Process Mapping (Draft Final Report)

Disclosing Actors and Citizen Participation in Nairobi (With a focus on Slum Upgrading)

An Alliance to Make Cities Work for the

Poor as well.

CONTENTS

1. Introduction to the study, objectives and methodology 2. Brief Introduction to Kenya, Nairobi and the urban context 2.1 Back ground and introduction 2.2 Policy environment

3. The legal and Institutional framework 3.1 The Local Government and Administrative structure 3.2 Legislating civil society participation 3.3 Legislation in planning, building code and by-laws 3.4 Land and security of tenure 4. The main actors in the urban arena and comments expressed

on each other 4.1 Public Agencies 4.2 NGOs (for network organizations see chapter 5) 4.3 CBOs and faith-based organizations 4.4 Private sector 5. Mechanisms and channels of civil society participation 5.1 The LASDAP process 5.2 The KENSUP program 5.3 The Nairobi Informal Settlement Coordination Committee (NISCC) 5.4 Muungano wa Wanavijiji Maskini (Federation of Slum dwellers) 5.5 Shelter Forum 5.6 The Kenya Private Sector Alliance (KEPSA) and the Nairobi Central

Business District Association (NCBDA). 6. Evaluation of participatory processes in Nairobi: findings,

conclusions and recommendations. 6.1 Summary of findings and conclusions 6.2 Conclusions and recommendations Annex 1: List of abbreviations used Annex 2: Extract from “CORDAID Kenya Policy document 2003-

2006”; thematic area: “Quality of Urban Life” Annex 3: Cities Alliance, Cities without slums Annex 4: Program and participants of the consultation workshop Annex 5: Reporting on the LED findings of the consultation workshop Annex 6: List of individuals and organizations interviewed Annex 7: Documents and publications consulted

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1. INTRODUCTION to the study, objectives and methodology_____________ Note: after this introduction quick readers may refer to Chapter 6, summarizing the findings, conclusions and recommendations of this process mapping study, while jumping back to previous chapters in case they need more detailed information. This report assesses the existing mechanisms and channels of participation through which civil society can influence urban decision-making and be involved in urban development management with a focus on slum upgrading, in Nairobi the capital of Kenya. The report is one of the results of several city audits, hereinafter referred as “process mapping” studies, carried out in several countries1 by IHS within the framework of the IHS-CORDAID strategic Alliance, and under the general coordination of the “Stichting Habitat Platform” (Dutch Habitat Platform). The aim of the IHS-Cordaid alliance is to help improve the quality of participatory processes and the effectiveness of policies and public investments that benefit the poor and disadvantaged groups in society. Focusing the research on cities where Cordaid already provides financial support to NGO’s and community-based processes, the alliance strives to forge stronger synergies between bottom-up participatory approaches and the traditional top-down policy directions of local governments. While using the term “participation” or “participatory processes” in this report, we always aimed to clarify the level and nature of participation. As such no single definition is applied for the term “participation” and content wise the study covers the whole range of participatory processes from information, lobbying, influencing, and consultation to significant degrees of control over decisions, actions and resources to improve the living and working environment of the residents. Methodology: The process mapping study was carried out in close cooperation with local counterparts of Cordaid and involved various stakeholders: residents, businesses, NGOs, CBOs, public sector and donor agencies. (amongst them were several IHS alumni). First the policy, legal and institutional environment were assessed and the roles of key actors and the relationships between them identified. The study-team member Eric Makokha (IHS alumni) could facilitate an easy access to those key stakeholders. The study results are based on the stakeholders own observations about their role and their views on those with whom they interact as well as on the mechanisms through which their participation takes place. The work involved rapid field surveys, on-site interviews and meetings, structured interviews, desktop review of key documents and a consultative local workshop. Annex 6 and 7 provide an overview of the individuals and organizations met and the documents consulted. The report aims to disclose the roles and capacities of the actors, the mechanisms and channels and the potentials and obstacles of civil society participation and participatory decision-making in urban management and particularly in slum upgrading in Nairobi. Chapter 2 briefly introduces the country and the major urban problems faced. It also highlights some recent reforms and initiatives taken in the urban context. The second part presents the (urban) policy environment: the National Housing Policy recently passed in parliament and the National Land Policy which is currently being developed by means of a consultative process.

1 Selected cities for the process mapping include: Recife (Brasil), Lima (Peru), Awassa (Ethiopia), Nairobi (Kenya), Tirana (Albania), and Younde (Cameroon).

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Chapter 3 introduces the local administrative system with reference to Nairobi. So far the legislation only guarantees political participation. Through the Local Government Reform Programme (LGRP) the local Authority Service Delivery Action Plan (LASDAP process) was introduced in 1999 and provides, next to the arrangements under the Kenya Slum Upgrading program (KENSUP), which was launched in 2003, the only two institutional frameworks for citizen participation. Because both programs are the first experiences facilitating citizen participation in urban management and slum upgrading, both programs are analyzed in detail in Chapter 5. This chapter 3 ends by describing the land legislation and particular land problems faced in the slum area of Kibera, the first slum upgrading project under the KENSUP program. Chapter 4 presents the main actors in the urban arena, e.g. the public agencies, the NGOs, the CBOs and faith-based organizations and the private sector. Based on interviews held, comments upon the relationships between them and felt obstacles to an optimal participatory process are presented, together with the ways in which civil society is, and has been involved in policy advocacy and law reform. Chapter 5 is the core of the report and analyses the mechanisms and channels of civil society participation. It first introduces and analyses the experiences with the institutional arrangements for civil society participation under the LASDAP process (chapter 5.1) and under the KENSUP program (chapter 5.2). It further describes a number of relatively successful network organizations: the Nairobi Informal Settlement Coordination Committee, the Federation of Slum-dwellers, Shelter Forum, the Kenya Private Sector Alliance and the Nairobi Central Business District Asssociation. The final Chapter 6 evaluates the participatory processes as described in the previous chapters. It summarizes the findings and conclusions of the process mapping survey: both the bottlenecks as well as the potentials for increasing and improving civil society participation in policy preparation, urban management and slum upgrading. The second part of this chapter presents recommendations on how CORDAID and the local partner organizations could improve their support towards improved civil society involvement in planning and increased influencing and participation in making decisions that affect their own living environment. The Annexes provide amongst others the outcome of a consultative workshop on Local Economic Development activities (Annex 5), an overview of the meetings and individuals and organizations interviewed (Annex 6), as well as a list of the documents and publications consulted (Annex 7).

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2. BRIEF INTRODUCTION TO KENYA, NAIROBI AND THE URBAN CONTEXT 2.1 Background and Introduction Situated on the equator on the East African coast, Kenya borders Sudan and Ethiopia to the north, Uganda to the west, Tanzania to the south, Somalia to the east and the Indian Ocean to the south east. Kenya, an agricultural-dependant country and with a current estimated population of 30.4 million, covers a total land area of 582,650 sq km, three quarters of which is arid or semi arid. Over the last two decades, Kenya’s economic performance has been on the decline. The 1990s, particularly, have been described as a lost decade, (the World Bank Kenya Country director, Makhtar Diop, Sunday Nation, November 16, 2003). Mr. Diop went on to observe, “While other countries were recording substantial growth rates of around six per cent, Kenya was growing at 1.8 per cent equivalent to a per capita erosion of 1.3 per cent per annum.” According to the World Bank chief, “One explanation of this poor performance was that the Government adopted a half-hearted and stop-go approach to policy making and reform at a time of momentous changes in the global economic order.” This declining trend reached its lowest ever in the year 2001 when it registered negative 1 % economic growth. Poor economic performance, and its failure to keep up with population growth,2 let to dissatisfaction among the citizens. During the 1990s political unrest and agitation resulted in the dismantling of the one-party state and the creation of a pluralist system. Political activism of the last two decades, during which many political activists and opposition leaders were maimed, detained, exiled or killed, paid dividends during the 2002 General Elections when the oppressive KANU regime, after 40 years in power since independence, was defeated by a united opposition. It is therefore not surprising that one of the easily observable trends in Kenya in recent years has been increasing poverty. In 1982 the incidence of poverty was 52 % (Republic of Kenya, 2002; Sunday Nation, November 16, 2003). This had risen to 56 % in the year 2000. While poverty seemed to be concentrated in rural areas during the first two decades after independence (in 1963), recent trends indicate that the country is undergoing what can be referred to as urbanization of poverty – with more and more poor people found in urban areas. At the same time, another trend, “feminization of poverty,” – more and more women being among the poor – has also manifested itself. Another notable and relevant trend is urbanization growth. Like many third world countries, Kenya is a rapidly urbanizing country. In 1975, the urban population in the country constituted a mere 12.9 %. This had risen to 34 % in 2001 and is projected to increase to 47.2 by the year 2015. Over the last decade, urban population grew from 3.8 million in 1989 to 9.9 million in 1999 and is projected to grow to 16.5 million in 2005. As a result of the rapid urbanization, compounded by bad governance and poor urban management, the country has experienced major problems including proliferation of informal settlements, social strife, environmental degradation and deteriorating living conditions. Approximately 60 % of Nairobi’s population (or 1.4 million people) lead precarious lives in informal settlements, occupying only 5% of the city’s total residential area. These are settlements with inadequate and badly maintained infrastructure, poor housing, lack of basic amenities and utilities. Access to basic facilities such as clean, safe drinking water and sanitation is a dream for the majority. Inhabitants are exposed

2 During the last decade Kenya’s annual population growth rate, at almost 3 %, was one of the highest in the world.

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to communicable diseases and, without the adequate infrastructure, continue degrading the environment. But despite these problems, urban areas and the informal settlements continue attracting thousands of rural immigrants searching for employment and better living conditions. As they arrive in the cities and towns, poverty goes the full cycle. It is a typical case of jumping from the frying pan and into the fire. Thinking that they have left poverty in rural areas, these new urban immigrants find themselves in even more debilitating urban poverty – overcrowded, filthy shanties where in place of thatched huts, they now have to live in shacks made of carton and nylon paper. In recent years, the government has initiated some policy, legislative and institutional reforms (see Chapter 3) aimed at addressing the situation. This has provided impetus for the search for solutions tobeen increased interest in identifying a The coming into power of a new regimreforms. The new government won thremove oppressive mechanisms and tenets of transparency, accountabilitsystem in which the people participatofficers accountable for their activities. A clear reflection of such change in dethe Local Authorities Service DeliverKenya Local Government Reform prUpgrading Program (KENSUP) a proHABITAT. Both (see Chapter 5) will bthe first experiences that provided an in planning and eventually decision-ma Above is the prevailing environment experience in civil society participatdevelopment and particularly slum upg 2.2 Policy environment The Kenya Government’s approach Reduction Strategy’ paper is to allevcreating an economy that is market efficient operation of the private sectoto provide a favourable environment

the problems and challenges. There has also nd using innovative development approaches.

e has further created room for even more policy e elections on a reform platform, promising to to institutionalize good governance with all the y and democracy. It promised a governance e more in decision making as they hold public

cision-making and civil society participation are y Action Plan (LASDAP) introduced under the ogram some years ago, and the Kenya Slum gram of the Government of Kenya and UN-

e critically analyzed in this study, since they are opportunity for the citizens to participate directly king.

from which this study proceeds to analyze the ion and inclusiveness of all actors in urban rading.

to development as spelt out in the ‘Poverty iate poverty among the vulnerable groups by

oriented and an environment supportive of the r. The policy towards employment generation is for private investment and job creation. The

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improvement of shelter and alleviation of poverty, incorporating sustainable livelihood strategies, are recognized as crucial measures for people living and working in slums and informal settlements. The Government of Kenya has initiated a number of policy and legislative reforms with a view to giving more space to the citizens to participate in matters affecting them. The Local Government Reform Programme is one of them. The Kenya Government has not had a clearly articulated decentralization or local government policy document, such as a “decentralization White Paper”, as in several neighbouring countries in East Africa. The Ministry of Local Government is currently undertaking a review of the Local Government Act, as well as the Kenyan Constitution. The new National Housing Policy for Kenya, passed in parliament on 30th June 2004, for the first time recognizes (see Mitullah, 2003)

o The right to housing (facilitating progressive realization of the right to adequate housing by all)

o Provision of legal security of tenure to the poorer sections of Society: like women and other vulnerable groups, especially in areas located near their work place, and

o Participation of the inhabitants in the housing and slum upgrading process. o The following key components recognized in slum upgrading are: : security of

land tenure, provision of basic infrastructural facilities and services, improvement of housing structure and socio-economic status of the target community and prevention of unwarranted destruction of existing housing stock and displacement of residents

o And the need for special policy to pay attention to the tenants It sets as its goal the facilitation of the provision of adequate shelter and a healthy living environment at an affordable cost to all socio-economic groups in Kenya in order to foster sustainable human settlements. It goes on to state that this will minimize the number of citizens living in shelters that are below the habitable living conditions. It will also curtail the mushrooming of slums and informal settlements especially in the major towns. Among the stated objectives in this paper is the promotion of inclusive participation of the private sector, public sector, and community based organizations, non-governmental organizations, cooperatives, communities and other development partners in planning, development and management of housing programs. On Upgrading of slums and informal settlements, the paper states that this will be undertaken with minimal displacement to cater for proper planning and provision of necessary infrastructure and related services. The government will also facilitate slum upgrading through an integrated institutional framework that accommodates participatory approaches involving relevant stakeholders, particularly the benefiting communities while enhancing coordination at national level. Upgrading will take into account factors of ownership of land and structures, age of settlement, and affordability. The government further commits that appropriate compensation measures will be instituted for disposed persons where necessary. (See further Chapter 5.2: the Kenya Slum Upgrading Program-KENSUP) Land Policy: Amongst the inhabitants of informal settlements the fear for eviction and a historic distrust of what the Government is saying/doing is clearly an obstacle to a participatory process and open communication between the stakeholders. The Ministry of Lands and Housing are in process of formulating a National Land Policy by an intensive consultative process, having established several thematic working groups with recruitment of external resource persons and experts. During this mission we met several stakeholders of civil society who are members of these working groups. One may rightly say that so far this new policy is developed in a real consultative process.

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All developments mentioned above are likely to have a positive impact on participatory planning and decision-making, by putting moratoria on eviction, aiming for minimal displacement and secured re-allocation in un-avoidable cases, and by that the potential to remove the distrust between the citizens and the Government, which is most likely the biggest obstacle to real participation: e.g. open two-way communication based on trust. In this context it is striking to note that, during an interview with Muungano wa Wanavijiji Maskini (Federation of Slum Dwellers), the Federation could identify indications that the attitude of the Government is slightly changing and seemingly more responsive to the problems of the slum dwellers, as well as that the Federation is now a recognized partner of the Government, and called in meetings and in workgroups (like for the new housing policy). Mr. Millon Kothari, special rapporteur on adequate housing for the UN Commission on Human rights (Kothari, 2004) as well observes a number of positive policy developments, in addition to the ones mentioned above. Like the establishment of a Ministry of Gender; the establishment of a parliamentary select committee on Housing, Health, Labour and Social Welfare; the establishment of an inter-ministerial Inter-agency task force on Housing, including representatives from the civil sector; and the establishment of statutory bodies, i.e. the Kenya National Commission on Human Rights. He however stresses that the most urgent rights and needs of the poor and other vulnerable groups should be able to be addressed even in the absence of established policies- without compromising future holistic implementation strategies. It is without saying that the KENSUP program supports his argument. Without going in the details and experience of the program (see Chapter 5.2), the Kenya Government did itself commit in the program set-up to the following important program strategies in addressing the causes of slums and informal settlements (and which are not yet all in line with existing legislation): o Inclusiveness: The residents of informal settlements and their organisations, local

authority, relevant central government agencies, NGOs, professional associations, the formal private sector, and international development co-operation agencies, all will be engaged in the implementation of all program components.

o Partnership: Provision will be made to facilitate private / public partnership in order to deliver, maintain, support, pay for service use, manage or own facilities developed within the settlements with communities being key players. Beneficiaries will be involved and empowered in deciding their priority needs to facilitate cost recovery once initial services are provided.

o Security of Tenure: Slum areas in the program will be designated as "tenure secure Zones". The appropriate tenure security system to be introduced in the project area will be determined in consultation with residents, structure owners and other stakeholders. The tenure system to be adopted must assure rights of occupancy to residents by first and foremost, eliminating unlawful evictions and providing certainty of residence.

o Gender consideration: While the project will address the issue of single-family headed households, it will pay particular attention and devise strategies by which women are empowered to support their households and improve their living conditions.

o Income generation and poverty reduction: Efforts will be made to involve micro finance institutions in shelter improvement activities and in the development of small and medium enterprises in the village. Conducive regulatory framework will be developed to enable small-scale industries and businesses to operate in the settlement. Group formation and networking will be the main entry points for project activities, security for borrowing and flow of information. Provision of business

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support services and appropriate technologies will be promoted to enhance human resource development. This will also help in stimulating ability to contribute in the project as well as to afford housing outside the settlement.

o De-densification to create service way leaves and rationalized planning: Some structures may be affected in the design of services way leaves and in rationalizing settlement layout planning. Demolitions will be kept to a minimum and/or avoided as much as possible. Decisions on the demolitions and reallocations will be taken with full involvement of the community. Displaced structures could be relocated on suitable locations.

o Meeting development costs: The project will explore ways of keeping development cost low and affordable to the residents to avoid gentrification. This will include arrangements whereby NCC can provide major services at their own or/and cross-subsidization. Ways will also be explored for involving industrial and commercial enterprises in contributing towards the cost of upgrading. Government subsidization of slum upgrading through targeted fiscal reforms (low interest rates, extended recovery period, stamp duty waiver). The community will be sensitized to develop a sense of ownership of the improved facilities in order to enlist their resource contribution.

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3. THE LEGAL AND INSTITUTIONAL FRAMEWORK______________________ 3.1 The Local Government and Administrative structure The local government system in Kenya comprises of the Ministry of Local Government, the Provincial and District Local Government offices, and the local authorities. Other key players include the Ministry of Finance, the Controller and Auditor-General and the Provincial Administration (especially the Provincial and District Commissioners, as ex-officio members of their respective Local Authorities). Local authorities derive their legal foundation, powers and functions from the Local Government Act, Chapter 265 of the Laws of Kenya. They are semi-autonomous legal entities with administrative and legal powers delegated by central government (UN-Habitat website; Koti, 2000). Nairobi has eight constituencies with 54 wards with a population of nearly 3 million residents. Kibera constituency alone has over 300.000 people. Nairobi has a complex and overlapping system of urban governance consisting of an elected City Council, National Assembly representatives and the Provincial administration. The elected councillors have multiple relations with the city authorities and political leaders. The provincial administration, headed by the Provincial Commissioner (PC) has a major influence in running the city, through its Divisions and Locations, since there are no districts in Nairobi as is the case with the rest of the country. The District Officer oversees the division and under him are Chiefs (Location) and Assistant Chiefs (Sub-locations). All these are civil servants and direct representatives of the PC. Since one of their main functions is to co-ordinate development within their areas of jurisdiction, they cut across departments. They therefore work with local authorities in their areas of operation. Their function is supposed to supplement and complement that of local authorities. This appears easy and logical on paper. But on the ground it is not always that straight forward. Often the two systems appear to be parallel and not very easy fitting. At times the separation of powers between the two can be foggy, with these gray areas slowing down decision-making and/or implementation. The institution of Chiefs is entrenched by laws which gave them, even after the Chief’s act was recently repealed, immense powers especially in rural areas and in the informal settlements. 3.2 Legislating civil society participation The local government system in Kenya does not provide legal and administrative structures for community participation and involvement in the management of local authorities. The law only guarantees political participation through civil elections. Once elected, council and central government remain the key decision-makers on local development matters. It is assumed that councillors effectively represent citizens, yet they rarely hold consultative meetings in their respective wards. However, for the last five years, the Government of Kenya has been working on the Local Government Reform Programme (LGRP). It is hoped that this will eventually provide the legal and administrative basis for citizen participation. Through this programme, the Local Authority Transfer Fund (LATF) and the associated Local Authority Service Delivery Action Plan (LASDAP) were introduced. The LATF transfers 5% of total income tax revenues as grants to local authorities for development purposes. As a condition of LATF payment, local authorities are required to formulate their LASDAP in close consultation with their local communities. This process provides opportunities for promoting greater community involvement in the local planning process and is the cornerstone of the Government's evolving policy on decentralization. At the moment, it is only the LASDAP process that provides an institutional framework for citizen participation. As well the KENSUP program is designed to facilitate

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inclusiveness of all actors, very much in line with what is written in the new Housing policy. Finally it can be mentioned that, now that the National Housing Policy has been approved by parliament, an initiative has been taken by Kituo Cha Sheria (Legal Advice Centre) to draft a Model Housing bill, providing a legislative framework for the new housing policy. 3.3 Legislation in planning, building code and by-laws The Local Government Ministry has promised to enforce the adoption by local authorities of by- laws gazetted in 1995 (order 1995 adoptive by-laws and urban 2 standards, 1978), known as Code ‘95. Although this code aimed to reduce building costs in the context of low-income housing, it is however important to note that these laws, the existing planning regulations as well as the building code are not directly meant for informal settlement planning. The Physical Planning Act and the enactment of the Physical Planners Act (1996) provide space for ensuring competence in planning urban and rural settlements, and in participatory approaches involving the public/private sector and civil society. 3.4 Land and security of tenure Two types of laws govern land ownership in Kenya: statutory and customary laws. Communal land is governed by customary or traditional laws. Government (Public) land is land owned by Government and held or used by government for the benefit of the people. Trust (Customary) land3 is land administered by the various county councils under the Trust Act, in trust for the communities who own the land communally with individuals having rights of use of the land. Previously, it was referred to as ‘native reserves’, un-surveyed and unregistered land. Private land can be held on freehold or leasehold tenure. Freehold land is absolute proprietorships giving the owner unlimited rights to the period in which land can be used. Leasehold land is an agreement between the land owner (like the government) and a person which allows the use of the land for a specified period of time at an annual rent. Licences, like Temporary Occupation Licenses (TOLs) for small businesses, are like a lease for a given period of time, but may be terminated at any time by the license granter. They are specifically for allowing poor people to set up businesses, but may also have potentials for housing. With reference to the report: “Report of the Inter-agency committee on the realization of the right to adequate housing, (2004), a good overview is provided of the causes and characteristics of forced evictions, the different mechanisms of interventions, the specific problems faced by women and the government efforts to deal with land and property rights of women and a complete overview of the legislations and policies. The new land policy under development will most likely address all these issues and by that removing a number of the existing bottlenecks in slum upgrading.

3 Under the Small Towns Development Project (STDP from ’87-03), GTZ together with the Ministry of Local Government developed an interesting ‘modernized version’ of the customary land-ownership by means of forming a “Community Land Trust”, by registering a community as an association under the Society Act. An STDP manual “Guidelines for Upgrading Informal Settlements”, will soon be published, in which this new land tenure mechanism will be explained in detail.

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The land tenure systems in Nairobi’s informal settlements vary from one settlement to the next with squatting incrementally increasing since independence due to disregard of existing tenure systems. Some settlements have non-formal defacto tenure while others do not. However, what is very clear is that land ownership in informal settlements is mixed and often very complex with the majority of residents having quasi-legal tenure in the form of Temporary Occupation Licenses (TOLs). Some settlements are built entirely on government land while others are partially on government land; partly private or on local government land. The insecurity of tenure in such settlements and lack of clear support policies from the authorities has prevented NGOs and other development partners from undertaking new service delivery initiatives and have made existing interventions unsustainable.

Kibera’s informal settlement (Kibera, 2004a) is located on government land, with a history dating back to the colonial time when the Nubians settled on the land as “tenants at will”. The Nubians and other communities who have settled there have no “legal right” to that land apart from the TOLs, which are the informal, land rights given through the local administration. Due to insecurity of tenure, the residents who live there, though having temporary licenses and “title deeds”, live in constant fear of eviction. The mere thought of eviction whether real or perceived has bred a mentality of fear, suspicion and at times open hostility in the community. This situation is made worse by the provincial administration especially the office of the chief who have taken advantage of this situation and are constantly extorting bribes from the residents. In relation to land in Kibera, there are four categories of people with a deep interest in the land. These include the following: -

1. Nubians who have always laid claim to the land and who are currently pursuing the issuance of title deeds from the British government. They claim certain areas of the settlement based on a letter of allocation given by the colonial authorities approximately seventy years ago. Amongst this group, there are two interest groups. One is the Nubian Council of elders who want to be allocated only a portion of the land (350 acres) with title deeds through the British Government. Second is a group of the Young Turks who feel that the council of elders is not adequately representing them and they want the entire land allocated to them, a situation that is causing friction between the young and the old. This is already a bad situation considering that there were violent clashes in year 2001 and the impending upgrading programme, which is still not clear in the minds of the residents.

2. Second is a group of purported structure owners who have title deeds, many of which were attained fraudulently.

3. The third group is composed of structure owners with unofficial but recognized allocations given by local officials. These structure owners are either absentee landlords or live within the settlement. Some of these are CBOs and NGOs and the Church working within the community.

4. The tenants make the fourth and largest groups that is laying claim to the land. With such a number of different actors laying claim to the land, feeling of security of the residents is very low, and tenure is most likely the most difficult issue to be resolved during slum upgrading processes. Several studies and draft policies therefore strongly recommend starting slum-upgrading processes by first mapping the nature of land tenure, at the same time assuring security of tenure for all its residents who have resided in the settlement for at least six months. As well to recognize the informal settlement and put a moratorium in place on demolition and allocation of public land.

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4. THE MAIN ACTORS IN THE URBAN ARENA AND COMMENTS EXPRESSED ON EACH OTHER_____________________________________

This chapter presents the roles of each of the actors involved in informal settlements upgrading, as well as the comments expressed upon the relationships between them (in case of being interviewed). 4.1 Public Agencies 4.1.1 Government agencies and Provincial Administration 4.1.1.1 Ministry of Lands and Housing (interviewed in context of KENSUP) The Ministry of Lands and Housing is charged with the responsibility of formulating and implementing national policies relating to land use, management and administration and housing development. It is the focal point for all land and housing matters in the country. With regard to the Kenya Slum Upgrading Programme (KENSUP), the Department of Housing in the Ministry keeps the secretariat, and thus the lead government agency co-ordinating the programme together with UN-Habitat. 4.1.1.2. Ministry of Local Government The Ministry of Local Government has overall supervisory authority over all local authorities in the country. Under the Local Government Act (Cap 265 of the Laws of Kenya), the Ministry has powers to constitute local authorities, oversee their policies, bylaws, staffing, administration and operations, especially their budgets and financial management. It is also responsible for the provision of training, legal and technical support. Central Government, through the Ministry, has immense power, derived from the Local Government Act, over local authorities. This allows the Ministry to control, manage and regulate local authorities, with substantial power vested personally with the Minster for Local Government. 4.1.1.3 Ministry of Environment and Natural resources Until recently, this Ministry seemed not to have much relevance for urban areas. This perception is now changing. The formation of the National Environment Management Authority (NEMA) and the enactment of the Environmental Act contributed to this change. It is now widely acknowledged that in addition to being responsible for forests, rivers and lakes, the Ministry also deals with all matters of the environment, both rural and urban. It has the mandate to protect the environment and to ensure environmental sustainability. It is thus concerned with matters such as environmental pollution and control; waste dumping and waste management. 4.1.1.4 Ministry of Gender, sports, culture and social services This Ministry is relevant in that it is the arm of government charged with the responsibility of registering and monitoring the activities of the thousands of community groups that characterise Kenyan society. In every community and area in Kenya, there are women groups, youth groups community-based organizations and other types of groups formed to spearhead community work and interests. These provide the institutional mechanisms through which resources are mobilised and channelled from and to the community and from development agencies including NGOs and donors. As the overall regulatory and co-ordinating government agency, the Ministry is important for ensuring social mobilization and participation. 4.1.1.5 Ministry of water The overall national responsibility of providing water for Kenyans, particularly with regard to conducive policy environment, falls on the Ministry of Water. However, the actual provision in practical terms, particularly in urban areas such as Nairobi, belongs

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to local authorities such as the Nairobi City Council. But the City Council depends on the Ministry for policy guidance. Thus, the woes of slum dwellers who do not have access to clean water or who cannot afford the available water can be traced both to the Ministry and to the Local Authority. 4.1.1.6 Provincial administration The Provincial Administration plays a major role in local development. While for some people, including government itself, provincial administration plays a vital role, others say it plays a negative role. Whatever the case, the provincial administration is some kind of ubiquitous player in the Kenyan development arena. Chiefs, their assistants and District Officers control the pace of development – positively or negatively. They issue licenses for all kinds of activities and events. By providing temporary licenses of occupation to land, they control access to land and therefore to housing. By refusing to grant permission for one to repair one’s house (!) they determine the quality of housing for families. They can authorize and institute eviction orders, thus rendering one homeless. Their actions can determine levels of security in their areas of jurisdiction. Officially, the role of the provincial administration, especially Provincial and District Commissioners, is to coordinate government affairs at these levels. Lower levels (chiefs) focus on social conflict resolution, local security and the control of political relationships. 4.1.2 Local Government agencies 4.1.2.1 Nairobi City Council (interviewed) The NCC is mandated by the Local Government Act Cap 265 of the laws of Kenya to provide and manage public services within its jurisdiction. o Political and administrative structure The council is the policy making arm of Local authority and operates through a committee system. Nairobi has eight constituencies with 54 wards, each ward having an elected councillor. The councillors elect the chairman or mayor. A third of additional councillors are appointed by the central government to allow placement of professionals to assist in running the council. The District Commissioner is also a councillor. General elections are every five years. An (appointed) Town Clerk, as the chief executive and administrative officer, heads the executive arm of the local authority. The executive branch is divided into departments. o Important departments The following departments are of importance for the study: - Housing Development Department: Charged with the responsibility of providing low cost shelter and infrastructure facilities to all Nairobi residents. - The City Engineers department: Responsible for approval and maintenance of all civil facilities. - The Water & Sewerage department: Takes over all water and sewerage works after they are completed. - Department of City Planning: Oversees and guides all development in the City (Sections: survey; land management; development control; enforcement; urban design and development; forward (strategic) planning; administration) - Social Services and Housing: Operating the community centres and markets - Department of Environment: In charge of solid waste management - Department of Public Health: Runs City Council clinics and health centres

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o Obstacles faced in participatory approaches - In the Council there is in-adequate capacity in the amount of staff and in the available skills: although some staff training has been done in the past, there has been a high turn over of staff, by that loosing the skills. Training is required in the area of community development, participatory approaches and action planning; project cycle management and communication skills. As well, in the framework of privatization and PPP’s staff have to be trained in modalities of PPP’s, in contract formulation and negotiations, and in contract monitoring and supervision. - Inadequacies of material (computers, transport) - As well awareness raising on participatory approaches is required for high level staff and for the community leaders. - More openness and information sharing is required from the council: civil servants now often hide behind the secrets act. - Communities have to become better organized: based on real representation and not a few people mobilized by the Councillor of the area. Note: There is a general public complaint on the corruption of the Councillors and their major influence in what happens and doesn’t happen in the different wards. The Minister of Local Government, while announcing a major shake-up of the Council affairs on October 26th (see box) said: “They (Councillors) are no longer City Fathers but City Rogues”. He appointed a new Town Clerk for the NCC that will have executive powers, allowing him to make decisions without getting approval of the Councillors! It has to be seen how this will work out, and whether the Councillors can accept this arrangement which diverts from the current Local Government Act.

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4.2 NGO’s (for network organizations see Chapter 5: Mechanisms and channels of Civil society participation)

The obstacles to participatory processes, as seen by the NGOs are presented in 4.2.6 4.2.1 Regional office Intermediate Technology Group (interviewed) Main mission: to offer locally sustainable solutions to alleviate poverty, with a distinctive emphasis on technology choices. By building the technical skills of poor people, enabling them to improve their quality of life. Field of activities:

o Housing/shelter/building materials o Access to services o Food security o Small enterprises and making markets work o Info-com and info technologies o Reducing vulnerability in semi-arid areas o Advocacy work

The ITDG developed from a purely research and dissemination-of-technologies group to an organization that is as well involved in the implementation of programs and projects. Influencing policies and networking is done through:

o Member of the NISCC o Member of the inter ministerial committee on housing o Member of the Kenya bureau of standards o Member National Environment Management Authority (NEMA) o Member BASIN (building advisory service and information network)

4.2.2 Maji na Ufanisi (interviewed) Goal: to improve the access of the urban poor to safe water and environmental sound sanitation. Operating in the Kibera villages, Kiambiu and Kangemi. Working together with organized community groups as well as with individuals. Imparting knowledge on how communities can organize themselves and mobilize resources, and how to plan, implement, maintain and operate systems. They as well have entered the field of Governance, self-reliance and business advices. Involvement in KENSUP: facilitating information dissemination, organizing meetings, networking and assistance in the establishment of CBOs. Based on experience they now focus more on entering in partnerships for programs and projects; put more emphasis on networking (shelter forum) and move from project implementation to advocacy and influencing policies and planning by closer linking in to the NCC and Ministries (member of Kenya Land Alliance). 4.2.3 Kituo Cha Sheria (Legal Advice Centre) (interviewed) Kituo Cha Sheria is a Human Rights NGO, founded in 1973 by advocates who were committed to help the disadvantaged and poor people who could not afford the cost of legal services. They focus on policy advocacy and law reform in the areas of land and labour. They also advocate for the recognition of security of tenure in public land and lobby for the recognition of the right to adequate shelter and housing particularly focusing on urban informal settlements; and in the labour program for better working conditions for the worker. Kituo has offices in Nairobi and Mombasa, but with help of the network of volunteer advocates, covers the whole county.

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Kituo gets support from donors as well as lawyers who volunteer their services, which include provision of advice, legal representation, litigation, and community mobilization and organization. The programs aim at empowering individuals and communities for self-governance and protection of their rights and obligations. The objective of Kituo is to work with the people of Kenya to respect, promote, protect, demand and access human rights in pursuit of a just and equitable society. Core values are: respect for human rights, justice and equity for all, solidarity in the promotion of social transformation and empowerment of the marginalized, volunteerism and obligation to equity, transparency and accountability. For policy advocacy and law reform they participate in:

o Shelter Forum o Loose NGO coalition on urban land and housing rights, coordinated by the

shelter forum o Kenya Land Alliance, national umbrella organization for all working on land

related issues o For the recently approved National Housing policy they facilitated discussions

with civil society organizations. On own initiative they drafted a Model Housing Bill, translating policy into legislation for implementation

o Member of the ‘legal’ thematic group for the preparation of the National Land policy, and facilitating discussions with civil society organizations

o In general work with all communities and NGOs and bring them together where relevant.

4.2.4 Undugu Society of Kenya (interviewed) The Undugu Society of Kenya was founded in 1973. What started as youth recreational centres progressively evolved into what is today one of the leading pioneering street children rehabilitation agencies in Africa. Undugu is also involved in stimulating the socio-economic improvement of low economic communities both in Nairobi and other parts of the country. Programs run by Undugu Society include children and youth programme, education and training programme, urban poverty programs and income generating units. Mission Statement To facilitate the increase of opportunities for street children and marginalised communities in urban informal settlements and rural areas, to sustainable access basic livelihood securities Urban Poverty Programme USK developed an integrated community development model adapted for poor communities. This model focused on non-formal education, informal skills training, integrated urban poverty reduction programme in selected slums of Nairobi and empowerment of selected rural and urban based handicraft producers through fair trade and credit. These activities have in the past been carried out in Lindi Village of Kibera slum, Mathare slum and Kanuku, Kitui and Kinyago villages in Pumwani Division, Nairobi. However, three years ago, USK began a process of disengagement from these villages to enable it move to new ones. This process has been completed and new villages are identified through a participatory urban appraisal. The new villages are: Silanga and Kisumu Ndogo in Kibera and Kiambiu and Buru Buru City Carton in Pumwani. Provision of credit remains one of the important components of the urban poverty programme. USK's credit programme is based on the Grameen Model of Banking. Before it moved into new villages, USK worked with 24 credit groups, which together

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with other integrated community development interventions reached about 700,000 people in the slums of Kibera, Mathare and Kitui Pumwani. Recently USK entered into a new strategic partnership with one of its development partners to consolidate its Nairobi urban poverty reduction programme under the theme " Improvement of Quality of Urban Life". The emphasis under this new partnership is on raising the consciousness and awareness of the targeted communities through lobbying and advocacy. A conscious community, where people are well informed about their rights and are able to effectively make use of the four pillars of society, namely, the government, the private sector, civil society/religious organisations and political structures. The following four major aspects are critical to this new development: 1. Capacity Building Under capacity building, USK will seek to build people's strength to fight poverty and injustices and to enlarge their choices. Important emphasis will be given to skills and knowledge, attitude change, embracing new values, developing new structures and systems and appreciation of the respect for human rights. Providing leadership training and assistance in the development of Village development Committees, and linking the communities to the authorities and NGO’s. 2. Welfare and service delivery Undugu Society of Kenya will continue to undertake certain structural activities and direct service delivery for demonstration and learning purposes, but also to act as entry points for further interventions. Education, training and basic care, safety and placements will constitute an important focus for children and youth. Within the selected urban communities, USK will focus on the improvement of the infrastructure with a view to improving sanitation and environmental conditions. Interventions focusing on the youth at the community level will largely depend on sports and other recreational activities as important entry points. 3. Gender USK already have a Gender Policy that guides its governance and programme operations. Under this new paradigm shift, additional focus will be to strengthen the legitimacy of gender equality as a fundamental value that should be reflected in development choices and community practices. To this end, it will be important to challenge the mainstream whose ideas and practices determine who gets what and provides the rationale for the allocation of community resources and opportunities. 4. Lobbying and Advocacy Lobbying and advocacy are key to the new paradigm shift in ensuring the quality of urban life. USK will not only seek to empower communities positively crave for their rights but also play the advocate role between the community and the four pillars of society. Some of the issues that are pertinent to this call include lobbying and advocating for communal land ownership, water and health, support for HIV/AIDS patients and orphans, security and violence, domestic and spouse violence and favourable trade policies. The necessary tools and materials will be developed to aid this process. For policy advocacy, lobbying and law reform they participate in:

o Member of the national Steering Committee on Child Labour o Founding and board member of Kenya Alliance for advancement of children

rights o Debt Campaign network o Social watch network o Street children coalition of Africa o National advisory board on non-formal education o Member National council of NGOs

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4.2.5 Pamoja Trust Pamoja Trust is a grass-root, non-profit making organization dedicated to supporting and empowering then urban poor in their effort to improve their living standards. Pamoja Trust consists of a team of professionals who work on the ground with Kenya’s slum communities to support and help develop viable solutions to the broad issues of citizenship faced by the poor, particularly land ownership. The trust is a non-governmental organization that offers a variety of community owned outreach and socio-economic empowerment programmes. Pamoja trust is committed to taking a leading role in working with religious organizations, professional bodies and other NGOs, to jointly advocate for and identify viable solutions to the issues facing Kenya’s urban poor to ensure the continued stability and growth of the nation. Community Outreach Pamoja Trust believes that individual citizens must power change. As such, the Trust’s dedicated team of community organizers works closely with slum dwellers to improve their lives. Education is a critical component of Pamoja Trust’s successful community outreach efforts. Through meetings hosted by community leaders, residents gather to learn about and understand their legal and human rights. Additionally, the Trust works with communities to create their own infrastructure for participatory governance so that they can take an active role in democratic change. Through relationship building and education processes, stronger, more closely linked communities are built. United through shared experience, these individual communities form a cohesive federation that creates a powerful collective voice for change. Daily Saving Program As an outgrowth of international peer exchanges, Pamoja works with local slum communities to start community-run daily savings and credit programmes. The program is designed to mobilize the resources of the community while simultaneously reconstructing broken social relations among community members. By forming small saving groups to which all members contribute, people build trust and communicate effectively with one another and the money they save Can be used to meet residents basic needs. Over time, the community can increase its savings to allow for income generating projects and the purchase of land as well as the construction of homes. Building strong ties among local community members is a critical component in the process of building stable communities that work together for the common good. The Urban Land Rights Campaign. In Kenya’s capital city of Nairobi, there are more than 100 slum communities. The residents of these informal settlements represent 55% of the population, yet they bare forced to live on only 1.5% of the land area in the city. In these impoverished areas, the state does not provide any physical or social services including water, sanitation, roads, electricity, healthcare centres and schools. In addition to sub-standard living conditions, these informal settlements, which were settled generations ago, are not recognized as legal residential areas so slum dwellers lack security of tenure and face the daily fear of forced evictions and demolitions by the state and private individuals. In the spirit of Jubilee, religious leaders of all denominations have called for restoration and equitable distribution of land. In addition, the United Nations habitat Program launched the Global Campaign of Secure Land Tenure. Capitalizing on these events and the fact that Kenyans continue to struggle to gain access to land and other important rights through the Constitutional Reform process, Pamoja Trust is committed to assisting the Muungano wa Wanavijiji in this campaign. This campaign calls attention to the plight of slum dwellers that do not have a place to live with dignity in Nairobi, a city that boasts the highest disparities of wealth in the world.

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Advocacy and Lobbying Pamoja Trust seeks to assist the urban poor in their fight to advocate for land law reform, including the recognition of the current informal settlements and legal rights to land. In addition to working directly with the slum dwellers, Pamoja Trust works closely with the leaders of the major religious denominations, the professional associations and civil society leaders, to ensure that the poor are put into consideration when revising and examining property and land rights so that all Kenyans can enjoy the full benefit of land in this country. Peer Exchange Program The Pamoja Trust Exchange program creates opportunities for Kenyan slum dwellers to serve as peer mentors for each other through shared experiences and exchange of ideas. Additionally, international exchanges enable Kenyan slum dwellers to reach beyond their borders and unite with slum dwellers across the world building a collective vision. Peer-to-peer dialogue creates critical personal and community bonds that forge a strong network of communities working together for change. 4.2.6 Obstacles to participatory processes as seen by the NGOs Relations of civil society with government officials and politicians o There is no historical working together culture amongst the different actors, and

there remains a suspicion between the public sector and civil society even now that the new Government is in place. Because of that there is no openness of information sharing in both directions.

o There remains distrust and fear for eviction amongst the inhabitants in informal settlements, based on experience with the past government; while mutual trust is the foundation for open communication and partnerships.

o The relationships with established institutions (government) are often ad-hoc and not yet institutionalized (with the exception of the LASDAP process, the NISCC and the institutions under the KENSUP program); it often depends on individual relations, personal contacts and patronage and by that is not sustainable. The new constitution should incorporate institutionalized systems of participation as part of the government system;

o The constraints to maintain even a short-medium term partnership with the NCC (because of the high level of staff and leadership changes) and the difficulty to get access to new officials;

o Often no coherence is seen between the Government policies and the practice, resulting in disappointment and distrust (like with the LASDAP process);

o Ultimate decision making is done by a small group of local politicians (councillors, chiefs) in the old style (see LASDAP process): they don’t like to be disempowered. Only a new constitution could change this situation and empowerment of the people by improved access to information.

o Ignorance in civil society that Council meetings are open to public. The council structure of working with Committees (where committee meetings are not open for public) and the secrecy-act in civil service are as well seen as obstacles to transparency.

o Finally there are complaints (especially from the community and grass root level, like the members of the SEC in Kibera) that individuals participating in consultative fora and meetings don’t receive any compensation for their travel and the fact that they can’t work during those events. (note: for the working groups in preparation of the new land policy, financial compensations are provided after certain defined outputs/reports have been submitted).

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Inadequacies in knowledge, skills and attitudes o Lack of knowledge and information is seen as a main obstacle: there is a lack of

back ground info, the info often arrives at too short notice and is in difficult English language. The result is that civil society is often poorly prepared because of insufficient information. Tailor-made publication materials for special target groups are required: to make things more understandable. Now participation sometimes looks like window dressing (especially also because of absence in feedback). Awareness raising materials and improved two-way communication are important. The new constitution should address the right to information (as well to encounter the attitude of civil servants to hide behind the Civil service secrecy act).

o Often there is no feeling of being equal partners: public sector still often has the attitude of policy makers with the powers to implement (superiority complex). This requires awareness raising and appreciation of participatory approaches at high levels of Government, the Councillors and the Chiefs

o Not all actors have the right skills for participatory planning and decision making, especially within the public sector, both the technical officers as well as the councillors.

o Government should learn skills on how to act as a facilitator to allow private sector, communities and civil society organizations to get involved (instead of acting alone); moreover the bureaucratic attitude should be turned into a more pro-active attitude.

Amongst civil Society themselves o NGOs (and CBOs) are sometimes divided amongst themselves and the level of

collaboration is low: in certain areas they may even work in relative competition. More may be done on the basis of common interest. On the other hand there is the danger that too many fora to defend common interests, dilute the efforts and impact of the activities, so that after some time they phase out because of decreased motivation.

o Civil Society Organizations represent the community views and needs, however mechanisms of accountability by providing feedback on the outcome are not always in place.

o Within communities often the demands and expectations are too high, caused by unclear information and inadequate communication and feedback.

o Conflict of interest between slum dwellers (and their CBOs) themselves: like amongst the owners and the renters of structures and the generally known differences in interest in any community. Capacity building by leadership training, self-management and organizing the community by e.g. village development committees can contribute to a better understanding of the different interests amongst civil society itself. In addition of course these organizations are the appropriate entrance for interactions with the authorities.

4.3 CBO’s and faith-based organizations CBO’s in most informal settlements evolved informally from interest groups organized by communities such as Merry-go- round savings schemes, women groups engaged in cultural activities such as traditional dancers, social support groups and business communities. Through the interventions of NGO’s, such groups are being transformed to become more organized, and to adopt leadership strategies required making them more active and focused on development issues. NGO”s working with poor communities have also encouraged formation of new ones, and are engaged in building capacities of the CBO’s to respond to poverty issues affecting them. For example, Village development committees have emerged in most informal settlements that are responsible for coordinating development efforts in the settlements.

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4.3.1 Community self organization in Korogocho (Kariobangi) (interview with Village elder Mr. Francis Kinyati) Mr. Francis Kinyati has links with the Federation of slum dwellers, and organized several saving groups. Korogocho is an informal settlement of 150.000 inhabitants, subdivided in 8 villages. This year each village elected 13 representatives in a village development committee (meeting two times a month). Each of the 8 village development committees has 3 representatives in an umbrella committee for the whole area (meeting once a month). They approached World Vision to provide them with assistance to facilitate the start-up of this process. They have been involved in the LASDAP process, which may have stimulated them to become more organized. The committees deal with health facilities (clinics), water, solid waste collection, sewerage and drainage. So far the experience with the Committee is limited: progress has been made but there are still some frictions between different groups (like the structure owners feel more important than the renters). Relations with the City Council improved since the council established an area office, open 5 days a week. Obstacles seen in the participation process:

o Lack of information and adequate communication from the government side: information on which programs and projects are going on and how and in what way the community can participate in it. The level of information is often such that they get confused and by that make it difficult to participate.

o Lack of information and communication amongst themselves: now sometimes small groups are together with an NGO involved in something, but don’t inform the wider community.

4.3.2 Village Development Group: Buru Buru City Carton, Bahati (interview with the treasurer of the group) In 2002 representatives from different community based interest groups were brought together, with the assistance of UNDUGU Society that provided leadership training, and founded the Village Development Group, as an umbrella organization and forum of exchange and representation. They are in progress of registering themselves with the Ministry of Gender, Sports and Culture. Obstacles seen in the participation process (especially in LASDAP): In 2003 the chairman, secretary and treasurer of the group for the first time participated in the NCC consultative meetings called LASDAP (see Chapter 5.1). There has only been one meeting, no feedback was ever provided and like was said by other communities that were already involved during the 2002 consultations, up till now no single project has started implementation. Because of that they are of the view that LASDAP is not doing anything meaningful for the community, and the community has lost trust in the process. They expressed their preference to work together with NGOs in the future. 4.3.3 ‘New railway open market structure owners and business men’, Soweto, Kibera (Chairman and several members interviewed) This group is an umbrella organization in which the following 5 interest groups are represented:

o The railway Kibera Young generation; o Munagari (social self help group); o Tujisaide twendele (selfhelp group); o Rail Usafi selfhelp group (sanitation); o Umoja selfhelp group.

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The business community settled mainly on the railway alignment land. Their major concern is that they feel excluded from the KENSUP Soweto project, since they stay on land from the railway authorities. They were recently threatened to be evicted by the railways authorities, who seemed not aware of the Soweto KENSUP program starting-up its implementation phase. Obstacles seen in the participation process (especially in KENSUP):

o They were not invited (even the Chairman said to be chased out) of KENSUP meetings. They could not elect representatives in the SEC.

o They feel left out of the KENSUP program because they stay on railway land (although the railway is traversing the Soweto area.

4.3.4 Catholic Church and Christ the King Church. Christine Bodewes from the Catholic Church, is strongly involved in the Kibera and Soweto area. She was elected to represent the faith-based organizations in the Settlement Executive Committee of the KENSUP Soweto program. She works closely with the Human rights office of the Christ the King Catholic Church, of which I met with Ignatius Namenje, Marcy Kabenyeka Okunyanyi and Palela Akwede Chaya all residents of Kibera. These faith-based organizations are involved in various social programs, like in education, health, water and sanitation programs. Next to the CBOs, these faith-based organizations seem to have the strongest hold in the Soweto area, because all its members live and have their roots in Soweto, having very regular contacts amongst each other and often work at an individual level with the members of the community. Obstacles seen in the participation process (especially in KENSUP): The faith-based organizations expressed strong reservations to the participatory process so far applied in Soweto: the quality of information disseminated, the absence of real communication, the inadequate process in which the representatives in the SEC were selected, and the too strong influence of the area Councillor. 4.4 Private Sector 4.4.1 Kenya Private Sector Alliance (KEPSA), interview with the CEO In 2003 KEPSA was founded with the support of DFID to create a single voice to the Government. It was found that little was gained from individual advocacy and that clear concerns of the private sector could only be addressed by unification. Thus KEPSA seeks to bring together the private sector representative organizations, associations and federations to enable them to speak with one voice so as to influence public policy formulation. Participating organizations are either sector federations and associations or thematic organizations (cross sector). KEPSA is thus a lobby and advocacy organization. Goals and objectives: In unifying private sector associations into an inclusive mechanism for public policy advocacy, KEPSA aims to achieve:

o Integration of the private sector as an equal partner with government in economic policy formulation;

o Mobilization of an inclusive private sector in articulating issues of common interest,

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o Promotion of public-private partnerships in economic and social development; o Promotion of good institutional governance as the basis for economic and social

development; and o Development of support networks for competence development within the

private sector. Obstacles to economic development As obstacles to economic development and private sector involvement KEPSA mentioned:

o Insecurity of persons and property, especially in Nairobi; o HIV/Aids pandemic o Poor and costly physical infrastructure (roads, tel, power, IT); o Poor service delivery by local authorities (permissions, licensing, water supply,

etc); o Poor governance, including high levels of corruption and poor leadership and

management; o Limited access to credit; o High taxation and interest levels; o Over regulation (local authority by-laws, business laws); o Procurement procedures of Government have to be simplified for small and

medium enterprises; and PSP models developed. The Government expressed desire to enter in permanent partnership with the private sector to overcome above-mentioned problems. KEPSA is now involved in policy formulation in different sectors of the economy. They have monthly roundtable meetings with the Government and will get meetings with the Cabinet sub-committee on economic development. As well KEPSA facilitates linking up specific sector federations with particular ministries. 4.4.2 The Nairobi Central Business District Association (NCBDA). (interview

with the CEO and the Chairman) The NCBDA was founded in 1997 as an association representing central businesses to halt the deterioration of the central business district. After some successful collaboration with the NCC and Kenya Police, the Association expanded their focus to urban regeneration at the city level, addressing issues like urban governance, participatory decision-making, social-economic and environmental aspects and urban infrastructure. Its about 80 members represent the major corporations, industries, hotels, etc all over Nairobi. Efforts to invite the informal private sector in their association failed so far, because of distrust and the poor functioning of the few informal private sector associations in existence. During the years they have entered in partnerships and signed MOUs with the Ministry of Local Government (in a housing program), the NCC and the Kenya Police, and were supported amongst others by the Ford Foundation, USAID and CORDAID. As major challenges the Association sees:

o To sustain the partnerships, facing a high turnover of officials and technical staff in the NCC, and the absence of institutionalized forms of participation;

o Improving legislation to formalize PPP arrangements; o Influencing policy making (the latter two mainly through the KEPSA); o Overcoming the unawareness of policy makers and officials on the advantages

and modalities of public private partnerships; o Changing the hostile attitude of policy makers and officials against the private

sector in general and changing their culture of top-down decision making opposed to inclusive approaches;

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o To generate sufficient resources, from the donor community as well as from the public sector for their programs;

4.4.3 The Informal Private Sector. The informal private sector is poorly organized. At the micro level some businesses may have organized themselves in CBOs to represent their interests at the neighbourhood level, however at the City and National level there seems to be no functional umbella associations/federations in operation. There is a mentioning of a Jua Kali Association and a Kenya National Hawkers Association, however their offices seem empty and based on information from the NCBDA the number of members are very low. This is thus an important sector where still capacities have to be built.

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5. MECHANISMS AND CHANNELS OF CIVIL SOCIETY PARTICIPATION_____ 5.1 The LASDAP process (Makokha, Eric, 2003) The following description, observations and findings are extracted from the study undertaken by Makokha, Eric, 2003. All issues raised in this report were crosschecked during interviews with other key stakeholders and especially the City Council. Where relevant the findings of the interviews held during these interviews are incorporated in the text as well. 5.1.1 Introduction to LASDAP For the last five years, the Government of Kenya has been working on the Local Government Reform Programme (LGRP). Through this programme, the Local Authority Transfer Fund (LATF) and the associated Local Authority Service Delivery Action Plan (LASDAP) were introduced. The LATF transfers 5% of total income tax revenues as grants to local authorities for development purposes. As a condition of LATF payment, local authorities are required to formulate their LASDAP in close consultation with their local communities. This process provides opportunities for promoting greater community involvement in the local planning process and is the cornerstone of the Government’s evolving policy on decentralization. Local Authorities Service Delivery Plan (LASDAP) is an instrument that enhances local authorities accountability to citizens. The approach provides a scope for citizen participation and budgetary support for plan preparation and implementation. The LASDAP endeavours to achieve four objectives:

i) To assist Local Authorities to plan/prioritize their use of Local Authorities Transfer Fund (LATF) and other resources

ii) To encourage Local Authorities to spend resources on service delivery to citizens

iii) To encourage Local Authorities to meet needs of the poor in line with the Poverty Reduction Strategy Paper (PRSP)

iv) To enable Local Authorities to mobilize citizens’ participation in prioritizing Local Authorities resources.

The LASDAP approach is a response to the inadequacies of a centralized planning and development approach that has characterized the development agenda in Kenya since independence. It adopts a participatory approach to identifying development needs of the population with regard to service provision and infrastructure development. 5.1.2 Observation with regard to policies, standards and regulations Makokha notes a few policy positions that might be affecting the effectiveness of LASDAP. Although both the central government and Nairobi City Council have put a moratorium on demolition of informal settlements, this is not yet clear to the residents. The residents of informal settlements still live in fear of evictions. Although it is not quite clear, this lack of conviction and real clarity in policy on informal settlements might have had a negative impact on participation in LASDAP since many residents of informal settlements remained sceptical. They were not sure about the seriousness of both central government and Nairobi City Council. This issue needs to be researched on to provide a clear and definite understanding. The impact of standards and regulations on the LASDAP process is also not clear yet. It might become clearer when implementation of the projects begins. The issue of community contracting, for example, might come into focus: will it be possible for communities to be contracted? The central tendering system seems to have locked them out already. If there is no room for communities to be contracted to construct some of the projects, a major window for community participation will remain closed.

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Communities might also be locked out if rigid standards (e.g. for water and sewerage) are applied. Finally the delay between plan formulation and implementation: at the time of the second LASDAP (March 2003) not a single project, of the ones identified during the first LASDAP (March 2002) had started implementation. This caused distrust amongst the community members. There were however some clear reasons for the delay: 2002 was an election year and the Council was dissolved, and secondly the government rules and tendering procedures were subject to central government tendering procedures which proved too slow, and as well obstruct sub-contracting to the communities. This is where the issue of policy and administrative arrangements and procedures comes in. The slow implementation (failure from the point of view of the communities) of the Nairobi LASDAP is a clearly illustrative case of a participatory approach that has not been helped by administrative arrangements and procedures. In the long run this might have a negative effect on all the participants (communities, City Council officials and NGOs) who had shown commitment to it, as they get frustrated. Many have started expressing sentiments to the effect that LASDAP is a mere talking shop or just a public relations engagement for City Hall. In order to ensure that participants do not lose interest in the LASDAP process, there is urgent need to re-examine the pertinent administrative procedures and requirements with a view to simplifying them. As well that sub-contracting to the communities can take place. 5.1.3 Observations with regard to Institutional Capacity Makokha questions how well the LASDAP process is equipped to deal with the fundamental issues of community organization, action planning, participatory budgeting, facilitation, negotiation conflict resolution and gender sensitive approaches to planning and development? There is no doubt that most of the officers from Nairobi City Council are highly qualified. But is their kind of training sufficient to tackle the challenges presented here? It would appear that there is need for capacity building among city council staff with special reference to participatory approaches. Apart from Social Services department, the other staff might or might not have any training in community organization. Staff at City planning department (the main organizers of LASDAP) are trained planners (urban planning, physical planning). Other departments have professionals (engineers, architects and accountants) with skills in their specific fields but not necessarily in community organization. Even for staff working in the Social Services department, some skills are not automatic. For example gender analysis and related approaches are not known by all social scientists. It doesn’t seem that the LASDAP process has deliberately addressed gender concerns (such as the roles and workload of women and the impact of this on their availability to participate in the LASDAP, or, conversely, the possible negative impact LASDAP projects might have on increasing the already heavy burden that women bear in the productive and reproductive spheres). Equally, not all community workers are conversant with techniques of action planning and participatory budgeting, which LASDAP is all about. 5.1.4 Observations with regard to the Project Objectives LASDAP has four main objectives, namely, I) to assist Local Authorities to plan/prioritize their use of Local Authorities Transfer Fund (LATF) and other resources; ii) to encourage Local Authorities to spend resources on service delivery to citizens; iii) to encourage Local Authorities to meet needs of the poor in line with the Poverty Reduction Strategy Paper (PRSP); and, iv) to enable Local Authorities to mobilize citizens’ participation in prioritizing Local Authorities resources.

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Makokha notes that since LASDAP was operationalized in Nairobi in the year 2002, its experience is limited to this period of time, two years. Perhaps this is too short a time to really gauge its success and impact. It is not possible at this stage to say with any degree of appreciable certainty how effective it has been, for example, in meeting objective number 3, i.e. satisfying the needs of the poor. But it is possible to say whether the way it has been organized and the projects it has come up with might make it possible to realize this objective in future or not. But even at this early stage, it is possible to assess the degree with which the other objectives have been met or are being met. One can say with certainty that two objectives, assisting Local Authorities to plan/prioritize their use of Local Authorities Transfer Fund (LATF) and other resources, and encouraging Local Authorities to spend resources on service delivery to citizens have been met in the first two years of LASDAP. Reports from the Ministry of Local Authorities indicated that all local authorities in Kenya, including Nairobi, prepared LASDAPs and received the LATF funding during the years 2002 and 2003. Nairobi managed to present a detailed report of the projects identified through community consultations and approved by the Council at a full meeting. Makokha presents the following factors for this success. One, all local authorities in Kenya have had liquidity problems. Most of them are cash strapped and will jump at any opportunity to get an extra buck. LATF and LASDAP provide relatively easy funds for them. Secondly, LATF/LASDAP have full government authority that makes it difficult if not impossible for local authorities not to implement. Since local authorities in Kenya are semi-autonomous, with the Minister in charge having major powers over them, they hardly had any option but to comply with the ministerial directive (LASDAP actually came out as a circular from the Ministry). Thirdly, the plans for the two years show that Nairobi City Council is, through LASDAP, actually addressing the issue of service delivery to its citizens. The projects on the final lists comprised of things such as footbridges, rehabilitation of roads, renovation of classrooms, provision of textbooks to schools, laying of water pipes, provision of electricity and renovation of markets, sewer lines and social halls. The inclusion of these projects on the priority lists, is an indication that Nairobi City Council has indeed been encouraged by LASDAP to spend resources on service delivery to its citizens. The question whether these projects are operational has already been addressed in chapter 5.1.2 It is also easy to see that the Nairobi LASDAP addresses the objective of encouraging Local Authorities to meet needs of the poor in line with the Poverty Reduction Strategy Paper (PRSP). Since the projects have been identified with the participation of community members, one can argue that they reflect the needs of the poor. This is insofar as many of the participants during the LASDAP sessions came from informal settlements. What might be disputed is whether they are really the poor. The selection of the participants was not done through a rigorous vetting mechanism that could pick out the poor. One is therefore just making the assumption that since they are residents of informal settlements, they are poor or at least they represent the poor. The point however, is that Nairobi City Council (and other local authorities) have indeed been encouraged through LASDAP to start identifying needs of the poor in a participatory manner. 5.1.5 Observations with regard to Information, effectiveness and process ownership The final LASDAP objective is to enable Local Authorities to mobilize citizens’ participation in prioritizing Local Authorities resources. This objective is also linked with the information and ownership criteria of citizen or community ownership of the process.

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Experience from the first two LASDAP consultations seems to show that LASDAP’s objective of mobilizing community participation has been realized to a reasonable extent. What might be doubtful is the degree of effectiveness in mobilizing citizens’ participation: consultation sessions have been organized in each of the eight constituencies in each of the last two years. Invitations to the meetings have always been open. This was done through several ways: posters, announcements in church, mosques and chiefs’ barazas (meetings). The effectiveness and adequacy of these information channels might however be challenged: how many people read those notices or attended chiefs’ barazas? Often the notice boards in religious institutions and social halls are so crowded that unless one is looking for a particular poster, it is difficult to see it (although the LASDAP posters were fairly well designed and big). Still, many people said later that they were not aware of the meetings. The period between putting up of the posters around the city and the actual meetings has also been very short, about two or three days. The communities were not able to get together in their estates or neighbourhoods to debate or brainstorm on their local needs and priorities in advance. Thus they went to the LASDAP consultation meetings without any preparation. Residents from some wards complained that their Councillors compiled project lists without consulting them or consulted just a few of their close supporters, which they then read out as having been identified by “their people.” They then handpicked a group of supporters for the meetings who dutifully endorsed the proposals as read by the Councillor. Thus, both the criteria of effective participation and the issue of information in the LASDAP process are in sharp focus here. If mobilization was not well done (as it appears to be), and since information dissemination was inadequate, then it is difficult for the citizens to identify with the project. This militates against project ownership by the citizens. The hurried manner in which the meetings were organized hardly gave the citizens time to prepare for effective participation. They arrived in the different community halls and, true, were given information about LASDAP and about the financial resources available. The resource envelop, (a financial table showing how much money City Hall expected to raise the following year, how much of this was from its own sources, how much from LATF; and how much it planned to spent on different items such as Councillors’ allowances, salaries, operation and maintenance and on service delivery), was available for all to see. This indeed has made local authorities in Kenya more transparent than ever before. Based on experience with the LASDAP, the NISCC expressed as a criticism that the LASDAP reflects a real bottom-up participatory planning process, however still a one-way process: feedback after the consultations and/or involvement in prioritization and decision making of projects didn’t take place (no transparency!).. The necessity of open and two-way information and communication was stressed. Moreover several newly elected Councillors, during the second year, didn’t commit to the long list of the community (and previous Councillor) and started changing some of the projects. Now a new regulation has been put in place that if Councillor change projects it can only be another project from the long list made during the consultations, and should have, after a new consultation of the Community 95% consensus. Another problem is that many of the participants are not accustomed to budgetary forms. It is difficult even for highly educated people to read financial statements of this nature and immediately relate them to their own situation. Presenting them to illiterate or semi-literate people and expecting them to make useful contributions within thirty minutes or so is expecting too much. This very useful information needs to be discussed in advance within longer periods in small groups in neighbourhoods before the real LASDAP meetings. The two-way information gap within the LASDAP process

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needs to be addressed if participation is to be more effective and if citizen ownership of the process is to be enhanced, and transparency and accountability promoted. 5.1.6 Conclusions and findings As a mechanism for improving service delivery to Kenyan citizens, LASDAP has immense potential. It is a worth initiative that needs to be supported by all stakeholders including the government, local authorities, communities, NGOs and donors. LASDAP also has the potential of contributing to good governance and good urban management. The central principles of transparency and accountability, which are cornerstones of good governance, can be promoted through LASDAP. Kenyan citizens who for long have not been directly participating in decision-making have now been given a window of opportunity. During its first two years of operation in Nairobi, the LASDAP process has done fairly well but some weak areas have been observed. If the process is to continue being a vehicle for good governance and good urban management, these weaknesses must be addressed. Among the major shortcomings are inadequate preparation, weak information dissemination and ineffective community engagement. LASDAP has not invested in providing the necessary knowledge, skills and attitudes (such as facilitation, community organization, negotiation, conflict resolution and gender analysis) among its operational personnel, i.e. Council officials. Current government procedures and requirements (e.g. government tendering) are also not in the best interests of LASDAP, which has been designed as a partnership programme. From this assessment of the LASDAP process, some findings can be reported: 1. Housing policy – the government should finalize the housing policy with a

categorical position on informal settlements. Residents of informal settlements should be given all the assurance that their settlements are legally recognized and that they should not have any fears of demolition. The “accidental” fires and other dubious and “innovative” eviction mechanisms must be completely stopped by the government.

2. Government/Local Authority procedures – government procedures that are relevant to LASDAP must be reviewed with a view of changing those that hinder rather then promote partnership, especially with citizens. Very specifically, tendering procedures and requirements that give a central role to the Central Tendering Board, must be reviewed. Mechanisms that allow community contracting should be put in place.

3. Capacity building – City Council staff, NGO and CBO officials and leaders should be trained in relevant fields including community organization, action planning, participatory budgeting, negotiation, conflict resolution and gender sensitive approaches and analysis.

4. Information and preparation – preparation for LASDAP consultation meetings should be given more time. A series of meetings should be held at neighbourhood level at least a month before the final Constituency meeting. In addition to the posters, other channels of communication should be identified and used. More resources should be available for information dissemination (both pre- and post).

5. Monitoring and Feedback – committees comprising community representatives, City Council officials, Councillors, CBO and NGO representatives should be formed to monitor project implementation and provide regular feedback to all stakeholders on implementation status.

6. Funding – Local Authorities should identify local sources from which LASDAP activities could be supported in future. Partnership with local communities and local private sector should be encouraged.

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5.1.7 Concluding remarks In its set-up the LASDAP is a good step forward in popular participation, however it can be concluded that a number of pre-requisites for optimal functioning were not in place at the launching of the process. Particular reference is made to the weak communication process in place, and the slow (or not at all) implementation of the identified projects, caused by administrative arrangements (funding disbursement procedures of central government). This is the more sad, considering the co-funding budget which was made available for pro-poor projects under the DFID PROLOGS program, and of which hardly any use has been made. Given the weakness as listed above, all of which basically could have been addressed for improvement, the actual situation now is disappointment, disillusionment and distrust with the communities, unwillingness of the councillors to proceed because they say they will loose their credibility, and frustrations in the NCC. Some people even fear all these may seriously obstruct or even block the next consultation rounds. It is interesting to note that an interesting study with recommendations has recently been completed on “A communication strategy for sustainable urban livelihoods in Nairobi” (DPU, 2003), especially addressing a communication strategy for the LASDAP. Hopefully this document doesn’t arrive too late for the LASDAP (although recommendations are of similar relevance to the KENSUP program, as described in the following chapter 5.2).

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5.2 The KENSUP program See box for an outline of the program

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The Kenyan Slum Upgrading Program (KENSUP, 2003), originates from the 1999 ‘Collaborative Nairobi Slum Upgrading initiative’, an initiative from the Nairobi City Council, which got at that time support from the City Alliance (through UN HABITAT) and approval from the Kenya Government. Under this initiative a study has been conducted “Nairobi Situation Analysis” (Collaborative Nairobi slum upgrading initiative, 2001) that provided the foundation and basis for the formulation of the KENSUP program. The KENSUP is a national slum-upgrading program. A separate agreement was signed in 2003 to make a start with the slum upgrading in the area Soweto (60.000 inhabitants), one of the eleven villages of the slum area Kibera (300.000 inhabitants). Meetings with officials have indicated a full and strong commitment of Un-Habitat and the Kenya Government for this KENSUP program. 5.2.1 The objectives of the Kibera-Soweto Pilot project Main Objective To improve the livelihoods of people living and working in Kibera-Soweto village by promoting and facilitating, the provision of security of tenure, housing improvement, income generation and physical and social infrastructure, including addressing the problems and impacts of HIV/AIDS. All these will be done through engaging full and active participation of the inhabitants and other stakeholders. Specific Objectives

o To build and strengthen Institutional Capacity for programme and project formulation and implementation, monitoring, evaluation and research at national and city levels.

o To consolidate, rationalize and institutionalize a broad range of shelter related policies including the creation of institutions and mechanisms for sustainable financing and development of shelter and shelter related infrastructure.

o To establish the social and physical conditions (including the prevalence and impacts of HIV/AIDS) prevailing in the slums and informal settlements in urban areas.

o To design appropriate settlement improvements and services delivery for implementation including cost estimates and resource mobilization strategy.

o To implement the agreed settlement improvements. The Kibera-Soweto project has its objectives and components directly derived from those of the Kenya Slum Upgrading Programme. The outputs of the project will therefore contribute to the realization of the goals of the Programme as well as the development of certain components of the Programme. It is expected that the processes of institutional development, development of poverty reduction strategies, application of appropriate building standards and technologies, socio-economic and physical mapping and capacity building will directly contribute to the consolidation and further development of the national program. 5.2.2 The institutional arrangements The specific and clear institutional arrangements requisite for the development, implementation, monitoring and evaluation of the project in Soweto settlement will be developed following the framework outlined in the Programme Document and the Memorandum of Understanding between the Government and the UN-HABITAT. The institutional arrangements include the various inputs of the public sector, the private sector, the donor agencies and community/CBOs and NGOs, The Government, through the Department of Housing in the Ministry of Roads, Public Works and Housing will play the co-ordination role for the project.

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1. Public Sector. The various Public Sector Departments will provide the necessary framework that is conducive to slum upgrading and effective participation of the stakeholders – programme coordination, leadership, policy guidance, facilitation and counter-part funding.

2. Nairobi City Council. NCC will be the main implementing agency and a Project Implementation Unit (PIU) will be established at its Housing Development Department to coordinate city level activities. These will include generation and provision of information, and facilitation in provision of required infrastructure and services.

3. Non-Governmental Organizations & Community Based Organizations: They will be engaged to assist in community mobilization and organization, provide technical assistance in issues of micro financing and assistance in service delivery for the poor.

4. Donors and International Development Agencies: Rendering technical advice and facilitating the sharing of global best practices and support in the provision and/or the leveraging of bilateral, multi-lateral and private sector finance.

5. Private Sector including professional bodies in the fields of housing, planning, urban management, finance and development: They will be engaged to provide resources and expertise in the design and production of appropriate services and housing.

The following is the institutional structure, which will be directly involved in the implementation of the project: o The Inter Agency Steering Committee (IASC): is providing guidance, facilitation and

support to the Programme process, advising the Minister in charge of Housing and Human Settlements, and the Executive Director of UN-HABITAT on Programme matters, and to facilitate access to the Office of the President. Members are the Permanent Secretaries of all relevant Ministries, the Attorney General, the Director of Housing and the NCC.

o The Inter-Agency Coordinating Committee (IACC): This committee brings together all the concerned government (Ministries, NCC, Provincial Commissioner) and donor agencies to review the approach adopted for the implementation of the programme and to ensure that it conforms to Government Procedures and mandates of the involved sectors. It will also establish innovative ways of facilitating the implementation of Slum Upgrading Projects. The IACC will provide the overall policy and programme direction to the Kenya Slum Upgrading Programme and will, as deemed necessary establish sub-committees to take care of and ensure delivery of specific aspects of the project. Members of the JPPT are also in this Committee.

o A Programme Secretariat is established within the Housing Department of the Ministry of Lands and Housing to execute the co-ordination of project planning, implementation, monitoring and evaluation. It will be the link mechanism between UN-HABITAT, the donor Community and the Government of Kenya. A technical team referred to as the Joint Project Planning Team (JPPT) which includes UN-HABITAT and representatives of Nairobi City Council, the National Housing Corporation, Urban Department of the Ministry of Local Government and Shelter Forum, work with the Secretariat in defining the scope of the programme and projects, preparation of schedules, proposals, budget and other technical aspects of the programme. As well they may constitute ad-hoc sub-committees like the ‘community mobilization sub-committee’ to discuss and develop specific issues.

o The Project Implementation Unit (PIU) is established within the Housing Development Department of Nairobi City Council to coordinate all the Council’s inputs and ensure that ensuing results comply with the broad principles of the Council. Note: In the PIU the following Sections of the Housing development department are represented: administrative section; Community development section and the

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technical section. In addition each of the following departments are seconding two of their staff to the PIU:

o Department of Social Services and Housing o Town Clerks office o Department of City Planning o City Engineering department o Water and Sewerage Company

o The Settlement Project Implementation Unit (SPIU) will be composed of community representatives selected by the community to constitute the Settlement Executive Committee (SEC) and appointed technical support. SPIU will identify all necessary settlement stakeholders and grassroots organizations, project intervention needs, communal areas and facilities, mobilize grassroots participation, discuss tenure ship arrangements and outline procedures for community involvement in carrying out the slum upgrading project. SPIUs will work in liaison co-ordination with PIU and Programme Secretariat.

o The Multi-Stakeholder Support Group (MSSG): This is an amalgamation of representatives of key consultative stakeholders (Community representative, Government, NGOs, donors, development agencies, and private organizations like amongst others: the World Bank, SIDA, DFID and the bilateral cooperation like from Belgium and Japan) that provides a powerful mechanism for participatory decision making and information sharing.

Note: These different institutional arrangements look a little like an over-kill. In a recent KENSUP review meeting (after the mission) between the Ministry of Lands and Housing and UN-Habitat it was suggested to merge the IACC and JPPT into a single structure with the clear role of policy formulation and guidance/advice for the Secretariat and the programme. The Secretariat to take full control of the programme implementation and UN-Habitat to take a purely supportive role with no involvement in the implementation of the program. Community representatives should participate at all levels including policy formulation. 5.2.3 Overall program status The program has recently entered the Implementation phase, with the announcement of the ‘decanting site’ for the temporary resettlement of Soweto inhabitants during the physical up grading of Soweto. Recognizing the crucial importance of communication with the community, SIDA is supporting the development of a capacity building and information and communication strategy. The KENSUP pilot program is considered as a test case and has a process approach: the interventions are not pre-defined but will be worked out through the participatory mechanisms. The whole process is closely monitored and documented so that the lessons can be learned for the replication stage. 5.2.4 Status/experience with institutional arrangements for participation With the recent election of members of the Settlement Executive Committee (SEC), all committees as mentioned under 5.2.2 are now in place. There are different views on whether the announcement and invitations for the elections and the elections of the members themselves were properly conducted: there were criticisms on insufficient publication, limited invitations, and insufficient time for the different interest groups to decide on a representative. Whatever the case: the SEC is going to play an important role in the participatory process of decision making, and given the limited number of members in the SEC and their constituency of 60.000 people, the members have a big task to represent their interest groups. (they will receive training for that). Thus for the SEC a stratified representation has been chosen. The members of the SEC are:

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o 2 representatives of CBOs, o 2 representatives of faith based organizations, o 1 NGO (Maji na Ufanisi), o 2 representatives of the structure owners, o 5 representatives of the tenants, o 3 representatives of the marginalized groups (disabled, widows and orphans), o Ex-official

o Councillor o Chief o DO

No differentiation was made between absentee structure owners and those owners letting out some rooms but living as well themselves in the structures. (Note that the formal and informal private sectors are not represented as well!). CBOs and NGOs required physical presence in the area (while numerous operate in the area without a physical structure in Soweto). The founding meeting of the SEC was in July 2004. So far they meet on a monthly basis and report to the KENSUP secretariat. It is striking that so far no relationship has been established with the NCC-PIU, with whom they are supposed to form together the Settlement Project Implementation Unit for the Soweto project. 5.2.5 KENSUP problems as perceived by different stakeholders 5.2.5.1 Problem as perceived by Civil Society organizations. (Interviewed) The following NGOs were present during a meeting: Maji na Ufanisi, the Legal Advice centre, Pamoja Trust, the Federation of Slum dwellers, Shelter Forum and Intermediate Technology development Group.

o The selection of Kibera, Soweto was questioned (more driven by political influence (MP Soweto) than application of the selection criteria,

o There is still tension and fear for displacement. People still don’t trust the Government based on experience with the past government and the influence of the Chiefs (they are considered to be the real government at the ground)

o It seems there are frictions and difference of common understanding between UN Habitat and Government: difference in ideology, conceptualization, and approach over what is to happen on the ground

o Mandate of UN Habitat questioned: sometimes they directly come tp the ground involving in control and day to day affairs, which they can’t understand because of all political interferences, conflicts and different interests. They should only link in at the higher levels. Clarifying what the Government and NGOs should do or are failing to do.

o More clearly defined roles are required for all actors involved in the program, especially also the TOR’s for the different institutions created. (like for the JPPT, PIU and SEC). Like the PIU should have more representation from the NCC (the NCC seems now somehow marginalized, its profile has to be raised). And like for the MSSG, they have to start working much more focussed with tasks and assignments, like is done with the working groups in preparation of drafting a new Land Policy.

o Government agencies still don’t seem to know how to involve the community (lack of skills)

o DO and chiefs require sensitization and awareness to participatory processes and good governance.

o So far communities receive info one way, but they need time for digestion and should be allowed to provide feedback on their needs. As well feedback is required after consultations. There is no special toolkit that can be used by NGO’s/CBOs to inform civil society

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o In general there is a serious capacity gap with some of the partners in communication skills and quality of mass media material.

o The central government tendering and contracting system (to be applied) is 20 years behind: Habitat should bring in contemporary systems applied based on international experience

o Some NGOs even fear that communities see them as extensions of the government, representing the government, while basically the NGOs are for the communities.

o Community was not adequately represented in the development of the model housing (multi storey) as decided for the temporary relocation area (see box). Since May/June this year there was an info cut-off from formal channels, and news arrived only by newspapers and TV. In general more information only arrives through new papers but should also be disseminated by more official documents and channels.

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o These kind of articles put the focus too much on the construction of new housing, while the nature of slum upgrading and the KENSUP program is much broader: e.g. urban poverty reduction, security of tenure in a sense of freedom from threat of violent/forced eviction, improved access to basic services including affordable shelter and better live hoods.

5.2.5.2 Problems/challenges as perceived by the authorities and UN-Habitat (interviewed) So far UN-Habitat is fully convinced of the successful inauguration of the different consultation mechanisms, amongst others the SEC to guarantee inclusiveness as well of the Soweto community. Critical questions were not welcomed so much and placed in the context of ignorance of those who comment on some aspects of the program. UN-Habitat is now in the process of assisting NCC in the formulation of a Cities Alliance proposal for the implementation stage of the KENSUP program. SIDA is considering participation in KENSUP by supporting a Capacity Building component (for the participatory process) and a communication component. (in addition to their general support to the land sector: land policy formulation process and information systems). Secretariat KENSUP (interviewed) It’s remarkable that the Dir. Of Housing, Ministry of Land and Housing, instead of talking about problems, formulated them as challenges: she seems a real believer in the current applied process approach, where actions and interventions are not predefined, and where mistakes should provide an insight in how to do things better when replicating in other areas in the future. The process itself is closely monitored and documented. As major challenges she expressed:

o That sufficient capacity can be build in the City Council so that the PIU doesn’t remain dependent on external experts;

o That the authorities can understand their changed role from service supplier to facilitator and coordinator;

o That the community gets sufficiently empowered; o To be able to manage the expectations of the community and the involvement

of the politicians: she recognizes that they have to be involved but as well can become destructive;

o There are a lot of community based organizations often in competition with each other: whether all different interests can result in a common view;

o That NGOs can handle their changed role as well: under old government lot of money was channelled through the NGOs, deciding themselves on interventions with multiple, uncoordinated inputs and projects: now they become one of the players in a bigger forum of participation.

Nairobi City Council, PIU (interviewed) The Director of the Housing Development Department expressed the following concerns:

o While the senior officials in the Ministry believe in the inclusiveness of all stakeholders in the KENSUP approach and like to stick mainly to their program policy role, the more junior officials in the Central Ministries have difficulties with their role, preferring to do things in the ‘old way’ and involving themselves too much in affairs that should be in the hands of the NCC.

o UN-Habitat has been on the ground as well too much, but NCC thinks this can be solved and handled for the future.

o With regard to the tasks of the PIU, it is felt that staff strengthening is required in the areas of;

o Participatory planning skills, o Do’s and don’ts in slum-upgrading

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o Skills in community contracting, forms of PSP/PPP; negotiation and contracting skills.

o New appropriate technologies and building materials. 5.2.5.3 Problems as perceived by the faith-based organizations. (Interviewed) Soweto is a heterogeneous, polarized community, without community development Committees. Levels of awareness on human rights, etc are very low. For the process of representation from amongst the different interest groups very short notice was given and elections were held under pressure. Several people claim that this allowed the Councillor to push his own candidates. Even stronger, that the Councillor hijacked the SEC, overpowering the local authority (NCC) and UN-Habitat: nothing will happen which is against his interests. It should be noted that this strong view is not shared by others: like the Secretariat KENSUP openly admitted that things may go wrong, or may have been done in a wrong way, but that the whole process is carefully documented providing lessons for the future replication. Moreover real participation just now has to start through this recently established SEC 5.2.5.4 Mr. Millon Kothari, special rapporteur on adequate housing for the UN

Commission on Human rights Mr. Kothari (Kothari, 2004) notes with regard to the KENSUP program that there is an urgent need of a comprehensive city-wide strategy and action plan, based on consultation and participation, to identify geographical housing alternatives which will enable those relocated to sustain their livelihoods. 5.2.5.5 Mr. Japheth Mbuvi, water and sanitation program (WSP), WorldBank. The WB had long involvement (since ’89) in the Nairobi water supply project and under the extension from ’97-’98 in the water supply scheme in Kibera. 80% of the piping network was supplied however the scheme never got completed because of procurement and contractor problems, which the NCC could not resolve. Based on the experience in Kibera (social mapping, community involvement, rapid assessment on sanitation, consulting team working together with NCC) WB started in 1999 with the formulation of the Kibera Urban Environmental Sanitation Program (KUESP). The set-up of KUESP: WB for the tertiary infrastructure, DFID for the social component and AFD for the trunk infrastructure. However because of the failure of the NCC to resolve the problems under the (previous) water supply scheme in Kibera, the WB moved out of the KUESP and the project never materialized. At the same time KENSUP was in process of formulation and the WB was a member of the Multi Stakeholder Support Group (MSSG), however the WB was not pleased with the conceptualization of the KENSUP project/approach: they wished a more comprehensive approach to urban poverty alleviation and issues exceeding the Kibera area (like transportation and working places). Moreover they didn’t believe in temporary resettlement in the decanting-sites (return to location after upgrading): this approach is not in line with the WB resettlement policies, and the WB considers permanent relocation a necessity given the high densities at the moment. Thus the WB didn’t become a direct funding partner in the KENSUP program (but were co-sponsor as member of the Cities Alliance), and has no representation in KENSUP: the last MSSG meeting was held in 2002! (the comment was made that WB feels UN-Habitat was and is pushing too much the program, and that the Kenya Government makes no clear stand on the land/tenure issue and the Nubian claims on the land). There is another difference in approach as well: the WB still seems to have a project (blue print approach) and doesn’t feel comfortable with the process approach as applied in the KENSUP program. The WB is now in process of formulating a Nairobi Urban Project (in the context of urban poverty alleviation and city-wide approach). Local economic development will be an important component of this project. The actual start of the project is not expected

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within the coming two years. Components of this program may complement the KENSUP program in the future. 5.2.6 Concluding remarks Without any doubt the UN-Habitat has a strong belief in the KENSUP set-up and approach. As well the Kenya Government shows a very high commitment to the program. On paper things seem to be well thought out, and the recent approval of the national housing policy by parliament works in favour of the program. Nevertheless there are already in this early stage, several criticisms on the participatory process from the community, faith-based organizations, CBOs and NGOs. The criticisms on inadequate info-com are shared by the public sector as well and initiatives are taken to develop a strategy and build capacity for improved info-com. It is striking that the SEC so far has had no direct interactions with the NCC (together they are supposed to form the Settlement Project Implementation Unit for Soweto). Now the SEC directly reports to the Secretariat of the KENSUP program, who indeed is supposed to control the implementation of the KENSUP program, however the NCC is responsible for actual implementation on the ground. Next to the fact that funding is not yet secured for the implementation stage, this may as well be an indication for the weak capacity of the NCC in the area of participatory planning. It is also remarkable, based on experiences in the past in slum upgrading projects, that not more efforts have been made to first organize and empower the community at large through leadership and communication training, and only after that have started the process of stratified representation in the Settlements Executive Committee for the KENSUP program. Instead a Settlement Executive Committee has been established, of which the level of representation of the community could be questioned for an estimated total population in Soweto of 60.000 people. Compared to the set-up of community development (umbrella) groups as established in some of the other informal settlements in Nairobi, the number of representatives is marginal. This places a lot of responsibility on the shoulders of the existing members of the SEC: their constituency is vast and to maintain close contact and have consultations will not be easy for them. 5.3 Nairobi Informal Settlement Coordination Committee (interviewed) Stakeholders concerned with informal settlements and poverty in Nairobi, who felt the need for an overall co-coordinating framework to maximize the impact of their individual efforts, established the NISCC in March 1996. The Provincial Commissioner chairs it and the Secretariat is vested in the Director of City planning of the NCC, as they were both considered major players with regard to informal settlements. Other members come from the private sector and civil society organizations. The NISCC although embedded in the state, has been extensively influenced by those civil society originations. (Wamwea, 2003) In 1997, the NISCC formulated a “Development Strategy for Nairobi’s Informal Settlements” and an “Action Plan for Implementation”. These were intended to provide a framework for the co-ordination of individual upgrading initiatives to ensure that they resulted in the overall improvement in the quality of life of poor people living in informal settlements and poverty reduction. Implementation of the action plans didn’t take place because of lack of funds, however it can be mentioned that the objectives and approaches as outlined in the Development Strategy had a clear impact on the strategy formulation of the KENSUP program. One major role that the NISCC played during the LASDAP process was to facilitate poor communities to participate in articulating their needs and priorities through the LASDAP process. This process is meant to encourage community involvement and for

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identifying and supporting active and representative grass roots organizations. The major advantage of the LASDAP process is that it is designed to produce tangible results in response to the needs expressed by the communities themselves. The NISCC has already demonstrated that it can play a role in ensuring that the poor are adequately represented. Based on experience with the LASDAP, the NISCC expressed as a criticism so far that the LASDAP reflects a real bottom-up participatory planning process, however still a one-way process: feedback and/or involvement in prioritization and decision making of projects didn’t take place. The necessity of open and two-way communication was stressed. Definitely the strength of the NISCC was that its members had a true stake for the future of informal settlements, and at that time were not linked-up to a particular project. For the last years the NISCC is not very active, and it can be questioned whether the involvement of all its members in different working groups for policy preparation, and in the different institutional arrangements for the KENSUP program, have diverted their attention to the more operational fields. As another reason for the silence of the NISCC was mentioned that there have been several shifts during the last years in the position of the Director of City Planning, and by that less commitment from the secretariat to the NISCC. Others mentioned that in the early stages the Provincial Commissioner’s Office and the NCC were represented by senior officials, and then later only juniors were delegated: making the meetings less decisive. 5.4 Muungano wa Wanavijiji Maskini (Federation of Slum-dwellers) (interviewed) This is an Umbrella organization, which aims to unite informal settlements dwellers in order to address the various problems facing the settlements. Residents, who had either been evicted or were threatened with evection, came together and formed this federation in 1996. The Federation’s mission and visions include:

o To advocate and defend the rights of the urban poor. For legal support they can call on the Kituo Sheria (Legal advice Centre, a voluntary organisation of lawyers providing services at low fees)

o To bring to an end forced evictions and illegal allocation of land o To ensure that preference is given to the genuine urban poor for permanent

settlement instead of rich speculators. If evictions must be carried out for the purpose of providing infrastructure necessary for the society’s well being, then sufficient time and notice must be given to enable the affected community to resettle peacefully and with dignity in alternate permanent sites.

The federation has carried out awareness-raising campaigns on various aspects of land in all of its 86 member communities in Nairobi and Athi river. They have also mobilized themselves for protest demonstrations and night vigils when threatened. Protest letters and memorandums have been written to relevant Government officers including those in the office of the president. As well exchange visits amongst different areas are facilitated to learn from each other. Muungano as well stimulates communities to start savings groups. At the moment there are already over 200 saving groups founded in different areas. The purpose of the saving groups is to allow individuals to draw from the savings in cases of eviction, house improvement, investment for small businesses and in cases of disasters and fire. At the moment Muungano is as well entering the field of waste recycling and composting. As positive developments Muungano mentions:

o They recognize some indications that the Government is slightly changing its attitude and becoming more responsive to the problems of the slum dwellers,

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o Muungano is recognized by the Government as an important partner, called in different meetings (and present during the Barcelona World Urban Forum),

o They are member in one of the thematic groups for preparation of the new National Land policy,

o They are represented in one of the institutional bodies set-up for the KENSUP program

5.5 Shelter Forum Established in 1990 as a coalition of institutions and individuals, Shelter Forum brings together key players who through collective action facilitate access to affordable decent shelter for vulnerable groups. SF is well recognized with a membership of about 600 professionals, development workers, self-help and community groups. The forum is under the guidance of a board of Directors. The forum works through four programs:

o Research involves collation and critical analysis of data in search of appropriate shelter solutions that support positive policies for the benefit of marginalized groups.

o Advocacy facilitates informed dialogue among key policy-decision makers in an environment of conducive for low-income shelter development.

o Extension involves provision of specialized support to those who are comparatively disadvantaged through low capacity, inexperience or lack of resources.

o Networking promotes inter-connectivity and free flow of information, information sharing and exchange of experience and technologies.

Campaigns are organized like: Marathon for Shelter, One million and one signature campaign, Basic needs are basic rights campaign, Urban land rights campaign. SF as well forms strategic alliances with other NGOs and institutions to develop and monitor new approaches to shelter delivery. Influencing policy and networking is done through:

o Involvement in the formulation process for a new Housing Policy from end of 1990s

o Member Nairobi Informal Settlements Co-ordination Committee (NISCC) o Member By-laws review commission o Member Inter-agency commission on Human Settlements o Member of the thematic working group ‘urban land, environment and

infrastructure’ for the formulation of a new national Lands Policy. o Coordinator of the Loose NGO coalition on urban land and housing rights o Member of the Steering Committee in preparing the World Urban Forum

sessions o Basic rights campaign o Member of the KENSUP Joint Project Planning Team (JPPT): Shelter Forum

considers to be represented on a rotating basis by several members of Shelter Forum, instead of the Chief Executive Officer of the Shelter Forum only, in order to avoid to become too much embedded in the KENSUP (there is a danger some people/organizations start to consider Shelter Forum as a part and parcel of the Government system).

Shelter Forum sees the following as obstacles to participation:

o Main constraint remains the suspicion between the public sector and the civil society vice versa. The civil society considers the public sector too bureaucratic, not willing to share openly information and not really committed to their

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interests. The public sector on the other hand has little trust in the capacities and intentions of the civil society. Because of that there is no openness of information sharing in both directions.

o But there is as well no openness of information sharing amongst civil society groups as well: often different CBOs and interest groups working in an area are in relative competition; often NGOs work in relative competition.

o Existing legislation is not yet fully in place, like the tenure legislation for vulnerable groups, participation modalities as a formal, legalized mechanism, and the tendering procedures to allow for community contracting.

5.6 The Kenya Private Sector Alliance (KEPSA) and the Nairobi Central

Business District Association (NCBDA). Please refer to Chapter 4.4

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6. EVALUATION OF PARTICIPATORY PROCESSES IN NAIROBI: FINDINGS, CONCLUSIONS AND RECOMMENDATIONS__________________________

6.1 Summary of Findings and conclusions 6.1.1 Advocacy, lobby and engagement in policymaking It seems that the Kenya Government facilitated a consultative process that involved civil society in the preparation and formulation of the new National Housing Policy (passed in parliament on 30th June 2004). This was done through a series of preparatory (thematic) workgroups that started way back in 1997. Network organizations such as the Nairobi Informal Settlements Coordination Committee (NISCC), Shelter Forum, loose coalitions, NGOs and individual experts contributed in one way or the other to the formulation of the policy. Also the new National Land Policy, under preparation, follows similar consultation processes and has established several thematic working groups with civil society representation. Through donor co-ordination (amongst others SIDA) a basket fund for the land policy formulation process has created a strong platform for partner engagement in the land policy reform in Kenya. Since the various private sector associations and federations united in 2003 in an umbrella organization, the Kenya Private Sector Alliance (KEPSA), influencing policies and regulations by the private sector has improved. The Government has expressed interest to form a partnership with the private sector to overcome numerous obstacles to further economic development. KEPSA is now involved in policy formulation in different sectors of the economy; they have monthly roundtable meetings with the Government and will get meetings with the Cabinet sub-committee on economic development. As well KEPSA facilitates linking up specific sector federations with particular ministries. 6.1.2 Institutionalized channels for civil society participation So far legislation only guarantees political participation. There are however two cases where institutional frameworks have been created for citizen participation. The first one was created in 1999 through the Local Government Reform Program, i.e. the Local Authority Service Delivery Action Plan (LASDAP) as requirement for funding through the Local Authority Transfer Fund. The second case is where institutional arrangements have been put in place under the Kenya Slum Upgrading Program (KENSUP), an initiative of the Government of Kenya and UN-HABITAT. Based on both experiences a major conclusion may be drawn that poor communication and information exchange has been a significant constraint to optimal civil society participation. Poor communication caused by inadequate info-com knowledge and skills with the partners, inadequate info-com methods and poor quality of (mass media) materials, and procedural inadequacies like too short periods between invitation and meetings, preventing for proper preparation and consultation. 6.1.2.1 LASDAP In its set-up the LASDAP is a good step forward in facilitating popular participation though a bottom-up planning process for improving service delivery to Kenyan citizens, and has great potential. However it can be concluded that a number of pre-requisites for optimal functioning were not in place at the launching of the process. With particular reference to:

o Inadequacies in the mechanism of consultation as a two-way process: o Single info channels for announcing meetings (posters): not reaching

all;

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o Period between announcement and meeting too short: not allowing communities to get together and prepare/consult before the meeting; more than one meeting would improve this situation;

o Several materials (like budgetary forms) are too difficult for illiterate or semi literate people, and require explanation and discussion longer in advance of the meeting;

o No involvement in prioritization/final decision making; and neither a feedback mechanism to inform on the decisions made; causing frustration;

o Inadequate skills in techniques of action planning, participatory budgeting, facilitation, negotiation and conflict resolution amongst officers of NCC as well as community workers;

o The slow or complete absence of implementation of the identified projects caused by (central government) administrative arrangements and procedures for funding disbursement; causing complaints from the community that the participatory process is just window dressing for the purpose of public relations of NCC.

Given the weakness as listed above, which basically could all be addressed for improvement, the actual situation now is disappointment, disillusionment and distrust with the communities and NGOs that have been involved; unwillingness of the councillors to proceed because they say they loose their credibility; and frustrations in the NCC. Some people even fear all these may seriously obstruct or even block the next consultation rounds. 6.1.2.2 KENSUP Without any doubt the UN-Habitat has a strong belief in the KENSUP set-up and its participatory, process oriented approach. As well the Kenya Government shows a very high commitment to the program, although it has not yet succeeded in mobilizing all required funding for the implementation stage of the program. On paper the program seems to be well thought out, and the recently approved national housing policy works in favour of the program. The local World Bank office takes a reluctant stand on the KENSUP program. This may be caused by the traditional project blueprint approach normally applied by the WB, while the KENSUP program has chosen a process oriented approach (interventions defined by participatory mechanisms). As well the fact that Kibera-Soweto has been chosen as the pilot area for the KENSUP program has made both the World Bank and DFID very reluctant to step in this program: a number of improvement interventions have failed in the past in Kibera because of weak capacities of the NCC, lack of adequate leadership and the un-resolved land tenure/ownership issue by the Kenya Government. Some of the institutionalized arrangements for stakeholder engagement don’t seem to function well, like the Multi Stakeholder Support Group (which met for the last time in 2002), the Interagency Coordination Committee and the Interagency Steering Committee. On the other hand the Joint Project Planning Team did function well. During a recent KENSUP program review it was suggested to merge the JPPT with the IACC into a single structure for policy preparation and guidance/advice to the Secretariat of KENSUP (Housing Department, Ministry of Roads Public Works and Housing), being in control of the program implementation, while UN-Habitat takes a purely supportive and advisory role. Although it was the purpose of the Multi Stakeholder Support Group (MSSG) to facilitate inputs from all stakeholders through their representatives on KENSUP, it looks that this body faced out since it didn’t held meetings since 2002!.

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There are concerns about the weak capacity of one of the key implementing agencies, e.g. the Nairobi City Council in general, and more specific the Project Implementation Unit (PIU). A main cause is the high turnover of professional staff as well as leadership (Town Clerk), restraining the sustainability of capacity building interventions. Moreover the NCC has to change its role from single service provider to facilitator and coordinator of multi-actor involvement. This requires skills in community mobilization, participatory and action planning, communication skills and negotiation techniques, and skills in community contracting and contract preparation and negotiations with the private sector. Indicative for a necessary change of working attitude within the NCC may be that although the Settlement Executive Committee started work there has been no interaction yet between the SEC and the NCC, while they are supposed to form together the Settlement Project Implementation Unit. Now the SEC directly reports to the Secretariat of the KENSUP program, which is indeed supposed to control the implementation of the KENSUP program, however the NCC is responsible for actual implementation on the ground. At the level of the project area (Soweto) it is felt that the DO and Chief, given their powers on the ground, require substantial sensitization and awareness on participatory processes and good governance. The political influence of the area Councillor in the participatory process is also questioned, and in the general context of the functioning of councillors (see intervention of the Government in the City Hall shake up of October this year4). Good Governance remains a field of big concern. There is still a lot of historic distrust and fear for eviction amongst the inhabitants, based on the experiences with the previous government, while mutual trust is the foundation for open communication and partnerships. Concerning the decanting site where houses will be constructed for temporary resettlement, there is the complaint that the community has not been involved and consulted in the development and design of the houses and this seems to be in contradiction to the KENSUP principles of civil society engagement. There are some criticisms on the way the members of the Settlement Executive Committee were elected. These criticisms come from some inhabitants, faith-based organizations and CBOs. Criticisms on inadequate info-com are shared by the public sector as well and initiatives have been taken to develop a strategy and build capacity for improved info-com. It is remarkable, based on experiences in former slum upgrading projects, that not more efforts have been made to first organize and empower the community in Soweto at large through leadership and communication training, and only after that have started the process of stratified representation in the Settlements Executive Committee for the KENSUP program. Instead a Settlement Executive Committee has been established, of which the election procedure is questioned by a number of the stakeholders, and of which the number of elected representatives from the community could be questioned as well for an estimated total population in Soweto of 60.000 people. Compared to the set-up of community development groups/committees as established in some of the other informal settlements in Nairobi, the number of representatives is marginal. This places a lot of responsibility on the shoulders of the 4 The Minister of Local Government, while announcing a major shake-up of the Council affairs on October 26th said: “They (Councilors) are no longer City Fathers but City Rogues”.

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existing members of the SEC: their constituency is vast and to maintain close contact and have consultations will not be easy for them. 6.1.3 Network and umbrella organizations, associations and coalition groups The network and umbrella organizations and coalition groups do play in general an important and successful role in influencing policies and facilitating civil society participation. A major finding is the absence of any channel by which the private informal sector can voice their interests in the urban arena. At micro level some informal businesses may have formed a CBO for their specific interest at the neighbourhood level, however at the city and national level no active federation or associations are in operation. There is mentioning of a Jua Kali Association and a Kenya National Hawkers Association but those associations do not function well (or not at all). Definitely there is a need for initiatives that can unite the informal private sector under a (number of) umbrella organizations or coalitions, by which this sector can better defend its interest at the city and national level, raise their voice with the authorities, influence policy making and participate in the different fora of development. The Nairobi Informal Settlements Coordination Committee has been a successful and influencing Committee not in the least because of its multi-stakeholder membership and chairmanship by the PC and its Secretariat vested in the NCC (Director of City Planning). This operational partnership brings together the Government, NGOs, CBOs, private sector and donor world and has been a strong vehicle for providing channels of communication and an overall coordinating and strategic framework at the city-wide level. All member stakeholders interviewed recognized the importance, relevance and impact of the NISCC. The involvement of the NISCC in the LASDAP process has demonstrated that the NISCC can play an important role in ensuring civil society engagement. Their “Development strategy for Nairobi’s informal settlements”, formulated in 1997, has without any doubt had a great influence on the “inclusiveness” approach of 2003 KENSUP program, as well as on the National Housing Policy. Especially for the NCC, still facing weak capacities in several important areas for facilitating participatory development approaches, this NISCC provides the NCC the opportunity to benefit from a large pool of professional resources. Moreover it can play an important role to integrate the different area based programs and initiatives, like the KENSUP-Kibera slum upgrading, in a wider context/framework of Citywide development. It is therefore highly regrettable that staff changes in the position of the Director of City Planning (holding the secretariat of the NISCC) seems to be the main cause that the NISCC is “sleeping” at the moment. Support to reactivate the NISCC is highly recommendable. The Shelter Forum is a well organized and successful network organization with a large and wide membership of about 600 professionals. They have been successfully involved in numerous advocacy, lobbying and policy influencing activities, and because of their wide network, are in a position to create ad-hoc/loose/strategic coalitions/alliances for diverse purposes. The Federation of Slum Dwellers (Muungano wa Wanavijiji Maskini), a coalition group, stems from the grass roots level and directly represents the informal settlement dwellers, initially in community mobilization against evictions but now grown to a network organization that advocates and defends the rights of the urban poor, influencing policy making, organizing awareness campaigns and now entering in NGO-like activities as stimulating saving groups, waste recycling and composting. They are

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recognized now by the Government as an important partner and were invited to the Barcelona World Urban Forum. The Nairobi Central Business District Association, was founded in 1997 to defend the interests and improve the conditions of the Nairobi Central Business District, however they gradually developed in a citywide operating business association with member representation of almost all big corporations, industries, hotels, etc. Expanding from improvement of the central business district to city wide urban regeneration activities, in different partnerships with the MOLG, NCC, Kenya Police and others, like with the donor community the Ford Foundation, USAID and CORDAID. Their initiatives to invite the informal sector in their associations failed because of distrust from the informal sector side. Major challenges are seen in changing legislation and raising the awareness of the public sector on PPP modalities, and overcome the negative working culture and attitude of officials against the private sector. 6.1.4 NGOs, CBOs and Faith-based organizations As mentioned in 6.1.1 almost all NGOs are and have been in one way or the other actively involved in advocacy, lobbying and policy influencing. The NGOs and faith-based organizations have the widest experience in facilitating the involvement of communities in participatory processes: they provide leadership training, build capacities for self management and organization, and often function as the facilitator and/or intermediary between communities and the authorities (like during the LASDAP process), even till such an extend that some even fear that communities see them as extensions of the government. In the traditional role of NGOs, sometimes the small scale of interventions in informal settlements by different NGOs (by means of pilot projects), has led to impacts at the micro level, but at the same time lacked the necessary integration (and coordination) of systems and activities at the area (mesa) level and citywide level. The KENSUP program is clearly an attempt to reverse this trend, and places the Settlement Executive Committee in the lead of formulating what has to be done (from a settlement-wide perspective) and by whom: thus from ‘supply’ driven ‘isolated’ NGO interventions to a more demand driven call on NGO (and Government) support. Lessons learned from KENSUP-Soweto will be of importance, not only for replication under the KENSUP program, but as well for interventions in any informal settlement in the future. Starting with organizing and building self management capacities of a community at a local area level (thus wider than a single neighbourhood) and locally co-ordinated interventions have the potential of improving the ultimate impact of the diverse interventions substantially. Almost all NGOs and CBOs interviewed identified the following obstacles to efficient and effective civil society participation: Relations of civil society with government officials and politicians o There is no historical working together culture amongst the different actors, and

there remains a suspicion between the public sector and civil society even now that the new Government is in place. Because of that there is no openness of information sharing in both directions.

o There remains distrust and fear for eviction amongst the inhabitants in informal settlements, based on experience with the past government; while mutual trust is the foundation for open communication and partnerships.

o The relationships with established institutions (government) are often ad-hoc and not yet institutionalized (with the exception of the LASDAP process, the NISCC and the institutions under the KENSUP program); it often depends on individual relations, personal contacts and patronage and by that is not sustainable. The new

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constitution should incorporate institutionalized systems of participation as part of the government system;

o The constraints to maintain even a short-medium term partnership with the NCC (because of the high level of staff and leadership changes) and the difficulty to get access to new officials;

o Often no coherence is seen between the Government policies and the practice, resulting in disappointment and distrust (like with the LASDAP process);

o Ultimate decision making is done by a small group of local politicians (councillors, chiefs) in the old style (see LASDAP process): they don’t like to be disempowered. Only a new constitution could change this situation and empowerment of the people by improved access to information.

o Ignorance in civil society that Council meetings are open to public. The council structure of working with Committees (where committee meetings are not open for public) and the secrecy-act in civil service are as well seen as obstacles to transparency.

o Finally there are complaints (especially from the community and grass root level, like the members of the SEC in Kibera) that individuals participating in consultative fora and meetings don’t receive any compensation for their travel and the fact that they can’t work during those events. (note: for the workings group in preparation of the new land policy, financial compensations are provided after certain defined outputs/reports have been submitted).

Inadequacies in knowledge, skills and attitudes o Lack of knowledge and information is seen as a main obstacle: there is a lack of

back ground info, the info often arrives at too short notice and is in difficult English language. The result is that civil society is often poorly prepared because of insufficient information. Tailor-made publication materials for special target groups are required: to make things more understandable. Now participation sometimes looks like window dressing (especially also because of absence in feedback). Awareness raising materials and improved two-way communication are important. The new constitution should as well address the right to information (as well to encounter the attitude of civil servants to hide behind the Civil service secrecy act).

o Often there is no feeling of being equal partners: public sector still often has the attitude of policy makers with the powers to implement (superiority complex). This requires awareness raising and appreciation of participatory approaches at high levels of Government, the Councillors and the Chiefs

o Not all actors have the right skills for participatory planning and decision making, especially within the public sector, both the technical officers as well as the councillors.

o Government should learn skills on how to act as a facilitator to allow private sector, communities and civil society organizations to get involved (instead of acting alone); moreover the bureaucratic attitude should be turned into a more pro-active attitude.

Amongst civil Society themselves o NGOs (and CBOs) are sometimes divided amongst themselves and the level of

collaboration is low: in certain areas they may even work in relative competition. More may be done on the basis of common interest. On the other hand there is the danger that too many fora to defend common interests, dilute the efforts and impact of the activities, so that after some time they phase out because of decreased motivation.

o Civil Society Organizations represent the community views and needs, however mechanisms of accountability by providing feedback on the outcome are not always in place.

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o Within communities often the demands and expectations are too high, caused by unclear information and inadequate communication and feedback.

o Conflict of interest between slum dwellers (and their CBOs) themselves: like amongst the owners and the renters of structures and the generally known differences in interest in any community. Capacity building by leadership training, self-management and organizing the community by e.g. village development committees can contribute to a better understanding of the different interests amongst civil society itself. In addition of course these organizations are the appropriate entrance for interactions with the authorities.

6.2 Conclusions and recommendations Introduction Strengthening civil society participation should be approached in a holistic way: capacity building of the civil society alone doesn’t guarantee increased effectiveness of the participatory processes. It as well requires the strengthening of the mechanisms and channels of participation amongst the stakeholders, and capacity building of the local authorities themselves. In broad lines civil society participation requires (next to the capacities of the individual stakeholders) access to information and channels for two way communication. Although several channels and mechanisms are in place it is especially the weak dissemination and feedback methods and the low quality and insufficient openness of the information that restrain transparency and accountability, being both important aspects of good urban governance.

o As a general recommendation one could say that upcoming request from organizations in support of strengthening their communication and information dissemination capacities deserves serious consideration.

Only political participation is so far legislated. Only LASDAP and KENSUP are two processes where institutional frameworks have been created for citizen participation.

o Support requests for advocacy and lobby activities and contributions to the process of the constitutional review and review of the local government act in order to legislate the right of information and systems of participation as part of the government system, deserve serious consideration;

In the context of slum- and informal settlement upgrading, whatever the quality of the civil society engagement, pre-requisite for successful development are that the land and tenure issues are resolved and that inhabitants can generate sufficient income to participate in the upgrading process. In this context one may as well consider the following general recommendations for support:

o Advocacy and lobby activities and contributions to the formulation process of the new Land Policy and Land legislation deserve serious consideration for support;

o Support requests in the area of Local Economic Development, either at the city strategic level, or at the micro and mesa level, deserve serious consideration.

6.2.1 Strengthening the channels and other mechanisms of participation There are a range of partnerships, coalitions and alliances that provide important channels of intra- and inter-communication and all having the potential to mobilize their members in different partnerships and forms of participation 6.2.1.1 Nairobi Informal Settlement Coordination Committee

o Given the weak capacity of the NCC and the important complementary role the NISCC has played, any initiative to reactivate the NISCC should be supported.

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o As well future support requests for specific activities coming up under the NISCC may deserve serious consideration;

o In addition to the City Planning Department, other relevant departments of the Council should be brought on board as well, like the Social Services and Housing Development Department. Like the PIU of the KENSUP program could benefit directly from its NISCC membership. This aspect may even be made conditional in case of honouring support requests from the NISCC.

6.2.1.2 Other network and umbrella organizations and coalition groups

o Given the successful role Shelter Forum played and given their wide network allowing them to mobilize and establish various ad-hoc/loose/strategic coalitions/alliances/groups, the organization deserves continued support to their activities and possible specific requests for support;

o Given the successes of the Federation of Slum dwellers, being a grass root coalition, the Muungano wa Wanavijiji Maskini deserves continued support to their activities and possible specific requests for support. The information and experience exchange amongst the different slum areas is an important activity of such coalition groups, and possible future requests for assistance in forming new coalition groups (e.g. of CBOs representing the informal private sector in different areas of the city), deserves serious consideration;

o Given the successful creation of the Kenya Private Sector Alliance, and the fact that an umbrella organization could speak with a single voice with the authorities to represent the interest of their member organizations and associations, any upcoming requests for assistance in forming new umbrella organizations (and especially for the informal private sector), deserve serious consideration (one may even think of calling for proposals); For the informal private sector one should think in first instance of city wide instead of national alliances.

6.2.1.3The LASDAP process A pre-requisite for the future of the LASDAP is to smoothen the government procedure on the disbursement of funds: civil society involvement in planning without clear results in the end frustrates and obstructs the participatory process. Next to capacity building of the actors involved in the process (see 6.2.2 and 6.2.3), the process itself, being a participatory bottom-up planning process, could be improved by:

o Disseminating better and more timely information; o Facilitate more than one formal consultation meeting, to allow for internal

community consultation in-between the meetings (longer time scale of the process);

o Extend the consultation process in a more ‘local area’ action planning process that could incorporate engagement and contributions from other stakeholders next to the projects to be funded through the Local Authority Transfer Fund.

o Provide clear feedback on the prioritization and final decision making process; o Provide opportunities for community to monitor the progress on the

disbursement of funds for the projects (accountability and access to information)

o Adjustments in the government procurement process to allow for community contracting and labour-based methods of construction.

6.2.1.4 The KENSUP program

o The activities in Soweto deserve a close monitoring of the experience and lessons learned, since the KENSUP program set-up is process oriented, participatory and interventions bottom-up defined.

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o One may even consider a more explicit monitoring of the KENSUP experience by inviting Shelter Forum (being a member of the Joint Project Planning team, and thus close to all insight information) to report 3-monthly on the ins and outs.

o If requests from CBOs and NGOs come-up for support of their activities in Soweto (under the KENSUP program), this provides an opportunity for more direct involvement, and may deserve serious consideration.

6.2.2 Capacity Building of Civil Society Organizations. The following activities deserve serious consideration for support:

o Building Community self management and community organizations (like village development committees) is the foundation for internal communication amongst the different interest groups and is as well the nodal point for interactions with the external world and involvement of the community in participatory processes with other stakeholders;

o Building participatory (budgeting), action planning and advocacy skills within the communities, CBOs and NGOs;

o Awareness raising of NGOs on slum upgrading approaches and facilitation of exchange visits;

o Awareness raising amongst communities on civil rights and empowering communities to express their demands;

o Facilitating and intermediary activities between the communities, CBOs and the authorities; especially those that can reduce the suspicion and distrust amongst them;

o Building of communication and information dissemination capacity and skills of CBOs and NGOs;

6.2.3 Capacity Building of local Authorities. The following capacity building activities in the NCC are as well of importance to improve and optimize the participatory processes:

o Information is a pre-requisite for good communication. There is a need for a central urban database and information system, and easier access to public information.

o Building of communication and information dissemination capacity in NCC: skill improvement of technical officers and councillors, improving facilities and establishing of systems;

o Building community mobilization, action planning and participatory budgeting skills of technical officers of the NCC; and skills in conflict resolution;

o Building skills on community contracting; contract preparation and monitoring in the context of different public-private sector participation models; and negotiation techniques;

o Awareness raising and sensitization of councillors to participatory and consultative approaches, and more general on the principles of good urban governance

o Cultural change in the NCC from a bureaucratic to a pro-active organization; o Improve revenue collection capacity of the NCC to increase the financial

resources and by that facilitating to invest more in quantity and quality of technical staff;

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ANNEX 1

ABBREVIATIONS USED

AG Attorney General CEO(s) Community Based Organization(s) DFID Department for International Development DUD Department of Urban Development GOK Government of Kenya GTZ Gesselschaft fur Technische Zusammenarbeit HDD Housing Development Department IACC Inter Agency Co-ordinating Committee IASC Inter Agency Steering Committee IDCA International Development Co-operation Agencies ITDG Intermediate Technology Development Group JPPT Joint Project Planning Team KENSUP Kenya Slum Upgrading Program LASDAP Local Authorities Service Delivery Action Plan MoLG Ministry of Local Government MORPW Ministry of Roads and Public Works MP Member of Parliament MSE Micro-Scale Enterprises MSSG Multi- Stakeholder Support Group NCC Nairobi City Council NGO(s) Non-Governmental Organization(s) NHC National Housing Corporation NISCC Nairobi Informal Settlements Coordinating Committee PROLOGS Poverty Reduction through Optimizing Local Government Structures. PRSP Poverty Reduction Strategy Paper P.S Permanent Secretary PIU Project Implementation Unit SEC Settlement Executive Committee SPIU Settlement Project Implementation Unit UNDP United Nations Development Programme UN-HABITAT United Nations Human Settlement Programme (UN-HABITAT) UNEP United Nations Environmental Programme

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ANNEX 2

Extract from “CORDAID Kenya Policy document 2003-2006”; thematic area: “Quality of Urban Life”

(Note: The CORDAID (2004), Draft Cordaid Kenya’s Urban Policy Working Paper, still has to be incorporated) Introduction After the merging of the organizations Caritas, Memisa and Bilance, Cordaid found itself working in wide geographical area on a variety of programs/themes. This made Cordaid to develop a thematic concentration policy. Main objective of Cordaid is to provide strategic support to development processes in order to structurally reduce poverty, to strengthen society building and to improve lobby and advocacy. In order not to spread its support over too many sectors, a thematic focus has been chosen. For Kenya the three following themes are chosen to concentrate on for the coming four years: Quality of urban life Access to markets Health and care

This choice for the themes is based on an analysis of the existing portfolio of Cordaid and the added value it could play in these themes. Furthermore a geographical concentration area has been chosen in order to further concentrate means and to achieve optimum results: urban in slum areas of Nairobi and Kisumu, Access to markets in the semi arid and arid areas (Asal) and health and care both in the Asal and the slum areas. Mainstreaming gender in the activities and internal organisation of the partners will get specific attention. Especially in the urban areas the interdependency of the theme quality of urban life and health and care exists. In all three themes attention will gradually move from structural poverty alleviation to society building and lobby and advocacy, although the major focus will remain on structural poverty alleviation. The CORDAID partners have mainly been dealing with provision of essential social services, which were the roles of government to execute. Apart from one or two, the partners did not do so much to develop their capacity to deal with lobby and advocacy related issues. Therefore, it is clear that the Civil Society Sector in Kenya now needs to reposition themselves appropriately to be able to play their rightful role. At least the government recognizes that the problem of housing and indeed all the other urban problems can only be addressed adequately through concerted efforts of the government, local authorities, local communities, the private sector and NGOs which still leaves space for them to act. This time round the government appreciates that the problem of housing and indeed all the other urban problems can only be addressed adequately through concerted efforts of the government, local authorities, local communities, the private sector and NGOs Definition of the theme: Quality of Urban life The consensus in urban development so far is that there is need for practical steps towards the implementation of the Habitat Agenda and the National Plan of Action on Shelter and Human Settlements to the year 2020. There is also more need now to deal with urban poverty related problems within Kenya by taking advantage of the political good will and renewed donor confidence. In the Economic Recovery Strategy Paper

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which the Kenya Government is using as their blue print, the following are identified as Structural and other causes of poverty are: insecurity, land policy, poor productivity and marketing of produce, bad governance and dispute management, poor infrastructure among others which need to be addressed as a matter of priority. As such, the policy choices and objectives that CORDAID has chosen to work on in Kenya only underscore the prevailing harmony in the way forward in enhancing the Quality of urban life. Overall goals & objectives The overall goal of the urban policy in Kenya is to enhance the total quality of urban life by promoting a holistic, participatory and sustainable urban development within a gender perspective.

Specific objectives o To promote the formulation of urban pro-poor policies and a legal framework that

facilitates the participation of the urban poor communities in decision-making processes at the local, municipal, national and international levels.

o To empower urban poor communities to effectively participate in decision-making processes at the local, national and international levels.

o To improve the income position of the urban poor through capacity building and micro-enterprise development

Policy choices & priority areas To achieve the objectives above, quality of urban life will focus on the following priority areas: 1. An urban policy to be put in place that responds to the need of the poor to include:

a. Formalizing security of land tenure b. Provision of and access to affordable essential services c. Increasing the engagement of the people in urban development d. Improving the environment

2. Development and clarifying information systems in urban development 3. Undertaking relevant research to inform on urban development decisions and

processes 4. Mainstreaming of gender in urban development strategies 5. Building and scaling up capacities of the key actors – the Civil society and other

local authorities as well as the private sector 6. Urban development financing, which includes tapping on the multi resources that

are available/ Improving the economies of the people in the informal settlements 7. Lobby and advocacy activities Target groups (clients) Urban poor(slum dwellers), women, children, youth, destitute (homeless-street families or the dispossessed in the slums) Differentiation over the various levels 1. Target group level: Empowered citizenry: socially, economically and politically

that can access basic services within an engendered and enabling policy and legal framework. o Improved shelter and living conditions o Improved household incomes through micro enterprises o Increased strong community organizations with negotiation and advocacy

capacity 2. Partner level: Well managed and sustainable organizations able to meaningful

participate in urban development

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o Improved capacity of organizations financially and institutionally to deal with their relevant areas of focus

o Improved internal systems for engendered and participatory planning, implementation, monitoring, evaluation and quality control and assurance of development programmes.

o Strong and effective networking and collaboration among the CORDAID partners and with other key stakeholders

o Enhanced skills in lobby and advocacy o Enhanced learning systems and processes that promote innovative initiatives

3. Civil Society: Strong civil society movement in the urban sector o Increased visibility of CORDAID partners in promoting pro-poor policies and

participatory processes o Strong and effective networking and collaboration among the CORDAID

partners on issues of mutual interest in the Quality of Urban Life o Enhanced skills in facilitation, negotiation, mediation, lobby and advocacy o Strong partnerships established with other stake holders

4. CORDAID: Improved and effective donor profile that promotes strategic and developmental funding of partners o A clear Urban Policy o A balanced partner network in the urban sector o User friendly organizational policies, systems and procedures that facilitate

strategic and developmental funding for partners as well as organizational learning

Gender Most of the initiatives that CORDAID and partners will deal with are targeted and involve women, children and youth as the main beneficiaries due to their numeric strength. As such there will be a deliberate and conscious emphasis that this fact is taken into consideration by every partner that CORDAID will work with in the Quality of Urban Life. Very few partners have totally integrated gender in their program and organisation. Therefore specific action will be taken to strengthen partners in their ability to integrate gender from the conceptualization level of the programme to make it possible to follow up the gender issues during the programme implementation, monitoring and evaluation. Consequences for Cordaid policy and support Apparently with the recognition that effective poverty alleviation can only be achieved by dealing with the structural causes of poverty, it is now clear that the theme Quality of Urban life will focus on a holistic and participatory approach that endeavours to promote the physical, social, ecological and economic sustainability of the urban poor communities. As such, there will be a deliberate emphasis on balancing the three different strategies of poverty alleviation which are: direct poverty reduction, capacity building as well as lobby and advocacy for each of the organisations that CORDAID will work with on any of the sub-themes. It is quite evident that each organisation that CORDAID engages with will have to diversify their strategies to accommodate the different interventions for their initiatives to be effective. As such, it will be critical to also identify the major entry points to work with government, private sector and the other civil society organisations. So far, it is quite clear that targeting for capacity building will therefore be at different levels for each of the actors. Moreover, the fact that HIV-AIDS is a national catastrophe in Kenya is a matter that each of CORDAID partners must deal with by mainstreaming it in their operations. It is evident that the majority of the potential beneficiaries of any of the initiatives that CORDAID partners have are normally women, youth and children considering their

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numeric strength. As such, CORDAID will certainly have to underscore the need to let the issue of gender and age of the beneficiaries take a centre stage. The main thrust of CORDAID support will go into the responsible phasing out for partners which are not focusing on above mentioned objectives. These organisations have already been identified. In order to achieve the objectives new partners will be identified for the diversification of interventions from pure service delivery to capacity building as well as lobby and advocacy. It is hoped that a lot of technical support from the Strategic Alliances (Institute of Housing Studies, SDI) with CORDAID will be explored to cater for further capacity building specifically in the field of urban planning.

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ANNEX 3

Cities Alliance-Cities without slums The Cities Alliance is a coalition of cities and their development partners committed to urban poverty reduction, aiming to improve the efficiency and impact of urban development cooperation in two key areas: scaling up slum upgrading and promoting participatory and inclusive city development strategies. To overall strategic objectives are to build political commitment and a shared vision for scaling up slum upgrading and city development strategies, to distill and share knowledge on sound practices and experiences, and to catalyze citywide and nation wide impacts. Proposals typically originate from local authorities and must be approved by the government of the recipient country. All proposals must be sponsored by at least one member of the Alliance. The sponsor should review and clear the application being submitted and normally provide co-financing for the proposed activity. Priority to those cities where existing initiatives and partnerships have already been created, particularly where organizations representing the urban poor are actively involved. See for application guidelines and application formats: http://www.citiesalliance.org

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ANNEX 4

Program of the Consultation Workshop on

-A: Civil Society Participation- and

-B: Local Economic Development-

(Lenana Mount Hotel, 8th December 2004) 9:00 – 9:15 Opening, welcome, introduction to the program and of the

participants. Part A: Actors and processes of civil society participation in Nairobi 9:15 – 10:00 Presentation and discussion of the preliminary findings of the

Process Mapping Study: Civil Society Participation in Nairobi 10:00 – 10:30 Discussion in smaller groups, based on the findings, on how the

civil society participation (in Nairobi) could be strengthened. (capacity of the actors as well as strengthening of the mechanisms and channels of participation)

10:30 – 11:00 Plenary feedback and discussion on the findings. 11:00 – 11:15 Coffee break Part B: Local Economic Development 11:15 – 11:30 Plenary: Inventory of Local economic development activities of

the organizations present. 11:30 – 12:15 Discussion in smaller groups on:

1. The obstacles to local economic development 2. Necessary components to be incorporated when formulating

a local economic development strategy (either at micro or city level)

12:15 – 13:00 - Plenary feedback on obstacles and components

- Identification of important stakeholders to be involved when formulating a local economic development strategy. - Closing

13:00 – 14:00 Joint Lunch and departure Hans Teerlink Eric Makokha Institute for Housing and Urban Shelter Forum Development Studies, IHS-Rotterdam Nairobi The Netherlands Kenya

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Consultation Workshop Lenana Mount Hotel 8-12-2004

NAME ORGANIZATION

1. Rahab Mundara

Intermediate Technology development Group, east Africa

2. Muchela Hadley

Africa network for the protection and prevention against child abuse and neglect (ANPPCAN – Kenya)

3. Purity Gitonga

Undugu Society of Kenya

4. Alex Maina

CAROLINE, Kibera (an organization for the youth linked to Caroline city USA)

5. Esther Wanyaga

ANPPCAN Regional office

6. Aloys Opiyo

Director Undugu Society of Kenya

7. Elizabith Mbatha

Member Settlement executive Committee (SEC), Soweteo, Kibera (KENSUP program)

8. Agnes Muthoni

Member SEC, Soweto

9. Arnes indika

Member SEC, Soweto

10. Peter Nganga

ANPPCAN,

11. Alfred O. Adongo

SANA International, Kisumu (involvement KENSUP Kisumu)

12. Francis Omondi Ombuogho

Member SEC Soweto

13. James Ontoya

Member SEC, NASU Soweto

14. Elijah Odhiambo

Kituo Cha Sheria (legal advice center)

15. Alois Nyarangi

Maaji na Ufanissi

16. Naomi Gitau

Nairobi central Business District Association (NCBDA)

Aletta van der Woude CORDAID RO

Eric Makokha

Study team member/ Shelter Forum

Hans Teerlink

IHS

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ANNEX 5

Reporting on the LED findings of the consultation workshop (part B) 1. Inventory of the nature of activities in the area of LED by the organizations Assisting Small and Micro enterprises and businesses in the areas of:

o Water vending and kiosks; o Vegetable sellers; o Solid waste collection, recycling, composting; o Urban agriculture using appropriate water technologies; o Bakeries; o Juice processing; o Fishing industry (Kisumu); o Dress making and shoe making (targeted to disabled); o Stabilized soil bricks production; o Toilets; o Latrine exhauster services; o Community day care centres.

Note: Hardly any involvement in the informal-construction sector!! (small contractors, carpentry, metal, plumbing and electricity workshops) Nature of assistance:

o Technical assistance in technologies, business organization and market outlets; o Training on business planning and entrepreneurial skills; o Micro credit funds, saving schemes and revolving funds; o Nairobi Central Business District Association (CBDA), lobbying with council.

Note: No organization except for the NCBDA (representing the formal private sector!) mentioned lobbying for the interest of the informal private sector. 2. Obstacles seen to local economic development The following issues are seen as obstacles to local economic development: o Insecurity

o Insecurity of tenure, preventing investments; o Safety and crime: theft of goods and preventing a 24 hour economy.

o Inadequate provision of infrastructure

o No space to do businesses: Market places Areas for hawkers Locations for production/workshops Concept of home-based industries not applied in area planning and

lay-out o Poor accessibility of informal areas; o Inadequate water supply; o Inadequate sanitation facilities: health conditions of the workers; o No power supply for lightening (safety) and home base industries; o Inadequate waste collection.

o Poor governance and bribing habits: making doing business costly

o No informal sector (and disabled) friendly policies; o City by-laws require revision and are from the colonial times; o Permitting and licensing system costly and sensitive to bribery; o Procurement procedures of Government require adaptation of a special

category for small/micro enterprises;

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o Asking money for ‘services’ has become a way of life amongst DO’s, chiefs, councillors, Council officers (inspectorate department) and even some associations (like from the matatu’s) have become cartels collecting illegal ‘taxes’;

o Poor organization and capacity of Nairobi City Council. o Insufficient capacities and sector organizations

o Weak entrepreneurial skills; o Limited access to credit and capital, and high interest rates; o Businesses are hardly organized in associations to come up for their sector,

influence policy making and defend their interests: no bargaining power with the authorities;

o Lack of leadership and self management skills. 3. Important components to form part of a local economic development strategy. It is evident that a LED strategy should address issues at the micro level as well as the citywide level. Moreover that an LED strategy should have a holistic and integrated approach where a variety of interventions of different nature can complement each other. A possible LED strategy could incorporate the following components:

o Security and safety o Influence new land policy providing security of tenure; o Community policing and partnership arrangements with the police; o See further infrastructure provision.

o Provision of infrastructure

o Incorporate in planning and design of new settlement and upgrading programs the concept and requirements of home based industries, marketplaces and areas for hawkers, and areas for workshops/production (accessibility!, power supply!);

o Improve accessibility, water supply, electricity supply, sanitation facilities and waste collection.

o Improve Governance and Council services

o Influence policy making (informal sector and disabled friendly); o Relax and improve out-dated city by-laws, permitting and licensing

systems; o Provide single shop entrance at the Council for the different formal

documents needed; o Anti corruption campaigns and changing attitudes of officials (appointed

and elected); o Facilitate community involvement and bottom-up participation; o Decentralize (de-concentrate) departments of the council to local areas,

to increase accessibility to the public and improve bottom-up processes (like the LASDAP).

o Capacity building

o Support the formation, leadership and self-management of (informal private sector) associations so that they can become stronger represented in the different participatory development mechanisms, and can have a stronger influence on the policy formulation processes taking place;

o Build entrepreneurial, business management and marketing skills; o Improve access to credit and capital.

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ANNEX 6 Individuals and organizations interviewed

NGOs - Cordaid regional office: Aletta van der Woude, Director and Esther Kodhek, programme officer. - Several members of the loose NGO coalition on Urban Land and Housing rights, during a meeting organized by Shelter Forum. - Maji na Ufanisi, Mr. Olita Ogonjo - Intermediate Technology Group, regional director Mr. Elijah Agevi, as well the acting chairperson of the technical advice commission of the NISCC. - Kituo Cha Sheria (legal Advice Centre), Mr. Odindo Opiata - Undugu Society of Kenya, Director Mr. Aloys Opiyo Otieno - SANA International, Kisumu, Mr. Alfred O. Adongo

CBOs and faith-based organizations - Mr. Francis Kinyati, village elder involved in a community self organization inntiative in Korogocho, an informal settlement with 150.000 inhabitants in Kariobangi - Mr. Francis Ngenga Kamau, treasurer of the Village Development Group, Buru Buru City Carton (and treasurer of a self-help small business group). - Soweto site visit with Ignatius Namenje, Marcy Kabenyeka Okunyanyi and Palela Akwede Chaya all residents of Kibera and working for the human rights office Christ of King Church. - Meeting with several members of the business community along the railway line in Soweto. Chairman of the Umbrella group of the ‘new air railway open market structure owners and business men’ in Soweto, Mr. John Maina. And Joseph Muendwo representative of Federation of Slumdwellers, Soweto groups (Muunlano wa wanavijiji). - Christine Bodewes (Catholic Church),member of the Settlement Executive Committee of the Soweto Kensup program - Members of the Settlement Executive Committee Soweto, Kibera (SEC-KENSUP), during one of their meetings in Soweto, and during the consultation workshop.

Network Organizations - Muungano Wanavijiji Maskini (Fedration of Slum dwellers), Mr. Ezekiel Remia and Joseph Muturi - Shelter Forum, Executive Officer, Mr. Eric Makokha, member of the Joint project Planning Team of Kensup

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- Nairobi Informal Settlements Coordination Committee, acting chairperson of the technical advice commission of the NISCC, Elijah Agevi, Bosire Ogero and Eric Makokha

Private Sector - Kenya Private Sector Alliance (KEPSA), Mrs. Salma Mazrui, CEO and David Mwangangi , programs officer - Matrix Development Consultants, Mr. Bosire Ogero, - Nairobi Central Business District Association (NCBDA, CEO Mr. Festo Fadamula and Chairman Charles Kahura

Officials and donor organizations - NCC, John K. Barreh, Act.Ass.Dir. Urban design & Dev.Section, Department of City Planning (before he was a principle planner, IHS Alumni) - NCC, J.M. Maina, Ass.Dir. Forward (strategic) planning section, Department of City planning (former senior planner involved in the LASDAP desk) - NCC, Mr. Nathan Mulinge, Dir. Housing development Department, Nairobi City Council - Netherlands Embassy, Mr. Jan A. Bauer, Dep. Permanent representative permanent mission to UNEP and UN-Habitat - Min. of Lands and Housing, Dir. Of Housing, Secretariat of KENSUP, Mrs. Grace Wanyonyi - UN Habitat, Dep.Exec. Director, Daniel Biau - UN Habitat, Senior Human Settlement Officer, Mr. David Kithakye - UN-Habitat, Mrs Catherine Solomon, Social mobilizing manager KENSUP program. - Un Habitat, Kisumu program officer, Ulrik Westman, - World Bank, Water and sanitation program (WSP), Japheth Mbuvi - SIDA, Urban sector specialist, John Ndiritu - DFID, Senior program officer Governance and Economics, Robert Simiyua - GTZ, Senior (urban) program officer,D.L.Mshila

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Consultation workshop on preliminary findings of the study - See Annex 4 for a list of participating stakeholders.

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ANNEX 7 Documents and publications consulted CORDAID (2002), Kenya policy document 2003-2006, Nairobi, Cordaid RO CORDAID (2004), Draft Cordaid Kenya’s Urban Policy Working Paper, Cities Alliance, cities without slums, new application guidelines and application form. Cities Alliance, The challenge of scale-nationwide Upgrading, in “cities alliance annual report 2003 Collaborative Nairobi slum upgrading initiative (2001), Nairobi situation analysis- consultative report, Government of Kenya and Un-Habitat, Nairobi, June 2001 DPU (2003), A communication strategy for sustainable urban livelihoods Nairobi, communication for sustainable urban livehoods knowledge & research project (R7879, DPU, London, May 2003 KENSUP (2003a), MOU UN Habitat-Gov. of Kenya on slum upgrading KENSUP (2003b), Programme Document, Nairobi, March 2003 KENSUP (2003c), Daily Nation, Nairobi, August 7, 2003 KENSUP (2004), Daily Nation, Nairobi, October 7, 2004 Kibera (2003) Soweto upgrading project document, Government of Kenya in collaboration with UN-HABITAT, Nairobi, March 2003 Kibera (2004a) Soweto upgrading project Report of investigation of actors operating in Kibera, Volume 1: Analysis report, Nairobi, January 2004 Kibera (2004b) Soweto upgrading project Report of investigation of actors operating in Kibera, Volume 2: Directory of actors, Nairobi, January 2004 Kothari, Miloon (2004), Press conference on preliminary observations as special rapporteur on adequate housing appointed by the UN Commission on Human Rights, Stanley Hotel, Nairobi, February 2004 Makokha, Eric (2003), “Strengthening Citizen participation in planning and decision-making: the case of local authority service delivery action plan (LASDAP) in Nairobi, Kenya”, IHS, Rotterdam Mitullah, Winnie (2003), Accomodating the right to decent housing in urban areas in Kenya: reflection on the the draft housing policy, University of Nairobi, September 2003 NISCC (1996), A development strategy for Nairobi’s informal settlements, Nairobi, Dec.1996 Ogola(?) , Ochola, z.Hussien, Kibera slums, information on the largest sub-saharan informal settlement, , on behalf of Community Support Group, presented to CORDAID RO

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Report of the Inter-agency Committee on the realization of the right of adequate housing (2004) Republic of Kenya (2004), Sessional paper 4 (approved by Parliament) on National Housing Policy for Kenya, Ministry of Lands and Housing, Nairobi, 2004 Wamwea, Nancy (2003), The Role of Poor Communities in influencing increased responsiveness to poverty concerns by the Government: Implications to Undugu Society’s Work with the Urban Poor in Informal Settlements/Slums, IHS, Rotterdam, 2003 World Bank (2002), An assessment of local service delivery and local governments in Kenya, water and urban 1, Africa region, june 2002

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