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In t roduct ion to In fo rma l Se t t lement Upgrad ing

Sec t ion 4 : Pa r t i c ipa tory Approaches , ©NUSP 2015 1 | Page

SECTION4:PARTICIPATORYAPPROACHES

Summary

Whyisparticipationimportant?

Therearemanydefinitionsandunderstandingsofparticipation.Inthissectionparticipationmeanssomeformofinvolvementofpeoplewith similarneedsandgoals, indecisionsaffecting theirlives. Participation is a complexmechanism and there is no single blueprint as to how itshouldbeundertaken. Itneedstobelocallyrelevantandeachcommunity ischaracterisedbydifferentdynamicsanddemographics.Participationcanbeaseriesofone-offeventsoranopen-endedprocessand therearemanyparticipatory techniquesandapproaches thatcanbeselectedaccordingtotheaimandscopeofaparticularsituation.

Participation comprises building common ground betweeninstitutionsandcommunities.Inthecaseofinformalsettlementupgrading, the fact that different parties bring different thingsmustberecognisedandharnessedtoensurethattheproposalsdevelopedbestsatisfytheactualneedsandpreferencesofthespecifictargetedcommunity.Thisprocessrequiresthatparticipantsdeveloprespectforeachotherandthevariousstrengthsandcontributionsthateachcanbring.

Sometimes politicians and officials see participation as somethingtheyareforcedtodo,ratherthansomethingthatwillbenefitthem.But these fearsand resistance tomeaningfulparticipationhide thefullcreativepotentialofaconstantanddeepcollaborationbetweengovernment and communities. Participation is essential inmaking an informal settlementupgradingprocesseffectiveandhasequalbenefitsforpoliticians,officialsandcommunities.TheinvolvementofinformalsettlementcommunitiesandtheneedtogivethemavoiceatkeystagesoftheprocessisabasicprincipleoftheUISP.

Thisparticipatoryapproachto informalsettlementupgrading,waspreceded and supported by a wide series of policy and legalframeworks. These policies and associated legislation placeparticipation and accountability at the very heart of the systemof local government. ThelegislativeandpolicyframeworkonparticipationiscontainedintheConstitution(1996),theWhite Paper on Local Government (1998), the Municipal Structures Act (1998), theMunicipalSystemsAct(2000),theMunicipalPlanningandPerformanceRegulations(2001),BreakingnewGround(2005)andtheUpgradingofInformalSettlementsProgramme(UISP),2009.

SeetheFlamingoParkupgradingprojectvideo

For more details seeSection4,item1.1





Goodpracticeinparticipatoryprocesses

Meaningful engagement is viewed as the core principle upon whichthe participatory process should be based. Meaningful engagementincludes partnering with communities, facilitating community-drivenprocesses, communities being involved in spatial planning, working with communityorganisations and leadership and developing agreed processes for communication,discussion,decision-making,anddisputeresolution.

In undertaking a participatory process, genuine andmeaningfulengagementmustbedistinguishedfromsuperficialparticipatoryforms. There is a critical difference between going through anempty ritual and a process where the participants have real power that can affect theoutcome of the process. A good way to clarify the concept is to use the participationcontinuum (see diagram below). This describes the levels of participation as a sequencegoingfromlittle(orno)participationtofullparticipation.

Thelevelofparticipationappliedwillvarydependingontheissuebeingaddressedandthestakeholdersbetweenwhomanengagementshouldoccur.Onelevelofparticipationisnotbetterthananotherlevelonthecontinuum.Whatisneededfromthebeginningisthecleardefinitionofthelevelofparticipationthatisbeingaimedatandtheoutcomesthatcanbebothexpectedfromitandachievedbyit.

ParticipationduringdifferentstagesofupgradingParticipation needs to be built in at both the municipal programme level and at thesettlementproject level.Attheprogrammelevel informalsettlementupgradingisplannedacrossmanydifferentsettlementswithinthesamemunicipality.Theprocessofdevelopinga

For more details seeSection 4, item 2.1 &2.2


For more details seeSection4,item3



municipal informal settlement strategy and programme requires information in order toassess and categorise informal settlements. The process of gathering the information, aswell as the process of categorising the settlements, provide opportunities for involvingcommunityrepresentativesinprogrammelevelactivities.

Attheprojectlevel,participationisneededthroughoutanupgradingproject.Theintensityofparticipationcanvaryacross the lifeofaproject,andsocan thedepthofparticipationandextentof community control.This ideaofvariation is captured in thediagrambelow,wherethelevelsofparticipationareshowninthelefthandcolumnandthelifeorprogressof a project is shown across the top. The diagram highlights that substantial communityinputisparticularlyimportantwhenkeydecisionsaremade,oftencalledtheplanningphaseoftheproject.

ThefollowingparticipationisrelevantintheUISPphases:

Phase1–Application:Intheearlystagesdifferentlevelsofcommunityengagementcanhappen,butUISPrequiresthatthecommunitymusthavearole,andtaketheinitiativeifneeded.Phase2–Initiation:Bothfullcontrolandco-operation,andataminimumconsultationcanwillensurethatthebusinessplansubmittedreflectsandincludesthecommunity’sneeds.Phase3–Implementation:Arangeofparticipationlevelscanbeusedtoenablecommunitiestoparticipateinimplementationdecisionsandtoinformthemofprogressasimplementationisundertaken.Phase4–Consolidation:Theparticipationlevelusedwilldependonthebasisbywhichconsolidationisundertaken.IfthePeople’sHousingProcessisundertakenthelevelwillbefullcontrol.Ifasubsidisedhouseisbeingprovidedtheninformingwouldbeapplied.

Stakeholdersinupgradinginitiatives



Stakeholdersarepeople,groups,orinstitutionswhoarelikelytobe affected by a proposed intervention (either negatively orpositively), or those who can affect the outcome of theintervention.Stakeholderanalysisprovidesafoundationandstructurefortheparticipationprocess. The selection of the participants/stakeholders is heavily influenced by the scopeand the scale that the project is meant to affect. Various factors must be carefullyconsideredintheinitialidentificationofparticipantsforaparticipationprocess(consideringboth informalnetworksandmarginalisedgroups). This step is called stakeholdersanalysisandselection,and isavital tool forunderstandingthesocialand institutionalcontextofaprojectorarea.

A range of institutional arrangements can be established once there is consensus andagreementonthelevelanddetailofparticipatoryplanningrequired.Dependingonthesize,nature and complexity of the scope of an informal settlement upgrading project orprogramme and themunicipal environment, a range of organisational structuresmay beappropriate such as: a community committee, co-ordination committee, steeringcommittee, project committee, sub-committee and task team, ward committee orcommunity developmentworkers (CDWs). The selection of themost suitable institutionalarrangements and the relevant organisational method to be chosen for the informalsettlementupgradeprocess,constitutesthebasicorganisationalframeworkformeaningfulparticipation.

Participatorymethodsandtechniques

There are various tools that can be used to involve people in the different parts of anupgradingprocess.Itisnotpossibletocreateauniversalrecipeforparticipatoryprocesses.No one approach is applicable to all situations. The differences between participatorymethodslieintheirpurpose,thelevelofparticipationtheyaimtoachieveandtheirguidingprinciples. Somemethods are large scale andmulti-sectorial, others aremore focused inscope.Itisimportanttoclarifythepurposeanddesiredlevelofparticipationthroughoutthedevelopmentprocess,beforefocusingonamethod.

Whiletherearemanytoolsandtechniquesforencouragingcommunityparticipation inaninformal settlement upgrading process, the most important tool is communication. Nomethod,toolortechniquewillworkifthepersonusingthemhaspoorcommunicationskillsorabadattitude.

Tools for collecting information and building relationships include listening (for examplethrough interviews), looking and observing, measuring and learning from what exists,mapping and making models (drawing with everyone)and resource surveys and skills





inventories.Techniquesthatcanbeusedfordifferentpurposesandatvariousstagesintheplanning or implementation of an upgrading process including brainstorming, games androle-play,groupworkandintermixing(expandingperspectivesbylearningfromothers)andprioritizing.

Communitysurveys isabroadtermtodescribegatheringdataaboutthecommunity,withthe community. Different types of data can be gathered including demographic profile,analysisofriskfactorsandassetinventory

Action planning is a term used for the participatory process of identifying key issues andagreeingonpriorityprojectsinacommunity.Therearemanytechniqueswhichcanbeusedtoencouragepeople toparticipate, identifyand recordwhatpeopleexpress, reviewwhathasemergedandcollectivelyprioritiseandidentifyactionsteps.Thisisnormallyafacilitatedprocessthattakesplaceoveraperiodoftimeinaseriesofparticipatoryforums.

ParticipationischallengingDevelopingameaningful participatoryprocess is about creatinganenablingenvironment,withappropriatechannelsofcommunicationandallocatingthetimeandresourcesneededto promote it. Theprocess canbe challengingwith the possibility for outside interests ormanipulation. Some stakeholders can undermine the process. Communities may also bereluctant to engage. Under conditions of poverty and stress, and without some sort ofsecurity in place, it is difficult for informal dwellers to engage in processes that areconsideredtobetime-consuming.However,againstalltheseodds,meaningfulparticipationwillconstituteasolidbasethatcanbeamechanismforthecommunitytoprogressivelyre-gaintrustintheprocessandinthemunicipality.Thesuccessfuloutcomeofaparticipatoryinformalsettlementupgradingprocesswithcommunitieswillmanifestonlywithcollectivewillingnessand the sharedgoalof the co-creationof liveable,healthyandwell-developedneighbourhoods.

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Content

1. Whyisparticipationimportant?

1.1 Whatismeaningfulparticipation?Therearemanydefinitionsandunderstandingsofparticipation.InthisSectionparticipationmeans some form of involvement of people with similar needs and goals, in decisionsaffectingtheirlives.

Participationisacomplexmechanismandthereisnosingleblueprintastohowitshouldbeundertaken.Itneedstobelocallyrelevantandeachcommunityischaracterisedbydifferentdynamics and demographics. Participation can be a series of one-off events or an open-ended process and there aremany participatory techniques and approaches that can beselectedaccordingtotheaimandscopeofaparticularsituation.

Participation comprises building common ground between institutions and communities.Thisincludesbringingtogether:

• Internal knowledge, which is the knowledge, experiences and skills of thecommunity,and

• External knowledge, which is technical, specialized knowledge brought into theprocessbyspecialistsandmunicipalities.

The building of this common ground represents the first prerequisite for meaningfulparticipation. In the case of informal settlement upgrading, the fact that different partiesbring different things must be recognised and harnessed to ensure that the proposalsdevelopedbestsatisfytheactualneedsandpreferencesofthespecifictargetedcommunity.

This process requires that participants develop respect for each other and the variousstrengths and contributions that each can bring. Sometimes politicians and officials seeparticipation as something they are forced to do, rather than something thatwill benefitthem.Somearealsoafraidoffacingthecommunitybecauseintheirexperiencereport-backor consultation meetings can easily become forums for complaint and protest aboutproblemsoragainstnon-delivery.Or,participationcanbereducedtoprovidinginformationonmatterswhichhavealreadybeendecided.

Butthesefearsandresistancetomeaningfulparticipationhidethefullcreativepotentialofaconstantanddeepcollaborationbetweengovernmentandcommunities.

For participation to bemeaningful itmust develop reciprocal trust and produce creative,collaborativesolutions.Withoutameaningful, truthfulanddeepparticipationprocess, thefollowingissuesmayariseduringtheupgradingofaninformalsettlement.Forexample:

• Lackofalignmentbetween institutional/governmentalgoalsandcommunityneeds.This can result in the absence of a sense of ownership by the community for theinterventions, ultimately leading to these being ineffective. This is because any



projectrealisedwithoutthefullengagementofthecommunitymaybeviewedasanexternal element, which does not stimulate either a caring attitude or a sense ofbelongingintheusers/targetedcommunity.

• Strongopposition/protestfromthecommunityconcerningparticularaspectsoftheupgrading process. If a decision-making process is not transparent and/orparticipative,communitieswillfeeldeprivedoftheirrighttoinfluencetheirownlifepatterns.Thiscanleadtosuspicionandmistrustandaccusationsofcorruption.Thisinturncanleadtooppositionandprotests.

1.2 Thebenefitsofparticipation

Participation is essential in making an informal settlementupgradingprocesseffectiveandhasequalbenefitsforpoliticians,officialsandcommunities.Forexample:

• Participationhelpsamunicipality tomakeappropriatedecisions,basedon the realneedsofpeople;

• Themoreinformedpeopleare,thebettertheywillunderstandwhatgovernmentistryingtodoandwhatthebudgetandresourcelimitationsare;

• Inanopendecision-makingprocess,wheredifferentideasarenegotiated,peoplearemade part of important issues that are defined and decided on together. Even ifsometimesdecisionscanbedifficultandrequirecompromise,peoplewillbeabletoseethereasonswhychoicesweremade.Prioritisingparticipationindecision-makingbuildsawareness,helpingtopreventprotestsandopposition;

• Municipalitiescanonlyclaimtobeaccountableiftheyhaveregularinteractionswiththepeopletheyserveandiftheyconsultandreportbackonkeycouncildecisions;

• Governmentcannotaddressallthedevelopmentneedsonitsown;partnershipsarewith communities, civil society and business will improve service delivery anddevelopment.

Public participation can be a strategic tool to assist municipalities in reaching out to thecommunities they serve. It can help improve informal settlement upgrading projects, andpromotes empowerment and capacity building in previouslymarginalised communities. Aparticipatoryapproachrecognisescommunitiesasactiveagentsofchange,directlyinvolved

SeetheFlamingoParkupgradingprojectvideo



informulatingabetterfuture.Itcanrespondtospecificissues,inspecificcommunities,inaninteractivefashion.

Community participation in the development ofsettlements can assist to preserve fragilecommunity survival networks. Withoutparticipation thesenetworks couldbedamagedorbroken, if people are displaced or if upgradinginterventions unintentionally interfere with thesenetworks.

Lastly,participationallowsmunicipalitiestogetbuy-inorcommitmenttoasetofinitiatives– and to develop partnerships with differentstakeholders. Partnerships are fundamental since thestate does not have sufficient resources to provideeverything and needs to rely on residents and otherstakeholders to take care of, and manage, theimplementation of projects. Community participationis crucial in developing good plans so thatcommunities own the process of development, andallowpeopletomakeameaningfulcontributiontothedevelopmentoftheirownlives.

KeyPoints

Thebenefitsofaparticipatoryapproachare:

• Greateracceptabilityandlegitimacyoftheprocessbylocalcommunities;• Effectiveutilisationofexistingskillsandresources;• Improved quality of information gathered, more comprehensive than local

authoritiesorcommunitiescangatheralone;• Fewerdisputesamonglocalresidentsandbetweencommunitiesandauthorities;• Effectiveresponsestolocalconditionsandpriorities;• Buildingtrustandconfidencebyallparties;• Opportunitiesforfurtherengagementbetweencommunitiesandauthorities.

1.3 Isparticipationmandated?

Theinvolvementofinformalsettlementcommunitiesandtheneedtogivethemavoiceatkeystagesof theprocess isabasicprincipleof theUISP.Participation isseenas themosteffective way of empowering people and communities living in informal settlements totransformtheirownlives.

Insituupgrading,asenvisagedundertheUISP,promotesempowerment, integratedurbandevelopment, and social cohesion. This participatory approach to informal settlementupgrading,was preceded and supported by awide series of policy and legal frameworks.Thesepolicies andassociated legislationplaceparticipationandaccountability at the very



heart of the system of local government. The legislative framework on participation iscontained infivemaindocuments,whichareoutlinedbelow.This legislationdescribestheway in which local government should function and provides the framework for howmunicipalities should interact with communities. The issue of participation is central inbuildingtrustinthegovernancesystemandfacilitatingeffectivedevelopment.

TheConstitutionoftheRepublicofSouthAfrica,1996

Chapter7 (Section152)of theConstitution states that theobjectivesof local governmentare to provide democratic and accountable government for local communities and toencouragetheinvolvementofcommunitiesandcommunityorganisationsinthemattersoflocalgovernment.

Thismeansthatitisthedutyofmunicipalitiestoensurethatthereiseffectiveparticipationofcitizensandcommunitiesinthemattersoflocalgovernment.

TheWhitePaperonLocalGovernment,1998

Municipalities are encouraged to build local democracy by developing strategies andmechanisms to continually engage with citizens, business and community-basedorganisations.Municipalitiesmustdevelopstructurestoencouragemeaningfulparticipationandinteractionbetweencommunitiesandcouncillors.TheWhitePaperoutlinesthesystemofwardcommittees,theirfunction,compositionandrole,thevisionofwardcommitteesasa channel of communication, powers, and duties of ward committees and also theadministrativearrangements.

Thismeans that structures and systems have been set upwithinmunicipalities to enablecommunityparticipation.

MunicipalStructuresAct,1998

This requires a municipality to develop mechanisms to consult with communities andcommunity organisations. Every year the municipality needs to review the needs of thecommunityandmunicipalprioritiesandstrategiesformeetingthoseneeds.

Thismeansthatdecisionsmadewithinamunicipalityneedtotakenoteof,andbebasedon,theneedsofthepeopleitserves.

MunicipalSystemsAct,2000

ThisAct states that amunicipalitymust establish appropriatemechanisms, processes andprocedurestoenablethelocalcommunitytoparticipateintheaffairsofthemunicipality.Itfurther calls formunicipalities to develop a culture ofworking hand-in-handwith electedrepresentativeswithinasystemofparticipatorygovernance.Therearealsorightsanddutiesofthecitizensinrelationtomunicipalfunctions,whichincludecontributingtothedecision-makingprocessesofthemunicipality,andbeinginformedonalldecisionsofthecouncil.



Municipalities must determine methods to consult communities and residents on theirneedsandpriorities,andresidentsmustbeabletoparticipateindraftingandreviewingtheIntegrated Development Plan (IDP).Thismeans that IDPsmust be based on a communityparticipationprocess.

MunicipalPlanningandPerformanceRegulations,2001

This regulation says that if there are no other municipal-wide structures for communityparticipation, a municipality must establish a forum. The forum must enhance publicparticipation inmonitoring,measuring and reviewing theperformanceof themunicipalityitself.Thismeansthatmunicipalitiescanusecommunityforumsasabasisforundertakingparticipation.

BreakingnewGround,2005Breaking New Ground (BNG) specifies that informal settlement upgrades should beundertakenascommunityprojects,sincecommunityparticipationisseentobeessentialtothesuccessofanyupgradeandenablesdevelopmentstorespondtolocalneeds.Thismeansthatparticipationisacentralelementofaninformalsettlementupgradingprocess.

UpgradingofInformalSettlementsProgramme(UISP),2009

TheUISPhasthreeinterrelatedkeyfocusareas:theprovisionoftenuresecurity,addressinghealthandsafety,andempoweringresidentsthroughparticipatoryprocesses.Whilesomefunding is provided to facilitate the community participationprocesses,municipalities canalso apply for external funding to further support this. Thismeans that theUISP requirescommunityparticipationtobeundertakenandthatthereisfundingthatmunicipalitiescanaccessinthisregard.

2. Goodpracticeinparticipatoryprocesses

2.1 Importantpractices

There are key aspects that SouthAfrican courts view as important practices in respect ofcommunityparticipation in relation to informal settlements.Thesehaveemerged in casesthathavegonetocourtbecausecommunitieshavechallengedprocessesandpracticesthathaveaffectedthemnegatively.Theimportantpracticesestablishedinthecourtcasesareasfollows1:

Meaningful engagement: This is a two-way process in which the municipality and thoseabouttobecomehomelesstalktoeachothermeaningfullytoachievecertainobjectives.

1FromAurecon2014–Caselawbestpracticesformeaningfulparticipation2014



Individualengagement:Theengagementprocessshowsrespectandcareforthedignityofindividual householders. It enables government to understand the needs and concerns ofindividualhouseholderssothat,wherepossible,itcantakestepstomeettheirconcerns.

Respect and partnership: Mutual respect and accommodation of each other’s concernsshouldbethemainfocusofmeaningfulengagement.

Mutual consensus: Engagementdoesnot require theparties toagreeonevery issue.Thegoalshouldbetofindthemutuallyacceptablesolutiontothedifficult issuesthatconfrontthegovernmentandresidentswhenprovidingadequatehousing.

Adequate consultation: Affected communities should be given adequate notice and theyshould be advised of their legal rights, as well as provided with adequate informationpertainingtopossibleavailableremedies.

Activeparticipation:Involvestheestablishmentofacommunitydevelopmentforumwherethe community actively engages the municipality regarding access to adequate housing,provisionofbasicservicesandincrementalupgrading.

Thesepracticesarevitalelements formunicipalities toconsiderwhen theyundertakeanydevelopment strategy or activity that affects a community directly. The process ofmeaningfulengagementisdiscussedbelow.

2.2 Meaningfulengagementasabasisformeaningfulparticipation

Meaningfulengagementisviewedasthecoreprincipleuponwhichtheparticipatoryprocessshouldbebased. ItwasfirstsetoutbytheConstitutionalCourt intheOliviaRoadcase. Ingeneral,thecoreprinciplesofmeaningfulparticipationare:

• Individuals or communities should be treated as partners in the decision-makingprocess. Ifengagement takesplaceafter thedecisionhasbeenmadethen it isnotmeaningful(AbahlalibaseMjondoMovementofSAcase);

• Engagementshouldbeacombinationofindividualandcollectiveparticipation.Thereshould be a form of engagement between the community and community-basedorganisations,aswellastheindividualswithinthecommunity;

• Meaningful engagement should occur during all stages (decision-making, planning,implementation and evaluation) of an informal settlement upgrading process. Thisshould provide communitieswith reasonable opportunities to voice their concernsandtoparticipateeffectivelyinthedecision-makingprocess.

SeetheexamplebelowofThembalethuwheremeaningfulparticipationoccurred,accordingto a reviewbyAurecon: S.A. Case StudiesaboutMeaningful Participation is ISU (Aurecon,2014).



Keypoints

Meaningfulengagementthusincludes:

• Partneringwithcommunities:allowingcommunitiestosetouttheirneeds;• Facilitating community-drivenprocesses: e.g. it is easier for communities to gather

information,suchasenumeration,themselves,astheyalreadyknowthecommunity.This can be viewed as an early stepping stone for a community and municipalpartnership;

• Communities being involved in spatial planning. Negotiating the improved spatialorganisation of the settlement to assist with service delivery, better movementthroughthesettlement,andimprovedcommunityspaces;

• Working with community organisations and leadership: for example throughcommunity forums, identification (or creation if necessary) of settlement-levelstructures to assist municipalities to interact with, and understand, informalsettlementcommunities;

• Developing agreed processes for communication, discussion, decision-making, anddispute resolution. These need to be clear,well-structured and adopted by all thestakeholdersandrole-players.

The scale of the Thembalethu (George) project was much larger than conventionalupgradingprojectsas it is focussedon22 informal settlementpocketsof varying sizes,within and on the periphery of the formal Thembalethu precinct. Representativebeneficiaryliaisoncommittees(BLCs)operatedineachareaandwererepresentedonthewardcommittees.

Thedevelopmentobjectiveswerethusplannedandestablishedincollaborationwiththeparticipatory informal settlement communities and the surrounding formalisedcommunities. The development focused on 10 formalised areas (eight in situ and twogreenfields)andincludedtherelocationofapproximately4350beneficiaryhouseholdstotheirallocatedformalisedandfully-servicederven.

The community-based participatory planning, communication and dispute resolutionmechanismsfocusedonthefollowingoutcomes:

• Townshipestablishmentandinfrastructuredevelopment;• Theidentification,recordingandverificationofallbeneficiaryhouseholddata;• Theallocationofformalisedservicederven;• Theassistedrelocationofallbeneficiaryhouseholdstotheirallocatedervenand

there-erectionoftheirinformalstructures;• Processes for the granting of secure tenure and entering into formal municipal

serviceagreementswiththemunicipality.



2.3 Theparticipationcontinuum

In undertaking a participatory process, genuine and meaningful engagement must bedistinguished from superficial participatory forms. There is a critical difference betweengoingthroughanemptyritualandaprocesswheretheparticipantshaverealpowerthatcanaffect the outcome of the process. A good way to clarify the concept is to use theparticipationcontinuum.Thisdescribesthelevelsofparticipationasasequencegoingfromlittle(orno)participationtofullparticipation.

Participation through manipulation: Communities are only included for convenience andareusedmainlyforpoliticalgain,freelabourandcost-recoveryortomeettheconditionsoffunders.Noparticipatorydecision-makingoccurs.

Participation through information: No room is provided for communities to expressopinions or influence change, and the process is usually not transparent. The object is toreduce potential resistance to a project (by providing information, but not allowing anyinput).

Participationthroughconsultation:Forumsgivepeopleachancetosharetheirviewsonaplannedintervention.Theyhavelittlecontrol,butthereissomedegreeofaccountabilitytocommunities. Decision-making and information is controlled by an outside agency. Theprojectmaybeadaptedtosuitlocalneeds,basedontheinputprovidedthroughtheforums.

Participation through co-operation: Government and communities co-operate towards asharedgoal.Astrongformofcommunitydecision-makingisundertaken,oftenfacilitatedbya non-governmental organisation (NGO). Communities are involved at an early stage.Vulnerablegroupswithincommunitiesareencouragedtoparticipate.



Participation through full control: Communities are in control of decision-making andgovernment responds and supports. The community manages, implements and controlsinitiativesithasdesigneditself,accordingtoneedsandprioritiesithasidentified.

Thelevelofparticipationappliedwillvarydependingontheissuebeingaddressedandthestakeholdersbetweenwhomanengagementshouldoccur.Onelevelofparticipationisnotbetter than another level on the continuum. However effective participatory processeshappen if and when people and organisations are convinced that their interests will bebetter served within partnerships rather than without them2. Therefore, what is neededfromthebeginningisthecleardefinitionofthelevelofparticipationthatisbeingaimedatand the outcomes that can be both expected from it and achieved by it. This will allowcreatingandorganisingamore structuredandmeaningfulparticipatoryprocess,whichallpartnerscancommittofromthebeginning.

3. Participationduringdifferentstagesofupgrading

3.1 ProgrammelevelSo far we have emphasized that participation is not a one-off event or even a series ofevents,butthatitisanongoingactivitytobeincludedinallphasesofanupgradingprocess.Participationbecomesespeciallyimportantatparticularpointsoftheupgrade,suchaswhendecisionshavetobemadeaboutthingsthatwillaffectthenatureofthesettlementorthelivesofthosewholiveinit.

Participation needs to be built in at both the municipal programme level and at thesettlementproject level.Attheprogrammelevel informalsettlementupgradingisplannedacross many different settlements within the same municipality, as we saw in theThembalethuprojectpresentedabove.

Theprocessofdevelopingamunicipalinformalsettlementstrategyandprogrammerequiresinformation in order to assess and categorise informal settlements.The process of gathering the information, aswell as the process ofcategorising the settlements, provide opportunities for involvingcommunityrepresentativesinprogrammelevelactivities.

3.2 Projectlevel

Participation isneededthroughoutanupgradingproject.The intensityofparticipationcanvary across the life of a project, and so can the depth of participation and extent ofcommunitycontrol.Thisideaofvariationiscapturedinthediagrambelow,wherethelevelsofparticipationare shown in the lefthandcolumnand the lifeorprogressof aproject isshownacross thetop.Thetablehighlights thatsubstantialcommunity input isparticularlyimportantwhenkeydecisionsaremade,oftencalledtheplanningphaseoftheproject.

2Hamdi,2004,p.30

SeethevideoThandiandtheIDP



During the application and initiation stages it is crucial to join the community and theoutsidersindebateandnegotiation.Thisisthestageatwhichanumberofkeydecisionsaretaken. Therefore, the recommendation is that there is shared control so that all vestedinterestscanbeconsidered.

Duringthelaterstagesfullcommunityinvolvementmaybelesscrucial,ifdecisionsareclearin the planning stage. During implementation, for e.g., participation can vary through alllevels(seebelow). Insomecases implementationisbettercarriedoutbythemunicipality,becauseofthetechnicalcomplexity.Inothercasesresidents’involvementisoptimal.

At the maintenance stage both the municipality and community should be involvedaccording to their abilities. For e.g. day-to-daymaintenance of school buildings could bemanagedbycommunitymembers,whilemajorrepairsshouldbemanagedbymunicipalitiesastheyrequiresignificantfinancialresourcesandtechnicalskills.However,formaintenanceto be successful there should be agreement on the clear anddefinite tasks of each partybasedonarealisticassessmentofcapacity.

ParticipationintheUISPphasesPhase1–Application:Intheearlystagesdifferentlevelsofcommunityengagementcanhappen,butUISPrequiresthatthecommunitymusthavearole,andtaketheinitiativeifneeded.Thisallowstheprocessofanupgradetostartfromabottom-upapproach,notwithanimposeddecisionfromoutside.Municipalitiescansecuresupportfortheprojectandmeettheapplicationrequirementsofthepre-feasibilityreport.Participationcanalsooccurwhencommunitiesputpressureonmunicipalitiestoundertakeaproject.Phase2–Initiation:Bothfullcontrolandco-operation,andataminimumconsultationcanwillensurethatthebusinessplansubmittedreflectsandincludesthecommunity’sneeds.



Phase3–Implementation:Arangeofparticipationlevelscanbeusedtoenablecommunitiestoparticipateinimplementationdecisionsandtoinformthemofprogressasimplementationisundertaken.Phase4–Consolidation:Theparticipationlevelusedwilldependonthebasisbywhichconsolidationisundertaken.IfthePeople’sHousingProcessisundertakenthelevelwillbefullcontrol.Ifasubsidisedhouseisbeingprovidedtheninformingwouldbeapplied.

4. Stakeholdersinupgradinginitiatives

Inaparticipatoryprocess,theselectionoftheparticipants/stakeholdersisheavilyinfluencedbythescopeandthescalethattheproject ismeanttoaffect.Wehavereferredearliertoparties,participantsorstakeholdersintheparticipationprocess.Butwhoarethey?Oneofthe important obligations to be taken by the entire group of initial participants is acommitment to an open and inclusive style of working, with new stakeholders beingadmittedastheybegintoplayaroleintheplanningprocess,eveniftheywerenotpresentatthebeginningoftheprocess.

Variousfactorsmustbecarefullyconsideredintheinitialidentificationofparticipantsforaparticipation process (considering both informal networks and marginalised groups). Thisstep is called stakeholdersanalysis and selection, and is a vital tool forunderstanding thesocial and institutional context of a project or area. Stakeholders are people, groups, orinstitutionswho are likely to be affectedby a proposed intervention (either negatively orpositively), or thosewhocanaffect theoutcomeof the intervention. Stakeholderanalysisprovidesafoundationandstructurefortheparticipationprocess.

4.1 Stakeholderanalysis

Stakeholderanalysisincludesaconsiderationof:

• Whowillbeaffectedbytheproject(positivelyornegatively)?• Whocouldinfluencetheproject(positivelyornegatively)?• Whichindividuals,groups,oragenciesneedtobeinvolvedintheproject?• Howwilltheybeinvolved?• Whosecapacityneedstobebuiltupontoenablethemtoparticipate?

Therearenofixedrulestoselectingthestakeholders,buttherearegeneralprinciples.Oneprincipleistopromotetheinclusionofawiderangeofdifferentinterestgroupssuchas:

• Localresidents• Councillors• Councilemployees• Membersofacommittee• Membersofapoliticalparty• Parents• Land-owners



• Landlords• Membersofcampaigngroups• Specificethnic/religious/culturalgroups.

Theguidelinesforselectingotherstakeholdersinclude:

• Those who must be involved in decision-making because they can help, such asrepresentativesofthemajorauthoritieswhocanbringresourcesintotheprocess;

• Those who cannot be excluded from decision-making because they could pose athreat. Certain strong interests could destroy the process from the outside, but iftheyareincludedratherthanexcludedfromacollectivedebateandnegotiation,theriskwilldecrease(itismuchhardertodestroytheprocessfromtheinside);

• Thosewhowould like tobe involved in thedecision-making:thosewhomustlivewiththeprocessandtheproducts,suchasneighbouringcommunities thatwillnotbenefitdirectly,butcouldbeaffectedbytheprocess;

• Those who may not be decision-makers, but should be present to support thedecision-makingprocess:suchasintermediariesandcapacitybuildingsupport.

4.2 IdentifyingkeystakeholdersandgainingentryIn2013aSouthAfricanNGO,theDevelopmentActionGroup(DAG),supportedtheCityofCapeTowninparticipatoryactionplanningprocessesinanumberofinformalsettlements.In terms of meaningful participation, DAG noted that the first step is to ensure that allstakeholders are on board. Identifying key stakeholders, and gaining entry to an informalsettlement, is a complex process and needs to be informed by an understanding of localleadership, social groups and power dynamics. This requires a comprehensive scoping ofstakeholders.Thisisdoneinavarietyofways:

• Viaone-on-onemeetingswith councillors,wardcommittees, localNGOsand socialmovements;

• Throughworkshopswithcityofficials;• Through introductory meetings and site visits with local community-based

organisations;and• Byestablishinglocallevelinstitutionalarrangements.

This initialprocessofgainingentry iscritical forbuildingtrustand it iswisetoemploytheskillsofanexperienceddevelopmentfacilitatoratthisstage.Theprocessformsthebasisforthefutureinstitutionalarrangements,soitisworthtakingone’stime.Italsohelpstoensurethat gatekeeping is prevented in the future. This baseline and entry stage could takeanywherebetweenoneweektoafewmonths.



4.3 Inwhatwaycanparticipationbestructured?

Establishinginstitutionalarrangements

A range of institutional arrangements can be established once there is consensus andagreementonthelevelanddetailofparticipatoryplanningrequired.Forinstance,thiscaninclude a working group or a project steering committee (PSC). During the subsequentstagesoftheplanningprocessthePSCorworkinggroupwillplayakeyrole inguidingtheinformal settlement upgrading intervention and in keeping stakeholders informed onprogress. Building the capacity of a PSC or working group is critical to the success,accountabilityanddevelopmentoftheselocallevelinstitutionalarrangements.

The institutionalarrangementscanbe formalisedviaaMemorandumofUnderstandingorotherkindofformalagreementbetweenthestakeholders.

Structuresandorganisationalframeworks

Depending on the size, nature and complexity of the scope of an informal settlementupgradingprojectorprogrammeandthemunicipalenvironment,arangeoforganisationalstructuresmaybeappropriate,suchas:

Communitycommittee:Thismustincludeallpartieswithinthecommunitywhoshouldbeconsulted consistently. This committee should be nurtured and capacitated to be aseffectiveaspossible,particularlyinunderstandingissuesandcommunication.

Co-ordination committee: This is to keep actors in touch and informed. It is a networkstructure rather than a decision-making body. It is important in complex projects wheremultipleagenciesareinvolved.

Steering committee: This guides the process and is normally used to decide upon policyissues that are required by operational structures. It could provide a policy framework inwhichtheworkshouldproceedandmonitorapplicationofthispolicy.

Project committee: This is created tomanage the project and has the authority tomakedecisionswithin the limits of approvals grantedby a higher body for implementation andfinancing.Thefocusofthiscommitteeisondeliveryandresolvingproblems.

Sub-committeeandtaskteam:Thesearesmallstructureswithspecificandoftenshort-termresponsibilities. They can be useful for focusing on specific tasks and dissolved uponcompletion.

Wardcommittee:Awardcommitteeconsistsofthecouncillorrepresentingtheward,whomustalsochairthecommittee,andnotmorethan10otherpeople.Wardcommitteesareseenasthevehiclefordeepeninglocaldemocracy.Itisatthelocallevelwithinwardsthatalldevelopmentissuesconverge.Wardcommittees,therefore,haveacrucialroletoplayasaninterfacebetweengovernmentandcommunities(notjustlocalgovernment).



Communitydevelopmentworkers(CDWs):Communitydevelopmentworkersaredeployedby government towork in communities tomake sure thatpeople canaccess governmentservices.Theyhavetogiveadvice,helppeoplewithproblems,assessneedsandworkwithlocal organisations to build partnerships with government. They usually know thecommunitywell,havegoodcontactswithorganisationsandcanhelptodoconsultationandresearch,spreadinformationandmonitorimplementation.

Theparticipatoryplanningteamwillneedtoworkwiththeseorsimilarstructurestoenableparticipation. The selection of the most suitable institutional arrangements and therelevantorganisationalmethodtobechosenfortheinformalsettlementupgradeprocess,constitutesthebasicorganisationalframeworkformeaningfulparticipation.

Inmanycasescommunityparticipationmustgobeyondtheuseofward committees, but aims at defining arrangements that willprogressivelytransfercompetencesanddutiestothecommunityitself. Municipalities should also establish whether communitydevelopmentworkers areavailableandwherepossibleutiliseCDWs incollaborationwithwardstructures.

5. Participatorymethodsandtechniques

5.1 OverviewofparticipatorymethodsThere are various tools that can be used to involve people in the different parts of anupgrading process, but it’s not possible to create a universal recipe for participatoryprocesses. No one approach is applicable to all situations. Here we use the phrase“participatory methods” to describe the collection of tools that can be put together toachieveacertainpurposeorgoal.

There are participatory methods for analysis and planning and methods for doing andreviewing.Thedifferencesbetweenparticipatorymethodslie intheirpurpose,thelevelofparticipationtheyaimtoachieve,andtheirguidingprinciples.Somemethodsarelargescaleandmulti-sectorial,othersaremorefocusedinscope.Itisimportanttoclarifythepurposeanddesiredlevelofparticipationthroughoutthedevelopmentprocess,beforefocusingonamethod.

For informal settlement upgrading international agencies such as the World Bank, UN-Habitat and TheCitiesAlliance tend to recommend community-level or community-basedplanningmethods.Actionplanningisoneofthemethodsthathasbeenusedsuccessfullyininformalsettlementsituations.

Actionplanningaimsatempoweringcommunities todesign, implementandmanagetheirown upgrading projects. It is community-based, problem-driven and designed to create

Section12discussesinstitutionalarrangements.



policiesfromthegrassrootslevel.Itisaproject-linkedmethodthat focuses on the planning phase of a project where anumberofkeydecisionsaregenerallymade3.

LateroninthisSectionwedescribeanactionplanningprocessusedto identifydevelopmentpriorities inanarea. It’soneof theeasiermethodstouseandhasbeenusedsuccessfullyinSouthAfrica.

First,however,wewill introducesomecommunicationskillsthatwillencouragediscussionandconversation.Thenwewill introducesomeofthetoolsandtechniques–theactivitiespeoplemightgetinvolvedin–toprovideafeelforthekindsofactivitiesthatareusefulinparticipatory processes. Later, in describing an action planning process youwill recognizewheresomeofthesetoolshavebeenused.

5.2 CommunicationskillsforaparticipatoryapproachThere are many tools and techniques for encouraging community participation in aninformalsettlementupgradingprocess,butthemostimportanttoolisyou!Nomethod,toolor technique will work if the person using them has poor communication skills or a badattitude.Inthissectionwewilllookatafewkeypointsaboutcommunicatinginawaythatencouragesparticipation.

Achievingmutualunderstanding

Communicatingmeansmakingsurethatyourinformationgetsacrosstoanotherpersoninsuchaway that theycanunderstand it in thewayyoumeant it. Itmeans listening to theotherpersoninsuchawaythatyouunderstandthemandwhattheyreallymean.Itinvolvessendingmessagesandreceivingmessages.Communicationisatwo-wayprocess.

Most people understand that communication is the process of sending, receiving andinterpreting messages; but what we often forget is that the goal is shared meaning.Conversationsneedtoresultinmutualunderstanding.Communicationiseffectivewhenthemessagessentisthesameasthemessagereceived.Forthis,communicationmustbetwo-way.

ActiveListening

OneofthekeyprinciplesarisingoutoftheConstitutionalCourtcasesontherighttohousingisthatmunicipalitiesmust listentotheircitizens.Municipalitiescannot listen–thepeoplewhorepresentthemunicipalitymustlisten.

3Hamdi&Goethert,1997,p78



Checkformutualunderstanding

Ausefulcommunicationskilltokeepadiscussionontrackistocheckforunderstanding.Youmight need to check for understanding if something about an important part of thediscussionisuncleartoyou.Usephraseslike:

Letmecheckmyunderstandingofwhatyou’resaying.

So,areyousayingthat…?

Checking for understanding can also mean that you check that the other person hasunderstoodwhatyouhavesaid.Usephraseslike:

Doweagree(ordisagree)that…?

WhatdoyouunderstandbywhatIsaid?

Checkingforunderstandingbuildsmutualunderstandingandeffectivecommunication.

MeetingpersonalneedsandpracticalneedsAnother key principle arising out of the Constitutional Court cases is that municipalitiesshouldcareabouttheircitizens.

Weallbringneedstoeveryinteractionthatwehavewithotherpeople.Foranyinteractionto be effective, including a discussion on housing, two kinds ofneedsmustbemet–personalneedsandpracticalneeds.Personalneedsarebasichumanneedsthatweallhave.Practicalneedsarewhatyouwanttoachievebyhavingtheinteraction.

Personalneedsarebasic,weallneedtofeel:

• Heardandunderstood;• Respectedandvalued;• Trusted(andabletotrust);• Meaningfullyinvolved;• Supported;• Empowered.

Respondingwithempathy

ThewordempathycomesfromtheGreekwordpathoswhichmeansfeeling.Peoplecomewithavarietyoffeelingsdevelopedfromtheirpreviousexperiences;andfeelingsarealwayspresent in all human interactions. Responding with empathy means understanding whatanotherperson is feeling,andwhathasmadethemfeel thatway,andthenresponding inwordsthatshowthatyouunderstand.

Empathybuildsmutualunderstandingandtrust.Youdon’thavetobeinthesamesituationyourself and you don’t have to agree with how the other person feels. Responding with



empathyshowsthatyouunderstandthem,notthatyouagreewiththem.Empathymeansseeingthingsthroughtheotherperson’seyes.

Aneffectivestatementofempathyincludestwoelements:

• Correctlyidentifyingthefeelingthatisbeingexpressed;and• Arestatementofthecontentofwhatthepersonsaidthatconveyedthefeeling.

Herearesomeexamplesofempatheticresponses:

o Youseempleasedthatthefirefighterswillbeabletoreachtheshacks.o Iunderstandthatyoudon’ttrustusbecauseyoufeelthecouncilhasoftenbrokenits

promisesandyoudon’tbelievethatweareactuallygoingtodothisthing.

Whentheotherperson’sfeelingsarepositive,youhaveanopportunitytobuildonthemtohelp create an enthusiastic atmosphere. When thefeelings are negative, listening and responding withempathy will communicate that you have heard andunderstandtheirconcerns.

5.3 Tools and techniques for aparticipatoryapproach

Toolsforcollectinginformationandbuildingrelationships

Listening (e.g. through interviews): Information gathering needs to be done inways thatmakepeoplefeelcomfortableandwillingtocommunicate.Thefollowingtechniquescanbeused:

• Whentalkingtolocalpeople(men,women,children,shopkeepers,respectedeldersandotherkeyinformants),andlisteningtotheirneeds,problemsandaspirations,itisessential toknowhowandwhythingswork,ordonotwork,andwhosuffersorbenefits.

• Individual interviews, community or group and focus group discussions are alsousefultechniques.

Looking and observing: Carefully observing the environment allows you to compare theactual circumstances that need to be addressed or taken into consideration, withinformationthatmightbeonmaps,plansorotherdocuments.Itispossiblethatinformationcollected previously is out of date or inaccurate. Useful information to inform futureimprovementscouldincludewhererubbishaccumulates,whatkindsofbusinessesarerun,fromwhichhomes,andwherethetransportpointsare.

Measuringandlearningfromwhatexists:Forexample,theremaybeexistingfootpathsorroadsthataresmaller thanspecifiedtechnicalstandards,butwhichcanbethebasis fora



discussion onwhat canwork in the future improvements. Using this tool emphasizes thestartingpointofwhatalreadyexistsandhowthisisviewedlocally.

Mapping andmakingmodels (drawingwith everyone):Alternativekindsofmaps canbecreated that reveal social and political relationships in an area. The idea is for allstakeholderstorecordinthemaptheirperceptions,feelings,sentiments,prejudices,wants,needsandsuggestions.

This technique can uncover which people have influence, who owns what, how thesettlement isusedbydifferentagegroups,differentreligiousorders,whogoeswhereandwhen,whouseswhatandsoon.Aphysicalmodel(builtinminiatureoutofscrapmaterial)can be used to show specific situations difficult to see in the maps. This technique isimportant in breaking down barriers between experts/outsiders and the community andbuildingasenseofco-operationamongparticipants.

Resource surveys and skills inventories (what exists locally that can be used andsupported?):Theaimistofindhumanresourcessuchasteachersandelectricians,andtheavailability of equipment such as vans, which can be used in the project or supportedthroughtheproject.(Thisisdiscussedinsection5.4.)

Fourtechniquesthatencouragesharingofideasandknowledge

These four techniques can be used for different purposes and at various stages in theplanningorimplementationofanupgradingprocess.Theyaretechniqueswhichencouragethesharingofideas,exposuretodifferentpointsofview,andlearningfromoneanother.

Brainstorming (all ideas count): This is a process of encouraging the sharing of manydifferentideas,includingunusual,new,untriedandevenimpracticalsuggestionsthatmightsparkfreshpossibilities.

Games and role-play: Stepping into other people’s shoes or putting yourself in theirsituationcanbeusedtobuildawarenessandsensitivitytopointsofviewdifferenttoyourown.Itcanbeusedtoshowthatdifferencesarenotnecessarythreatening,anditcanalsobeagoodtooltobuildawarenessoftheneedsanddesiresofgroupsofpeoplewhoarenotwellrepresented.

Groupworkandintermixing(expandingperspectivesbylearningfromothers):Groupworkdeliberatelymixestogetherpeoplefromdifferentdisciplines,genders,agegroups,andskills.The idea istoexposeparticipantstoawiderangeof interestsandviewpointsatthesametimethatitbuildsco-operationandtrust.

Prioritizing(whatneedstobedonefirst):Itisimportantforallstakeholderstobeinvolvedin the process of defining and ranking (scoring) priorities. An easyway of doing this is todecidewhatneedstobe,andcanbedonenow,soonandlater.

Whenusingallthetoolsandtechniquesdescribedabove,youneedtolistenandcare,sothateffectivecommunicationhappensandthereismutualunderstanding.



5.4 Communitysurveys

Thisisabroadtermtodescribegatheringdataaboutthecommunity,withthecommunity.Differenttypesofdatacanbegatheredasfollows:

• Demographicprofile:Thisfocusesongatheringusefulinformationaboutthepeoplewholiveinanareainordertoinformwhatneedstobeaddressedandwhathumanresources there are. It seeks to understand the demographic profile of thecommunity so as to supportmore informeddecisionsondevelopmentoptions. Toavoid data-gathering for its own sake, it is important to have a fairly clear idea ofwhattheinformationisneededbeforeembarkingongatheringit.ForexampleintheCaptain Charles informal settlement near Bethlehem in the Free State, specificinformation was sought on how people in the settlement get an income. Thisinformationwasusedtoplanwaystosupportincomegeneration4.

• Analysisofriskfactors:Thisuseslocalknowledgetoidentifyissuesthatposearisktothecommunity.Anexampleofoneofthetoolsofanalysisiscrimemapping.AmapproducedthroughtheViolencePreventionthroughUrbanUpgrading(VPUU)projectin Khayelitsha shows the places in the settlement where different kinds of crimeoccur. It isusedtogainabetterunderstandingof the trends,patternsandspecificcharacteristicsofcrimeinthearea,sothattailoredresponsescanbedeveloped.

• Asset inventory: This is a way of taking stock of existing positive features andstrengthsofasettlement. Itproducesa recordof informationonskillsandtalents,formalandinformalassociations,localinstitutions,cultureandheritage,physicalandeconomicassets5.BelowisanexampleofhowitwasdoneinMonwabisiParkinCapeTown, with student partners from theWorcester Polytechnic Institute Cape TownProjectCentre6.

4KayamandiandHDA,195PPTandHDA2014:486Adapted from the executive summary of Profiling Community Assets inMonwabisi Park, Cape TownWPI Cape TownProjectCentre2010



5.5 Actionplanning

Action planning is a term used for the participatory process of identifying key issues andagreeingonpriorityprojectsinacommunity.Therearemanytechniqueswhichcanbeusedtoencouragepeople toparticipate, identifyand recordwhatpeopleexpress, reviewwhathasemergedandcollectivelyprioritiseandidentifyactionsteps.Thisisnormallyafacilitatedprocessthattakesplaceoveraperiodoftimeinaseriesofparticipatoryforums.

Actionplanning:Anexampleofhowitisdone

In thissectionwegiveanexampleofactionplanning.Herewedrawfroma formof rapidactionplanningwhichfocusesonidentifyingdevelopmentpriorities,asimplementedbytheNGODAG.TheDAGapproachtorapidactionplanning involvesthreeworkshopshostedatthe local settlement level. These sequential workshops engage local participants in theprocessofidentifyingtheirkeydevelopmentprioritiesovertheshort-,medium-andlonger

Asset-based community development is a community-driven approach to compiling aninventoryof communityassets.Thegoalof thisprojectwas to createadocument thatdescribes the economic, social and cultural resources of Monwabisi Park throughextensive community collaboration. It is a snapshot taken in2010and thus servesasabaselineagainstwhichfutureprogresscanbecompared.Theinventorywasbuiltonthefollowingactivities:

• Interviews were conducted with key informants in Monwabisi Park to identifyphysicalandsocialassets;

• A list of potential assets was developed to gather information on crèches, thecommunityhall,theweekendpatrolandyouthgroups;

• A profile for specific assets was developed including a general description,background information, history, impact on the community, current initiatives,andpersonalgoalsofthecommunitymemberwhowasbeinginterviewed;

• Follow-upinterviewswereconductedwiththeleadersofthefollowingkeyassets:churches,youthgroups,spazashops,barbershops,hairsalons,acommunityhall,theweekendpatrol,andcrèches;

• A skills checklist was developed with the following nine categories of skills:communication, leadership, entrepreneurship, cultural knowledge, caring,building,crafting,musical,andengineering/automotiveskills.Eachassetprofileintheinventoryincludesthischecklistandindicateswhichskillsareusedortaughtthroughassetactivities.

Theprojectalsofocusedonhowtocaptureandrecordthe information. In thiscaseanelectronicdatabasewascreatedandcommunity facilitatorsweretrained toupdate theinventory.



term.Oneofthekeyoutcomesisthatlocalpartnershipsbetweenthelocalcommitteeandthemunicipalityarestrengthenedand,overthelongerterm,themunicipalityhastheabilitytoplanandimplementinformalsettlementupgradinginterventionsinamoreprogrammaticmanner.

Theworkshopsareheldbothinaclosedworkshopsetting,aswellasonsiteinthetargetedinformal settlement. Awide range of participatorymethods and tools are used to enableparticipation. Experienced facilitators, including a participatory architect or planner anddevelopmentfacilitator,facilitateandguidetheworkshops.

Theworkshopsareattendedbyawide rangeof stakeholders, including community-basedorganisations, local ward councillors and ward committee members, informal settlementresidents and officials from the municipality such as planners, field officers and projectmanagers. Themorediverse the stakeholderparticipation is, thegreater the likelihoodofnewandexistingpartnershipsbeingforged.Thisaspectiscriticaliftheprocessofplanningistobetakenforwardintotheimplementationphase.

Thethreeworkshopsinclude:

Workshop 1: Introduction to participatory action planning (rapidapproach to identifyingstakeholdersandreachingconsensusonthepurposeandprocess).TheaimofWorkshop1isto introduce participants to action planning principles and practiceswith the intention ofachieving consensus on the purpose and process. The workshop focuses specifically onidentifyingthespecificrolesandresponsibilitiesofkeystakeholders.Understandinghowthesettlement has changed over time, in the short-, medium- and longer term, is a keyworkshopactivity.

Workshop2:Communitymapping (rapidapproachto identifyingandmappingsettlementpriorities). This involves local residents working with aerial photographs to map relevantsettlementinformationsuchasthelocationoftoiletsandstandpipes,highriskfloodareas,localshopsandshebeens,crèchesandchurches,movementroutesforcarsandpedestriansandpublicopenspaces.Theaimofcommunitymappingistoenablethelocalstakeholdersandofficialstoidentifyandlocatekeysettlementpriorities.This,inturn,providesthebasisfor robust settlement level plans, exact locations for improved services or the basis forfuture landuseand layouts. It canalsobeused toenhance securityof tenure, somethingthatwillbediscussedinalatermodule.Communitymappingisfirstintroducedinaone-dayworkshop on thinking spatially, i.e. how to use aerial photography and GIS, and thenprioritizingthemappingexercise.Thisworkshopisfollowedbyafour-weekperiodofon-sitemappingbylocalvolunteers.

Workshop 3: Development options (rapid approach to identifying settlement leveldevelopment options). The aim ofWorkshop 3 is to rapidly identify a number of prioritysettlement-level development options for the short-, medium- and longer term (thisparticipatory planning tool is known as the scenario planning workshop). The workshopbeginswithananalyticalreviewoftheprofileandsettlementlevelmapping,followedbyadetaileddiscussiononemergingopportunities,constraintsandconsiderations.



A series of priority recommendations arises from this discussion. These recommendationsarebasedonprinciplesofsustainablehumansettlementsandintegrateddevelopment.Therecommendationsincludeinformationon:

• Whatkindsofissuesthecommunitycanattendto;• Whatisrequiredfromthemunicipalitytoaddresskeychallenges;• Whatkindsofservicesneedtobedelivered;• Whatthepotentialjointissuesandactionstobetakenare.

DAGnotesthatoncearapidparticipatoryactionplanningprocesshasbeenconcludedonecanmoveontothesubsequentphasesofthedevelopmentprocess.

But DAG also cautions that citizens’ expectations are raised as settlements engage in anactionplanningprocess.Theprocessoutlinedaboveequipscommunitygroups,whoareleftwith detailed settlementmaps and planning tools, and somebasic ability, to identify andprioritise development interventions. Conducting an action planning process requiressupport to identify resources, such as funding and linking to funding processes andproceduressuchastheUISP.

There is often a time-lag between the devising of action plan priorities and actualimplementation, and it is important to prepare participants for this reality. It is alsoimportanttoclarifyrolesandresponsibilitiesinmovingthedevelopmentplansforward.

Applyingtheactionplanningmethod

The action planning method has been used not only at the project level, but also as amethodofengagingcitizensinvariousways,suchasincity-wideplatforms,ataprogrammelevel,aswellasinneighbourhoodsandinsettlement-specificworkinggroups.

At the programme level relevant activities also include developing policies. This requiresconsultationandnegotiationofpriorities,strategiesandpolicieswithrepresentativesofthedifferent communities that will be affected by the programme at large. At this levelparticipatorytechniqueshavetobethoughtaboutonadifferentbasis,optingfor instancefor a round tableor a focus group. In round tablediscussionsandworkshops, there is anemphasisonenablinganinclusiveprocessfordiversestakeholders.

Ataprojectleveldifferentsituationsrequiredifferentorganisationalsettings.DAGsuggeststhefollowing:

• InsettlementswithUISPfundingwhichhaveundergoneapre-feasibilityorientation,a project steering committee (PSC) is set up and the three phases of the actionplanningprocessundertakentodeterminedevelopmentpriorities;

• Insettlements locatedon landwhichdoesnotallowfordevelopmentandqualifiesforinterimorbasicinfrastructuredevelopment,workinggroupsaresetupwhicharenotformalPSCs;

• At the project level, working with an area-based approach, – considering partialsectionsofanentire, large-scalesettlement–neighbourhood-scaleworkinggroups,



rather thansettlement-specificonesaresetand thePSC remains representativeofmanysmallerinformalsettlementsinanarea.

Insomeneighbourhoodsorsettlementsthatmaynotyetbereadytoundergoathoroughactionplanningprocessduetocomplexpoliticalorsocialdynamicsthatrequireresolutionata settlement level, the approach is to undertake a rapid settlement assessment. This iscompiled as a profile that canprovidedeeper insight andunderstandingof obstacles andconstraintsthatneedtobeovercomeinordertoundertakeafutureactionplanningprocesstowards informal settlement upgrading in the settlement. General principles to take intoaccountinsettingupanyparticipatoryactivityinclude:

• Diversity: Including gender, race, ethnicity, age, social status, geographic location,economicstatus,lifeandworkexperience,andpoliticalaffiliation;

• Equity:Equityofrepresentationandaccesstopowerandinfluence;• Openness and transparency: Sharing ideas and information, open to outside

scrutiny, encouraging input from outside the participating team and open toexpansionofmembership;

• Accountability:Assigningauthorityandresponsibilitytogether;• Trust:Loweringbarriersandensuringhighqualityinteractions.

5.6 RiskandvulnerabilityindexMovingbeyondanassessmentofoneindividualsettlement,thereare examples of surveys and evaluations which consider therelative or comparative levels of risk between a number ofinformalsettlements.Thisisusefulforamunicipalitywhentryingtodecidethemosturgentsituationsofneed,andhowtoprioritiseresponses.Anexampleisthe assessment of informal settlements carried out by theWestern Cape Department ofHuman Settlements. This considered things like levels of overcrowding in the settlement,risk of fire and flooding. The assessment therefore considered both risk according toeveryday livingconditions in thesettlement,andtheriskofdisaster. Itdidthisacross262informal settlements. This allows for prioritisation and targetingof help to settlements athighestrisk.

6. Participationischallenging

Developingameaningful participatoryprocess is about creatinganenablingenvironment,withappropriatechannelsofcommunicationandallocatingthetimeandresourcesneededtopromoteit.Thesuccessofaparticipatoryinformalsettlementupgradingprocessdoesnotonlydependonthedegreeoforganisationandthecharacteristicsofthecommunity.Italsodependsonthesupportofexternalactors(publicand/orprivateagenciesandotherexternalstakeholders)forfunding,organisingandprovidingthetechnicalassistancerequiredwithintheprocess.



This sort of externally generated enabling framework can be questioned by saying that itopensthepossibilityforoutsideinterestsormanipulation.Similarly,thereareconcernsthatsome stakeholders can undermine the process. For instance, professionals,while bringingtechnicalexpertiseandexperience,maythinkcommunityparticipationwilljeopardisetheirprofessionaljudgementsandstandards.

Communities may also be reluctant to engage, due to lack of faith in decision-makingprocesses, having been denied access in the past, having seen broken promises, or notknowinghowtoengage,orbeingintimidated.

Further,underconditionsofpovertyandstress,andwithoutsomesortofsecurityinplace,itis difficult for informal dwellers to engage in processes that are considered to be time-consuming.

However, against all these odds,meaningful participationwill constitute a solid base thatcan limit interest groups from manipulating the outcome of the informal settlementupgrading programme or project. Meaningful participation can be a mechanism for thecommunitytoprogressivelyre-gaintrustintheprocessandinthemunicipality.

Participatorymethodshavethepotential tobringtogether informationfromadiversityofsources,rapidlyandcost-effectively.Theycanactivatesynergiesandmaximizeresourcesinupgrading projects, startingwith considering the community themost important of thoseresources.Thefollowingcancontributetoprojectsuccess:

• Theprojectstrategyandimpactarerelevant;• Stakeholdersarerepresentative;• Understandingofthedevelopmentprocessesisreliable.

In conclusion, this Section underlined the need to create externally generated support tocommunities in the context of informal settlement upgrading, in order to get greaterinvolvement and to achieve a better synergy within an effective incremental upgradingprocess.Alloftheseactionsareobviouslyextremelydependentonthe levelofwillingnessand commitment of the outsiders to the communities, especially the political institutionsandactors.Thesuccessfuloutcomeofaparticipatoryinformalsettlementupgradingprocesswithcommunitieswillmanifestonlywithcollectivewillingnessand thesharedgoalof theco-creationofliveable,healthyandwell-developedneighbourhoods.

Toolkit

YouwillfindthefollowingresourcesontheToolkitCD:

• FinalReportGuidanceNotesOnParticipatoryActionPlanning(PAP)ForInformalSettlementUpgrading(ISU),DAGandNationalDepartmentofHumanSettlements,2014.

• DraftGeorgeCommunityBasedParticipationandPlanningStrategy(Aurecon,2014).



• Video:TheFlamingoParkRe-blockingProcess(CORC)• Video:ThandiandtheIDP(AfesisandNDHS)

ReferencesandResources

• RGoethert,UnderstandingParticipationinTermsofScaleandSpeed,presentationtoScaling-upUpgradingandAffordableHousingworkshop,Jaipur,India,2010.

• S.Charlton,“Learningfromthelocal:ExperiencesofinformalsettlementupgradinginKwazulu-Natal”,SouthAfricanReviewofSociology(previouslySocietyinTransition),2006

• B.vanHoren,“InformalSettlementUpgrading:BridgingtheGapBetweentheDeFactoandtheDeJure”,JournalofPlanningEducationandResearch,2002.

• L.MacPherson,“ParticipatoryApproachestoSlumUpgradingandPovertyReductioninAfricanCities”,HydraInterdisciplinaryJournalofSocialSciences,2013.

• I.ImparatoandJ.Ruster,SlumUpgradingandParticipation.LessonsfromLatinAmerica,WorldBanked.,2003.

• K.Pateletal.,“ASuccessfulSlumUpgradeinDurban:Acaseofformalchangeandinformalcontinuity”,HabitatInternational,2013.

Videolinks• “ThePromiseofParticipation”:

https://www.youtube.com/watch?feature=player_detailpage&v=w3UuyyFOfyw• “ParticipationinPractice”(NabeelHamdi):

https://www.youtube.com/watch?feature=player_embedded&v=7r9IYl4CtKI• ParticipatoryPlanning-TheCommunityActionPlanningMethod:

https://www.youtube.com/watch?v=cGpAQz--4nM• ParticipatoryPlanningProcess(focusonhousinginAhmedabad):

https://www.youtube.com/watch?v=hPvzDJ2raQo• “Apolicyandstrategyforupgrading”:https://www.youtube.com/watch?v=twBtIX3eZGQ• “IntegratedDevelopmentPlanningProcess:Tandy’sStory”:

https://www.youtube.com/watch?v=ILb0CZoOdnc• “TheBellagioInitiative:OnCommunityParticipation”:

https://www.youtube.com/watch?feature=player_detailpage&v=Z87j9-3DWOQ• “UNParticipatorySlumUpgradingProgrammeDocumentary”:

https://www.youtube.com/watch?feature=player_detailpage&v=KO_zxTeT87o

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