C.

USE

Health and Sanitation

1. Characteristics of the popula-

tion, subgroups, target groups:

Mortality rates and causes of

death for

" infants

" children

" men

" women

Information on the state of people's

health needs to be obtained in order

to determine the extent of the needs

of health services.

Measures of the health status of

" infants

" children

" men

" women

" pregnant women

" nursing mothers

" the elderly

Incidence of diseases, epidemics,

mental illness, disabling acci

dents, handicaps and disabilities

Incidence of vermin infestation

Health and hygiene practices

* care of pregnant women

*
*
*
*

--

pre-natal

--

post-natal

--

maternal mortality rate

It is necessary to have information

on health and hygiene practices in

order to judge their adequacy.

childbirth practices

care of the newborn

care of the sick

first aid
--

accident

--

natural disaster

* vermin control

2. Attitudes, knowledge and prac-

tices of population, subgroups,

target groups:

Knowledge, attitudes and

practices with regard to

* care of pregnant women

Programs relating to health care and

health care services will need to

work within the context of people's

knowledge, attitudes, practices and

preferences.

* childbirth

* care of the newborn

care of the sick

* first aid

* vermin control

continued

P A D CO

A-105

.....

Health and Welfare Characteristics (continued)

DATA NEEDED

USE

Attitudes relating to insti

tutions and services providing

or potentially providing

health care

3. Service delivery:

The urban poor need a variety of

health-related services. In order

Institutions and services pro-

to plan aid programs, it is necessary

viding preventive and curative

to have data on the availability and

care: first aid, treatment for

adequacy of the existing services

injury and illness, surgery,

and the role of government in those

pre-natal care, obstetrics, care

services.

of the newborn, dental care,

rehabilitative services, health

examinations and screenings,

vaccinations, etc.

" how organized and financed

" availability/accessibility

* methods of service delivery

" efficiency of service

delivery
" equity of delivery
" impact
National and local government

e plans, policies, practices,

laws, regulations and

pending legislation re
garding

---

health care
institutions providing

health care
--

institutions and services

providing health infor

mation and education
--

health-affecting sub

stances such as alcohol,

tobacco, mind-affecting
drugs
D.

Infant and Child Health

1. Characteristics and behavior

of population, subgroups, target

groups:

The ways in which infants and children

are cared for and the availability and

adequacy of infant and child care

services affect health and welfare and

Infant and child care habits and

also have a bearing on whether certain

practices in the home

adults (usually mothers) can seek and

0. by mothers

hold employment outside the home.

9 by fathers

A-106

P A D C 0

continued .......

Health and Welfare Characteristics (continued)

DATA NEEDED

USE

* by other adults in

household

* by other children in

household

Infant and child care habits and

practices outside the home

* family

friends

e organized child care

services/f,cilities

Adequacy of infant and child care

* health and safety

* developmental adequacy

2. Attitudes of population, sub-

groups, target groups:

Attitudes and preferences re-

garding infant and child care

* in the home

* outside the home

e services and facilities

outside the home

Programs aimed at improving infant

and child care, inside or outside the

home, will have to work within the

context of cultural beliefs and

attitudes.

3. Service delivery:

Institutions and services for the

The availability and quality of in
(non-medical) care of infants and
stitutions and services for the care

children, full-time or part-time

of infants and children outside the

* how organized and financed

home can have a major effect on the

* availability/accessibility
welfare of children. Information on

* methods of service delivery

these institutions will also be needed

* efficiency of service

in
order to assess their potential

delivery

involvement in programs to improve care.

* equity of service delivery

* impact

National and local government

If there are governmental policies,

* plans, policies, practices,

laws or regulations relating to infant

laws, regulations related

and child care and institutions providing

to infant and child care

care, it will be necessary to take them

responsibilities of parents
into consideration in designing programs.

and others and related to

institutions providing

(non-medical) care of

infants and children

continued .......

P A D C 0

A-107

Health and Welfare Characteristics (continued)

DATA NEEDED

E.

USE

Family Planning

1. Characteristics and behavior

of population, subgroups, target

groups:

Fertility and population growth are

often major factors in urban poverty.

It is, therefore, important to have

information on knowledge, practices

and attitudes that relate to fertility

and its control. This information will

also be important
in designing programs

related
to such matters.

Age-specific birth rates

Family planning, birth control

and abortion practices

2. Attitudes, values, knowledge

of population, subgroups, target

groups:

Knowledge and attitudes must be taken

into account in IIPUP project design.

Attitudes toward

" children and their impor

tance to the family socially

and economically

" family planning and birth

control

" sex preference

" abortion

" role of women

Knowledge related to

* family planning and birth

control

e abortion

Knowledge of and attitudes to

ward institutions providing

information and services related

to family planning, birth control

and abortion

Family planning practices

e prevalence of contraceptive

usage by method, continua

tion rate, parity and sex of

living children

3. Service delivery:

Organizations and services

providing information and

education regarding family

planning, birth control,

abortion

* how organized and financed

" availability/accessibility

P A D C 0

A-108

Information about institutions pro

viding information, goods and services

related to family planning will be

needed in order to assess the adequacy

of services and to assess their role

in potential IIPUP projects.

continued ......

Health and Welfare Characteristics (continued)

DATA NEEDED

"
"
"

methods of delivery

efficien- y of delivery

equity of delivery

"

impact

USE

Markets, stores and other organ

izations and services providing

birth control devices and

supplies

* how organized and financed

* availability/accessibility/

*
*
*
*

cost

methods ot delivery

efficiency of delivery

equity of delivery

impact

Institutions providing family

planning services

* how organized and financed

* availabi.lity/accessibility/

cost

* methods of delivery

* efficiency of delivery

* equity of delivery

* impact

* related, dual and multi-

service agencies

National and local government

IIPUP programs related to fertility

* plans, policies, laws and

and its control will have
to take into

regulations pertaining to
consideration any relevant
governmental

family size, children born

policies, laws and regulations.

outside marriage, family

planning

" policies, laws and regula

tions pertaining to organi
zations and services

providing information and

education regarding family

planning, birth control

" policies, laws and regula

tions pertaining to institu
tions providing birth control

devices and supplies

" policies, laws, regulations

pertaining to institutions

providing abortion services

P A D C 0A-109

LABOR AND EDUCATION CHARACTERISTICS

DATA NEEDED

USE

A. Employment

1. Characteristi-s and behavior of

It is necessary to
have detailed in
,population, subgroups, target

formation on employment patterns and

groups for all appropriate ages:

occupations in order to understand

causes of poverty in particular pop

Wage earning employment status

ulations, subgroups and target groups

* full-time or part-time

so that remedial programs can be

* temporary or permanent

developed. Some of these data also

* special status such as

aid in the categorization of people

apprentice

into target groups.

* unemployed

* unemployed and not seeking

work

If employed

* occupation

* hours worked per day/

week/month/year

* permanence of position
* type of employer (self
employed, family business,
small business, large
business, government,

agriculture, etc.)

o wages, including in-kind,

exchanges of services, etc.

Employment history

Job-seeking activities of those

with no work activity and seeking

work

Employment and work activity

pattern in family(s) living in

same household

* number employed

* sex of each

* age of each

* relationship of each

* occupation of each

* wages of each

continued .
P A D C O

A-Ill

....

Labor and Education Characteristics (continued)

DATA NEEDED

USE

2. Attitudes, values and beliefs of Programs to improve employment oppor

population, subgroups, target groups: tunities will need to take into con-

sideration people's cultural patterns

If employed in a wage earning or

and attitudes toward employment.

home capacity

" attitudes toward present

job
" desires and aspirations for
future employment (type of
work, wages)
If unemployed and seekina work

" desires and aspirations

regarding employment (type

of work, wages)

" perceived reasons for

being unemployed

Attitudes and cultural norms

with regard to outside employ

ment for particular groups

such as

" children

" young adults

" married women without

children

" mothers

" widows

" the elderly

3. Service delivery:

Institutions providing employ-

Programs for aiding the poor may focus

ment for the poor

on providing better opportunities for

" how organized and fi'anced

employment. It will be necessary to

" size, number of employees

have information on existing employers

" type: business, industry,

and employment opportunities as a base

agriculture, communiity

measure and also in order to assess the

services, government, etc.

potential role of various employers

" types of jobs (occupa-

and types of employers in IIPUP programs.

tions)

" permanence of employment

" wage scales

Institutions or services (if any)

If there are existing institutions or

aiding the poor to find jobs

services that aid the poor in finding

" how organized and financed

jobs, it will be important to have infor
* availability/accessibility/
mation on them in order to assess their

cost

potential role in IIPUP programs.

" methods of service delivery

" efficiency of service

delivery

P A D C O

2 -1

19

continued .......

Labor and Education Characteristics (continued)

DATA NEEDED

USE

* equity of service delivery

" impact

National and local government

Information is needed on the roles

" services or assistance, if

played by government with respect to

any, providing to those who

employment, unemployment and employing

have lost their jobs and

institutions, since IIPUP programs may

are unable to find work

need to address those matters.

" policies, practices, laws,

regulations pertaining to

employment, employers and

institutions or services for

the unemployed

B. Vocational Skills and Training

1. Characteristics and population,

subgroups, target groups:

Skills with vocational signifi-

It is necessary to kiiow people's

cance or potential

existing qualifications and skills that

" from academic education

are or could be put to use in paid em

" from vocational education/
ployment, in order to guide the develop
training

ment of programs that would improve

" from past jobs

or
better utilize those skills.

* from present job

* from unpaid activities

(such as in the home)

Vocational education/training

completed or current involvement

Disabilities/handicaps that limit

Planning of programs to upgrade voca
vocational potential

tional skills would take into consider

* nutrition

ation the special needs of the handicapped.

* physical disabilities

* perceptual disabilities

such as blindness, deaf

ness

* mental handicaps such as

retardation, mental illness

* language or dialect problems

2. Attitudes, knowledge of popula

tion, subgroups, target groups:

Knowledge of and attitudes

toward various vocations

Knowledge of and attitudes

toward vocational training/

education and the institutions

that provide it

P A D C 0

A-II3

Information on vocational knowledge arid

attitudes will be needed as base-pri-ts

in the development and implementation

of IIPUP programs that deal with the

upgrading of vocational skills.

continued .......

Labor and Education Characteristics (continued)

DATA NEEDED

USE

3. Service delivery:

Institutions and other sources

Information on institutions and other

that provide vocational informa-

sources of vocational information and

tion, education or training

training will be needed in determining

" how organized and financed

their potential involvement in IIPUP

" availability/accessibility/
programs to improve vocational skills.

cost

" methods of delivery

" efficiency of delivery

" equity of delivery

" impact

National and local government

If there are governmental policies,

e plans, policies, laws and

laws or regulations relating to voca
regulations regarding

tional skills or training or the in

vocational skills and

stitutions that provide them, it will

training and the institu-

be important to take them into consid

tions that provide them

eration in designing programs related

to vocational skills or training.

C. Education

1. Characteristics and behavior

of population, subgroups, target

groups:

Non-formal education

Education -- grades completed

" primary

" secondary

" verbal ability

" numeracy

" literacy

Current educational activities

Education, or the lack thereof, can be

a major factor influencing the existence

of urban poverty and the ways in which

the poverty can be alleviated. It will

therefore be important to have data

regarding education and the schools,

attitudes
of policies
the poor toward
them and

governmental
and regulations

pertaining to them.

Education (non-formal and formal) is a

factor to be considered in

* planning vocational training

projects

* organizing income-generating

activities

* determining future industrial

development and labor market needs

* assessing project

2. Attitudes of population, sub

groups, target groups:

Attitudes toward academic educa

tion for children

continued .......

P A D C 0

A-II4

Labor and Education Characteristics (continued)

DATA NEEDED

USE

Attitudes toward academic educa

tion and additional academic

education for adults

3.

Service delivery:

Primary and secondary schools

* how organized and financed

* availability/accessibility/

cost

* enrollment as contrasted with

total population per age

group

* age, income and social groups

served

* curriculum

* impact

National and local government

To assess needs in relation to govern
* plans, policies, practices, mental

laws, regulations related to

o priorities

education and educational

* plans

institutions

e practices

e policies

Other institutions (e.g. re

ligious) providing education to

children and/or adults

* how organized and financed

* availability/accessibility/

cost

* enrollment

* age, income and social groups

served

* curriculum

* impact

P A D C o

A-115

TRANSPORTATION AND COMMUNICATIONS CHARACTERISTICS

DATA NEEDED

A.

USE

Transportation

1. Characteristics of transporta-

tion use by the population, sub-

groups (e.g. utilization by men

and utilization by women), income

and target groups:

To examine the relationship between

transportation needs and the utiliza

tion of what is available. To assess

the role of transportation facilitating/

inhibiting factor in relation to the

poor benefiting from improved employment

Transportation needs

opportunities. To assess the role of

* to jobs

transportation in meeting the basic food,

* to sources of food, water,

clothing and shelter needs of the

fuel, etc.

citizenry.

* to schools, clinics, child

care facilities, etc.

* to rural homes/villages

Ownership/access to personal

means of transportation such as

bicycles, boats, "jeepnies,"

"baby taxis," motorbikes, oxen

drawn carts, etc.

2. Service delivery:

Public transportation such as

trains, buses, ferries

* how organized and financed

* availability/accessibility/

cost

* safety

* efficiency of service

* equity of service

* impact

Public roads

* how built and maintained

* availability

* level and type of use

* adequacy

National and local government

IIPUP programs related to transportation

* plans, policies, practices,

may need to address governmental policies,

laws, regulations related

plans, laws and regulations that pertain

to roads and public and

to forms of transportation.

private transportation

media

PA DCO

continued ......

A-117

Transportation and Communications Characteristics (continued)

DATA NEEDED

USE

B. Communications

1. Characteristics communications

use by total population, subgroups

and target groups:

Public communications media can inform

people about programs and services avail'

able to them.

Level of exposure to communication

media:

" newspapers

" magazines

" radio

" community bulletin boards

" posters, billboards

" telephone

" other

2. Attitudes of population, subgroups,

target groups:

Attitudes related tc the believ

ability of communications media

" newspapers

" magazines

" radio

" community bulletin boards

* posters, billboards

* other

3. Service delivery:

Communications media available such

as newspapers, magazines, radio,

community bulletin boards, posters,

billboards, other

" how organized and financed

" availability/accessibility/

cost

" impact

* availability for public service

messages

" frequency of distribution,

broadcasting, etc.

" p~ans for expansion

National and local government

* policies, practices, laws
and regulations related to
public communications media

P A D C 0

All 8

If there are government policies or

laws pertaining to public communications

media, it will be important to take them

into consideration in developing pro

grams that will involve the media.

ANNEX IV

BI BL IOGRAPHY

A-119

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Brown, Lawrence and Frieden, Bernard, Guidelines and Goals in the

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___

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Archibald, R.)., Managing High Technology Programs and Projects,

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