1) Gujarat – The Parivartan Program
Parivartan, or “transformation” – also called the Slum Networking Project (SNP)- in Gujarat takes an important step in the direction of inclusive development. Initiated in 1995, its slum upgrading model is structured not only as a public-private partnership model, but also as a demand-based, participatory model. In this way, the SNP directly incorporates the existing informal processes of slums – through the community-driven approach – into the process of development and formalization. Its main idea is to integrate slum dwellers into the city.
While the design of the program is malleable to institutional, social, and technical strategies that respond to the needs and changing circumstances of each specific community, the basic model for the provision of essential components and facilities includes improvements in the physical environment (e.g. infrastructure, water and sanitation) of the slum as well as community development (e.g. health, resources, community groups and empowerment). The public (Ahmedabad Municipal Corporation (AMC)), private (e.g. Mahila Housing SEWA Trust (MHT)), local NGO (e.g. SAATH), and community (Community Based Organizations (CBOs)) sectors all contribute to the finance, design, and maintenance processes of all assets created through the program – and the community is empowered to do so through direct financial stakes as well as mechanisms built into the program such as the mobilization and formation of CBOs, access to financial products, and a no-eviction guarantee of 10 years from the government.
An example of an SNP-upgraded slum is the Pravinnagar-Guptanagar (PG) slum in Ahmedabad, where I conducted some household visits. Below are some of the outcomes of the program that I observed:
Community empowerment and resources for self-investment. SAATH, a local NGO, mobilized the PG community. Mahila Housing Trust provided savings and loans. And an Urban Resource Center (URC), run by a SAATH staff and PG community member in partnership with the AMC, provides resources to link community members to services that they want or need. Each of these resources levels of access made the household members I spoke to feel, in many ways,empowered and part of the process of the development of their community.
[Devuben, a SAATH –run Urban Resource Center employee as well as a member of the PG slum, conducts daily household visits. She leads many of the community mobilization, savings group, loan collection, and CBO activities in the PG slum.]
[Inside the PG URC – an example of community empowerment. A group of angry community woman came into the URC to complain about the gutter water coming out of their pipes. Devuben (purple saree) explained the process of lodging a formal complaint to the proper government office, to which she provided directions. She wrote a formal complaint from the URC, and told the women to take it, along with two bottles of dirty water to the office.]
Physical infrastructure improvements. Multi-tiered structures and paved alleys show that the slum has undergone some of the stages of the process of infrastructural formalization.
[An entrance to the upgraded PG slum, lined with two-storied homes and places of business, which are largely operated by the people living in the PG community.]
[Paved chawls (alley-ways) inside the PG community]
Tenure. The process of formalization, especially the 10 year tenure security guarantee from the local government, creates incentives for slum dwellers to invest in themselves and in building assets
[External home improvements and asset investment. Seen in the photograph is: 1) verticalization and incremental housing (building up and customized terrace), 2) satellite dish, 3) electricity meter, 4) bike for transportation, and 5) furniture inside the home]
[Internal home improvements]
Overall, the Parivartan program is a powerful, inclusive strategy formed to respond to slum habitations in Gujarat; however, the requirements of complex partnership arrangements and pre-program characteristics of the habitation (e.g. that the land the slum is built on is level – many slum communities are formed, by nature, on sub-optimal land) are rigorous and may leave many areas out of consideration for the program.
2) Nagpur, India – Slum Rehabilitation Authority
In Nagpur, the Slum Rehabilitation Authority (SRA) utilizes a dual-pronged approach to slums and land use, through slum rehabilitation and prevention. The rehabilitation portion of the approach includes leasing and regularizing land, improving infrastructure and housing through public funding, and relocating slums by utilizing public-private partnerships and transferable development rights, which allows for higher density development. The prevention portion of the approach involves building more affordable housing, regulating urbanization, encouraging decentralization, and improving public transport.
The SRA was created to implement these approaches through various strategies. The SRA employs inclusive strategies when it incorporates informality and participatory planning through its decentralization approach, brings public, private, and NGO sectors into the process of slum upgrading, and structures its strategies based on specific community needs. It also allows for scale – a total of 391 slums in Nagpur were deemed to be “regularized” under this particular approach.
However, critiques of the SRA approach as it is currently implemented follow two of the major criticisms of public housing approaches utilized in India: eviction and slum demolition are utilized as part of certain strategies, and the affordable housing units built under the SRA may not necessarily be targeted toward the poorest sectors of the population (Times of India)
3) Solid Waste Management Hybrid Value Chain in Asia – Waste-2-Resource
Inadequate, top-down systems for solid-waste management (SWM) are byproducts of exclusive development strategies adopted by many cities in Asia. They often fail to reach the nooks and crannies of slum developments, where informal systems (waste-picking and recycling) handle much of the community solid waste disposal needs; alternatively, formal systems, if they do reach these areas, dispose of waste in open landfills – creating social, health, and environmental hazards that disproportionately affect slum dwellers.
The Waste-2-Resource (W2R) program, initiated by UNESCAP and in partnership with the Gates Foundation, local NGOs (such as Waste Concern in Bangladesh), the private sector, and communities, turns SWM into a local entrepreneurial venture with an integrated, inclusive delivery model with revenue generation at the community level. It relies on innovative partnerships within the waste management chain:
· Local governments partner with local NGOs that have connections to waste-pickers – hence incorporating a very important informal system into a larger-scale, formalized system – to start up a waste center with community involvement.
· A social investor or donor (such as the Gates Foundation) commits to start-up costs to capitalize a Waste-2-Resource revolving fund to provide the start-up costs of building decentralized waste centers in localities with poor SWM systems. The initial waste centers would pay back the Fund, which could then be used to provide seed money to build other centers.
· Technological innovations by the local private sector that focuses on environment and sanitation issues are assimilated into the waste collection and processing system, further tailoring the approach to the local context.
· Waste-pickers – generally placed on one of the lowest socioeconomic rungs of a community – are empowered through formal jobs at the waste centers. They receive a regular salary and more bargaining power when selling to junk dealers.
[Workers collecting solid waste in Cambodia. Source]
· Local vendors and households are taught how to segregate their trash
· After establishment and repayment to the Waste-2-Resource Fund, the waste centers can pay operational costs and generate profits through their composting and recycling activities. The centers can be sustained through user and membership fees as well as through profits from selling “assets” created in the waste management process – selling carbon credits (gained by composting waste instead of sending biodegradable matter to open landfills, and hence mitigating methane production) through the Clean Development Mechanism established in the Kyoto Protocol, selling electricity generated through composting back to the grid, or using climate finance.
The HVC model has been successfully replicated in a few cities in Bangladesh, Vietnam, Sri Lanka, Cambodia, and Pakistan. It currently has 10 projects operating. Though it is a strong model, it again involves the negotiation of complex partnerships across many different levels and sectors and hence needs mechanisms to encourage local stakeholders to participate. It may also be prone to unsustainable financing mechanisms (such as when the value of carbon credits decreases significantly) – so other, more “evergreen” mechanisms must be found. W2R is a promising, inclusive model of development that has the potential for larger scale.
In the end, many issues remain in the formation and maintenance of public-private-community partnerships and inclusive models of development. Incentive alignment between institutional partners, and between institutions and communities, is often hard to achieve, as is finding financing mechanisms that deliver solutions at scale without compromising on participatory methods and empowerment. However, inclusive development includes people. That means understanding how they live and how they want to live – incorporating informal systems into formal ones, giving people the capabilities to live the lives they want, and the resources to invest in themselves. The programs outlined above provide innovate avenues to further develop promising, inclusive approaches to slums and urban development.