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About this book

This book examines three vital issues in urbanization and democratization: the institutional structures and processes of urban local governance to improve access to urban services; their outcomes in relation to low-income groups’ access to services, citizen participation in local governance, accountability of local leaders and officials, and transparency in local governance; and the factors that influence access to urban services, especially for the poor and marginalized groups. Further, it describes decentralization policies, views of the residents of slums on the effectiveness of government programs, and innovations in inclusive local governance and access to urban services.

Table of Contents

Frontmatter

Governance for Urban Services: Towards Political and Social Inclusion in Cities

Abstract
Cities provide opportunities for economies of scale, products, income, services and social experimentation. However, urbanization has led to an increasing incidence of urban poverty and inequity, deteriorating quality of the urban environment and deficiencies in access to basic urban services, including water supply and sanitation, urban shelter, waste management, energy, transport and health. This chapter provides a framework to examine the role of urban local governance in promoting access to services, participation in local decision making and accountability and transparency. It presents challenges and opportunities of urbanization (Sect. 1), the paradigm shift in our thinking about development from economic growth focus to poverty alleviation and human development and about governance from traditional public administration to democratic governance in developing countries (Sect. 2), and forms, driving forces and impacts of decentralizing governance (Sect. 3). After defining access, participation, accountability and transparency, the chapter identifies four sets of intermediate-term outcomes of local governance for urban services (Sect. 4) and key features of “good” urban governance and policy challenges identified in the New Urban Agenda endorsed by HABITAT III (Sect. 5). Finally, it describes key themes and findings of each of the book chapters that follow (Sect. 6).
Shabbir Cheema

The State of Access in Cities: Theory and Practice

Abstract
This chapter presents a framework to analyze access to rights and services in urban settings. Following De Jong and Rizvi’s (2008) definition of access as the match between societal commitment and institutional capacity to deliver rights and services and people’s capacity to benefit from those rights and services, the chapter examines the different dimensions that underpin access in urban settings. It argues that efforts to deal with the bureaucratic dysfunction that impedes access should be grounded in an approach that looks at context, system, agency and individual levels of analysis. Such conceptual approach highlights the adaptive nature of dealing with bureaucratic dysfunction to enlarge access to urban benefits, putting an emphasis on the role of leadership in innovating to make it possible. The chapter tests these propositions by examining examples of recent innovations to manage bureaucratic dysfunction and associated lack of access from cities across the world. Some lessons are drawn from the analysis: (i) leaders who can articulate the public value proposition, can enable the necessary legitimacy and can build operational capacity are a fundamental pillar of any effort, (ii) focusing in an agency or a narrow set of agencies may leave key stakeholders out, rendering efforts to increase access unsustainable, and (iii) engaging frontline workers has to be a central part of any effort, but it cannot fail to act at the context and societal level, so that the deeper forces inhibiting access to urban benefits are deactivated in the long term.
Jorrit de Jong, Fernando Fernandez-Monge

Accountability Through Participatory Budgeting in India: Only in Kerala?

Abstract
Since its beginning in Brazil in 1989, participatory budgeting (PB) has spread worldwide to several thousand local governmental units (LGUs) in all continents, celebrated for its success in combining citizen involvement and state accountability in delivering public services. While PB has been adopted in most places by individual LGUs on their own initiative, in India the state of Kerala implemented PB throughout all its governmental units from rural villages and urban wards up through district in one “big bang” move in 1996. Over the succeeding two decades and more, PB has become securely institutionalized, surviving numerous changes of ruling party at state level. Outside of Kerala, however, few LGUs of any sort have implemented PB and it has not flourished in any of the adopters. Using the World Bank’s principal-agent model of state accountability for public service delivery, this paper will explore Kerala’s experience at PB and more briefly look at its lack of success elsewhere in India.
Harry Blair

Public-Private Partnerships to Improve Urban Environmental Services

Abstract
Public-Private Partnerships (PPPs) are most usefully viewed as a tool, not a religion. The 2030 Agenda for Sustainable Development introduces ‘partnership’ as one of the five critical dimensions of sustainable development, and lays emphasis on encouraging and promoting effective public, public-private and civil society partnerships. Within this larger context, the purpose of this chapter is to offer some thoughts on: (i) The reasons PPPs have generated such interest in the urban environmental arena; (ii) A way to understanding PPPs; (iii) The key features of successful PPPs; (iv) The current trends in and debate over PPPs in the urban water sector; and (v) Ways to make the best use of PPPs to help improve urban water services. The fact that private capital flows have remained above the Official Development Assistance flows since 2005—except 2015 and 2016, has sustained the interest of many parties in searching for profitable and impactful investment opportunities in urban environmental services. PPPs often start with questions vis-à-vis their goals, strengths and weaknesses, structure and processes. Successful PPPs often feature individual champions who address the tensions at the heart of many partnership efforts; partnership space or the context in which PPPs are formed; and optimized structures and processes that would respond to different urban environmental problems. Our analysis of the data (1990–2013) obtained from the World Bank’s Private Participation in Infrastructure Project Database shows that whilst the number of water projects steadily increased from 1990 to 2007, the private capital flows to urban water sector declined from US$37 billion during 1990–2000 to US$25 billion between 2001 and 2010. The reasons for this decline in international private investment are many and varied: (i) functioning of public sector and political systems; (ii) private sector and commercial realities; and (iii) opposition to private sector involvement. Moving forward will require action on at least two important and interrelated fronts: first is addressing the mayors’ dilemma about the choice of PPPs to improve urban environmental services, and second is assessing the performance of all partners.
Bharat Dahiya, Bradford Gentry

Gender Equality and Local Governance: Global Norms and Local Practices

Abstract
From the global to the local level, gender inequality is the most persistent and entrenched challenge to development. The local level of governance is closest to citizens. Decisions taken at this level have the most direct effect on citizen’s everyday lives, as improvements in living, working and leisure conditions depend on good local governance. This chapter focuses on local government. It attempts to describe in detail practical steps toward the localization and realization of SDG #5 at the local level by mapping how to improve, from a gender perspective, the analysis, monitoring, participation, decision-making and access to services to citizens at the local level in order to develop good local governments that serve all citizens. The aim of this chapter is to understand the processes of implementing SDG #5 with focus on urban local governance. We develop a theoretical framework to understand how global norms are translated into local practices. Moreover, we examine policy framework and practices in three municipalities in Bosnia and Herzegovina (BiH), Visoko, East Ilidža and Žepče to implement SDG #5, tools available and used for SDG implementation and actors involved in these processes at the municipal level. The research is based on fieldwork, qualitative text analysis, interviews and surveys in each of the three municipalities to map the use of tools to implement and mainstream gender equality into the decision-making processes, policies and practices at the local level.
Annika Björkdahl, Lejla Somun-Krupalija

Developing Capacities for Inclusive and Innovative Urban Governance

Abstract
Many cities throughout the world face multidimensional problems that need to be addressed to realize the Sustainable Development Goals (SDGs). With more than 50% of the world’s population that currently lives in cities and a growing trend of urbanization expected to continue in the coming decades, cities must be well equipped to face multiple challenges. Developing countries, in particular, face serious problems, as cities are expected to overgrow. With already large populations living in slums and deplorable conditions, many of the challenges, such as freshwater supplies, sewage, and public health, will affect cities the most. Cities and urban local governments play, therefore, an essential role in the implementation efforts of the 2030 Agenda for Sustainable Development. Cities are critical in ensuring access to basic services, engaging people in decisions that affect their lives, creating opportunities for prosperity and well-being for all, especially for the urban poor, and protecting the environment. The implementation of the 2030 Agenda requires active policy interventions, innovative solutions, and new mindsets to overcome current challenges and ensure effective, inclusive, and accountable governance institutions at all levels. This chapter presents the global context of the 2030 Agenda for sustainable development (Sect. 1), urban trends and challenges facing cities (Sect. 2), critical role of local governments and cities in localizing the Agenda (Sect. 3) and a holistic approach to developing inclusive and innovative capacities for urban governance with examples from around the world (Sect. 4). The chapter concludes with key recommendations on how cities can build capacities to implement the 2030 Agenda for Sustainable Development effectively.
Adriana Alberti, Mariastefania Senese

Local Governance and Access to Urban Services: Political and Social Inclusion in Indonesia

Abstract
This study examines relationships between local democracy and the barriers to political and social inclusion of marginalized communities in two cities in Indonesia: Bandung as an example of metropolitan city; and Surakarta to give the perspective of a middle-sized city. Since Indonesia has implemented decentralization reforms, local governments carry out basic service delivery. The central government primarily facilitates local government with funding and policies such as slum improvements and financial support for the poor. A central theme in both central government policies and local government programs is the empowerment of marginalized communities of both their mindset and skills to earn. The community perception of government performance is generally high, except for the aspects of the politicization of public services. A difference between Surakarta and Bandung is that the respondents in Bandung believe the city has high levels of corruption. Generally, the respondents are more satisfied with the service delivery by the different government levels within the city, compared to the provincial and central governments and NGOs. This seems to be related to the higher level of interaction with local institutions and their services that benefit the communities. Both cities have recently implemented services to improve public participation, accountability, transparency and access to urban services. The main factors that led to these innovations are inclusive leadership, a community approach, allowing citizens to voice their aspirations, and the smart city concept. Informing marginalized groups about these services could empower them and contribute to the success of Sustainable Development Goal (SDG) 11.
Wilmar Salim, Martin Drenth

Political and Social Inclusion and Local Democracy in Indian Cities: Case Studies of Delhi and Bengaluru

Abstract
Growth of slums, urban poverty and inequality, deteriorating quality of the urban environment, unplanned growth, rapid periurbanisation and growth of sprawls, and deficiencies in the coverage of basic urban services have plagued Indian urbanisation. Through micro-level surveys in select slums and squatters in Delhi and Bangalore, this study attempts to identify the structural and institutional barriers to full engagement of marginalized groups in processes and mechanisms of local democracy, including participation in community based organizations in the provision of basic urban services. Results indicate two prominent categories of exclusion, viz, institutional including housing, land and basic services and structural including barriers to participation of women in economic, social and political activities. These manifest in various forms of inadequacies for different vulnerable groups. To elucidate, the migrants, living mostly in rented accommodation, have lower coverage to basic amenities as compared to the non-migrants. Similarly, the condition of the scheduled population is poor as compared to non-scheduled population. The condition is also poor for the low-income households. The slum dwellers from both cities perceive that providing support to elderly and disabled population, women and child safety, improving connectivity to slums and developing infrastructure and community based preparedness for disaster should be on high priority for the government. The slum dwellers showed low faith in local government as compared to NGOs, in whom they have higher confidence. An integrated approach to urban planning and management with proper targeting of beneficiaries may ensure inclusion of the disadvantaged sections of the society.
Debolina Kundu

Access of Low-Income Residents to Urban Services for Inclusive Development: The Case of Chengdu, China

Abstract
This chapter focuses on the access to public services for low-income residents in urban China, taking Chengdu as the study area. After providing a brief introduction to the overall urbanization process in China, we choose to focus on the low-income residents in Chengdu, a major city of western China, to understand the extent to which public services are accessible to the low-income residents, what are the barriers to political and social inclusion that the low-income residents experience, and what are the good practices and innovations that might be relevant to the cities in other developing countries. The study was conducted by both using first-hand data (e.g., interviews with residents, officials at different levels, and questionnaire surveys), and second-hand data (e.g., archival documents, government policy reports, statistical yearbooks, etc.). Two neighborhoods, located in the central and suburban areas of Chengdu city respectively, were selected for questionnaire survey. Follow-up in-depth interviews were conducted for understanding the institutional and structural barriers that may hinder access to equalized public services. It is found that the governments in Chengdu put much effort to improve the quality and access to the basic public services for the low-income residents. However institutional barriers such as hukou system are still there, which impede better public participation of the low-income residents and thus lead to unequal access to some public services such as education and healthcare. Good practices, innovations, and take-away messages are also discussed.
Bo Qin, Jian Yang

Access to Urban Services for Political and Social Inclusion in Pakistan

Abstract
Pakistan, the fastest urbanizing country in South-Asia, is facing the challenge of emerging pockets of marginalization and poverty in the large cities. The issues of social and political exclusion being faced by urban residents is rooted in institutional, political and structural factors including legislative provisions for municipal autonomy at provincial level. Present system of services provision by the service providers especially in the public sector, is inadequate in responding to the requirements of fast expanding urban economy. The main challenge is to introduce a well-equipped system of governance with resourceful communication technologies, environmental economics, urban finance, water and sanitation systems, alternative transport systems, traffic management and skills in conflict resolution. Another challenge is to develop an effective legislation which clarifies the balance of power and functions between the provincial and local governments. This chapter discusses some of the structural and institutional barriers to political and social inclusion of the marginalized groups including women, youth, migrants and ethnic minorities in the urban areas and some innovations and good practices in a decentralized governance. Primary data was collected through a survey in low income areas of two cities of Punjab and KPK. Further, statistical analysis of access to basic services and satisfaction level was comprehensively gauged to link it with the prevailing governance structure. Additionally, five case studies are quoted for their originality and innovation which can serve as good practice models for replication and scaling up.
Nasir Javed, Kiran Farhan

Governance for Urban Services in Vietnam

Abstract
The chapter investigates the relationship between local democracy and different forms of barriers to political and social inclusion of marginalized urban communities, particularly migrants living in slums areas in Vietnam. As a one-party regime, Vietnam had been a highly centralized state until early 1990s, with the government exerting tight control over the society. The launch of market-oriented “Doi moi” policy in 1986 has contributed to the country’s economic boom, lifting millions out of poverty, opening up the civic environment, and significantly improving the Vietnam’s public services. The government has allowed the private sector to engage in the provision of certain services, in addition to the previous state-controlled public service companies and state non-business organizations. Access to basic services like electricity, water, health and education has been much improved. However, economic growth has brought numerous significant social and political implications, particularly for the new social class of migrant workers. The government’s residence-based social policy created many barriers for marginalized groups, consisting mostly of migrants, to urban services including water and sanitation, health, education, and other socio—political rights that urban residents enjoy. The Vietnamese government has recently made significant efforts to remove the barriers, which were expected to make the accessibility of marginalized groups to urban services become easier, especially for immigrants. Nevertheless, the results are mixed and there is room for further policy improvement.
Nguyen Duc Thanh, Pham Van Long, Nguyen Khac Giang

Serving Africa’s Citizens: Governance and Urban Service Delivery

Abstract
Between 1950 and 2050, Africa’s urban population is expected to multiply by nearly 46 times, from 32.7 million to 1.5 billion. In 2040 African cities will host around a billion people, equivalent to Africa’s total population in 2009. This urban growth is characterized by a massive youth surge, while economic growth is often taking place without job creation; inequalities are widening; and per capita incomes are lower than in other world regions at similar urbanization levels. Moreover, the new century brings unprecedented pressures linked to climate change, global pandemics, worsening security threats and growing migration flows. Growing urban populations put cities at the heart of governance, with the future of the continent thus placed into the hands of its cities. This poses a huge and immediate challenge, putting to test the capacity of local governments to step up public service provision for a population increasingly critical about the access and quality of these services. However, all these intertwined challenges could also constitute a transformative opportunity for Africa. Besides presenting an overview of the present context of urban public service delivery in Africa and an assessment of public service delivery in key sectors—from health to education to housing to waste management—this chapter will focus on urban policies and planning to foster and trigger sustainable and equitable development, improved governance and public service delivery, as well as a renewed sense of participation and citizenship.
Camilla Rocca, Diego Fernández Fernández

Local Governance and Access to Urban Services: Conclusions and Policy Implications

Abstract
Studies in this volume show that inclusive, participatory and sustainable urban service delivery and access require a set of policy and program responses: It is essential to distribute resources equitably to urban local governments and strengthen their planning and management capacity in order to enable them to perform their responsibilities. Institutional arrangements should be restructured to promote collaborative governance and stock-taking of functional gaps and overlaps among multiple agencies and departments located within a city. Participatory mechanisms should be provided for the engagement of civil society, local governments, citizen groups and other stakeholders in local decision-making processes. The need is for greater use of widely recognized instruments of accountability and transparency including participatory budgeting and right to information. One of the challenges of urban policy implementation is political and social inclusion and engagement of marginalized communities including women, youth, migrants, ethnic minorities and the urban poor in the structures and processes of local governance including access to urban land and housing through revised land use regulations, effective land density and mixed use, and housing finance and land titles reforms. Cities have been laboratories of experimentation, innovations and good practices to improve service delivery and access. Recent surveys have highlighted a number of innovations and good practices in cities in terms of their content, rationale and impact on urban residents. These need to be replicated. Information and communication technology (ICT) should be used to enhance quality, performance and interactivity of urban services; to reduce costs and resource consumption; and to improve contact between citizens and government. Finally, peri-urbanization is a critical issue in access to services for the urban poor. It requires an integrated planning and coordination of urban areas.
Shabbir Cheema
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