Eiweida, Ahmed (2000) The institutionalisation of urban upgrading processes and community ...

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Eiweida, Ahmed (2000) The institutionalisation of urban upgrading
processes and community participation in Egypt. PhD thesis.

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OF URBAN UPGRADING PROCESSES AND
THE INSTITUTIONALISATION
COMMUNITY PARTICIPATION IN EGYPT
BY
AHMED EIWEIDA
THESIS SUBMITTED FOR DEGREE OF DOCTORATE OF PHILOSOPHY,
DEPARTMENT OF GEOGRAPHY AND TOPOGRAPHIC SCIENCE,
UNIVERSITY OF GLASGOW
FEBRUARY, 2000
©.
AHMED EIWEIDA, 2000
ABSTRACT
Urban low-income in developing has limited impact the
upgrading of areas countries a on
inhabitants' lives if it the improvement housing its
simply means physical of and
If is to be `sustainable', it incorporate
surrounding environment. upgrading should
`empowerment', such that the beneficiaries' are able to act independently and to
in future
participate activities with the state and civil society organisations after a project's
The institutionalisation is
completion. of sustainable upgrading understood as a range of
by local the
processes which government and community participation ensure continuation
of valued neighbourhood outcomes.
The through
achievements of urban upgrading are analysed pilot urban upgrading schemes
by Department for International Development (DFID) the German
the
promoted and
Agency for Technical Co-operation (GTZ) in the Egyptian Ismailia Aswan.
cities of and
insights
Their
respective project objectives and management systems provide comparative
into legislative A
the
potential of alternative conceptual and approaches. multi-method
is framework
approach employed through a multi-disciplinary owing to the paradigm shift
in foreign
the these
planning and aid over period of projects.
A framework, `accountable bureaucratic is to investigate the
conceptual capacity' utilised
local institutionalise in
to
ability of government collaborative urban upgrading measures
The is that the latter
partnership with civil society organisations. main argument cannot
development, democratisation in
to to
contribute sustainable or protect citizens' rights
low-income from
their
neighbourhood without accountable representation side, a
from
the
reciprocal and active representation citizens concerned, and an accountable public
initiatives
The
the to
sector. capacity of urban governance and extent which participatory
This
the
can exploit potential within existing structures and systems are examined.
how far `good-
examination allows an evaluation of a participatory project rated as
local
practice' can enhance citizens' awareness of opportunities, political participation and
building institutionalised
government performance, while collaborative and planning
capacity.
The depends form
that the the
research concludes sustainability of urban upgrading on of
Successful during
the
citizens' participation and management styles of cities. participation
_
have `transformative'
to
an upgrading project may potential encourage citizens' political
If
though they the
participation. citizens are not active, even reject- government's
development have depend `informal'
to to their
agenda, or on networks provide needs,
be `free-riders', from its
they
may characterised as who withdraw urban governance and
decision-making Legal is the
collaborative processes. recognition of squatter settlements
first institutionalise for indigenous
to
step required upgrading policies, particularly or
in by increasing interdependence
trying to
customary groups survive a world characterised
threats to local ties. However, this
and escalating although recognition strengthens a
interact it have
to
group's ability negotiate and with non-group members, may also
detrimental if it is by legislation. Local
effects not supported additional government needs
institutional forge
to
reform and a strafegiccäpacity-building programme partnerships and
and
joint
the the
responsibility of public private sectors, as well as of civil society.
11
TABLE OF CONTENTS
Page No
Abstract
11
iii
Table
of contents
illustrations
List
of v
Acknowledgements
vii
Chapter 1: INTRODUCTION 1
Field 7
1.1-
of research
Stance 11
1.2-
of research
Aims 15
1.3-
and objectives of research
1.4- The the 16
setting of research
1.5- Role the 19
of researcher
1.6- Structure 21
of research
Chapter 2: DEVELOPMENT AND PARTICIPATION 22
2.1- Development discourse 23
2.2- Community development- 31
paradigms and approaches
2.3- Civil 37
society
2.4- Implementing 40
participation
Chapter 3: COLLABORATIVE URBAN GOVERNANCE 50
3.1- Urban 51
governance
3.2- Present forms 55
of governance
3.3- Collaborative 59
models of governance
3.4- The local 64
government context
3.5- Accountable bureaucratic 67
capacity
3.6- Theoretical basis 75
Chapter 4: METHODOLOGY 79
4.1- Epistemological 79
approaches
4.2- Research
82
epistemology
4.3- Research 85
methodology
4.4- Fieldwork
86
methodology
4.5- The
92
questionnaire surveys
4.6- Constraints fieldwork
the 96
of
Chapter 5: POLITICS AND URBAN GOVERNMENT IN EGYPT 100
5.1- Urban
102
and political challenges
5.2- Donor 110
agencies and power
5.3- Egypt's 114
political context
5.4- Local
117
government system
5.4.1- The 119
operating context
5.4.2- Municipal functions 124
5.4.3- Municipal finances
126
5.5- Civil 129
society participation
5.6- Conclusions 133
Chapter 6: SUCCESSES AND FAILURES OF ISMAILIA 136
6.1- Area background 139
and characteristics
6.2- Project 142
conception
6.3- Participatory initiatives 147
iii
6.4- Land 150
management crisis
6.5- Conclusions 158
Chapter 7: THE REALITY OF THE ASWAN PROGRAMME 161
7.1- Area background initiatives 162
and project
7.2- Project design 169
and management
7.3- Roles in development initiatives 172
of self-help
7.3.1- Physical infrastructure 175
7.3.2- Sale land 184
of
7.3.3- Urban 185
extension
7.3.4- Community facilities 189
7.4- Conclusions 194
Chapter 8: COLLECTIVE ACTION AND COMMUNITY 198
PARTICIPATION
8.1- Participatory initiatives 199
8.2- Participants' 204
perceptions
8.3- The institutionalisation 214
of sustainability
8.3.1- The CDA its 220
the
present role of and performance
8.4- Conclusions 226
Chapter 9: MOBILISING THE CITIZEN 229
9.1- Mobilising formal 230
participation
9.2- Explanations for degree 236
of participation
9.3- Citizens' 241
need awareness
9.4- Informal 243
networks and activation
9.5- Conclusions 248
Chapter 10: ACCOUNTABLE BUREAUCRATIC CAPACITY 253
10.1- Local 254
government performance and accountability
10.2- Project input 263
to
municipal capacity-building
10.2.1- Ismailia's initiatives 263
10.2.2- Aswan's initiatives 271
10.2.3- Municipal to incorporate 276
capacity participation
10.3- The institutionalisation 280
of participatory upgrading
10.4- Conclusions 284
Chapter 11: Conclusions 287
11.1- Urban development 288
and governance
11.2- Collaborative 290
urban upgrading
11.3- Participation 292
and civil society empowerment
11.4- Municipal 295
capacity-building
11.5- Policy implications
299
Appendix 1: QUESTIONNAIRE (TARGET GROUPS) 302
Appendix 2: QUESTIONNAIRE (MUNICIPAL OFFICIALS) 309
Appendix 3: KEY INFORMANTS 314
BIBLIOGRAPHY
323
iv
LIST OF ILLUSTRATIONS
List Tables
of
Page No.
Table No.
104
5.1: Egypt- Urban
poverty measurements
5.2: Egypt- Local hierarchy 123
popular councils and composition
7.1: Nasriya- East Nasriya, first data 186
phase plot classification and
8.1: Nasriya- People's their during the 205
own assessment of participation project
8.2: Nasriya- Clusters during the 206
of participation project
8.3: Nasriya- Home by 209
origin clusters of participation
8.4: Nasriya- Sectors differentiation by 212
and elevation clusters of participation
8.5: Nasriya- Responsibilities for 220
provision and subsequent management
facilities
of
8.6: Degree to their the 227
of citizens' participation according clusters and
the
stage of upgrading project
9.1: Nasriya- Clusters the 234
of political participation after project
9.2: Nasriya- Participation during the by 235
project clusters of political participatio n
9.3: Nasriya- Age by 236
clusters of political participation
9.4: Nasriya- Education by 237
and occupation clusters of political participation
9.5: Nasriya- Home by 239
origin clusters of political participation
9.6: Nasriya- House by 241
ownership and condition clusters of political participation
9.7: Nasriya- Types formal informal 242
of citizen's and activation/participation
List Boxes
of
Box No.
3.1: The World Bank key dimensions 52
to
governance
3.2: The DFID 53
components of good governance
3.3: Indicators bureaucratic (the `Three Es'). 68
of performance
5.1: Egypt- The the Popular Local Councils 122
main responsibilities of
5.2: Egypt- The Engineering Departments 125
main sub-sections of municipal
5.3: Egypt- Sources finance for Local Services Development Fund 127
the
of and
5.4: Egypt- Obstacles facing 132
the
effective operation of civil society
6.1: Ismailia- Hai El-Salam 138
project objectives
6.2: Hai El-Salam- The UNCHS's 138
assessment
7.1: Aswan- Nasriya 170
project objectives
7.2: Nasriya- The Women's Centre 194
components
8.1: Nasriya- Difficulties GAD 218
of establishing a collaborative programme of
10.1: Egypt- Examples Governors 258
the
of positive/negative effect of
in
urban policies
10.2: Ismailia- Flexible human development 265
strategy of resource
10.3: DAs' 270
supremacy and contradictory capacity-building approaches
List Figures
of
Figure No.
1.1: Actors involved in the the institutionalisation 14
urban upgrading and processes
2.1: The development 32
paradigm approach model of
2.2: Levels 42
of citizen participation
2.3: Purposes 45
of participation
2.4: Evolution the 46
of working model of community participation
2.5: Relationship between the the 47
elements and structure
the
of participation process
V
W"-
3.1: Forms in developing 56
of governance countries
3.2: Forms in 57
of governance western countries
3.3: Responsive local framework 71
and accountable government
3.4: Capacity-building definition, local 73
targets
actions and of strategy
4.1: Nasriya- The 91
sampling grid
4.2: Construction head household 93
of questionnaire- of survey
5.1: Egypt- Major 101
cities
5.2: Egypt- Administrative legislative functional 115
and structure
5.3: Egypt- Local hierarchy 118
government
5.4: Egypt- Governorate Executive Council 120
structure
6.1: Ismailia- Location Hai El-Salam Abu Atwa 137
of and project areas
6.2: Hai El-Salam- Area boundaries land in 1978 140
and use
6.3: Hai EI-Salam- The development land 144
new and rationalisation plan
6.4: Hai El-Salam- The Project Agency Organisation 147
7.1: Aswan- Informal directions 163
areas and of urban growth
7.2: Nasriya- Land in 1987 165
use map
7.3: Nasriya- Social distribution 166
map
7.4: Aswan General Plan (1986- 2010) 168
7.5: Nasriya- Urgent (1986) 169
the
necessities of residents
7.6: Nasriya- Self-help during the formation 173
processes and upgrading
the
of area
8.1: Nasriya- Income by 208
clusters of participation
8.2: Nasriya- Organisational CDA 217
the
structure of
9.1: Nasriya- Citizen's formal 232
participation
9.2: Nasriya- Income by 238
clusters of political participation
9.3: Nasriya- Summary influenced 251
the
of variables citizens participation
10.1: Egypt- Institutional bureaucratic 255
to
constraints accountable capacity
11.1: Summary- Comparative 291
two
evaluation of urban upgrading approaches
11.2: Summary- Comparative two local 296
evaluation of capacity-building strategies
List Plates
of
Plate No.
6.1: Hai El-Salam- Large the have improved 152
parts of area substantially
6.2: Hai El-Salam- Example the traditional houses 153
of
6.3: Hai El-Salam- Example the traditional houses 153
of modified
6.4: Hai El-Salam- The last by in 1998 156
average size of plot sold auction
7.1: Nasriya- General 164
view
7.2: Nasriya- The in 178
trenches the
challenge of cutting rocky soil
7.3: Nasriya- Domestic be dumped in flood
to the 182
refuse used water canal
7.4: Nasriya- Land 184
regularisation plan
7.5: East Nasriya- New distributed by lottery 187
plots were public
7.6: East Nasriya- The house 187
model
7.7: Nasriya: The Service Centre 190
7.8: Nasriya- The 190
new school extension
7.9: Nasriya- Physical improvement 192
and extension of neighbourhood
community centres
vi
ACKNOWLEDGEMENTS
I would like to thank first of all my supervisor, Dr Stella Lowder for her continuous
invaluable Grateful
throughout this
support, advice and academic guidance research.
be to the University Glasgow, the Overseas
acknowledgements must also given of
Research Scheme Awards (ORS) the journal Urban Studies for
and of granting me
Scholarships this its fieldwork
without which research and surveys would not exist.
Cordial thanks be to Professor John Briggs Dr Paul Routledge for their
must given and
during the to Professor Ronan
suggestions and advice monitoring sessions; my examiners
Paddison Professor Carole Rakodi for their to Dr Trevor
and constructive comments;
Hoey for his time the to Mr Michael Shand for
all and assistance with statistical analysis;
helping in (re)production; to in the Urban Development
maps and my colleagues and
Land Management Unit, the German GTZ the Danish DANIDA in Aswan,
and as well as
UNDP in Ismailia.
the
project
A be to Mr Mubarak Ali for during the
special word of gratitude must given assisting me
household in Aswan, Mr Hany El- Mineawy for introducing Ismailia
to to the
survey me
to Mr Osama Abdel-Aziz for during the fieldwork in
project and assisting me surveys
Ismailia in 1996 1998. Special thanks to Professor Omar Akbar Ms
and must also go and
Habiba Eid for facilitating to data in Nasriya Hai El-Salam
access and projects
respectively.
I like to thanks to the Nasriya
would express my special all members of upgrading project
the Hai El-Salam for facilitating fieldwork, to head households
and project my all of and
leaders interviewed in Nasriya Hai El-Salam, to Key
community and and all my
Informants in Aswan, Cairo Ismailia for dedicating help
their time to
and much of and me
during fieldwork
the
surveys.
Finally, thanks due to for their throughout life, to
special are my parents support my my
Mr Ibrahim Eiweida for his to fiancee Dr Mireille
uncle continuous encouragement, my
Basselin for her during hard
the time the to
ultimate support and motivation of writing-up,
Manal brother Mohamed, friends Amr, Neil, Hubert,
to
my sister and my my special
Aoibhinn, Mamdouh, Rosaria, Nicola, Marie-Pierre, Jenny, Laura Inga,
and who
during the this thesis, to fellow
encouraged me production of and staff and post-graduate
Department Geography, Glasgow University, for friendly
the their
research students at of
environment.
vi'
Ir-
CHAPTER ONE
INTRODUCTION
"Give fish, they for day, teach
someone a will eat a
how fish, forever"
them to they
will eat
(Chinese folk
wisdom).
The Chinese to the
above wisdom serves outline metaphorically new essence of
in foreign institutional discourses.
the paradigm shift planning, aid and capacity-building
Planners longer to technical
are no required act purely as experts, nor as mediators or
but themselves,
negotiators, as enablers of community self-empowerment, while citizens,
in the driver's The development, to this is to
are seat. purpose of according paradigm,
`marginalised' by living in
those
empower all citizens, especially squatter settlements and
have been by inequalities income,
who systematically excluded structural of class,
Unfortunately, by international
ethnicity or gender. many official attempts sponsored
have failed healthy living
to
agencies or national governments provide and sustainable
for because institutional barriers
spaces growing urban populations of and
inattentiveness financial The
to this than to
paradigm shift, rather constraints. reliance on
in debates has
tended to
overly simplified economic concepts recent on urban changes
key importance institutional dimensions
the the to the
neglect of processes under way,
focus
the this
which are of study.
The 'development'-urbanisation in
the
conceptualisation of relationship purely
is inadequate light housing
terms to the to
economic shed on state of urban or explain
failures in
the the the
successes and creation of viable neighbourhoods, or sustainability
improvements in
Economy,
transitional
of existing ones. society and politics are more
in developing (DCs). The involves
than
ever countries reality of urban change a more
interplay between forces dualities, localisation
complex of various such as and
fragmentation integration,
globalisation, structure and agency, and contingent and
forces, factors, has be
than tended to
general and economic and political suggested so
1
Introduction
Chapter 1
is dynamic
far. Urban restructuring and collaborative policy making thus extremely and
duality
varied process which makes reliance on a single untenable.
`Development' is difficult to define. The relationships between development and
in forms
urbanisation, as well as particular of urbanisation and urbanism, are complex
from
with perceptions ranging over time and place positive to negative causal
interrelationships. What these have had in common is that `development' has caused
in DCs insufficient investment in to
rapid urbanisation and reproduction, as opposed
has been in land
production; much of the population unable to participate capitalistic and
does
Thus,
property markets. concentration on production alone not constitute
do `trickle down'
development for to
the majority of civil society; economic gains not
demand in terms. Despite `development', these failures have
generate effective market
degradation
given rise to the overcrowding and of the existing stock, while constraints
on legal access to land for housing the poor have resulted in the spontaneous creation of
large `informal' `squatter' Despite `development',
numbers of and settlements. global
has been during 1980s 1990s in
poverty growing again the and many countries, reversing
had in before 1980:
trend that those the twenty thirty
a countries experienced or years
"The total living less than U$1 day has in Latin America,
number of people on a risen
South Asia, Sub-Saharn Africa, Eastern Europe, Central Asia, the Middle East
and
North Africa" (World Bank 1999). Moreover, least billion human beings lack
at one still
living in in DCs
adequate shelter and are unacceptable conditions of poverty, mostly
(UNCHS 1997). Of impacts beyond
the
course negative of such widespread poverty go
just high inequality, inefficiency
tension,
creating an environment of social and personal
insecurity; individual interactions
they threaten
social and as a whole.
In the institutionalisation, in the
a similar vein, conceptualisation of context of
fear disintegration, is issue. The dominant
the
social change and of also a complex
institutionalisation, is by
challenge of which understood as a range of processes which
local
the
government and community participation ensure continuation of valued
is but
to to the
neighbourhood outcomes, not only reform public policy, reduce claim of
definite knit
the to territory, together the
state exclusive control of a and myriad
2