United Nations Centre for Human Settlements (Habitat)

Urban Governance Campaign

Urban Governance Toolkit

TOOLS TO SUPPORT PARTICIPATORY

URBAN DECISON MAKING

Urban Governance Campaign, UNCHS

Operational Elements & Flagship Products

• Normative Debate– Principles of Good Urban Governance

• Advocacy– Campaign Launches

– Policy Papers

– Good Governance Index

– Revised national legislation

– Publicity and media

• Capacity Building– Toolkits

– Network of Inclusive Cities

Role of the toolkit in the campaign

Lessons of Experience

Tools, Manuals, Policy & Legislative

Framework

Demonstration, Launches &

Inclusive Cities

Advocacy, Publicity & Information

Development and Refinement of

Norms

Toolkit to Support Participatory Urban Decision Making

• Purpose– To support the capacity building efforts of cities and their

partners to improve the quality of urban governance

• Activities– Develop a harmonised approach to participatory urban

planning

– Identify and map existing tools available to support participatory planning

– Link the tools to specific norms of good urban governance

– Support the implementation of national and local campaign action plans

The Framework

Phases Elements

I:Preparatory and StakeholderMobilization

III:Strategy Formulationand Implementation

IV:Follow-up and Consolidation

•Formulating Priority Strategies•Negotiating and Agreeing Action Plans•Designing and ImplementingDemonstrationProjects

•Elaborating Issues•Building Collaboration •and Forging Consensus•Formalising commitments

•Mobilising Stakeholders•Issue and City Profiling•Identifying Key Issues

II:Issue prioritisationand Stakeholder Commitment

•Implementing Action Plans•Monitoring and Evaluation•Up-Scaling and Replication•Institutionalisation

ParticipatoryUrban

Decision Making

III: Strategy Formulation and Implementation

•Action Planning•Programme Formulation•Demonstration Project•EMIS•Conflict Resolution

II: Issue Prioritisationand StakeholderCommitment

•Proposition Paper•Facilitation•City Consultation•Urban Pact•Stakeholder Working Group

IV: Follow Up andConsolidation

•Monitoring Tools•Programme Evaluation•Institutionalisation

I: Preparatory and Stakeholder Mobilsation

•Municipal Checklist•Stakeholder Analysis•Profiling•Vulnerability Assessment•Gender Responsive Tools

The Participatory Process and Tools which Support It

Feedback

TOOL

Overview

Purpose

Principles

How it works

Linkage with UG Norms

City Examples

References

Tool Presentation

Phase 1 - Preparatory and Stakeholder Mobilisation

Tool Purpose Norms

MunicipalChecklist

To asses the local situation and tocustomise the process accordingly

Sustainability

StakeholderAnalysis

To identify stakeholders and toanalyse their roles

Equity

Gender To ensure equal participation ofboth men and women in decisionmaking and gender responsivestrategies and actions

Equity

Profiling To provide basic information andto inform prioritisation

Transparency

VulnerabilityAssessment

To provide information aboutvulnerability to communities todisruption

Transparency

POVERTY PROFILEThematic Focus: Urban PovertySource; UNCHS Regional Office for Africa and the Arab States

Outline:1. Introduction to the Study; Overall

Aspects,Objectives, Methodology, Outcomes,

Issues2. Urban Poverty Framework2.1. Defining Urban Poverty2.2. Characteristics of Urban Poverty2.3. Conceptual Framework2.4. Evolution of Poverty3. Introduction to the City3.1. Physical and Climatic Characteristics3.2. Urban Development Historical Analysis3.3. General Characteristics of the City4. Urban Development and Poverty4.1. Main Issues of the Study4.2. Sectoral Poverty Profile; Health,

Education, Job Opportunities, other relatedissues

5. Institutional Frame for PovertyReduction at the City Level

5.1. Local Management Structure5.2. Identification of Poverty-reduction actions6. Possible Areas of Actions6.1. Priority Actions7. Poverty Reduction Strategies7.1. Key Issues to be addressed7.2. Identification of Gaps in Municipal policies7.3. Attempts made by the poor to overcome

situation7.4. Participation of Actors and Stakeholders7.5. Implementing Strategies7.6. Specific Actions8. Policy and Regulatory Framework8.1. Legal and Institutional Framework8.2. Policies for Poverty Reduction8.3. National Plan of Action8.4. Budget Allocation8.5. Lessons Learnt

ENVIRONMENTPROFILEThematic Focus: Urban EnvironmentSource; Sustainable Cities Programme

Outline;1. City Introduction1.1. Key Physical features and Characteristic1.2. Features of City Development1.3. Population Characteristics1.4. Economic Structure1.5. Social and Administrative Aspects2. The Development Setting2.1. Manufacturing Industries2.2. Energy Sector2.3. Mining and Minerals Extraction2.4. Forestry and Agriculture2.5. Water Utilities2.6. Solid Waste Management3. The Environment Setting3.1. Water;3.2. Air3.3. Land3.4. Cultural &Historic Heritage3.5. Env. Hazards; Flooding, Earthquakes4. The Management Setting4.1. Key Stakeholders4.2. Urban Management Structures &Functioning4.3. Strengthening Urban & Env. Management

LOCAL SAFETYAPPRAISALThematic Focus; Urban SafetySource: Safer Cities Programme

Outline:1. Introduction to the Appraisal: Overall Aspects,Objectives, Methodology and Approach, Issues2. City Introduction2.1. Key features and characteristics2.2.Population structure and characteristics2.3. Socio-economic profile2.4. National and Municipal polices forces and law-enforcement policies3. Main insecurity problems3.1.Types and patterns of crime3.2. Occurrence of crime3.3.Fear and perceptions of crime by inhabitants4.Causes of crime4.1. Local causes4.2. Environmental Design causes4.3. Social causes and analysis on groups-at-risk4.4. Causes linked to the criminal justice systemcrisis5. Positive elements for the development of acrime prevention strategyi.e: Existence of local leaders, mediation practices,NGO's initiatives, Social policies aimed atreintegrating groups-at-risk, etc.6. Shortcomings, Obstaclesi.e: No victim-aid policy or institution

COMMUNITY PROFILEThematic Focus: Community developmentSource: Community Environmental Management Information Systems, UNCHS-Habitat, 20001. Infrastructural Setting2. Environment Setting3. Social Setting4. Institutional Setting5. Others

Generic Samples of Profiles

Phase II - Issue Prioritisation and Stakeholder Commitment

Tool Purpose Norms

PropositionPaper

To provide an overview of situationanalysis and review of options forfocussed discussions

TransparencyEquity

CityConsultation

To promote stakeholder dialogue,consensus building and commitment

CivicengagementParticipation

StakeholderWorking Group

To create a mechanism for cross-sectoral and multi-institutionalcoordination

CivicengagementParticipation

Facilitation To enhance stakeholders' contributionand to ensure effective participationand focus

Equity

Urban Pact To allow formalisation of negotiatedagreements between partners andConcretisation of their commitments

Accountability

Typical Outline of an Urban Pact

To allow formalisation of negotiated agreements between partners and concretisation of their commitments

• Preamble (background, preceding events)

• Mandates (international, national, local)

• Fundamental Principles (potentials, constraints, ongoing initiatives, future vision)

• Commitment Package (specific measures, communication mechanisms, institutional set-up)

• Resources (human, technical, information, financial)

• Monitoring and Evaluation (timing, modalities)

• Approval (date, signature of key partners)

Phase III - Strategy Formulation and Implementation

Tool Purpose Norms

ConflictResolution

To facilitate negotiations leading toconsensus and/or win-win situations

TransparencyEquity

ActionPlanning

To elaborate general strategies intoactor-specific and time-bound targetsand commitments

Accountability

ProgrammeFormulationGuidelines

To provide a methodological frameworkfor formulating programmes

Efficiency

EMIS To facilitate identification of priority actionarea and to support planning andinvestment decisions

TransparencyEfficiency

DemoProjects

To demonstrate new approaches andsolutions to urban development problemsand thereby induce replication

Efficiency

The Database

Demonstration Project

• Purpose: learning framework, focus on action, facilitate replication of innovative approaches

• Principles: small scale, short project cycle, demonstration ex-ante, monitoring and replication cycle

• Key Elements: design, financing, monitoring

• Linkage with UG norms: efficiency, transparency, civic engagement

Phase IV - Follow-up and Consolidation

Tool Purpose Norms

Institutionalisation

To Ensure new approaches areunderstood, accepted and routinelyapplied/practised

Sustainability

ProgrammeEvaluationGuidelines

To asses programme success andprovide the basis for betterprogramme design andimplementation

Efficiency

Monitoring To gauge progress in actualdelivery of services and integrationof process and to feedback forreplication/ up-scaling, adjustmentand improvement

Accountability

28 Case Studies• The importance of political will and leadership- Colombo,

Kasserin, Lusaka, Quetzaltenango• The Critical Role of Local Partner Institutions and Anchor

Institutions- Colombo, Cochabamba, Lalitpur• Stakeholder analysis to maximise the roles and contribution of

traditional leaders-Ijebu-Ode, Siwa• Application of the Women's' Safety Audit in Dar es Salaam• Conducting a Five Day City Consultation on environmental

issues in Lusaka, Zambia• The Urban Pact Process in Nakuru, Kenya• Adapting the working group concept in Chennai, India

Case Studies (continued)

• A Demonstration Project on Partnership for local water supply,

Colombo, Sri lanka. • Developing and Managing Spring Water in Ibadan, Nigeria• EMIS in Ismailia, Egypt • City Consultation as a Conflict resolution tool in Petra, Jordan• Managing Conflict in Essaouira, Morocco• Evaluation of Post-Disaster Water and Sanitation Programme in

IRAQ • Integrating the Working Group approach into existing structures -

Lusaka, Zambia• The “Mesas de concertación” and institutionalising the

participatory process in Lima, Peru

Flexible Use of Toolkit• Design custom-made package of relevant tools across the four

phases to respond to needs of specific city, country, organization

• Differentiate between tools with different response time and style

– Rapid Response tools (e.g., Stakeholder analysis; Demo project)

– Capacity Building tools (e.g., Profile, Stakeholder working group)

• Example of package of 5 tools: Profile, Consultation, Urban pact, Conflict resolution, Institutionalization

Disseminating the Toolkit• Internal: HQ staff, Global Programmes, Regional Offices,

RTC project staff

• External: CPR members, Global and Regional Steering Group Members

• Promotion and Testing (Sept. - Nov. 2001): – UMP-LAC Caribbean regional seminar on Participatory Governance for

Poverty Alleviation; Dominican Republic (19-21 Sept 2001)– TUGI Regional Workshop on Participatory Governance; Malaysia (24-26

Sept 2001)– IFUP Roundtable on Participatory Planning Tools, Marrakech (18 Oct

2001)– Citynet meeting on People Centred Cities in a Globalizing World, Bangkok

(29 Oct. - 2 Nov 2001)

Different Formats

Formats to suit different needs:• 1700 copies printed and being distributed

• PDF format on new UGC website

• Interactive website application being developed (e.g., to help designing a selection of tools from menu)

• Inventory of tools in database format to be regularly updated

• CD-Rom with PDF and interactive format

The Directory /Yellow PagesPhase 1 Phase II Phase III Phase IV X-Cutting Total

FCM - - - - 2 2

GTZ - - - - 1 1

ISS - - - - 1 1

ICPC - - - - 2 2

ICLEI - - - - 1 1

VNG - - - - 1 1

NCDO - - - 1 - 1

UNCHS 3 2 5 6 6 22

UNDP - - - 1 - 1

WB 2 - - - 1 3

Tools bymore thanone Org.

- - - - 2 2

Grand Total 5 2 5 8 17 37

Inventory at IFUP4 - Marrakech

DESCRIPTION OF THE TOOL

1. Name of the Tool: 2. Agency which has designed the tool:3. Objectives of the Tool:4. Target group addressed:5. Geographical Scope:6. Level of application (neighbourhood/city/region):7. Format of the tool (book/video/CD Rom/web site): 8. Where and when has the Tool been used ? By whom ?9. Agency and partners involved in the implementation:

United Nations Centre for Human Settlements (Habitat)

Urban Governance Campaign