UN-Habitat_2015_Training Module Slum Upgrading

8/17/2019 UN-Habitat_2015_Training Module Slum Upgrading

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DESIGNING AND IMPLEMENTING STREET-LED CITYWIDE

SLUM UPGRADING PROGRAMMES

A TRAINING MODULE COMPANION


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DESIGNING AND IMPLEMENTING STREET-LED CITYWIDESLUM UPGRADING PROGRAMMES

A TRAINING MODULE COMPANION


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DESIGNING AND IMPLEMENTING STREET-LED CITYWIDE SLUM UPGRADING PROGRAMMES


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A Training Module Companion

CONTENTS

FOREWORD 5

I. INTRODUCTION TO THE TRAINING MODULE PACKAGE 7

1. INTRODUCTION TO THE TRAINING MODULE 7

2. TRAINING OBJECTIVES 7

3. TARGET GROUP 8

4. OVERALL CONCEPT AND METHODOLOGY 8

5. EVOLUTIONARY MODULE DESIGN 8

II. SESSION DETAILS 17

DAY ONE:

SESSION 1: OPENING SESSION 17

SESSION 2: THE CHALLENGE OF SLUMS 17

SESSION 3: EVOLUTION OF APPROACHES TOWARDS SLUMS 18

SESSION 4: WHY UPGRADE? 18

DAY TWO:

SESSION 5: INITIATING CWSU WITH STAKEHOLDER PARTICIPATION 19

SESSION 6: EXERCISE: INITIATING CWSU 19

SESSION 7: PARTICIPATORY ACTION PLANNING FOR CWSU: APUSP, INDIA 20

SESSION 8: INTEGRATING SLUMS WITH THE CITY: FAVELA BAIRRO, BRAZIL 20

DAY THREE

SESSION 9: INSTITUTIONAL AND FINANCING OPTIONS 21

SESSION 10: LAND AND ITS REGULARISATION 21

SESSION 11: EXERCISE: BUSINESS CASE FOR CWSU: PART 1: STRATEGIC CONTEXT 22

SESSION 12: EXERCISE BUSINESS CASE PART 2: ANALYSIS AND RECOMMENDATION 22

DAY FOUR

SESSION 13: PRINCIPLES OF STREET-LED CWSU 23

SESSION 14: LEARNING FROM EXPERIENCE OF THE TWIN-TRACK APPROACH TO STREET-LED CWSU 23

SESSION 15: EXERCISE: BUSINESS CASE PART 3: VIABLE OPTIONS 24

SESSION 16: PRESENTATION OF EXERCISE: BUSINESS CASE FOR CWSU 24

DAY FIVE 25

SESSION 17: STREET-LED CWSU: INCREMENTAL APPROACH 25

SESSION 18 AND 19: NEGOTIATION GAME: OPENING STREETS IN SLUMS:

OPPORTUNITIES AND CHALLENGES 25

SESSION 20: EVALUATION AND COURSE CLOSING 26

ANNEX 1 : INFORMATION TO BE BROUGHT TO THE COURSE 27

ANNEX 2: COURSE EVALUATION BY PARTICIPANTS 29

ANNEX 3: EXERCISE 1: SLUM UPGRADING – FROM PROJECTS TO CITYWIDE PROGRAMMES 34

ANNEX 4: EXERCISE 2: STAKEHOLDER PARTICIPATION IN CITYWIDE SLUM UPGRADING 36

ANNEX 5: EXERCISE 3: DEVELOPING A BUSINESS CASE FOR CITYWIDE SLUM UPGRADING 38

ANNEX 6: UPGRADING AMBEDKAR NAGAR THROUGH THE STREET-LED APPROACH,

A NEGOTIATION EXERCISE 42

Photo: © UN-HABITAT


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DESIGNING AND IMPLEMENTING STREET-LED CITYWIDE SLUM UPGRADING PROGRAMMES: A TRAINING MODULE COMPANION

All rights reserved

Copyright © United Nations Human Settlements Programme 2013

United Nations Human Settlements Programme (UN-Habitat)

P. O. Box 30030, 00100 Nairobi GPO KENYA

Tel: 254-020-7623120 (Central Office)

E-mail: [email protected]: www.unhabitat.org

An electronic version of this publication is available for download from the UN-Habitat website at http://www.unhabitat.org or from our regional

offices.

HS Number: HS/040/15E

DISCLAIMER

The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the

part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the

delimitation of its frontiers of boundaries, or regarding its economic system or degree of development. The analysis, conclusions, recommendations

and views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements Programme, the United Nations,

or its Member States. Information contained in this publication is provided without warranty of any kind, either express or implied, including,

without limitation, warranties of merchantability, fitness for particular purpose and non-infringement.

UN-Habitat specifically does not make any warranties or representations as to the accuracy or completeness of any such data. Under no

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Under no circumstances, including, but not limited to negligence, shall UN-Habitat or its affiliates be liable for any direct, indirect, incidental, special

or consequential damages, even if UN-Habitat has been advised of the possibility of such damages.

Excerpts may be reproduced without authorization, on condition that the source is indicated

ACKNOWLEDGEMENTS:

The following persons from the Institute for Housing and Urban Development Studies (IHS) provided reference material and advice: Nigel Browne,

Carley Pennick, Carlos Morales-Schechinger, Maria Zwanenburg. Praveena and Rekyan Puruhita Sari prepared the maps for the exercise. Claudio

Acioly Jr (UN-Habitat) and Alonso Ayala (IHS) were involved in Module Testing in different places with the authors.

Supervisor: Claudio Acioly

Task Manager: Jane Reid

Principal Authors: Banashree Banerjee and Maartje van Eerd (IHS)

Editors: Claudio Acioly jr, Matthew French, Jane Reid

Design and Layout: Jinita Shah/UNON

Printing: UNON, Publishing Services Section, Nairobi, ISO 14001:2004 – certified.

Job No: 14-01731


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The global rateof urbanizationhas taken animportant turn,with six out ofevery ten peoplein the worldexpected to residein urban areasby 2030. Thisgrowth is notevenly spread

around the world,with 90 per centof urban growthtaking place

in Africa, Asia, Latin America, and the Caribbean.Concurrent with this rise is the phenomenon ofinformal urbanization manifested through thedevelopment of slum settlements in cities in thedeveloping countries worldwide.

Slums represent residential areas with some of thelowest standards of living, lacking public spaces

and the greatest security challenges for vulnerablepopulations such as women, children, and the elderly.Despite continued efforts to plan for better citiesand improve the lives of slum dwellers through slumupgrading programs, problems in these communitiespersist. This publication depicts a training modulethat advocates for a coordinated approach to slumupgrading, which works with UN-Habitat strategicplanning components – urban planning, urbanlegislation, and urban economy – to provide theplatform for a sustainable urban future. Throughthe combination of physical planning, rules andregulations, and financially planning, urban areas can

generate sustainable growth that will provide stabilityand investment opportunity. Incorporating slumupgrading into a National Urban Policy and PlannedCity Extensions ensures a nationwide coordinatedeffort that gives the best chance of improving the livesof those living in informal settlements.

This Training Module on Designing and ImplementingCitywide Slum Upgrading Programs is published inconjunction with two other pieces, namely, Streetsas Tools for Urban Transformation in Slums: AStreet-led Approach to Citywide Slum Upgradingand A Practical Guide to Designing, Planning, andExecuting Participatory Citywide Slum UpgradingProgrammes. I am very pleased to introduce thisTraining Module focusing on citywide slum upgradingto an international audience. It completes the trilogydeveloped by UN-Habitat on the subject of street ledand citywide slum upgrading. This Training Module

translates the strategy paper and the practical guideon Citywide Slum Upgrading Programmes into atraining platform that can be disseminated to andused globally to enhance the capacity of those takingdecisions, planning and executing slum upgradingprograms in their cities. Being tested already in anumber of occasions, this training companion adds onthe institutional effort of UN-Habitat to enhance skillsand knowledge and improve capacities to addressthis challenge in cities of the developing world. Thepublication provides the basis for better and moremeaningful training of local officials, policy makers

and practitioners that will help to improve the qualityand delivery of citywide slum upgrading programs.

I am convinced that the blend of research, knowledge,practice and experience will develop the kind of skillsand know-how needed to address the problems ofslums globally. I hope that this Training Module, usedin conjunction with its partner publications, will do justthat and provide urban practitioners with a valuableresource and an effective tool to add to their toolkit.

FOREWORD

Joan Clos Under Secretary General of the United Nations

Executive Director of UN-Habitat


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DESIGNING AND IMPLEMENTINGSTREET-LED CITYWIDE SLUM UPGRADING PROGRAMMES


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I. INTRODUCTION TO THETRAINING MODULE PACKAGE

This training module consists of:

The generic module

1. The generic module with notes for the CourseCoordinator/ Trainer

2. Participants’ Handbook

3. Power point presentations

4. Video films

1. INTRODUCTION TO THE TRAINING MODULE

A defining feature of urban growth in developingcountries has been emergence and perpetuationof informal squatter and unauthorised settlements.Classified internationally as “slums” and locallycalled unplanned, spontaneous, sub-standard, poorlyserviced settlements with different names such asfavelas, barriadas, gencekondus, kampungs, etc.,these settlements are often characterised by poorhousing conditions and a lack of basic urban servicesand infrastructure. The extent of informality in housingproduction as manifested in slum growth is immenseand, in absolute terms, growing. According to a UN-

HABITAT statistics, the number of people living in slumconditions reached approximately 827 million peoplein 2010, representing a 12.5 per cent increase from just a decade before.

Slum upgrading is one approach to addressing thischallenge. It seeks to improve the living conditionsin slums for the benefit of existing slum dwellers bydirectly intervening, in situ, in the physical, social,economic, and/or juridical structure of the settlement.At the neighborhood level slum upgrading projectshave often led to dramatic improvements in thelives of slum dwellers. Furthermore, in select cities

in Brazil, Uruguay, Colombia, Thailand, India andSouth Africa, benefits have been enhanced throughlarge programmes that have been implemented at acitywide scale.

Given the scale of the challenge of slums, the needto move away from piecemeal project-based slumupgrading interventions and to bring slum upgradingto a large scale is both evident and imperative. Thepolitical will to undertake and sustain slum upgradingis evidently growing, and more countries are risingto the challenge of developing city- and nationwide

slum-upgrading strategies. However, it is recognizedthat such policies and programmes have a curativecharacter. They need to form part of a twin-trackapproach that promotes citywide slum upgrading

Photo: Community participation in Myanmar © UN-HABITAT

policies simultaneous to policies that bring housingoptions to scale to prevent the multiplication of slumsand urban informality.

The focus of this training module is city wide slumupgrading (CWSU). A retrospective of interventionsdemonstrates the evolution from removal of slums

to project-based in-situ infrastructure improvementsto citywide slum upgrading programmes, comprisedof multiple and simultaneous projects aiming at thelegal, social and physical integration of slums into theofficial systems of planning and urban management.However, it is seen that some city-wide slum upgradingprogrammes revert to the project approach becausethey are unsuccessful in resolving the complexitiesof including multiple elements, which are invariablyincluded for the sake of being comprehensive.Programmes which develop incrementally and followpractical and hands-on implementation strategies are

seen to be more successful.

This training module will introduce one such practicalstrategy developed by UN-HABITAT, which suggestsa move towards the opening and improvement ofstreets through citizen participation as a strategicspatial intervention for citywide slum upgrading.The approach fosters incremental improvementof the physical and socio-economic conditions inslums and informal settlements and promotes urbanregeneration, transformation and their integration intothe overall city planning agenda.

As cities are moving towards programmaticapproaches towards slum upgrading, it is increasinglyrecognised that institutional, management and humanresource capacities must be in place both for scalingup slum upgrading and for putting in place viablehousing options that provide alternatives to informalsettlements.

2. TRAINING OBJECTIVES

The purpose of the training module is to enhanceknowledge and develop skills amongst key

stakeholders responsible for designing, coordinating,managing and implementing city wide slum upgradingprogrammes. The main objective of the trainingmodule is to introduce the necessary steps, practicaltools and systems for designing and implementingand managing street-led city wide slum upgradingprograms. The module introduces the basic conceptualand methodological issues involving slums and slumupgrading and develops an in-depth understandingof the deep-rooted causes of slums and informalsettlements and the various policies to deal with it.

The module also seeks to promote slum upgrading asa viable alternative to improve the living conditionsand quality of life of poor households living in slumsand informal settlements.


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The training module will provide a platform forexchange of knowledge, experience and perceptionsof participants related to slum upgrading in theirown context as a point of departure for analysis andknowledge building.

The ultimate objective of the module is that the

course participants should be equipped with theknowledge to develop CWSU as a business model forcity regeneration and instrumentalise it in a short timeperiod.

3. TARGET GROUP

The target group for the training module consists ofthose who are or will be in charge of designing andproposing programmes to the city government. Thesewould include, but not be limited to, policy makers,practitioners and experts from municipal governments

and civil society organizations, including communitybased organizations of slum dwellers. A special anddistinct target group would be trainers from traininginstitutions in different regions and countries whowould take up the important task of spreading themessage and practice of citywide slum upgrading.

4. OVERALL CONCEPT AND METHODOLOGY

The training module is an essential part of the VirtuousCycle of Capacity Building, which has been articulatedby UN-HABITAT as a strategic approach to sharing

knowledge and experience and developing newknowledge products towards institution building andcapacity development for citywide slum upgrading.As such, the specific role of the training module is toassimilate and reproduce the knowledge generatedthrough research, and disseminate the tools andpractical guides.

WORKING PAPER

Citywide Slum Upgrading:A street led approach

Knowledge

VIRTUOUS CYCLE OF CAPACITY DEVELOPMENT

PRACTICAL GUIDE:

Designing, PlanningManaging & Executing

Citywide Slum UpgradingProgrammes

TRAINING OF TRAINERS:



TRAINING MODULE:



Technical Assistance to strengthencapacities of City Governments:

Policy Development, InstitutionsHuman Resources

Research

Skills

Institution building

Knowledge Skills Tools

Application

Particularly, the training module will draw on twoimportant pieces of work. The first is UN-HABITAT’s“Practical Guidebook for Designing, Planning,Managing and Executing Citywide Slum UpgradingProgrammes” and the second is the working paper“Streets as Tools for Urban Transformation in Slums: AUN-Habitat approach to citywide slum upgrading”.

The module will introduce the basic conceptual andmethodological issues involving slums and slumupgrading and develop an in-depth understandingof the deep-rooted causes of slums and informalsettlements and the various policies to deal with it.Next, the training module will introduce the necessarysteps, practical tools and systems for designing,implementing and managing street-led city wide slumupgrading programmes. Finally key approaches toinstrumentalise CWSU in a phased manner will bediscussed.

The module is designed as an interactive learningenvironment, which facilitates the transitionfrom lower levels of cognition like assimilation ofknowledge to higher levels such as application andanalysis.

5. EVOLUTIONARY MODULE DESIGN

This training module will be most effective if it is treatednot as a static entity but an evolving one, which will berenewed and updated as the experience grows and as

and when new sources of knowledge and experienceare available. The training module was first piloted inthe International Urban Training Centre (IUTC), Republicof Korea in April 2013. The course was attended by20 participants from 10 Asian countries. Subsequently,parts of the module were used in a day-long sessioncalled, “Fast Forward cities: planning and design


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for inclusive cities” in a 5-day training programme,“Thinking Big: Strategies to Deal with Urban Growth”held in London in June 2013, as part of the CentenaryCelebrations of International Federation of Housing andPlanning (IFHP) for members of URBEGO, the networkof young planning professionals. Observation duringthese programmes as well as the course evaluation by

the participants have helped to fine tune and bring themodule to its present form.

The Negotiation Exercise from the Training Modulewas successfully tested on two occasions by trainersfrom IHS. In May 2013 it was used in a course on “Planning and implementation of low-income (social)housing projects” for training of trainers at the Centre

Step 1 Understanding slums Analyzing magnitude, typology and causes of slums; policiestowards slums; need for CWSU

Step 2 Designing, implementingand managing CWSU

Intro to steps, tools, institutions, stakeholder roles, resourcemobilization

Step 3 Instrumentalizing CWSU Intro to street-led approach; participatory mapping, planning &prioritization; phasing; incremental slum upgrading and urbanregeneration

Evaluation

Synthesis

Analysis

Application

Understanding

Knowledge

COGNITIVE ELEMENT PEDAGOGIC METHODS USED IN THE MODULE

Knowledge and Understanding • Participants’ own case preparation• Presentations on concepts, approaches• Interactive question-answer sessions, games

Application • Discussion of case studies• Individual and group exercises

Synthesis • Group exercise on Business Case for CWSU

Evaluation • Peer evaluation of exercise• Self evaluation and course evaluation

LINKING COGNITION WITH PEDAGOGIC ELEMENTS

LEARNING LADDER

THE MODULE WILL CONSIST OF THE FOLLOWING MAIN STEPS:

for Human Settlements and Urban Development,Federal University of Technology, Minna, Nigeria. It wasattended by 20 participants, including representativesfrom the Ministry of Housing. In December 2013 thesame exercise was translated into Spanish and tested ata tailor made training course for 25 staff members ofthe Department of Urbanism of Guatemala City.

Testing and running the Module successfully across 4continents, in its full form and using elements from it,has demonstrated that it is a flexible and adaptabletool, which trainers can use effectively to achieve theModule objectives. It was found to be useful and well-appreciated by participants in all the courses.


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DAY 1: UNDERSTANDING SLUMS AND SLUM UPGRADING

TIME SESSION TITLE OF THE SESSION

9:00 – 10:30 Session 1 Opening Session10:30 – 11:00 Break

11:00 – 12:30 Session 2 The Challenge of Slums

12:30 – 13:30 Lunch

13:30 – 15: 00 Session 3 Evolution of approaches towards slums

15:00 – 15:30 Break

15: 30 – 17:00 Session 4 Why upgrade? From Projects to Programmes: Exercise

DAY 2: SETTING UP CWSU: LEARNING FROM BEST PRACTICES

9:00 – 10:30 Session 5 Initiating CWSU with stakeholder participation

10:30 – 11:00 Break

11:00 – 12:30 Session 6 Exercise: Initiating CWSU

12:30 – 13:30 Lunch

13:30 – 15: 00 Session 7 Participatory Action Planning for CWSU: APUSP, India

15:00 – 15:30 Break

15: 30 – 17:00 Session 8 Integrating slums with the city: Favela Bairro, Brazil

DAY 3: STRATEGIC CHOICES IN PLANNING CWSU

9:00 – 10:30 Session 9 Institutional and financing options

10:30 – 11:00 Break

11:00 – 12:30 Session 10 Land and its regularisation

12:30 – 13:30 Lunch

13:30 – 15: 00 Session 11 Exercise: Business case for CWSU: Part 1: strategic context

15:00 – 15:30 Break

15: 30 – 17:00 Session 12 Exercise: Business case Part 2: Analysis and recommendation

DAY 4: IMPLEMENTING STREET-LED CWSU

9:00 – 10:30 Session 13 Principles of Street-led CWSU

10:30 – 11:00 Break

11:00 – 12:30 Session 14 Learning from experience of street-led CWSU: Slum Networking and Slum FreeCity Ahmedabad

12:30 – 13:30 Lunch

13:30 – 15: 00 Session 15 Exercise: Business case Part 3: Viable options

15:00 – 15:30 Break

15: 30 – 17:00 Session 16 Presentation of exercise: Business Case for CWSU

Each Course Coordinator/ Trainer may make his/herchanges within the overall concept and methodologyand ensuring the same learning outcomes. Differentcase studies and exercises may be used by trainersand his/her experiences may be brought in towardsachieving the stated objectives of the module. Both thekey references, UN-HABITAT’s “Practical Guidebook for

Designing, Planning, Managing and Executing CitywideSlum Upgrading Programmes” and the working paper“Streets as Tools for Urban Transformation in Slums: AUN-HABITAT approach to citywide slum upgrading,”contain a number of case studies which can beelaborated individually during the sessions. Alternatively,the lessons learnt from them may also be discussed.

MODULE STRUCTURE

In the course of 5 working days, each day is divided into4 sessions of 90 minutes each between 9.00 AM and5.00 PM, with 2 breaks for tea/coffee and one breakfor lunch. The morning sessions are in general used forintroducing theories, concepts, methodologies etc. and

are on occasion interspersed with short exercises, doneindividually or in groups. The afternoon sessions areused for exercises, case studies etc.


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SESSION DURATIONIN

MINUTES

CONTENTS OBJECTIVES NATURE OFTHE TRAINING

ACTIVITIES

REFERENCETO COURSEMATERIAL

DAY 1: UNDERSTANDING SLUMS AND SLUM UPGRADING

Session 1:OpeningSession

90’ • To welcome theparticipants to thecourse.

• To let participantsintroduce themselvesand explain theirinterest/workexperience related toslum upgrading.

• To come tounderstand theexpectations ofthe participantswith regard to thetraining.

• To introduce thebackground,objectives, contentand schedule of theworkshop; training.methodologyemployed during thecourse; and readingmaterial.

Words ofwelcome,introductionto the courseobjectives,programme andmethodology;introductionsand expectationsfrom eachparticipant;create aparticipatorylearningenvironment

among theparticipants

• Interactivesession

Introductionof coursematerial

Session 2: Thechallenge ofslums

90’ • Overview of slumsand their magnitudein different regions.

• Causes of slums andconsequences forresidents and the city.

• UN-HABITATslum definition,characteristics andtypology of slums.

• Brain storming onevolving an operationdefinition of “slum”in participants’ cities/ countries.

Understandingof natureof slums

internationallyand inparticipants’cities

• Presentation• Interactive

session with

question andanswer

• Brain storming

CD: SessionTwoPresentation

DAY 5: SUSTAINING CWSU, CONSOLIDATING THE LEARNING EXPERIENCE

9:00 – 10:30 Session 17 Prioritising slums for upgrading and phasing implementation

10:30 – 11:00 Break

11:00 – 12:30 Session 18 Negotiation game: Opening streets in slums: opportunities and challenges

12:30 – 13:30 Lunch

13:30 – 15: 00 Session 19 Negotiation game: Opening streets in slums: opportunities and challenges continued

15:00 – 15:30 Break

15: 30 – 17:00 Session 20 Evaluation and Course Closing


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Session 3:Evolution ofapproachestowards slums

90’ • Brief overview ofhousing policies inrelation to slums –demolition of slums,public housing,relocation, sitesand services, slumupgrading projectsand city-wideprogrammes.

• Intro to CWSU.• Case examples of

good practices inslum upgrading.

To review theevolution ofslum upgradingwithin housingpolicy rationale.To agreeon what ismeant by slumupgrading andCWSU

• Presentation• Interactive

session withquestion andanswer

CD: SessionThreePresentation

Session 4: Whyupgrade?

90’ • 30 minutes Film onKarachi, Pakistan“Why upgrade.”

• Discussion onviews of differentstakeholders in thefilm. Lessons learnt.

• Short exercise:From projects toprogrammes.

To developthe rationalefor slumupgrading andunderstandingstakeholderconcerns andimplications ofscaling up

• Film• Interactive

session withquestion andanswer

• Short groupexercise ongiven format

Format :Exercise 1CD: SessionFour Film andSession Four,Exercise 1.


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SESSION DURATIONIN

MINUTES


ACTIVITIES


DAY 2: SETTING UP CWSU: LEARNING FROM BEST PRACTICES

Session 5:Initiating

CWSU

90’ • Identifyinginstitutions and

stakeholders.• Getting support and

building consensus.• Information and

mapping of slums.• Agreeing on a plan

and publicizing it.• Identifying key issues

for success.

Reinforcing thatCWSU is not

only a technicaltask but needspolitical supportand socialcredibility

• Presentations• Interactive

session withquestions andanswers

CD:Session Five

Presentation

Session 6:Exercise:initiating

CWSU

90’ • Introducing theexercise.

• Individual exercise

by participants usinginformation broughtby them and inconsultation with 2other participants.

Participantsapply the toolsintroduced in

session 5 to theirown situation

• Individual workwith peerconsultation

Formats forExercise 2CD: Formats

for ExerciseTwo

Session 7:ParticipatoryActionPlanning forCWSU: APUSP,India

90’ • Introduction toAndhra PradeshUrban Services forthe Poor (APUSP).

• Municipal Action Planfor Poverty Reduction(MAPP) participatory

process at city andslum level.

• Implementing slumupgrading andpoverty reduction.

• Pro-poor reforms andcapacity building.

• Evaluation results.• Lessons learnt

(interactive).

Illustratingthe role ofparticipatoryaction planningfor CWSU andthe need formunicipal reform

to sustain thebenefits of slumupgrading

• Presentations,question-answers

• Interactivesession onlessons

CD: Session 7Presentation

Session 8:Integrating

slums with thecity: FavelaBairro, Brazil

90’ • Key processesin planning &

implementing.• Political support,

communityparticipation.

• Coordinationbetween institutions.

• Linking up withcity: planningand regulatoryframeworks, accessand mobility.

• Overcomingchallenges.

• Lessons learnt(interactive).

Illustratingthe range of

integratingelementsDemonstratinghow toovercomechallenges

• Presentations,question-

answers• Interactive

session onlessons

CD: Session 8Presentation


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SESSION DURATIONIN

MINUTES


ACTIVITIES


DAY 3: STRATEGIC CHOICES IN PLANNING CWSU

Session 9:Institutional

and financingoptions

90’ • Setting up theinstitutional base

for long term policyimplementation.

• Structure andorganization foreffective public sectorresponse.

• Organisation andmanagement models.

• Public policyand governmentresponse.

• Examples from

programmes.• Financing options.

To understandthat CWSU

requires a soundinstitutional baseand multiplesources offinance but onesize does notfit all

• Interactivesession,

question andanswers

CD: SessionNine

Presentation

Session 10:Land and itsregularisation

90’ • Different forms ofsecure tenure.

• The idea of thecontinuum of rightsand claims.

• Regulatoryframeworks: citymaster plans, landuse and settlementupgrading.

• Examples of differentapproaches fromBrazil, Thailand,India, Philippines.

To understandthe possibilityof differenttypes of tenurerights and landregulations

• Interactivepresentationusing caseexamples

CD:Session TenPresentation

Session 11:Exercise:Business casefor CWSU:Part 1:strategiccontext

90’ • Introduction to theexercise.

• Preparing a businesscase.

• Agreeing on workinggroups and roles ofgroup members.

• Working in groups.

To developskills foranalyzing andhighlightingthe strategicimportance ofCWSU

• Group work Exercise 3briefCD: Exercise3 brief

Session 12:ExerciseBusiness casePart 2: Analysisand recom-mendation

90’ • Re-constitution ofworking groups.

• Working in groups todevelop evaluationcriteria for options.

• Screening of options(status quo, options1,2,3).

• Selection of viableoption(s).

• Rationale fordiscounted and viableoptions.

Participantsdevelop skills toapply tools forselecting andpromoting theviable approachand option forCWSU

• Guided work ingroups

Exercise 3briefCD: Exercise3 brief


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SESSION DURATIONIN

MINUTES


ACTIVITIES


DAY 4: IMPLEMENTING STREET-LED CWSU

Session 13:Principles of

street-ledCWSU

90’ • Strategic role ofstreets to integrating

slums with citysystems and urbanplanning.

• Focus on openingstreets in slums forsocial integration,physical improvementand local economicdevelopment.

• Incremental andparticipatorydecision making and

implementation.

Knowledge andunderstanding

of street-ledCWSU

• Presentationand Interactive

session

CD:Session 13

Presentation

Session 14:Learning fromexperience ofthe twin-trackapproachto street-ledCWSU

90’ • Importance of thetwin-track approach:upgrading andprevention of slums.

• Discussion ofthe example ofAhmedabad, Indiafor slum networking,relocation of slumdwellers andaccessing land for

new low incomehousing.

To understandhow the twin-track approachcan be put inplace in relationto opportunitiesin the city anddevelopmentobjectives.

• Presentation,question andanswers

• Short video• Interactive

outlining oflessons

CD:Session 14Presentation,Ahmedabadfilm.

Session 15:ExerciseBusiness casePart 3: Viableoptions

90’ • Re-formation ofworking groups.

• Implications ofviable option (costs,costs and benefits,opportunities,risks, alignmentwith policiesand regulations,implementation

capacity,acceptability,advantages anddisadvantages).

• Implementation plan.

Participantsdevelop skillsto prepare forimplementationof the selectedapproachexaminingdifferentconstraints andopportunities

• Guided work ingroups

Exercise 3briefCD: Exercisethree brief

Session 16:Presentationand discussionof businesscase studies,Parts 1,2,3

90’ • Working groupspresent the resultsof the exercise,respond to answersfor clarification, andgain feedback fromco-ordinators.

•Groups compare theoutcome of theirwork with others.

• Feedback from co-ordinators.

Participantsare able toconvincinglyargue for theapproachdeveloped bythem in groups

• Grouppresentations

• Plenarydiscussions

CD: ExerciseThree brief


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SESSION DURATIONIN

MINUTES


ACTIVITIES


DAY 5: CONSOLIDATING THE LEARNING EXPERIENCE

Session17: street-

led CWSU:incrementalapproach

90’ • How to set upeligibility criteria for

selection.• How to prioritize

slums andhouseholds forinclusion.

• Selection criteria andtools used in Brazil,India, Indonesia,Colombia etc.

• Incremental approachto street-led CWSU.

To exposeparticipants

to practicalmethods andexamples forimplementingthe incrementaldevelopment ofslums

• Presentationand discussions

CD:Session 17

Presentation

Session 18:

Openingstreetsin slums:opportunitiesand challenges:Negotiationgame

90’ • Participants engage

in pre-determinedrole play representingdifferent internal andexternal stakeholdersin the upgradingprocess of oneslum. Specifically tonegotiate openingof streets andprioritizing streets forimprovement.

• Secure tenure.

• Managing relocationof householdsaffected by streetimprovements.

• Improving servicesand facilities.

Understanding

ofimplementationissues,stakeholderroles,negotiation andcollaborationissues

• Group work

• Role play ofslum and citystakeholders

Exercise brief

AssignedrolesCD: SlumUpgradingandNegotiationGame Notes(Roles andGroups).

Session 19:Openingstreetsin slums:opportunitiesand challenges:

role play game

90’ • Game continued. • Role play• Negotiation• Presentation of

final outcome

CD: SlumUpgradingandNegotiationGame Notes(Roles and

Groups).Session 20:Evaluationand ClosingCeremony

90’ • Review of key issuesaddressed in theworkshop.

• Participants’agreement on nextsteps to promoteCWSU.

• Feedback (verbal andwritten) on the valueof the course to theparticipants.

Evaluation ofthe course,valedictorysession

• Review oflearningsand theirprofessionalapplication

• Writtenand verbalevaluation

CourseevaluationformCourseEvaluationForm (AnnexTwo).


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II. SESSION DETAILS

DAY ONE

SESSION 1: OPENING SESSION

This session is intended to welcome the participantsand to introduce the participants and trainers. Theparticipants are asked to briefly describe their workrelated to slum upgrading and expectations from thecourse. The session also familiarises the participantswith the background, objectives, content and scheduleof the course and talks about the interactive andpractice oriented training methodology employedduring the course. The course handouts and readingmaterial are also introduced.

SESSION 2: THE CHALLENGE OF SLUMS

This session aims to build an understanding ofthe nature of slums and informal settlementsinternationally and in the participants’ cities/countries.Starting with an overview of slums and their typologyand trends in slum formation in different regions,the session goes on to discuss: what are slums? Itthen helps the participants to arrive at an operationaldefinition of slums through a process of brainstormingand compares it with the UN-Habitat definition. Thecauses of slums and their consequences for slum

dwellers and the city are discussed. The sessionconcludes with the question: what will happen ifnothing is done about slums?

Rio de Janeiro. Photo: Bildungsr0man, Flickr Creative Commons

Recommended reading:

1. CWSU Practical Guide : Chapter 1

2. Streets as tools for urban transformation: A street-led approach to citywide slum upgrading : Section

4, (Part B)

3. Acioly Jr., Claudio (2010). “The Informal City andthe Phenomenon of Slums: the challenges of slumupgrading and slum prevention”, in InternationalNew Town Institute, (2010) New Towns for the21st Century. The Planned vs. the Unplanned City.Amsterdam: SUN architecture, pp. 222-231.

4. Cities alliance (2002). Citywide Slum Upgrading.http://www.citiesalliance.org/ca/sites/citiesalliance.org/files/Anual_Reports/upgrading_9.pdf

5. UN-HABITAT (2003). The Challenge of Slums.Global Report on Human Settlements 2003.London: Earthscan and UN-HABITAT.

6. Fernandes, E. (2011). Regularization of InformalSettlements in Latin America. Policy Focus Report.Cambridge: Lincoln Institute of Land Policy


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SESSION 3: EVOLUTION OF APPROACHESTOWARDS SLUMS

This session presents a brief historical overview ofhousing policies vis-à-vis the responses to informalsettlements. The session goes through analysis ofearly generation of housing projects and programmes

focused on government subsidised conventionalhousing schemes, self-help housing advocacy, sites& services, incremental land developments andsites without services approaches pinpointing thepeculiarities of each policy approach. The session helpsthe participants to understand the evolution of theparadigm of settlement upgrading within the policyrationale. The move from projects focused on physicalimprovements towards integrated projects as part ofcity-wide programmes is highlighted by this session.Finally, the session discusses the intrinsic implicationsfrom policies of integration and regularisation of

informal settlements in which improvements in qualityof life is as important as the regularisation of landtenure.


1. CWSU Practical Guide: Chapter 1

2. Streets as tools for urban transformation: A street-led approach to citywide slum upgrading: Section4, (Part B)

3. Viloria-Williams, Julie (2006). Urban Community

Upgrading, Lessons from the past – Prospects forthe future. World Bank Institute

4. Banerjee, Banashree (2006). Impact of tenure andinfrastructure programmes on housing conditionsin squatter settlements in Indian cities. In: Shaw,A. (Ed.) Indian Cities in Transition. New Delhi:Orient Longmans, India

SESSION 4: WHY UPGRADE?

The first part of this session uses a 30-minutes filmfrom Karachi, Pakistan, to explore the question: whyupgrade? This is often the question city institutionsface. The rationale for upgrading slums instead ofdemolishing or relocation them goes beyond the

housing question. It points to supporting poor peopleto improve their conditions of living in places whichare strategic for livelihood opportunities and accessto facilities in the city. This is one of the reasons whythe issue of slums cannot be seen in isolation from thecity. The second part of the session is a quick exercise,in which participants working in groups of threeor four will examine the difference between slumupgrading and citywide upgrading.

Resources:

1. Film

2. Work sheet for the exercise, Annex 3


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DAY TWO

SESSION 5: INITIATING CWSU WITHSTAKEHOLDER PARTICIPATION

The key aim of CWSU is to integrate informalsettlements with the city. This session reinforces the factthat Citywide Slum Upgrading is not only a technicaltask of providing services but needs political supportand social credibility. This session discusses what kind offeasibility studies are to be carried out for determiningthe choice of options. How and when to take stockof gaps in information and mapping and initiate dataupdating and sharing for planning is looked into. Theinvolvement of a range of stakeholders – communitygroups, NGOs, private sector, municipal, academicinstitutions, provincial and central government - is

essential for effective CWSU. Stakeholder analysisand ways of engaging with different groups will beintroduced. The session will also identify key areas forsuccess, which will be revisited during other sessions.



2. IIED (1994). Special Issue on Participatory Toolsand Methods in Urban Areas, RRA Notes, No.21, International Institute of Environment &Development, London, November.

3. Gawler, M. (2005). Quick Guide to StakeholderAnalysis, web publication: ARTEMIS Services, April.

4. Government of India (2012). Guidelines for RajivAwas Yojana, Ministry of Housing and UrbanPoverty Alleviation

Women participate in discussing and identifying community needs. Photo: UN-HABITAT

SESSION 6: EXERCISE: INITIATING CWSU

In this exercise participants will be asked to apply theframework for initiating CWSU (introduced in Session5) to their own situation. The information they were

asked to bring to the course will form the basis fordeveloping the steps to initiate CWSU in their owncities.

Resource:

1. Session 2, 3 and 5 presentations and discussions



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SESSION 7: PARTICIPATORY ACTIONPLANNING FOR CWSU: APUSP, INDIA

This session uses the example of Andhra PradeshUrban Services for the Poor (APUSP) implementedin 42 cities of Andhra Pradesh, India to illustratethe importance of participatory planning for city

wide slum upgrading. The Municipal Action Plan forPoverty Reduction (MAPP) is prepared at city level toby representatives of stakeholder groups to identifyand prioritise slum upgrading and poverty reductionactions and to identify pro-poor municipal reforms.Micro Planning in prioritised slum settlements is led bywomen representatives assisted by multi-disciplinaryteams from the municipality. The session also discussesaccompanying measures for capacity building. Thefindings of external evaluations of the programmeillustrate the role of participatory action planning forCWSU and the need for municipal reform to sustain

the benefits of slum upgrading.



2. Streets as tools for urban transformation: A street-led approach to citywide slum upgrading: Section6 and Annex 1

3. Banerjee, B (2002) Mainstreaming the urban poorin Andhra Pradesh, India in eds, Westendorff,David and Deborah Eade, Development and Cities,

Oxfam GB, pp 204-225.

4. Government of Andhra Pradesh (2004)MAPP Guidelines, Directorate of MunicipalAdministration.

SESSION 8: INTEGRATING SLUMS WITH THECITY: FAVELA BAIRRO, BRAZIL

This session describes a large scale citywide upgradingprogramme undertaken by the municipality of Rio deJaneiro, Brazil. The session presents a clear overview ofthe main challenges faced by the city and elaborates

on how the municipal government formulated andimplemented the programme, how it mobilisedresources and how project ideas evolved and therole of the various public and private stakeholders.The strategies used to integrate slums with the cityare highlighted in terms of planning and regulatoryframeworks, access and mobility. The session endswith a discussion about the successes and failures ofthe programme and its replicability.



2. Streets as tools for urban transformation: A street-led approach to citywide slum upgrading: Section6 and Annex 1

3. Acioly Jr., Claudio (2001). “Reviewing UrbanRevitalisation Strategies in Rio de Janeiro: fromurban project to urban management approaches”,in GeoForum: Special Issue on Urban Brazil,Volume 32, Number 4, November 2001, UK:Elsevier.

4. Imparato,Ivo, Jeff Ruster (2003). Slum Upgradingand Participation: Lessons from Latin America.World Bank.


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DAY THREE

SESSION 9: INSTITUTIONAL AND FINANCINGOPTIONS

There may be many ways in which the objectivesof CWSU can be achieved, depending on the localsituation, resources available and social acceptance. Inthis session the different possibilities for institutionalarrangements will be discussed for sustainable CWSU.In particular the options of setting up new institutionsversus strengthening existing institutions will bedebated. Possibilities for mobilising finance for CWSUand financial management for sustaining the benefitswill be discussed with examples.


1. CWSU Practical Guide: Chapter 3; Chapter 5.

2. Acioly Jr., C. (2012), Citywide Informal SettlementUpgrading Programmes: Some Experiences withInstitutionalization, PowerPoint presentation tothe Institute for Housing and Urban DevelopmentStudies, Erasmus University, Rotterdam.

Mumbai Landing View Photo: J.Brewster, Flickr Creative Commons

SESSION 10: LAND AND ITS REGULARISATION

This session introduces the importance of regularisingtenure of informal settlements. Security of landtenure is critical for investment in improving informal

settlements and integrating them with the city. Thedifferent forms of secure tenure are introduced. Howtenure rights can be strengthened incrementally isdiscussed. The regulatory framework of planning andland use regulations also plays an important role inregularising tenure and ensuring availability of landto prevent slums. The use of land in slums and theoptions for upgrading such as re-blocking of plotsand opening streets can lead to significant advantagesfor long term sustainability and better environmentalquality. Examples from different approaches from LatinAmerica, Asia and Africa will be presented.

Recommended reading:1. CWSU Practical Guide: Chapter 2; Chapter 4

2. Streets as tools for urban transformation: A street-led approach to citywide slum upgrading: Chapter5; Chapter 6; Chapter 7 and Annex 1

3. UN HABITAT (2008). “Secure Land Tenure for All.”Global Land Tool Network.

4. UN-HABITAT (2010). “Count me in. Surveying fortenure security and urban land management”.

Nairobi: United Nations Human Settlements andGlobal Land Tool Network


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SESSION 11: EXERCISE: BUSINESS CASE FORCWSU: PART 1: STRATEGIC CONTEXT

The group exercise of developing a Business Case forCitywide Slum Upgrading will be carried out in threesteps, spread over three sessions. 1) Identifying thestrategic context; 2) Analysis and recommendation

options of a way forward; 3) Viable options. ABusiness Case is an analysis of the organisationalcapacity and values, feasibility, costs, benefits, andrisks of the proposed plan. In this session participantswill be asked to form multi-disciplinary groups of 4-5members and will be guided with background notesand discussions with co-ordinators. Inputs from othersessions in the course will provide relevant informationfor undertaking the exercise. This particular session willlook into the strategic context of city development,policy framework and slum situation and possibleoptions/approaches for CWSU.

Resources:

1. Exercise brief (Annex 5)

2. City profile

3. Treasury Board of Canada (2009), Business CaseGuide, http://www.tbs-sct.gc.ca

SESSION 12: EXERCISE BUSINESS CASE PART 2:ANALYSIS AND RECOMMENDATION

The working groups will develop evaluation criteriafor evaluating the options; screen the options (statusquo, options 1,2,3) according to the criteria, select theviable option(s) and give the rationale for rejecting and

selecting options.


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DAY FOUR

SESSION 13: PRINCIPLES OF STREET-LED CWSU

This session introduces UN-HABITAT’s new approach to

citywide slum upgrading which focuses on streets astools for urban transformation in slums. The strategicrole of streets in fostering the physical, socio-culturaland economic inclusion of slums with city systemsand urban planning is discussed. Opening streets inslums leads to social integration, physical improvementand local economic development. A street-focusedapproach makes it possible to incrementally upgradeslums and use them for regeneration of the entireurban fabric and to demarcate areas for new housing.It is critical that local communities, service providersand businesses participate in decision making andimplementation. The key principles and concepts of

the street-led approach are introduced and advantagesand shortcomings debated in the session.


1. Streets as tools for urban transformation: Astreet-led approach to citywide slum upgrading:Chapters 5 and 7

2. Favro, Celik and Ingersoll, eds. (1994). Streets:Critical Perspectives on Public Space. Berkeley andLos Angeles: University of California Press 1994

Kibera, Kenya. photo: Gates Foundation, Flickr Creative Commons

SESSION 14: LEARNING FROM EXPERIENCE OFTHE TWIN-TRACK APPROACH TO STREET-LEDCWSU

UN-Habitat has been recommending a twin-track

approach for solving the problem of slums. Thisapproach consists of upgrading existing slums on onehand and taking appropriate actions to prevent theformation of slums on the other hand. This sessionwill illustrate how the twin-track approach is beingplanned and implemented in the case of Ahmedabad,India. Ahmedabad started implementing the slumnetworking project for upgrading slums in the 1990’s.The city is currently undertaking large-scale relocationof river-side slums. Side by side land for new housingis being made available in the city centre as well as inthe periphery using a policy for reservation of land forhousing the poor.


1. Streets as tools for urban transformation: Astreet-led approach to citywide slum upgrading:Chapters 6 and 7, and Annex 1

2. Ahmedabad Municipal Corporation (2005)Ahmedabad Slum Networking Program, submittedfor the Dubai International Award for BestPractices to Improve the Living Environment

3. Anand, S. (2008), Best Practices in Slum

Improvement: the Case of Ahmedabad, India,Centre for Development Finance, Institute forFinancial Management and Research, for theDevelopment Innovations Group (DIG), CEPTUniversity, Ahmedabad


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SESSION 15: EXERCISE: BUSINESS CASEPART 3: VIABLE OPTIONS

In this session groups will work on the final part ofthe Business Case. An analysis of the viable optionselected in the previous session will be carried out interms of its costs, costs and benefits, opportunities,

risks, alignment with policies and regulations,implementation capacity, acceptability, advantagesand disadvantages. The groups will prepare animplementation plan outlining short, medium andlong term actions.

SESSION 16: PRESENTATION OF EXERCISE:BUSINESS CASE FOR CWSU

In this session the groups will present their Businesscase for Citywide Slum Upgrading, respond toquestions and get feedback from trainers. Groups willget an opportunity to compare the outcome of their

work with that of other groups. There will be peergroup evaluation of each group’s work by the othergroups. Trainers will summarise the key issues from theexercise.


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DAY FIVE

SESSION 17: STREET-LED CWSU:INCREMENTAL APPROACH

The incremental approach with development in phasesbased on local priorities is a key principle of the street-led CWSU. Experience shows that setting up robustand transparent eligibility criteria for settlements andstreets to be included for upgrading and those to berelocated are very important for the success of CWSU.Over the years several methods have been used indifferent cities keeping in view slum conditions andcity development concerns. Examples from countriessuch as Brazil, India, Indonesia and Colombia willbe discussed. It is understood that not all slums canbe upgraded at the same time given institutional

capacity and practical considerations. Techniquesfor prioritisation of slums for implementation andselection of households for access to specific benefitsare introduced.


1. CWSU Practical Guide: Chapter2 ; Chapter 3

2. Streets as tools for urban transformation: A street-led approach to citywide slum upgrading

3. Government of India (2011) Rajiv Awas Yojana:Guidelines for Slum-Free Planning, Ministryof Housing and Urban Poverty Alleviation,Government of India http://mhupa.gov.in/w_new/ RAY%20Guidelines-%20English.pdf

Slums near Boeng Kak Lake, Cambodia. Photo: Johan Douma, Flickr Creative Commons

SESSION 18 AND 19: NEGOTIATION GAME:OPENING STREETS IN SLUMS: OPPORTUNITIESAND CHALLENGES

This negotiation game is expected to give an

understanding of how the street-led approach toCWSU will translate into practice in slums. Openingstreets in slums can fundamentally change the urbanfabric of these settlements through re-blockingand land readjustment towards generating urbanlayouts. This is not easy to implement unless keystakeholders are fully convinced of the advantages.For one, opening streets may call for some amountof demolition and relocation, which is an unpopularpractice unless voluntarily agreed to. The stakeholdersinclude the resident community and city authoritiesand also others not living in the slum who may havean interest in upgrading the slum or not upgrading

it. The resident community too is not homogeneousin terms of their interests, needs, power andinfluence. The game attempts to capture some ofthese complexities through role play and negotiationbetween stakeholder groups.


1. Streets as tools for urban transformation: A street-led approach to citywide slum upgrading: Chapter7; Chapter 8; Annex 1


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SESSION 20: EVALUATION AND COURSECLOSING

This final session of the course will review key issuesaddressed in the course.

Participants’ agreement on next steps to promote

street-led CWSU will be an important way of lookingat openings for practical implementation and capacitybuilding. Participants will be asked to give a feedback(verbal and written) on the course. The course will beconcluded with a formal closing ceremony.

Resources:

Course evaluation form


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ANNEX 1INFORMATION TO BE BROUGHT TOTHE COURSE

Participants are required to bring the followinginformation (preferably in the digital format) to thecourse in order to be able to relate the course totheir own situation. This information will be usedby participants for some of the assignments whichwill be carried out during the course. In case theinformation is not available the participant must beable to give the reason or to give related information.(e.g. the information on slums is not available, is itbecause it is kept a secret or has no one collected theinformation?). Wherever possible, maps, photographsand videos can be brought.

13th Compound, Dharavi, India. Photo: Lecercle, JFlickr Creative Commons

The format for information to be broughtto the course should be sent to all selectedparticipants at the time that they are informedabout their selection. This would give them afew weeks to put the information together. Thisis required for the exercises as well as to initiatethe process of thinking about the subject aheadof the course, enabling informed participationand greater learning benefits.

NOTES FOR THE COURSE COORDINATOR/ TRAINER

About your country

1. Name of the country

2. Population

3. GDP per capita in US$

4. Human Development Index

About your city

1. Name of city

2. Population

3. Main economic activities

4. Monthly average income of a low income family

in US$

5. Briefly describe the main problems in your city(environmental, social, economic etc.)

6. List key achievements of the city in the last 10 years

7. Briefly describe the situation in your city regardingaccess to housing and its relation to informallydeveloped settlements

8. Identify the most common obstacle that is

hindering low income families to get access tohousing in your city

9. List the institutions responsible for urban planningand management


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10. City map showing land use

About urban policies and institutions

1. Brief description of the system of governance,particularly of cities, in your country

2. Briefly describe what is the current governmentpolicy (local, national) regarding your city

3. Do cities have development plans? How are theyimplemented?

4. Briefly describe what is the current governmentpolicy (local, national) regarding informalurbanization, slums/squatter settlements

5. Briefly outline the regulatory framework ormention the type of legislation that addresses

problems of land regularisation and propertyrights in informally developed areas

About informal settlements / slums

1. Definition of slum/informal settlement

2. Informal settlement typologies (housingconditions, environment, infrastructure, landtenure) supported with photos, maps

3. Number of slums/informal settlements and growthtrends in the last 20 years

4. Population in informal settlements and growthtrends in the last 20 years (actual population andpercentage of urban population)

5. City map showing slums/informal settlements

6. Land tenure issues in slums/informal settlements

7. Approaches towards improving conditions indifferent types of informal settlements

8. Organization(s) responsible for interventionsrelated to slums; observations regarding theircapacity, co-ordination with each other etc.

9. Brief description of specific programmes forupgrading, relocation, redevelopment undertakenby local government, national government, NGOsand community based organisations

10. Key issues for scaling up slum upgrading to citywide scale

About your own work

Please be prepared to share details about your ownwork and experience in the urban sector. This may berelated to policy, information management, planning,project design and management, implementation,training and teaching etc.

Any other information you wish to share


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ANNEX 2COURSE EVALUATION BYPARTICIPANTS

COURSE EVALUATION HANDOUT

How to do the evaluation

The evaluation is in two parts:

Part 1. Overall evaluation of the course

Part 2. Evaluation of sessions

You are required to complete both the parts andsubmit the completed form to the Course Coordinator just before the concluding session.

DAY ---SESSION ---- SESSION NAME

1 2 3 4 5 SUGGESTIONS FOR IMPROVEMENT

Useful

Knowledge

New Skills

Interesting

The evaluation form may be given toparticipants on the first day of the course alongwith the course material to facilitate evaluationof sessions. Ideally the completed forms shouldbe sent electronically just before the closingsession. However, the instructor may decidewhether a print version is required.


Please use the ranking matrix given below to rankeach of the sessions/ exercises.

1 is lowest in value and 5 is the highest. For example,if you found the session extremely useful you can tick5, and 1 if you did not find it useful at all.

Explanation of the ranking parametersUseful: Did you find the contents useful in relation tothe work you do?

Knowledge: Did the session add to your knowledge?

New skills: Did the session help you to acquire newskills, for example of analysis, planning, negotiation,teamwork etc?

Interesting: Did you find the presentation, discussionsand methods interesting?

The box on the right is for your suggestions forimproving the session.

Please refer to the course schedule for the day, dateand session name


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PART 1. OVERALL EVALUATION OF THE COURSE

1.1 Were your expectations met by the course? Yes/ No/ Partly

Please explain your answer briefly

1.2 Would you recommend this course to others? Yes/ No/ Not sure

1.3 Was the duration of the course: Too short / too long/ sufficient

1.4 What would you like changed in the course? Explain briefly

1.5 List the three sessions you found particularly useful.

1.

2.

3.


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DAY 1, SESSION 2: CHALLENGE OF SLUMS


UsefulKnowledge

New Skills

Interesting

DAY 1, SESSION 3: EVOLUTION OF APPROACHES TOWARDS SLUMS


Useful

Knowledge

New Skills

Interesting

DAY 1, SESSION 4: WHY UPGRADE? (FILM ON KARACHI AND SHORT EXERCISE ON PROJECTS TO PROGRAMMES)


Useful

Knowledge

New Skills

Interesting

DAY 2, SESSION 5: INITIATING CWSU WITH STAKEHOLDER PARTICIPATION


Useful

Knowledge

New Skills

Interesting

DAY 2, SESSION 7: CITYWIDE PARTICIPATORY PLANNING AS A TOOL FOR CWSU: CASE OF APUSP, INDIA


Useful

Knowledge

New Skills

Interesting

DAY 2, SESSION 8: INTEGRATING SLUMS WITH THE CITY: FAVELA BAIRRO, BRAZIL


Useful

Knowledge

New Skills

Interesting

PART 2. EVALUATION OF SESSIONS

Lectures/ presentations/ discussions


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DAY 4, SESSION 14: LEARNING FROM THE EXPERIENCE OF THE TWIN-TRACK APPROACH TO STREET-LED CWSU.


Useful

Knowledge

New Skills

Interesting

DAY 5, SESSION 17: STREET-LED CWSU: THE INCREMENTAL APPROACH


Useful

Knowledge

New Skills

Interesting

DAY 3, SESSION 10: LAND AND ITS REGULARIZATION


Useful

Knowledge

New Skills

Interesting

DAY 4, SESSION 13: PRINCIPLES OF STREET-LED CWSU


Useful

Knowledge

New Skills

Interesting

DAY 3, SESSION 9: INSTITUTIONAL AND FINANCIAL OPTIONS FOR CWSU


Useful

Knowledge

New Skills

Interesting


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EXERCISE: INITIATING CWSU (SETTING VISION AND OBJECTIVES AND DOING STAKEHOLDER ANALYSIS)


Useful

Knowledge

New Skills

Interesting

EXERCISE: BUSINESS CASE OF CWSU (TOTAL 4 SESSIONS)


Useful

Knowledge

New Skills

Interesting

EXERCISE: OPENING STREETS IN SLUMS: CHALLENGES AND OPPORTUNITIES (NEGOTIATION GAME) (TOTAL 2SESSIONS)


Useful

Knowledge

New Skills

Interesting

Exercises


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ANNEX 3EXERCISE 1: SLUM UPGRADING –FROM PROJECTS TO CITYWIDEPROGRAMMES

This exercise is intended as a “rapid energizer”which gets the participants to quickly agreeand put down their initial thinking on thedifferences between slum upgrading projectsand city wide programmes.

Participants should be divided into workinggroups of 4 (or 3).

The completed formats should be handed over / sent by e-mail to the Course Coordinator/

Trainer at the end of 30 minutes.A brief discussion on the results of the exercisecan usefully be brought in at the beginningof the next session on initiating CWSU withstakeholder participation.


EXERCISE 1: SESSION 4 HANDOUT

Slum Upgrading: from projects to citywideprogrammes

The previous session highlighted that governmentresponses to slums and informal settlementsare evolving from project-based infrastructure

improvements to complex (citywide) slum upgradingprogrammes which are within the framework ofinclusive development policies. The purpose ofthis exercise is to understand the possibilities andlimitations of the two approaches in terms of howthey can address different issues related to informalsettlements and city development.

Participants should divide into groups of 4.

Each group is required to discuss and write brieflythe ways and possibilities of addressing the issues

listed in Column 1 of the Format using the followingapproaches to dealing with slums:

1. Settlement upgrading projects

2. Citywide slum upgrading programme

An example is given in the first row of the format forguidance.

Time available: 30 minutes


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I S S U E S

S E T T L E M E N T U P G R A D I N G P R O J E C T S

C I T Y W I D E S L U M

U P G R A D I N G P R O G R A M M E

I n c l u s i o n o f s

l u m s

U p g r a d i n g f o c u s e s o n i n d

i v i d u a l s e t t l e m e n t s w h i c h c a n

b e u p g r a d e d

A l l s l u m s a r e i n c l u d e d f o r u p g r a d i n g o r r e l o c a t i o n

S l u m p

r e v e n t i o n

C i t y r e v i t a l i s a

t i o n

S u s t a i n a b l e i n f r a s t r u c t u r e i m p r o v e m e n t

P a r t i c i p a t i o n

o f s l u m c

o m m u n i t i e s

S e c u r e t e n u r e

I n t e g r a t i o n o

f s l u m s i n t o c i t y p l a n n i n g

E c o n o m i c d e

v e l o p m e n t

I n s t i t u t i o n a l d e v e l o p m e n t

P o l i c y o n i n f o

r m a l s e t t l e m e n t s

N a m e s o f g r o u p m e m b e r s :

F o r m a t


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STEPS WHO WILL DO TASKS TIME

Step 1 Individual • Vision statement• List of stakeholders• Stakeholder analysis• Stakeholder roles

40 minutes

Step 2 Group • Compare the outcomes of Step 1 for cities in the group

• Discuss and list similarities and differences and reasons• Select representative to report back to plenary

30 minutes

Step 3 Plenary • Group representatives report back• Lessons learnt and summing up by Course Coordinator

20 minutes

ANNEX 4EXERCISE 2: STAKEHOLDERPARTICIPATION IN CITYWIDE SLUMUPGRADING

EXERCISE: 2, SESSION 6 HANDOUT

Stakeholder Participation in Citywide SlumUpgrading

Introduction

There is no one way of initiating a citywide slumupgrading programme. All cities are different, withdifferent realities, opportunities, resources andconstraints. But some key steps are essential forinitiating the programme, setting goals and objectivesand making commitments. The challenging task ofcitywide slum upgrading cannot be undertaken by anyone institution. In Session 5 some analytical tools were

introduced to facilitate the co-ordinating agency forcitywide slum upgrading to determine the strategy forengaging with a wide range of stakeholders, who are

STEPS IN THE EXERCISE

The main purpose of this exercise is to get theparticipants to apply the concepts and toolsintroduced in the last session for analyzingthe importance of different stakeholdersand recommending roles for them in slumupgrading. This participation should contributeto the vision for the city. The comparisonbetween different cities should lead to thelearning that it is important to do the exerciselocally within a particular socio-political and

institutional set up.The information brought to the course by theparticipants should for the basis for the analysis.In case any of the participants do not have theinformation or knowledge of their own city,they can work with another participant.

The three steps in the exercise need to bethoroughly explained before commencing.


likely to influence the design, implementation and theoutcome of CWSU in various ways.

This exercise

In this exercise you will apply the tools for stakeholderanalysis to your own situation and then compare theanalysis with that of 2 other participants to see what

are the similarities and differences. You will use theinformation you were asked to bring to the course asthe basis for developing the analysis.

Participants will be divided into groups of three, whowill:

• Briefly discuss the exercise.

• All 3 group members will do the analysisindividually for their own city.

• Group members will then come together tohighlight the similarities and differences betweenthe 3 cities.

For the purpose of the exercise each participant willstate her/his vision for the city.

(Hint: for example: XXX will be an inclusive clean andgreen city in the next 20 years or YYY will be a globaland inclusive city in the next 20 years)

Within this vision you need to see how to involve

different stakeholders to design and implementcitywide slum upgrading using a twin-track approachof slum upgrading and resettlement on one hand andslum prevention on the other hand.

It is important to find out the role of stakeholders andtheir importance in CWSU. The key questions to ask are:

• How important is the stakeholder for the successof the programme?

• What level of support does the stakeholdercurrently show?

• What is it we would like him / her to do for theprogramme?


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PLANNING IMPLEMENTATION MAINTENANCE

Elements

Actors

Central Government

Local Government

Private sector

Community

Household

Other

C i t y l e v e l

S e t

t l e m e n t

P l a n n i n g

I n f r a s t r

u c t u r e l i n k s

w i t h

n e t w o r k s

S l u m

i n f r a

s t r u c t u r e

C o m

m u n i t y

S e r v i c e s

H o u s i n g

( r e c o n s t r u c t /

i m

p r o v e )

L a n d t e n u r e

F i n a n c e

L a b o u r

M a n

a g e m e n t

L a b o u r

FORMAT 2: PARTNERSHIP MATRIX: WHO WILL DO WHAT?

Tick the appropriate boxes in the matrix

• What are their main interests?

• How could they oppose and block the CWSU?

• How will we need to address the stakeholderto increase their support and likelihood of theircontribution?

A: High Importance- LowInfluence

B: High Importance - HighInfluence

C: Low Importance - HighInfluence

D: Low Importance - LowInfluence

L o w

I m p o r t a n c e

H i g h I m p o r t a n c e

( i f o b j e c t i v e

s a r e t o b e m e t )

Low Influence High Influence

(on course of programme)

Key issue: How to increase influence of A? How to reduce influence of C?)

Resources:

4. Session 2,3 and 5 presentations and discussions


6. Formats (see next 2 pages)

Formats

FORMAT 1: STAKEHOLDER ANALYSIS


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ANNEX 5EXERCISE 3: DEVELOPING ABUSINESS CASE FOR CITYWIDESLUM UPGRADING

Korogocho, Nairobi, Photo: Gates Foundation

This exercise can be done in two ways :

1. All the groups work on one city: The CourseCoordinator selects a city (ideally the city inwhich the Training is taking place, if it hasslums) and puts together all the backgroundinformation on that city (same as theinformation to be brought by participantsto the course – Annex 1) as a brief for theexercise. If this is the city in which the training

is taking place, participants may be takenfor site visits to slums and interact with keystakeholders. The participants are dividedinto three mixed groups consisting of 6-7members, representing different disciplinesand geographic regions as far as possible. Allthe groups work on the same city.

2. Groups work on 3 different cities: TheCourse Coordinator, together withparticipants can select three different citiesbased on the information brought byparticipants. The participants are dividedinto three mixed groups consisting of 6-7members, representing different disciplinesand geographic regions as far as possible.At least one participant from the selectedcity should be in the group.


Developing a Business Case for CitywideUpgrading:

Handout (sessions 11,12,15,16)

Introduction:

Participants are required to work in groups to developa Business Case for Citywide Slum Upgrading fora particular city. The exercise will be done in threesessions of 90 minutes each, corresponding to thethree phases in the development of a Business Case:

Phase 1: Strategic Context

Phase 2: Analysis and Recommendation

Phase 3: Management and Capacity

The exercise will conclude with a presentation of each

of the business cases in a plenary session. In additionto a question-answer session, there will be peergroup evaluation of each group’s work by the othergroups. Trainers will summarise the key issues from theexercise.

What is a Business Case?

A business case is a document that generates thesupport, participation and leadership commitmentrequired to transform an idea into reality. A businesscase puts a proposed investment decision into astrategic context and provides the information

necessary to make an informed decision aboutwhether to proceed with the investment and in whatform. It is also the basis against which continuedfunding will be compared and evaluated.


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The Business Case is used very frequently in corporatemanagement and industry before a new project islaunched. The key for developing a strong businesscase is a fundamental understanding of howeach of its elements and concepts fit together. Inaddition, knowledge of the relevant polices, tools,

and frameworks can have a dramatic impact on thestrategic positioning of the business case and thesubsequent delivery of the project.

Here we will apply it to developing a rationale forCWSU, with the idea that CWSU should be designedas a viable business option for the city, benefiting boththe city and the slums.

Where are we now? Describe the current situation of slums and informal settlements

Where do we want to be? Describe the vision and objectives

What is the need? Describe the problem or opportunity and the proposal in general terms

What has triggered the need for change? Describe the drivers for change

What are we trying to achieve? Describe the desired outcomes

What is the strategic fit? Describes how the proposal fits with the city’s development - itsgoals, priorities, and policies; as well as those of the national/regional government.

The focus of this phase is on the following:

Phases and Steps of a Business Case

PHASE 1: STRATEGIC CONTEXT

The purpose of the Strategic Context phase is toestablish the case for change and clearly define the

need for the CWSU programme. To do this effectively,the following key questions should be addressed atthe outset:

Step 1.1: Needs and Desired Outcomes

The first step in developing a business case is toidentify the need (problem or opportunity) andthe desired outcomes. To do this effectively, dueconsideration should be given to the broader context.The group needs to spell out the vision and strategicobjectives of the city’s development (economicdevelopment, green city, social and economic equity

may be elements of the vision), and identify theneed for changing the situation of slums/ informalsettlements in relation to this vision. What are themotivations and drivers for change? What are thedesired outcomes of improving the living conditionsof slum dwellers and how will they align withbroader developmental issues of the city and thepolicy framework? Relating the proposal to strategicconsiderations will help clearly define the need and,ultimately, demonstrate the value of the CWSU todecision makers.


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How will we get there? Present the viable options and associated costs and benefits of eachand the evaluation criteria that ultimately will be used to arrive at anoverall recommendation.

What is the best option? This question can best be answered by a financial and social appraisalto ascertain funding, affordability, and cost balancing in relation tobenefits and risks.

PHASE 2: ANALYSIS AND RECOMMENDATION

The Analysis and Recommendation phase is the pointin the business case process where the following keyquestions should be answered:

While all phases of the business case development

process are necessary, the Analysis and Recommendationphase is considered the heart of the business case.

The focus of this phase is on the following:

Step 2.1: Preliminary Options Analysis

Having set the context and established a case forchange, the next stage in the development of thebusiness case focuses on the main options availablefor addressing the need. Although describing thepreliminary range of options at this point does notrequire a detailed analysis, a comprehensive list of

options—sometimes called a “long list”—should beproduced and screened to demonstrate due diligencein the selection process. The options should includeinterventions for improving living conditions of slumdwellers and preventing slums. They should alsoconsider the role of different stakeholders.

Once the screening is complete, details regarding thedecision to either accept or reject an option for furtheranalysis should be presented. The objective is tonarrow the field of alternatives down to a reasonablenumber of viable options—sometimes called a “short

list”—for rigorous analysis. For example, the broadoptions may be to improve slums where they are, toredevelop them completely by laying out new streetsand reconstructing houses, or relocating residentsto another place. It is considered a best practice toinclude a minimum of three viable options for analysis,with one being the status quo option.

Step 2.2: Viable Options

The objective of this step is to identify the preferredoption from the short list of viable options that answerthe need and the case for change. A more rigorousanalysis of the viable options is conducted at thispoint in the business case by building on the previoussection’s analysis. The advantages and disadvantages(with supporting evidence) of each option should beexplored and evaluated in terms of their financial andsocial costs (total or incremental) and risks.

Step 2.3: Justification and RecommendationThe justification supporting the recommendationto adopt the preferred option is critical to enablefinal decision making. With the detailed analysis ofeach viable option (including the status quo option)now complete, the goal of Step 2.3 is to identify apreferred option and demonstrate why the optionis preferable over all others. For this key evaluationcriteria need to be defined and the degree to whichthe requirements are addressed will be measured fromthe findings of the viable options analysis conductedin Step 2.2.


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PHASE 3: MANAGEMENT AND CAPACITY

This strategic-level phase should demonstrate tothe business case’s reviewers that the CWSU willbe managed effectively. The reviewers—and all thestakeholders—need assurance that all the appropriateprogramme and outcome management strategies

are in place and that they will be used to guide theprogramme through a controlled and well-managedenvironment to achieve the desired outcomes.

Phase 3 will produce the evidence required tostrategically address the following key managementissues:

Step 3.1: Managing the InvestmentThis is the important final step in the business casedevelopment process. It describes —at a strategiclevel—how the programme will be managed, while

also demonstrating an acceptable level of duediligence. A secondary goal of Step 3.1 is to furtherreinforce the key messages of the

Documents

UN-Habitat_2015_Training Module Slum Upgrading