Module cpm 480

Approaches to development

DrAria Merkestein
\ .

School of
Public Management
Governance and
Leadership
 Module cpm 480
Approaches to development

DrAria Merkestein
 STUDY GUIDE

Module CPM 480

APPROACHES TO DEVELOPMENT

Dr Aria Merkestein

University of Africa

School of Public Management, Governance and

Leadership
First Edition ( 2 0 0 8 )

ISBN: 978-1-920290-05-4

© Copyright Ithuthuko Publishers

Published by Ithuthuko Publishers

PO Box 15987, Lynn East, 0 0 3 9
Pretoria, South Africa
The University of Africa
NEPAD, the Africa Union, the economic regional partnerships and governments on
the African continent have called for a sustained effort towards development in all its
facets, so as to alleviate poverty, attain sustainable development and for Africa to
regain its rightful place in the global economy. The University of Africa wishes to
respond to this call - the programmes and courses of the University of Africa aim to
contribute to the development of Africa by Africans. The University of Africa has
seven Schools (faculties) They are:
• School of Public Management, Governance & Leadership
• School of Teacher Training & Academic Quality
• School of Criminal Justice
• School for Entrepreneurship & Development Studies
• Sovereign Grace Theological Seminary
• School for Nursing a n d Health Services
• School for Mining, Minerals & Infrastructure

The University aims to respond to the actual needs 'out there'. In order to do this, we
have designed programmes and short courses that will develop scholared
practitioners. By this, we mean people w h o have the capabilities and competencies
to do their jobs well because they know why they do what they do (conceptual &
theoretical knowledge and contextual understanding), and because they know how
to do this best (practical skills). Thus, the University's motto is:

"Empowerment towards development"

School of Public Management, Governance and Leadership

The School of Public Management Governance and Leadership (SPMGL) with its
focus on public management and development feels strongly about the University's
mission to build capacity for sustainable development, and does so in the public
sector, and in other sectors involved in development.

The S P M G L offers a Bachelor's Degree in Public Management (BPubMan), through

distance education and contact sessions (blended learning), which has three exit
levels:
• National Certificate in Public Management (CertPubMan) is awarded after
successful completion of Year 1.
• National Diploma in Public Management (DipPubMan) is awarded after successful
completion of Year 2.
• Bachelor's Degree in Public Management (BPubMan) is awarded after successful
completion of Year 3.

In addition the SPMGL offers short, contact-based, credit bearing & non-credit
bearing courses.

Approaches to development (CPM 480)

This module is an introduction to some of the aspects of development on a macro
a n d micro level. We feel that people w h o work in public management or other
development related sectors need fundamental knowledge about various
approaches to development because this will add to well-founded decision-making
processes, and to effective implementation of policies and projects.

T h e module introduces you to the complexity of development as a practice and as

way of thinking. We will not over-simplify the issues in development because we do
not wish to portray development as something simple that can be achieved easily. It
might have been attractive to do so, but it is certainly not useful.

We wish to achieve that people involved in development - and are we not all? -
have an idea what they are dealing with, h a v e an idea about the global and local
aspects, the roleplayers a n d stakeholders. We want them to develop an increased
awareness and greater insight in the choices they may have to make in their work, in
their conversations and dialogues, and in the social, political and economic decisions
they may be part of. We hope this will lead to being better informed than before, to
being more critical when dealing with topics related to development.

This module is about development thinking, about w h o is involved, about the

motivations for being involved in development. Global roleplayers, regional
roleplayers, government, civil society, individuals, international donors, etc, we will
briefly look at them and their roles and motivations for development. We will quote
people w h o ask critical questions in the hope you will ask these questions yourself.

This module is also about practical matters. After all, the intention of the public
management programmes is to help create scholared practitioners. So, in this
module, you will find practical approaches to development, such as participatory
development, integrated development, asset-based community development,
sustainable livelihoods approach, community managed and community driven
development, and a few more.

People in Africa flock to the cities to find work, to get educated, and usually they do
not go back to the rural areas they came from. Hence, we will have a look at urban
contexts a n d urbanisation. Yet most people in Africa find their livelihood in
agriculture, and so we will also look at the rural context of development.

Many development topics do not appear in this module. We had to make a selection.
Some of the topics, which we do not discuss in this module or which we only touch
upon, will come back in other modules in the programme. We will mention a few: The
year 1 module C P M 481 Gender and Development focuses on the aspects of gender
in development. In Year 2 a practical module focuses on Public participatory
planning processes (DPM 530), while the topic of another practical module is
Managing information and knowledge in community development projects and in
service delivery projects (DPM 540), a n d then there is the year 2 module on
Planning for HIV/AIDS in development work (DPM 581). In year 3 of the programme
a module focuses on Local Economic Development (BPM 680) and another one on
Theories and strategies of development (BPM 681), which among others will deepen
and broaden s o m e of the topics discussed in this module.

We sincerely hope that you enjoy this module, that it challenges you, and that it adds
to what you already know.
Dr Aria Merkestein
Director School of Public Management, Governance & Leadership

3
 Contents

Preface 2
The University of Africa 2
School of Public Management, Governance and Leadership 2
Approaches to development (CPM 480) 2

Contents 4

Introduction 6
Aims and learning outcomes 6
Lay-out of the modules 6

Unit 1 Development is complex 8

1.1 Introduction 8
1.2 The context of development 9
1.3 What is development? 12
1.4 Development Thinking 15
1.5 Development - means or end? 16
1.6 Poverty and Human Development 18
1.7 A challenge for us 23
1.8 Millennium Development Goals 24
1.9 Summary 25
Suggestions for further reading 25

Unit 2 Agents of development - Differing agendas 27

2.1 Introduction: Global thinking, local acting 27
2.2 Worldviews and development 27
2.3 Globalisation 30
2.4 Economic globalisation and (under)development 32
2.5 Third World Debt - Structural adjustment programmes (SAPs) a n d
economic recovery programmes (ERPs) 33
2.6 Short history of foreign aid in a changing world 37
2.7 W h o develops? 38
2.8 The role of national and regional governments in development -
NEPAD, A U and the R E C s 40
2.9 The sovereign state: Effective governance for development 42
2.10 Civil Society 45
2.11 Local N G O s 46
2.12 The role of Northern N G O s (NNGOs) in development work in the South ..47
2.13 Summary 48
Suggestions for further reading 49

Unit 3 Sustainable development 55

3.1 Introduction 55
3.2 Sustainable growth and development 55
3.3 Brundtland Commission 56
3.4 Sustainable environment - The basis for development 57
3.5 Agenda 21 - A blueprint for sustainable development 60
3.6 Multi-dimensional causes of poverty 62

4
 3.7 Sustainable livelihoods 63
3.8 A model of sustainable livelihoods 64
3.9 A rights-based approach to development 74
3.10 Assessing development 78
3.11 Summary 80
Suggestions for further reading 81

Unit 4 Participation in development 82

4.1 Introduction 82
4.2 Vulnerability, empowerment and transformation 83
4.3 Development by the community for the community 83
4.4 Participation as transformation - Towards development and beyond 86
4.5 Participation - Shifts of power 87
4.7 Asset-Based Community Development (ABCD) - A strategy for
community-driven & managed development 89
4.7 Doing A B C D 92
4.8 Community Public Private Partnerships (CPPPs) 97
4.9 Community-based natural resource management (CBNRM) - An
example from Zambia 99
4.10 Summary 103
Suggestions for further reading 104

Unit 5 Integrated development, urbanisation, rural development 105

5.1 Introduction 105
5.2 Integrated development planning 105
5.3 A government-initiated IDP process 106
5.4 Public Participation in an IDP process 108
5.5 Urbanisation 112
5.6 Urban growth - Housing the urban poor 118
5.7 Urban Renewal 119
5.8 Rural development 120
5.9 Food security 122
5.10 Mainstreaming rural development 124
5.11 Conflicting interests and long-term sustainability 127
5.12 Summary 131
Suggestions for further reading 131

Case study Nigeria: A community partners with two multinationals 133

Case study South Africa: Land Use Management Planning: A multi-stakeholder

community-driven approach 136

C a s e study Kenya: Civic Education for Empowerment 143

Case study Tanzania: Community involvement in the management of a water

project 147

Case study Zambia - Strengthening urban livelihoods 152

Sources 159

5
 introduction Approaches to Development

Aims and learning outcomes

The aims and learning outcomes of this module are as follows:

Aims
1. To create in students a keen awareness of
- the complex and interdisciplinary nature of development
- the role of context and roleplayers in defining development
- various development management strategies and their usefulness in particular
contexts
- various approaches to development and their usefulness in particular contexts
2. To e n h a n c e students' knowledge in order to successfully
- assess past and current use of development strategies, approaches and
concepts in o w n organisation or context
- select relevant development strategies, approaches and apply these in o w n
organisation or context

Learning outcomes
By the end of this module evidence s h o w s that students have conceptual and practical
understanding of aspects of development on a macro, meso and micro level.

Students can
• explain the interdisciplinary nature of development by placing it in various contexts
• show awareness of global and continental role-players in development and their
impact
• explain the integrated nature of institutional role-players in development and its
relationship to g o o d governance
• Explain various development management strategies (integrated development
planning, public participation processes, etc)
• explain the need for action research in development management and relate this to
own organization or context
• design a small action research project relevant to o w n organization or context
• explain and comment on approaches to development (sustainable livelihoods,
capabilities approach, asset-based community development, community-based
natural resource management, rights-based approach, etc) and relate this to
practices in own organization or context
• explain the concepts of and need for community managed and community driven
development
• compare key aspects of urban renewal and rural development strategies and relate
this to experiences in o w n organization or context

Lay-out of the modules

This module is divided into 5 Units. Each Unit focuses on a particular topic and links
this at the s a m e time with previous topics or with 'topics to come'. In other words, the
Units build on each other At the end of the module, you find a glossary that gives
definitions of the key w o r d s in this module and a list of reading sources.

6
introduction Approaches to Development

The Units
• Each Unit has several pieces of c o r e r e a d i n g t e x t This is indicated with the icon ( j )
• Throughout the text, the module has a c t i v i t i e s that aim to engage you actively with
the content and relate this to your own context. We recommend that you write down
your responses and answers
• Most Units will have r e f l e c t i o n q u e s t i o n s . These are for you to sit back and simply
think about.

• The Unit concludes with s e l f - a s s e s s m e n t t a s k s to evaluate your understanding and

prepare you for assessed assignments and examination. The self-assessment tasks
are indicated with the icon jj\

• Each Unit also has s u g g e s t i o n s f o r f u r t h e r r e a d i n g .

Tutorial Letter
Information about credits, marks, assignments, examinations, dates a n d other
important issues is given in the 'Tutorial Letter' that goes with this module. The
Tutorial Letter also has information about effective study methods, study time, hints on
academic writing and reading, dates to hand in assignments, examination dates, how
to reach your lecturer, and more.

7
 Unit 1 Development is complex

1.1 Introduction
1.2 T h e context of development
1.3 What is development?
1.4 Development thinking
1.5 Development - means or end?
1.6 Poverty and human development
1.7 A challenge for us
1.8 Millennium Goals
1.9 Summary
Suggestions for further reading

1.1 Introduction
W h y have we included this module on development in a public management
programme? As practitioners in public management, or related sectors, you are
always, directly or indirectly, involved with development. May be you work for local or
district or provincial government a n d , in this capacity, you may be involved in the
implementation or impact assessment of policies. Maybe you are a politician, and you
have to help design your party's response to development challenges; maybe you
work for a non-government organization and try to raise public awareness. In all these
cases, you are involved with development.

What then, is development? T h e Cobuild Dictionary (1995) gives 5 definitions:

1. Development is the gradual growth or formation of something.

2. Development is the growth or expansion of something s u c h as a firm or
an industry.
3. Development is the process or result of making a basic design gradually
better and more a d v a n c e d .
4. Development is the process of making an area of land or water more
useful or profitable.
5. A development is an event or incident, which has recently happened
a n d is likely to have an effect on the present situation.

Y o u will have seen that these definitions talk about 'growth, formation, expansion,
improvement, usability and profitability, result, effect'. So we start with one 'something'
and then we end up with a different kind of 'something' that is better, bigger, more
useable and profitable, improved, etc. If we are all then in the business of
development, we have to know what the first 'something' is and what the 'changed
something' is.

Activity 11
1. Use the definitions in the box above a n d write d o w n a f e w examples of
'development' of each definition. Use examples from your work, or from what you
have observed in the area you live in.

2 The developing world' is defined in dictionaries as 'the countries or parts of the

world that are poor, or primitive, and have few industries; a poor country that is
trying to build up its industry and improve the living conditions of its people'. Do you

8
 Unit 1 Development is complex

agree with these definitions? Give good reasons w h y you agree or w h y you don't
agree.

3. Give your o w n definitions of 'development' and developing country' Include as

many aspects as you think are crucial for development to take place.

Y o u may have found that it is not so easy to define development, simply because it
has so many aspects; it involves many processes, and many organizations and
groups of people.

1.2 The context of development

Since it is only through asking the right questions that we can get to understanding,
let's then ask some questions:

• W h a t is the context of development? Or, in simpler w o r d s , where d o e s

development happen? Does it take place in the so-called First W o r l d ? In the so-
called Third World? Or does it take place between the first and third world?

• Is development about S A D C , E C O W A S , N E P A D , or the A U ?

• Is it about ending of war and conflict, and building peace?

• Does development take place in rural villages or in urban townships and

locations?

• Does it take place in the minds of economic planners and politicians? Or do civil &
public servants m a k e it happen?

• Is it about service delivery? Or sustainability? Or, something else again?

• Is development about the alleviation a n d reduction of poverty of individuals or of

societies? Is it about democracy and human rights? Is development linked to
gender issues? Is it about well-being and empowerment? Is it about education and
health and the fight against HIV/AIDS? Is it about employment and income
generation? Is development about natural resources a n d the environment?

Activity 1.2
1 Give your responses to the questions asked above.
2. Do you feel that most questions about development have been asked above?
What are the important questions that you would a d d , which, you feel, must be
answered?

Surely, you realise that development is interdisciplinary a n d complex, a n d that it links

in with many other areas, such as economics, health, social sciences. In the past,
people did not always understand this. Over time the ideas on what development is
1
have changed a lot. This is how Peggy A n t r o b u s of the Caribbean sums up her
experiences: (Source: Antrobus P, 2000, Bridging the Divides. Development Vol
43(4).

Peggy Antrobus is a founding member and the former general coordinator of Development
Alternatives with Women for a New Era (DAWN). She is a former member of the Editorial Advisory
Committee for the UN Development Fund for Women, and currently serves as a consultant on
Gender and the Millennium Development Goals.

9
1 Development is complex

DEVELOPMENT
I have been working in the field of 'development' all my life. I was born in
Grenada and grew up in a family of public servants in the 1950s in the
small island developing states (SIDS) of the Windward Islands in the
[ Caribbean. When I decided to study economics this symbolized the
\ widespread belief, at that time, that socio-economic development was the
other side of the coin of political independence. It was part and parcel of
Caribbean nation-building at the time. I had been given a government
Dr Peggy Antrobus
scholarship to study at university and, so, studying economics showed my
personal sense of responsibility.

i In the post -World War II days of the 1940s and 1950s the world was full of possibilities for the
I descendents of Africans and Asians who had been transported as slaves to the plantations of
\ the New World (the America's). The rejection of colonialism and the pursuit of independence
and broad-based socio-economic development was, above all, a search for social justice.

Since that time, through my work with governments as well as NGOs, and now as part of a
I wider social movement - t h e women's movement - at national, regional and international levels,
| my understanding of development and social justice has deepened and changed considerably.

: When I look back, my work enabled me to have first-hand experience of different development
strategies as they developed over time:

• Development planning in the late 1950s

• Integrated rural development in the 1960s
• Importance of working from a gender perspective which started in the 1970s
• And in the decade of the 1980s the link between the International Financial Institutions
(IFIs), such as the World Bank and the International Monetary Fund (IMF), and global
structures and processes, and policy choices at local, national and regional levels.

| In the 1950s people generally believed that 'development' was a linear process, which surely
would happen if there was a 'right mix of land, labour and capital'. In many ways we were
innocent and believed that political independence would set us on a sure path to material !
progress. In those days the role of technology and markets was not fully understood, and I did
I not understand the ways in which neocolonialism could perpetuate dependency, and could
serve as an even greater obstacle to true independence and social justice. We thought that it |
was possible to have institutional control of international trade and finance through getting the
; policies right,

; Events since the 1980s have shattered these assumptions. It has become clear that true power
I is positioned in structures established in the post-colonial eras to ensure the continuation of
j colonial and neocolonial relations of dependency, Today international trade has become
synonymous with development. The pursuit of social justice is seen as a concern for some
i 'crazy' NGOs and social movements! The women's movement is one of these few 'crazy'
| movements that has a vision of a world where inequality based on class, gender, and race is
• absent from every country, and from the relationships among countries,

\ I have tried to think of what has changed and what has remained the same when I began my I
own work in this field nearly 40 years ago. At the time 'development' reflected a set of values j
about social justice and how this might be achieved through development planning. Today, in j
the context of globalization, these values have been rejected in favour of those of capitalism, j
Competition has become more important than cooperation, and individual advancement has \
become more important than social responsibility. Everything is up for sale and nothing matters j

10
Unitl Development is complex

: if it cannot be bought and sold. Electronic communications has put this marketplace on our
doorsteps.
I But some things are the same: poverty, although the context and the manifestations of poverty
i are different. Reflecting on what has changed about poverty, I have come up with five
\ differences:

| • In the 1960s poverty reduction was the central to development planning; today poverty
alleviation is a 'project', often dependent on or funded from external sources.
• In the 1960s the state was expected to take the lead in guaranteeing the infrastructure for
development; today the role of the state has been eroded and the market is supposed to \
take the lead.
j • At that time there was an expectation that with education people would move gradually out of {
poverty, and that, for the poor, each generation would have a better standard of living than
the previous generation. In fact the belief was that all incomes would rise. Today the trend is
often reversed - Many people whose standards improved a couple of decades ago have
fallen back into poverty.
j
• Up until the 1960s the gap between the rich and poor was gradually being reduced; since
that time the gap has widened. The common saying is that 'there will be winners and losers',
without acknowledging that there will be more losers than winners.
- A consequence of this increasing gap, in the context of a culture of materialism, is that
poverty is now associated with an increase in criminal activity and violence.
Where does one find hope in this otherwise unpromising scenario? First, taking an historic
perspective, as Caribbean women we have know much darker moments: slavery and colonial
rule. Secondly, my own experience tells me that there can be progress on this agenda despite
the reversals:
;
• The same technologies that have generated and fuelled the globalization of markets have
also engendered civil society organizations on a global scale. This kind of organizing has
demonstrated a capacity for mobilizing action against the excesses of global capitalism,

j • The UN Decade for Women, served to launch an agenda of gender equality in which
women's development was recognized as essential for the achievement of broad-based I
socio-economic and political development.

I • In the 1990s the agenda of the women's movement had moved beyond mere 'women's
issues' to verbalizing women's perspectives on a range of issues that varied from the
Environment to Human Rights, from Population to Poverty and Social Development. It :
became clear that it was possible to change the terms of the debates in international forums, j
and influence programmes for action in profound ways than was possible before.

• We made use of our growing analytical and political skills of the global women's movement,
of our deeper understanding of the links between gender justice and economic justice. This
was helped along by the increased technology of Internet communications. It provided a
resource for the mobilization of women to work alongside the wider social movement of
resistance to the worse excesses of global capitalism.

• The recognition of the role of civil society organizations in holding governments accountable
legitimises these efforts. It is in this kind of movement that bridges the divides of the North
and the South that my optimism about the continued struggle for social justice in today's
world resides. (Abridged).

I i
 Unit 1 Development is complex

Activity 1.3
1. The thinking about what issues and strategies are important in development has
changed. Make a list of the issues and strategies that underwent change as
mentioned by Peggy Antrobus. A d d to this list your own issues and strategies, if
any.

2. W h y , do you think, did these changes happen?

3 Did these changes in development strategies and development thinking also

affect your country? Your region? How? Give examples

4. Peggy Antrobus mentions a change in values in relation to development. Which

values are they? Do you agree with her view? Give reasons and examples w h y
you do or don't agree.

In Africa, all of us are in development in s o m e way: Sometimes, it is because we are

citizens of a country that has policies to stimulate development. Sometimes it is
because we are poor and marginalized and need development. Or because we are
part of the public/civil service and it is one of our tasks to 'do' development. At other
times, we are in development because we are members of civil society groups that
want to raise particular development issues such as gender, education, poverty,
HIV/AIDS, governance, democracy, or human rights. We may also be in development
because we are business professionals and through employing people we hope to
decrease poverty and stimulate development, etcetera. Coming from all these
different sectors we, therefore, may have a different understanding what development
is. However, if we really want to work together to bring about development, we need
to know about e a c h other's different thinking. So we are posing a f e w critical
questions:

CRITICAL Q U E S T I O N S
1. Is development an action, an ideology, a process, or a goal?

2 W h o develops who, or what, and to what end? W h o are the stakeholders,

roleplayers, agents or actors in development?
3 Somehow the word development' assumes a change from a less desirable to a
more desirable situation. Is this so? What is then the situation that needs to be
changed and what is the situation that we want? A n d , if development is about
change, is it a change for the better for a community, a country, a region, the whole
world?

4. This prompts the next questions: W h o want development? A n d why? A n d how?

5. How can we see that 'development' has happened, a n d how do we assess and
evaluate this?

In the following sections and Units, we will look in more detail at these questions.

1.3 What is development?

Most people would agree that development as a process and as a goal means
improving the living conditions of society. Is development a new thing? Of course not!
As long as we have had societies, and we are talking of tens of thousands of years,
there have been people that tried to make their society better through, for example,
making education possible for the masses, different and more just laws, different
economic structures, looking after the poor and the sick, conflict resolution etc.

12
1 Development is complex

However, development as we now know it dates back to just after World War II (1939-
1945). During the years after World War II the United Nations were established, and
most of the former colonies became independent states. These two events combined
marked the beginning of development aid to third world countries. In those early days
the United States of America under President Truman w a s one of the fore-runners of
development aid, the aim of which was to alleviate suffering via capital investment.
This is h o w President T r u m a n put it in 1949 in his Inaugural Address as President of
the United States of America (USA):

A BOLD NEW PROGRAMME

We must embark on a bold new program for making the benefits of our scientific advances and
industrial progress available for the improvement and growth of underdeveloped areas, More
than half the people of the world are living in conditions approaching misery. Their food is
inadequate. They are victims of disease. Their economic life is primitive and stagnant. Their
poverty is a handicap and a threat both to them and to more prosperous areas. For the first time
in history, humanity possesses the knowledge and skill to relieve the suffering of these people
. . . I believe that we should make available to peace-loving peoples the benefits of our store of
technical knowledge in order to help them realize their aspirations for a better life.
Source: Public Papers of the Presidents of the United States

In those days of the Cold W a r only countries that were clearly •non-communist' and
so-called 'peace loving', qualified for the development aid that w a s given by the USA!

The USA at the time had a very particular way of understanding development. Now
we know that people, governments a n d organizations may understand development
very differently. For quite a f e w decades after the onset of development aid, the strong
belief existed (and still exists in many places) that in order to improve the living
conditions of societies, these societies needed to be redesigned. Of course, we need
to ask ourselves a couple of questions: What are improved living conditions, and do
we achieve these by redesigning society? W h o decide on which societies need to be
redesigned a n d for what reason? A n d to what end?

This is one particular way of approaching development issues. To give you a taste of
the difference in approaches to development, we have listed a few w a y s of thinking
about development (there a r e more).

(i) For a long time it w a s a s s u m e d that the W e s t e r n model of capitalist economic

growth w a s applicable everywhere, and that the introduction of m o d e m technologies
to third world countries w a s very important for development. This approach was called
modernization. This model s a w underdevelopment as the difference between rich
and poor nations, a n d development meant that the gap between these two sets of
countries needed to be bridged by a process in which the underdeveloped nations
took on the qualities of the more developed nations in order to become like them.
Transfer of technology was one of the w a y s in which development w a s to take place.

(ii) Soon it became clear that transfer of technology was not enough. If innovations
were to be taken on board, also ideas and skills needed to be communicated to the
poorer countries in the world (provided they w e r e non-communist!). The decision of
what was needed and h o w this w a s going to be transferred remained with the
benefactors', not with the 'beneficiaries'. Campaigns would have to convince the
beneficiaries of the w i s d o m of the benefactors' decisions!

I3
Unit 1 Development is complex

(iii) In the 1980's the realization grew amongst the wealthier countries of the northern

the poorer countries in the southern hemisphere (the South), because more economic
activity and interaction would benefit all states, regardless where they w e r e located
and what their political ideologies were. For the first time people began to think about
development in terms of the inter-dependence of the human race

(iv) There is another way of thinking about development, which challenges the
economic and cultural expansionism and imperialism of the North. The supporters of
this way of thinking argue for political and economic restructuring to get a more equal
distribution of resources and rewards in the world. This model, called dependency
model, w a s very much supported in South America. It gave voice to the w e a k position
of third world countries (the South) within the world economic system. The supporters
of the dependency model asked for radical political transformation in third world
countries while keeping the focus on state-driven industrialization, a n d 'de-linking' of
their economies from the world market.

(v) Many people felt that the 'modernist' approaches

mentioned above did not really solve inequality and
oppression in society, and that too many people were
excluded from mainstream development. Thus, in reaction to
this, people began to think about another development.
Another development is needs-oriented, indigenous, self-
reliant, ecologically sound and based on structural
transformation. One example of this development thinking is
3
development based on liberation theology. You may have
heard of Paolo Freire (1921-1997) w h o is one of best-known
advocates of this thinking and used it particularly in education
of marginalized communities. Liberation theology is concerned
with social injustice as the poor experience it. They feel that this injustice is a form of
exploitation by the economic class. Liberation theology states that the most important
key for empowerment and self-reliance is personal a n d communal liberation from
oppression. It a s s u m e s that all people want to become fully h u m a n , which means free
and self-reliant, and that they have the internal capacity to develop themselves the
way they want. Liberation theology aims for collective action that is appropriate to the
social situation to shake off oppression. 'Another development', and particularly
liberation theology, sees development as something that should lead to an ideal
situation for all. It is a model that has a spiritual and value base while, at the same
time, it does not neglect material well-being.

One of the founders of African Liberation Theology (Black

Theology) was the South African Steve Biko (1946-1977). Biko's
"Black Consciousness" was a call to black young people living
under Apartheid in South Africa to free themselves from white
control and black fear and to adopt an attitude of psychological
self-reliance in the struggle for liberation from white rule. To Biko,
black psychological self-reliance was the path to social equality.
His vision of the future for South African blacks w a s one "looking
forward to a non-racial, just and egalitarian society in which
colour, creed, and race shall form no point of reference." Steve Biko

2
There is a lot of debate how developed and developing nations should be labelled In this module we
will use many different labels, and will not judge their value.
3
In the African-American community in the USA liberation theology seeks to find a way to make the
gospel relevant to black people who struggle daily under the burden of white oppression Black
theology (liberation theology) asks for freedom and justice

14
 Unit 1 Development is complex

There are many development theories, and they form part of the academic debate
about development. Indeed, many development theories are controversial and
contested. Y o u may remember from Peggy Antrobus' writing that early development
theories focused on economic growth, while later on this changed to emphasize the
importance of political, social, ethnic, cultural, ecological and other dimensions of the
process of development and change.

Development strategies
Development strategies are the practical paths to achieve development. Development
strategies are used by international agencies, governments/states in both the so-
called developing and developed worlds. They a r e used by non-government
organizations (NGOs), community-based organizations (CBOs), and individuals.
Development strategies aim to stimulate change within societies, nations, regions,
and continents. A definition of a development strategy is:
Efforts to change existing economic and social structures and institutions
in order to find lasting solutions to the problems facing decision-makers

W h e n we talk about 'strategies' we mean to say that there is a planned action to

achieve something. This means that there are actors who do the action. We have
already mentioned some development-oriented actors: NGOs, CBOs. government,
etc Of course, which strategy is chosen depends on a number of things, o n e of them
being the development ideology that the actors subscribe to.

Development ideologies
Different political and social ideologies will bring about different development agendas
with different development goals. An ideology that stresses human rights as the basis
for democracy will result in a different development agenda, compared to one that
emphasizes national economic growth, or one that focuses on a sustainable
environment, or on the role of w o m e n in development. For instance, there is an
ongoing ideological battle between economic policies which aim to increase economic
growth of a country but at the same time widen income gaps between the people of
that country, and other policies that seek to actively reduce the inequalities in society.

Think about it. W h o makes policies? The government does. It bases this on its
political ideology, on what was done before, and on c o m m o n sense. In fact,
governments rule by means of policies. Y o u are working in, or interested in, public
4
management - the government's instrument to implement policies!

1.5 Development • means or end?

All of the various kinds of development thinking aim to achieve the general goal of
development, namely, 'to improve the living conditions in society'. A n d , yet, the
approaches differ a lot. So when we talk of 'goals of development' we have to be more
specific, because how and what is done to achieve the goals, and who wants this
particular development goal, who benefits from it, and who take part in the
development process, all of these determine the specific goals and processes of
development. Let's have a look at some scenarios. One of the leading development
5
economists is Amartya S e n . Amartya Sen has said the following:

4
Year 1 module CPM 410 and Year 2 module DPM 510 deal with general policy issues.
5
Amartya Sen was awarded the Nobel Prize in Economic Science in 1998

[6
1 Development is complex

DEVELOPMENT AS FREEDOM
We live in a world of great wealth, of a kind that we would have
had difficulty to imagine a century of two ago. The twentieth
century has established democratic and participatory governance
as the best model of political organization. Concepts of human
rights and political liberty are now very much part of our thinking
and speaking. People live much longer, on average, than ever
before. The different regions of the globe are now more closely
linked than they have ever been.

And yet, we also live in a world with serious deprivation, destitution and oppression. There are
many new problems as well as old ones, including the persistence of poverty and unfulfilled
basic needs, the occurrence of famines and widespread hunger, the violation of basic political
freedoms, the widespread ongoing neglect of the interests and agency of women, and the
worsening threats to our environment and to the sustainability of our economic and social lives.
Overcoming these problems is a key task of development.

We have to recognize the role of freedoms of different kinds in facing these challenges. Only
when we see individual freedom as a social commitment, can we address these serious
problems. Expansion of freedom is both the most important end and the main means of
development. Thus, development consists of the removal of various types of un-freedoms that
leave people with little choice and little opportunity to exercise their agency.

There is strong evidence that economic, civil and political rights and freedoms reinforce one
another. In the same way, the social opportunities of education and health care support people
in making use of opportunities to participate in social, economic and political life. In this way,
individuals are empowered to overcome their deprivations, their poverty.

There are interconnections between crucial instrumental freedoms such as economic

opportunities, political freedoms, social facilities (such as education and health care), good
governance, and protective security. Societal organizations such as the state, the market, the
legal system, political parties, the media, public interest groups and public discussion forums |
must be seen as institutions that enhance and guarantee the freedoms of individuals. Individuals \
must be seen as the active agents of change, rather than the passive recipients of benefits. I
(Abridged)
Source: Amartya Sen, 1999, Development as freedom: xi-xii. \

W h e n the focus is on development as a process of expanding human freedoms, this

may clash with other views of development, such as when development is seen as the
growth of the gross national product (GNP), or as a rise in personal income, or
industrialization, or technological advances, or social modernization.

Agency
Amartya Sen mentions that in order to o v e r c o m e the overwhelming problems a n d
challenges besetting the world - hunger, poverty, a threatened natural environment,
oppression, lack of economic sustainability, etc. - people need to exercise their
agency. People have agency w h e n they act and bring about change, and w h e n their
achievements can be assessed in terms of their own values a n d objectives. Agency,
Sen says, is crucial for development. A n y individual can have agency. They can have
it as a member of the public, and as a participant in economic, social a n d political
actions. In order to be able to exercise agency, un-freedoms must be removed.
Society as a whole, a n d this includes government, business sector and civil society,
have a major role to play in this. In other words, there is a clear link between the

17
 unn I Development is complex

traditional governmental processes of policy making and implementation and impact

assessment, and participative processes, democratic scrutiny and, if need be,
democratic rejection.

Amartya Sen believes that development is both the means, namely processes to
remove un-freedoms and gain agency a n d the end, namely solving the problems
besetting the world. Just as human agency can cause negative (and positive) things
to happen, human agency can also solve problems and face challenges. In a later
Unit of this module we will look at this again when we talk about the capabilities
approach to development.

Activity 1.5
Why might the way Amartya Sen sees development, namely as 'a process of expanding
human freedoms' clash with other views of development? Explain. The table below may
assist you.
Expanding Growth of
R , S e n o n a l S o c , a
Human national product ' P ^ Industrialisation „ '
, n c o m e
freedoms (GNP) modern.satton

How can it be
done?

What must be
done?

Who want it?

Who benefit
from it?

Who are active

In the
development
process?
Who lead the
development
process?

1.6 Poverty and Human Development

A topic we have not mentioned very much is poverty. Often, when people think of
development, they associate it with the eradication of poverty. They see the total
removal of poverty as the ultimate goal of development. We all want this - a world
without poverty, a world without hunger. Unfortunately, we know that this is very
difficult to achieve. Therefore, we rather talk about reduction of poverty (creating fewer
occurrences of poverty) or about alleviation of poverty (making poverty less hard).
Let's have a look at what poverty is.

In everyday language, the term 'poverty' is often understood to mean 'shortage of

income' W h e n we talk about poverty in the context of development thinking, we see
that there are many more sides to poverty than not having (enough) income. Poverty
has also everything to do with health, education, social life, the quality of the
environment, and spiritual and political freedom. W h e n people suffer from deprivation
of any of these, we also call this poverty. This makes sense because when you have
no income, it is very difficult to look after your health, to make sure you have a safe
1 Development is complex

house to live in, to get education, and so on. Changing definitions of poverty
In the 1960s poverty was defined by income;
This does not mean, however, that not having in the 1970s, relative deprivation and the basic
much income necessarily means that people needs approach became dominant; in the
think of themselves as living in poverty. It 1980s, non-monetary concepts were added,
also depends on what people find important including powerlessness. vulnerability,
in their lives. Research in India with a large livelihoods, capabilities and gender.
group of poor people, for example, has The 1990s saw the use of well-being and
shown that they people felt their sense of 'voice' in defining poverty, while the rights-
well-being had risen by achieving things they based approach has dominated the first • :

considered important, such as having shoes decade of the new millennium. Each has its
to wear, which they did not before, and own (differing) indicators, Each has its own
having separate accommodation for people following among governments and donors,
a n d cattle, which w a s not the case before. programme managers and NGOs - although
W h e n the people in the group were asked few stop to make sure they are talking about
about their financial income, it turned out that the same thing.
they earned less than before, but the other
Source: David Everatt, 2004, The politics of
things were seen as more important! In other
poverty. www.cGiny.org.za
words, saying what poverty is and what it is
not and measuring poverty is not a simple task

A government that w a n t s to fight poverty and wants to design a policy to fight poverty
must know how much and what kinds of poverty there are in the country. It must
measure poverty. The poverty statistics used are often based on the Gross National
Product (GNP) per capita (per person). This is actually not a good measurement
because it is simply an average of what the country as a whole has earned divided by
the number of citizens. A n d , of course, in reality the G N P is not evenly divided over all
citizens. T h e r e may be s o m e groups with a large income, while other groups suffer
severe poverty. In South Africa, for example, the gap between rich a n d poor is
growing extremely fast, and this needs the
First and Third World in one country:
urgent attention of government. It is said Absolute wealth and severe poverty
that in some developing countries there is a
first world a n d a third world in one country.

Another, more reliable w a y of measuring

income poverty is a headcount of the
number of people of a country - and so
calculate the percentage of the population -
that live below the poverty line. To have a
g o o d overview of the income poverty levels
of a country is important because they
indicate h o w many people may not be able
to have their basic needs met. Money is
needed for a range of services, so income
poverty is closely related to poor health, to
limited access to education, a n d to a living
environment that cannot guarantee
personal safety. Children, particularly, suffer
w h e n the family lacks sufficient income.

You will find that in the Human

Development Index table (below), the
poverty line is taken as US$ 2 per day. This
means that people w h o live below this
poverty line have less income than US$ 2

19
1 Development is complex

per day. No measurement of poverty is perfect. Looking at a single income per

household tells us nothing about h o w resources are distributed between family
members, or about the size of the household. It also does not state anything about
other w a y s of living. For instance, people living in a township (compound/ location)
near a big city who are looking for work have high transport cost and high house
rentals; they must buy food, so they have high food cost. They can do very little with
US$ 2 On the other hand, people w h o live in rural areas, who might be involved in
farming, will grow their own food, work from home, and have their own home. In other
words, they can do more with the same US$ 2.

W h e n poverty is only seen as lack of income, then development is thought about as a

process of economic growth, because this will reduce 'lack of income', and so reduce
'poverty'. Consequently, policies to reduce poverty will be economic policies.
However, if poverty is defined as lack of basic needs, such as health and education,
then the development strategy is likely to stress the importance of social policies
alongside economic policies. Again, it comes back to what problems and challenges
are identified, w h o defines them, w h o benefits from the solution, w h o is involved in
tackling the challenges and how this is done. We will come back to poverty in this
module when we briefly discuss global roleplayers and strategies such as Structural
Adjustment Programme, the Economic Recovery Programme and the Poverty
Reduction Strategy in the next unit. We will also discuss some causes, aspects and
impacts of poverty and some of the development approaches used to reduce this.

Having access to education, clean water, health services, is measured in the Human
Development Index (HDI). Every year, the United Nations Development Programme
(UNDP) publishes the HDI for the countries of the world, as part of their Human
Development Report. Below is part of the 2006 H u m a n Development Report.

U N D P - T H E HUMAN DEVELOPMENT INDEX

Each year since 1990, the UNDP has published a human development index (HDI) that looks
beyond GNP to a broader definition of well-being. The HDI measures three dimensions of
human development:
• Living a long and healthy life (measured by life expectancy)
• Being educated (measured by adult literacy and enrolment in formal education levels)
• Having a decent standard of living (measured by purchasing power, PPP, income)

| The HDI does not include important indicators such as respect for human rights, democracy and
inequality. What it does provide is a broad overview of human progress and the complex
relationship between income and well-being.
This year's HDI highlights the very large gaps in well-being and life chances that continue to
divide our increasingly interconnected world. It was late US President John F. Kennedy who
coined the phrase that "a rising tide lifts all boats." But when it comes to human development,
the rising tide of global prosperity has lifted some boats faster than others — and some boats
are sinking fast!

Enthusiasts who stress the positive aspects of globalization use the language of the global
village to describe the new order. But when we look at this through the lens of human
development, the global village appears deeply divided between the streets of the haves and
those of the have-nots. The average person in Norway (at the top of the HDI league) and the
average person in countries such as Niger (at the bottom of the HDI league) certainly live in
different human development districts of the global village! People in Norway (not in the table
below) are more than 40 times wealthier than people in Niger,

They live almost twice as long, and they enjoy near 100% enrolment in education, compared
with an enrolment rate of 2 1 % in Niger. For the 31 countries in the low human development

20
Unit 1 Development is complex

| category life expectancy at birth is 46 years, which is 32 years less than in high human ;
[
- development countries.

j The HDI underlines another core theme. On average human development indicators tend to rise
and fall with income. This is not surprising. Very low average incomes and high levels of income
\ poverty rob people of the ability to achieve adequate nutrition, treat illness or gain an education.

I Thus, people in richer countries tend to be healthier and have more educational opportunities. It
also draws attention to the fact that some countries are far better than others at converting
I wealth into opportunities for health and education. Some countries have an HDI rank far below
j their income rank, while this is the opposite for others. For example, Viet Nam remains quite
: poor in income but has a much higher HDI ranking than many countries with higher per capita
I (per person) incomes. In Sub-Saharan Africa, Tanzania has an average income of one-third of
: that of Angola but it has a similar HDI rank — an outcome that reflects the high human cost of
| conflict in Angola.

I Human development trends

| Human development trends tell an important story. Since the mid-1970s almost all regions have
i been increasing their HDI score. East Asia and South Asia have fast progressed since 1990.
i Central and Eastern Europe and the Commonwealth of Independent States (CIS), following a
catastrophic decline (decrease) in the first half of the 1990s, have also recovered. The major
: exception is Sub-Saharan Africa. Since 1990 it has stagnated, partly because of economic
setbacks, but principally because of the catastrophic effect of HIV/AIDS on life expectancy.
| Eighteen countries have a lower HDI score today than in 1990 — most are in Sub-Saharan
Africa. Today 28 of the 31 low human development countries are in Sub-Saharan Africa. This
: underlines the supreme importance for the Millennium Development Goals and of national
i efforts and global partnerships to overcome the enormous inherited disadvantage faced by
people in Africa today.

Progress in human development is sometimes taken as evidence of convergence (coming

together) between the developed and the developing world. In broad terms, this picture is
accurate: there has been a steady improvement in HDI scores for the developing world over
several decades. But convergence
is taking place at very different The Preston curve: life-expectancy ver$u» GDP per capita
rates (speeds) in different regions.
Inequalities in human development
, . prance , -
rtaiy _„a.\J
t

remain large, and for a large group Span

of countries divergence (drifting

apart) is the order of the day.

Life expectancy
Over the past three decades
developing countries as a group 2 60 H
have been converging on Q
0 SanslacMsft

developed countries in life

expectancy. Their average life sen
IF
expectancy at birth has increased SOB* Afrits

by nine years, compared with

seven in high-income countries. 40- 8«sw*na

The exception again is Sub-

• ". 10,000 20,060
Saharan Africa. For this region life
GDP per capita, 2000, current PPP 5
expectancy today is lower than it
:e Poverty in Focus. December 2006
was three decades ago. For

21
Unit 1 Development is complex

example: Life expectance has decreased in Botswana with 20 years, with 16 years in Swaziland
and with 13 years in Lesotho and Zambia. (Abridged)

Based on: Human Development Report 2006

The table below is based on a table of the Human Development Report 2006. It
shows the HDI ranking of developing countries (1 is the best rank), the Human
Poverty Index (1 is the best HPI rank). It also shows the chance (in %) that a person
does not survive to the age of 40; the illiteracy rate in % for the adult population; the
% of the population that does not have sustainable access to improved water; the %
of children younger than 5 that are underweight for their age; and the % of the
population that is below a poverty line of US$ 2 per day.

The table does not s h o w all countries, we have selected some for comparison in the
high h u m a n development group, s o m e in the medium human development group and
many f r o m the low human development group of countries.

HUMAN DEVELOPMENT INDEX

Population
Population \
Probability C h j | d r e n
below
Adult without .
Human at birth of income
Human illiteracy sustainable! ""f^
Poverty NOT 6 h t f o r poverty
Development rate access t o ! ^
Country Index surviving to , h e , r a e line
Index (HDI) (% ages improved ! 9
(HPI) age 40 (%)
(rank) 15 yrs and
(rank) (%of r e r
K - « * r
older) S c
population) 5 USS2a
(%) ; ^
day
HIGH HUMAN DEVELOPMENT
25 Singapore g""' 0 14
7 1
7.5
A / i 41 ^\
™ o OQ a £ I T n
Argentina O o.U /.O 4 O /O.U
49 United Arab 34
2.2 0 14
Emirates
c Ci A
ou Cuba 6 6.Z 0.2 9 4 —
53 Mexico 9 6.0 90 3 8 20 4
63 Mauritius 24 5.0 156 0 15
MEDIUM HUMAN DEVELOPMENT
69 Brazil 22 10.3 114 10 ~ 6 21.2
72 Venezuela 16 8.2 17 4 27.6
_ 7°_
81 China 26 6.9 23 8 46.7
9.1
87 Tunisia 39 4.7 £ ""257 7 4 6.6
93 Sri Lanka 38 4.3 9.3 21 29 41.6 1
102 Algeria 46 7.8 30 1 15 10 15 1
109 Viet Nam 33 9.4 97 15 28 —
111 Egypt 44 7.8 28.6 2 9 43.9
121 i South Africa 53 433 17.6 12 12 34.1
123 Morocco 59 8.6 47.7 19 9 14.3
124 (Gabon 50 326 — 12 12 —
125 INamibia 57 45.4 15 0 13 24 558
126 ilndia 55 16.5 390 14 47 799
131 Botswana 93 69.1 188 5 13 50.1
136 ; Ghana 27.7 42.1 25 22 78 5
5 ~
140 Congo " iIZ 33.6 42 14
141 Sudan 54 39.1 ~30 17
143 Madagascar 66 27.8 29.3 50 42 85.1
-1 AA /jo o 1A 1P An A
144 Cameroon Dl 4o.y o4 10 OU 0
145 62 33 2 40 23
Uganda 41.6

6
Illiteracy means lack of literacy.

22
1 Development is complex

j Population
Population
Probability Children j below
Adult without
Human at birth of under income
Human illiteracy sustainable
Poverty NOT 6 weight for poverty
Development rate access to
Country Index surviving to their age line
Index (HDI) (% ages improved
(HPI) age 40 (%)
(rank) 15 yrs and water
(rank) (% of (% of under.
older) source
population) 5 yrs) US$2 a
(%)
day
146 Swaziland 97 74.3 20.4 38 10
LOW HUMAN DEVELOPMENT
147 Togo 72 31 0 46.8 48 25
149 Lesotho 89 67.6 178 21 18 56.1
151 Zimbabwe 88 659 — 19 13 830
152 Kenya 60 44 8 26.4 39 20 58.3
155 Gambia 86 27.8 — 18 17 829
ice
156 Senegal 84 26.6 60 7 24 23 63 0
157 Eritrea 70 27.6 40 40
158 Rwanda 67 45.5 35.1 26 27 83 7
C ~ 1 5 9
Nigeria 76 52 29 92.4
161 Angola 79 48.1 32.6 47 31
162 Tanzania 64 44.4 30.6 38 22 89.9
163 Benin 90 30 0 65.3 33 23 73.7
164 Cote d'lvoire 82 42 3 51.3 16 17 48.8
165 Zambia 87 601 32.0 42 23 94.1
166 Malawi 83 56 3 35.9 27 22 76.1
Dem. Rep
167 80 45.9 32.8 54 31
Congo
168 Mozambique 94 50.9 — 57 24 78.4
169 Burundi 78 46 3 40.7 _ 21 45 87.6
170 Ethiopia 98 39.5 — 78 47 ""'77 8
171 Chad 100 45.2 743 58 28 —
173 Guinea-Bissau 92 42.9 41 25
CI TO 1 "7-1 Q
11A Burkina Faso 1U1 oo y oy 6o / 1 ,o
i
175 Mali 102 37.3 81.0 33 90.6
50
176 Sierra Leone 95 47 0 64.9 43 27 74.5
177 Niger 99 41.4 71.3 54 40 85.8

Activity 1.6
1. Study the table above. Most African countries appear in this table W h e r e is the
majority in terms of HDI and in terms of HPI? What does this mean?
2 How does your o w n country rank in terms of human poverty and human
development? Compare a f e w of the countries in Africa in terms of:
(i) Life expectancy (which column is this?)
(ti) Access to improved water
(tii) Adult illiteracy

3. Write in your o w n words (a) what is meant by 'ranking' and (b) what is meant by
Probability at birth of N O T surviving to age 40 (% of population).

A challenge for us
W h e n we read about the many faces of development, about the complexity of it, about
the desperate problems besetting our c o n t i n e n t it is very easy to throw our hands up
in the air and say 'It's too much, I am powerless, I cannot handle it' But is it true?
Sure, it is a lot to deal with, but are we powerless? I don't think so. We often forget

23
 Unit 1 Development is complex

how much influence we have in our work environment, in our social environment. The
choice is ours: do we want to influence, do we want to be heard? De we want to stick
out our necks? Do we feel strong enough to do so? Do we know enough?

Knowledge, insight, compassion and courage a r e the ingredients individuals and

organizations need to make Africa count! You are interested in public management.
Public management implements and assesses policies, policies aiming at social and
economic growth and empowerment! The medium term goals are clear. They are
listed below. Are you joining?

1.8 Millennium Development Goals

© Eradicate extreme poverty a n d hunger
Target 1: Reduce by half the proportion of people living on less than a dollar a
day
Target 2: Reduce by half the proportion of people w h o suffer from hunger

© Achieve universal primary education

Target 3: Ensure that all boys and girls complete a full course of primary
schooling

(D Promote gender equality and e m p o w e r w o m e n

Target 4: Eliminate gender disparity in primary and secondary education
preferably by 2005, and at all levels by 2015

® Reduce child mortality

Target 5: Reduce by two thirds the mortality rate among children under five

(D Improve maternal health

Target 6: Reduce by three quarters the maternal mortality ratio

© Combat HIV/AIDS, malaria and other diseases

Target 7: Halt and begin to reverse the spread of HIV/AIDS
Target 8: Halt and begin to reverse the incidence of malaria and other major
diseases

© Ensure environmental sustainability

Target 9: Integrate the principles of sustainable development into country
policies and programmes; reverse loss of environmental resources
Target 10: Reduce by half the proportion of people without sustainable access
to safe drinking water
Target 11: Achieve significant improvement in lives of at least 100 million slum
dwellers, by 2020

Develop a global partnership for development

Target 12: Develop further an o p e n trading and financial system that is rule-
based, predictable and non-discriminatory. Includes a commitment
to good governance, development and poverty reduction—nationally
and internationally
Target 13: Address the least developed countries' special needs. This includes
tariff- and quota-free access for their exports; enhanced debt relief
for heavily indebted poor countries; cancellation of official bilateral
debt; and more generous official development assistance for
countries committed to poverty reduction
Target 14: Address the special needs of landlocked and Small Island
Developing States

24
 Unit 1 Development is complex

Target 15: Deal comprehensively with developing countries' debt problems

through national and international measures to make debt
sustainable in the long term
Target 16: In cooperation with the developing countries, develop decent and
productive work for youth
Target 17: In cooperation with pharmaceutical companies, provide access to
affordable essential drugs in developing countries
Target 18: In cooperation with the private sector, make available the benefits of
new technologies—especially information a n d communications
technologies

Reflection
• Having studied Unit 1, what conclusion do you draw about development thinking?
Is this what you expected?

• What has changed in your understanding of development?

• What does this mean for h o w you do your w o r k ?

• What does it mean for how you read newspapers, or listen to radio, watch
television? How will you now understand political pamphlets and agendas, and
take part in formal and informal discussions?

1.9 Summary
In Unit 1 of this module, "Development is complex", we have looked at definitions of
development, we asked questions about the context in which development takes
place, and we looked at the idea of 'development thinking" and how it has changed
over the years. We then briefly looked at the 'development as freedom' approach and
at the H u m a n Development Index, We ended with the challenge to be involved in
development for the betterment of Africa. In the next Unit, we will look at w h o wants
development, and w h o are the roleplayers in development

Self-assessment tasks
Take into account your knowledge of development, your work experiences in
development, and your personal experiences as an individual living in a society in the
South (the third world) Answer the following questions:

1. What would be your preferred development thinking'? Give reasons for your
answer by considering local, national and regional development challenges. Note
that your choice can be a combined choice.

2. Is your choice a 'normative' or a 'positive' choice? Explain.

Suggestions for further reading

Biko BS, 2004 (Posthumously published), / write what I like - A selection of his
writings. Johannesburg, SA: Picador Africa

Ehrenpreis D ( e d ) , 2006, What is poverty? Concepts and measures. Poverty in

Focus, December 2006, Brasilia, Brazil: International Poverty Centre, United
Nations Development Programme, www.undp-povertycentre org

Freire P, 1995, Pedagogy of Hope. Reliving Pedagogy of the Oppressed. New York,
NY: Continuum.

United Nations Development Programme (UNDP), 2006. Human Development

Report. http://hdr-beta undp.org/hdr2006.

25
Unit 1 Development is complex

Sen A, 1999, Development as freedom. New York, USA: Random House.

A Key book on development (highly recommended):

Kingsbury D, Remenyi J, McKay J & Hunt J, 2004, Key issues in development.
Basingstoke, UK. Palgrave Macmillan.

Internet sources
Human Development Report: http://hdr-beta.undp.org/hdr2006

26
2 Agents of development • umermg agenaas

Unit 2
Agents of development - Differing agendas
2.1 Introduction: Global thinking, local acting
2.2 Worldviews and development
2.3 Globalization
2.4 Economic globalization and (under)development
2.5 Third World Debt - Structural adjustment programmes (SAPs) and economic
recovery programmes (ERPs)
2.6 Short history of foreign aid in a changing world
2.7 W h o develops?
2.8 The role of national and regional governments in development - N E P A D , AU
a n d the R E C s
2.9 The sovereign state: Effective governance for development
2.10 Civil society
2.11 Local N G O s
2.12 Northern NGO's in development work
2.13 Summary
Suggestions for further reading
Internet sources of information
Reading Text: The G8 and Africa - Growth and responsibility - Summary of G8 Summit
Declaration (8 June 2007)

Introduction: Global thinking, local acting

In Unit 1 we discussed how development thinking changed over time. We touch on it
again, because it has everything to do with w h o want to do development and also for
what reasons they want to do this. So, we continue to look at 'the big picture'. In
other words, we focus on global thinking, that is, thinking in terms of the larger
context. We do this, because as agents of development ourselves, we need to
translate' this global thinking into local acting, in our immediate environment, that is
in our country, town or district, in our jobs, with our people. We start off by looking
into worldviews and how this links with development. Next we will discuss various
agents of development in global, continental, regional, national and local contexts.

Worldviews and development

The way we, literally, see the world, influences how we see ourselves in relation to
the world (our worldview or mental map), and through this how we act. This is true
for individuals and organizations, and also for whole countries or continents. For
example, on the one hand, young and trendy people in the cities of Africa, and
elsewhere, speak with an Americanized accent, wear USA or European brand
clothes, watches a n d sunglasses that are globally available in the shops in Accra,
Lusaka, and Cape T o w n , but also in London and New York. Many popular soapies
shown on TV are not filmed in Africa, nor do they deal with African problems. Rather,
they show the minute (very small) problems of the super rich in the USA. Here, as in
most parts of the world, we listen to Beyonce, Michael Jackson, or U2. W h e n we see
this, it is not surprising that people talk about an Americanized urban culture, or they
call it a global culture. We then, living in Africa, have to ask the question: Is global
the same as American? Is the United States of America that big and powerful? May
be it is, or may be we allow it.

27
2 Agents of development • Differing agendas

A tough question: Is it true that groups and individuals in Africa - and other parts of
the developing world - sometimes belittle themselves, see themselves as not quite
having made it'? Is that why western culture gets so much attention, w h y it is so
much imitated? Just, think about it...

Let's go back to 'how we see the world'. W h e n every map of the world in every atlas
a n d in every school room tells us how big Europe and North America are and how
small Africa and South America, we may actually start believing that this is the truth,
not only about the sizes of continents and countries but also in terms of their political,
economic, technical and cultural power.

THE PETERS' MAP AND THE MERCATOR MAP

The map of the world on the right is familiar to you. It is called the Mercator Map. It was drawn
up in 1569 for the purpose of navigation (sea-faring). It is still used in most classrooms and
boardrooms. On this map Greenland and Africa look the same size. In reality, however, Africa
is more than 14 times larger in areal

To change these inconsistencies, Dr Arno Peters created a new world map - the map on the
left, the Peters' Map. This map shows all areas, that is, countries, continents or oceans,
according to their actual size. It is now possible to compare areas of countries and continents,
i Dr Peters believed that the use of Mercator Map for purposes that had nothing to do with
navigation, created in our minds a very distorted (wrong) image of the world. He was especially
concerned about our image of Africa that, as a result of the Mercator projection, was projected
as much smaller than its actual size.

, On the Mercator Map Europe and the USA are much larger than Africa. Since size can come
] to mean importance, wouldn't people looking at such a map imagine that Europe and the USA
were much more important than Africa? However, if area really was what mattered, Africa
would rank second in importance only to Asia and Europe would compete with Australia for last
place amongst the continents.

I Dr Arno Peters was one of the first people who said that maps are unavoidably political.
International donor agencies use the Peters' Map because it represents the developing
countries at their true proportions. In the complex and interdependent world in which nations
now live, the people of the world deserve and need an accurate portrayal of the world.

Based on: http://vmN.petersmap.com: Wood, Kaiser & Abramms B, 2006. Seeing through
maps-Many ways to see the world.

The way we see the world has everything to do with h o w we act in the world, how we
see others in that same world, a n d their situations. Thus, if we change our
worldviews. this has consequences for our actions, also for the way we 'do'
development.

28
Unit 2 «uefU5 U; UtiVtSIUfJIIHHlt - umviiuy ayciiuao

We read in Unit 1 that in the 1950's under-development was defined in terms of the
differences between rich and poor nations. Development, then, meant bridging the
gap between these two sets of nations, whereby the less developed countries were
to imitate the rich countries in order to become like them (Modernization). It was a
very interventionist approach and the thinking behind this w a s sociological and
political.

This w a s followed by Structuralism, which stressed the importance of economic

aspects a n d structures. It was thought that institutions in the developing countries
were not strong e n o u g h , or did not yet exist, to make economic growth happen.
Thus, it w a s thought that a certain amount of intervention was necessary in order to
create or upgrade institutions in the Third World to support development.

A reaction to this was the Latin America-based Dependencia thinking (Dependency

Model). Together with the World System Theory. Dependencia focused on the weak
structural position of Third World countries in the world system, and what to do about
it. They asked for radical political transformation and de-linking of the Third World
countries' economies from the world markets. At the same time, they focused on
industrialization and modernization of Third World societies from the inside. You will
remember Peggy Antrobus comment in Unit 1:

We thought that it was possible to have institutional control of international trade

and finance through getting the policies right... (but) it has become clear that true
power is positioned in structures established in the post-colonial eras to ensure
the continuation of colonial and neocolonial relations of dependency.

Another Development w a s made up of many alternative approaches, which had in

c o m m o n that they focused on the role of stakeholder groups in Third World
countries, particularly those that w e r e excluded from mainstream development
processes, like the ones described above. Their concerns included people,
structures, processes, and the influence on the environment.

Activity 2.1
1. What is meant by interventionisP What is meant by globalization?
2. Now you have read Unit 1 a n d the text on 'worldviews and development', you can
break down the different approaches to (economic) development. Use the table
below and formulate your answers. (Note: Often you will find a combination of
answers.)
3. The last part of this table deals with your o w n assessment of the different
development approaches, and 'your opinion' IS asked.

i**.**. M o d e m s m s t r u c t u r a l i s m fsz^^zXU
Is it interventionist? How?
Is it focused on economic, technical,
political, or social change?
Who initiates development?

Why is it done?

Who benefit from it most?

Who are most active in the
development process and who are
passive?
Your opinion
What is the biggest advantage
according to you?

29
 2 Agents of development - Differing agendas

What is the biggest d i s a d v a n t a g e

according t o you?
W h i c h of these a p p r o a c h e s does your
organization or institution prefer?

Globalization
Earlier on in this Unit we mentioned globalization. Globalization can be defined as:

the increasing integration of national economies in terms of free

and unhindered flows of trade, finances, ideas, information and
technology in order to create and sustain economic growth.

The term "globalization" first became widely used in the 1980s, but the idea goes
back decades, perhaps even centuries, if you count the trading empires built by
Spain, Portugal, Britain, and The Netherlands. In the aftermath of World War II, the
strategy of Western states to build and strengthen international ties laid the
groundwork for today's globalization.

Does globalization mean that all countries and cultures become the s a m e ? One view
is that, indeed, societies and cultures around the world will become if not the same,
then well very similar. Supporters of this view accept that the world will become more
and more 'westernized', or more accurately, Americanized' with key characteristics
such as materialistic consumerism. This view fits nicely with 'modernization' and
structuralism' and e v e n with 'dependencia'!

Activity 2.2
1. State what the definition of globalisation means in your o w n words. Give examples
2 Explain h o w it is that globalisation fits in with dependencia

The other view is that because of globalization, societies are challenged to look at
themselves afresh and make choices where and how they want to be. This is very
important because the culture surrounding production and economic processes, and
ownership is different from place to place. So. the supporters of this view believe
although a society adopts modern elements, it does not mean that tradition is
necessarily in the way of development. They believe that traditional societies can be
very dynamic, and capable of surviving a modernization process. In the process
traditional, social and modern aspects of a particular society change and the result
will be a hybrid (mixing of different cultures/systems to become one new
culture/system). T h e s e hybrids will vary from society to society. The African
Renaissance, for instance, is an attempt to hybridization on the continental level of
Africa.

AFRICAN RENAISSANCE I
The idea of an African Renaissance is not new - it has been expressed in different ways, and
under different names, since the colonial era. From the mid-1990s, the idea of Africa rising up
and overcoming all obstacles has been a common theme in the speeches and writings of many
African leaders and academics,

Supporters of the African Renaissance claim that, presently, conditions in Africa favour the
realization of the African Renaissance, Some of these conditions are:

• the end of decolonization following South Africa's liberation;

• the end of the Cold War;
• globalization; j

30
I • t h e rise of a new African leadership which is committed to democracy and the integration of I
Africa with the rest of the world;
• political unity;
• regional economic integration;
• the improved capacity to handle intra- and interstate conflicts.
Based on: Matthews S, Conflict Trends, 2002(1)

AFRICAN RENAISSANCE II
The African Renaissance is a condition for our success as a continent. Conditions across the
globe and across our continent dictate that something new should come out of Africa, created
by Africans themselves. For it is in the interest of both the rich and the poor of the globe that j
the African Century must become a reality. The revolution in technology allows for speedier j
movement of capital, goods, services, labour and information across oceans and boundaries.
Investors continuously seek bigger markets and lucrative destinations for their capital. Africa's
rich natural resources, its underdeveloped infrastructure in transport, telecommunications and
energy provide a rare opportunity for massive reconstruction and development partnerships j
between governments and the private sector worldwide. It is in the interest of both the rich and
the poor that the world should work as one to build a better life for all, Continued degradation
and backwardness in one part of the globe will surely, as day follows night, affect the rich
nations themselves.

The African Century can and should become a reality because the politics of the past, based
: on patronage, dictated by ideology, have lost their glitter. Humanity requires and deserves
democratic and transparent forms of government. Africa's rebirth (renaissance) will become a I
reality because we have reached the stage where we can define ourselves in our own image.
Gone are the days when merely referring to a colonial past would suffice to explain our woes.
We are now called upon by our own societies to tackle the legacy of colonialism; but at the
same time, to be more self-critical in assessing our own performance as leaders. There is a
call for us to challenge dictatorship and corruption ourselves, rather than plead that Africa must
be measured by a smaller and different yardstick than the rest of the world! Our intellectuals,
business-people, sports-people, women, youth, peasants, workers and so on, cherish their
;
own humanity; and they demand nothing less than the freedom to determine their own destiny
under conditions of equity.

We must deliberately identify joint projects that will develop our infrastructure, improve our j
governance and management of resources, develop our human resources, and utilise the pool [
of African skills in the African Diaspora.

We shall demand what is due to the continent. We shall work harder to build partnerships and
alliances with peoples everywhere who, like us, seek to build a better world. But we shall stand
tall in the courtyards of the world, as a continent ready to mobilise its human and natural
resources to improve the condition of its peoples. (Abridged)

Speech by former Deputy President of South Africa, Mr Jacob Zuma, on the occasion of the j
launch of the South African Chapter of the African Renaissance, April 2000. [

Activity 2.3
Tony Blair, former Prime Minister of the United Kingdom said in a South African
Broadcasting Corporation (SABC) interview on 3 June 2007:
Globalization is a fact, but the values accompanying it are a choice.

1. What are the values Mr Blair might be referring to?

2. How could it be a choice? For who? What could be the consequences?
3 Reading the text African Renaissance, can you relate this to thinking in your
country and/or organisation?

SI
 Unit 2 Agents of development - Differing agendas

4. List what are, according to you, the most important issues mentioned in the
African Renaissance text that deal with development.
5. What structures and institutions do you know on the African continent that actively
support the African Renaissance thinking?
6. Do you think the African Renaissance will w o r k ? W h y ? Or why not?

2.4 Economic globalization and (under)development

What does development mean in a time that is dominated by processes of
globalization and global change? The notion behind globalization w a s to create and
sustain economic growth, a n d in the tradition of modernization this would mean also
in developing countries. The fact that the Asian Tigers (Korea, Hong Kong, Taiwan
and Singapore) seem to do so well in free trade markets, makes it very attractive for
other developing countries to follow their example, despite the fact that the situation
of the Asian Tigers was/is very different compared to Latin America or Africa.

In reality, the so-called free flows of trade, finances, ideas, information and
technology mostly take place as a one-way flow - most of it flows back into the
pockets of the wealthy countries and trans-national companies. For many of the
developing countries, and particularly for the Least Developed Countries (LDCs) this
means that they are linked to a so-called global world in a way that reinforces their
marginalization and underdevelopment.

UNDERDEVELOPMENT IN AFRICA
(D The African economy is based on the production of raw materials, both agricultural and
mineral, whose prices are determined in Northern markets, As a result terms of trade have not
been good for a long time. This has had very negative effects on sustainable growth and
development. It must be changed to sustainable (human) development. A narrow focus on the
growing of economic markets without giving attention to the negative effects this has for the
local population may create wealth for the rich industrialized countries of the North and
underdevelopment in the South,

The influence of globalization has meant that hardly ever these days, as a consequence of
7
structural adjustment programmes (SAPs) and economic recovery programmes (ERPs) , the
nation-states in Africa decide on the rules and regulations of their economy, production, and
exchanges of goods and services. Globalization has imposed heavy constraints on the internal
! management dynamics of most states in Africa. In most cases governments find it difficult to
meet the genuine demands of the citizens, despite the sense of a national urgency. There was
s 1
little the Nigerian government could do to ease the situation when on 1 June 2000 a 50% hike
in the prices of petroleum and related products and its attendant national strike by the Nigerian
workers crippled the nation.

The reality in Nigeria today, as it is for most African nations, is that globalization has made it
immensely difficult for governments to provide social security - one of the central functions of
government, and one that has helped many developed nations to maintain social cohesion and
domestic political support, These kinds of trends have been largely caused by the inequality in
the status of the members of the "global village" and their inability to resist imposed policies,
such as SAPs and ERPs.

Globalization has concentrated power and wealth in the hands of a few countries and
corporations, while marginalizing the majority. It is estimated that the richest 20% of countries
produced or controlled approximately 85% of the world's GDP, while the middle 60% of I

7
We will discuss structural adjustment programmes (SAPs) and economic recovery programmes
(ERPs) later in this Unit.

32
 Unit 2 Agents of development • Differing agendas

countries control 14% and the 20% poorest countries only 1 % . Globalization seems to j
strengthen the position ot the developed economies because they are better able to take
j advantage of free trade. In fact, when Least Developed Countries (LDCs) join the world j
\ economy, this means that they are exposed to external economic forces over which they have
j little control. The free market principle with its rules and regulations, for instance, is applied to
developing countries, while the industrialized nations practised strategic trade options.

Many feel that to create equality and develop a human-centred global economy, a multi-
disciplinary approach is needed that must:

; (i) Adjust global policies to the specific needs and weaknesses of developing countries to
create a situation of fair trade rather than free trade;

(ii) Democratise international financial institutions (IFIs), World Bank, International Monetary •
Fund (IMF), World Trade Organization (WTO), etc., by promoting representative :
governance;

| (iii) Establish an institute that looks into national debt and repayment schedules, and that
ensures that financial crisis and national debt obligations do not cripple countries;

! (iv) Develop home grown, stakeholder-driven development strategies.

| In globalization, the asymmetry of power and interests of the inhabitants (the states) of the !
j global village, as well as the inequality in the rules of the game, cannot benefit Africa and her
people. To believe in globalization as an "absolute truth" without alternative is a disastrous
trap. Africa must free itself from this through a genuine and committed political, cultural,
sociological and economic realignment and restructuring that is truly African in nature if it
hopes to survive the challenges of the twenty-first century.

Based on: Akindele, Gidado, Olaopo, 2002,Globalisation, Its Implications and Consequences \
forAfnca & Workshop papers Fnednch Ebert Stiftung

2.5 Third World Debt - Structural adjustment programmes

(SAPs) and economic recovery programmes (ERPs)
In the 1960s and 1970s the emphasis in development was on industrial
development. Many newly independent countries, or developing countries, borrowed
money f r o m private banks in the USA, and other places, and from the IMF to finance
their programmes of industrial development. Most of these loans were m a d e for 5-7
years and had to be paid back at interest rates that depended, amongst other things,
on inflation. Towards the mid 1970s world inflation rates w e r e increasing at an
enormous rate and borrowing money became more and more expensive. From 1978
to 1981 the interest on an international loan climbed from an average of 9.2% to
16.6%.

Towards the e n d of 1 9 8 1 , Brazil and Mexico m a d e it clear that they could no longer
repay their national debts and the interest they owed. This created great panic
amongst the transnational banks that had provided enormous commercial loans to
the debtor countries (countries that h a d borrowed money). They wanted to take rapid
measures and impose penalties, because they w e r e afraid that other debt-ridden
countries would follow Brazil and Mexico's example. This would drive banks in the
North a n d W e s t into bankruptcy and undermine the international financial system.

33
Unit 2 Agents of development • Differing agendas
•

The IMF assumed the lead in this crisis and. guided by Northern self-interest,
decided that the problem lied with the debtor countries: Their governments had
followed the w r o n g policies, they were corrupt, they were bloated by bureaucracy,
and weighed down by loss-making parastatals. T h e affected transnational banks,
however, did not get criticised. Instead, they could write off their losses up to £1
billion annually against tax. For many years there w a s an almost total unwillingness
to consider writing off the debts of e v e n the most impoverished and debt-ridden
countries. For a long time it w a s actually considered 'unfair' a n d 'immoral' to e v e n
think about debt-relief.

One condition to debt

International Monetary Fund
consolidation w a s that debtor
The International Monetary Fund (IMF) was conceived at
countries had to engage in
a United Nations conference in Bretton Woods, US in July
structural adjustment
1B44. The 45 governments represented at that
programmes (SAPs). SAPs
conference sought to build a framework for economic
were designed to reduce state
cooperation that would avoid a repetition of the disastrous
intervention in the economy
•economic policies that had contributed to the Great
and promote international free
Depression of the 1930s.
trade. T h e idea behind it w a s
that each country should • Current membership: 185 countries
specialise and export those • Staff: approximately 2716 from 165 countries
products that it could produce • Loans outstanding: $28 billion to 74 countries
more cheaply than its
• Technical Assistance provided: 429:2 person years:
competitors on the world
during Financial Year 2006;
market. This was called
comparative advantage'. This IMF activities
is a far too simplistic picture, More generally, the IMF is responsible for ensuring the
however. Now we are aware stability of the international: monetary and financial
that international trade is often system—the system of international payments and
unbalanced. It depends on exchange rates among national currencies that enables
many factors, s u c h as market trade to take place between countries, It seeks to promote
share, power, a n d terms of economic stability and prevent crises; to help resolve
trade. crises when they do occur; and to promote growth and
alleviate: poverty, it employs three main functions-
surveillance, technical assistance, and lending—to meet
Main goals of SAPs these objectives.
The four main goals of S A P s Source: www.imf.org
were:
1. Mobilisation of domestic
resources
2. Policy reforms to increase economic efficiency
3. Generating of foreign exchange revenue from non-traditional sources through
(industrial) diversification, and increased exports of traditional products
4. Reducing the active economic role of the state

Measures
To achieve these goals, these were s o m e of the measures that needed to be taken:
• Public-sector w a g e freeze, rationalisation, and retrenchments
• Reduction of government expenditure by reducing government subsidies on basic
foods, health and education
• Privatisation: the selling off of state enterprises and parastatals
• Export promotion and, generally, making exports cheaper and more competitive
through the devaluation of the local currency

34
Unit 2 Agents of development - Differing agendas

• Economic liberalisation through removing of: import quota and tariffs, import
licences, state monopolies, price fixing, restrictions on the repatriation of profits by
foreign-owned firms
• T a x reduction to create incentives for individuals and businesses.

Activity 2.4
1. What is debt consolidation?
2. What is meant by: parastatals, industrial diversification, domestic resources,
rationalisation of the public sector, devaluation of currency, import quota a n d
tariffs?
3. Looking at the text above about debt consolidation and SAPs. has your country
been involved in any or all of these measures?
4. W h e n did it take place? Does it still take place?
5. Looking at the measures that were generally implemented as part of the SAP,
which o n e s w e r e put in place in your country? In this, think of particular sectors
such as the public sector - health, education, public works, etc. - or particular
industries such as agriculture or mining. How were the measures Implemented?
6. What are/were the consequences for your country? What were the benefits? A n d
what w e r e the disadvantages?

If a government wished to get financial support from the IMF, the SAP had to
adopted a n d implemented. Soon, the World Bank, regional development banks and
most major Northern donors followed the policies of the IMF, so that it became
impossible for a country in debt to borrow world Bank about itself:
from them without an SAP. This w a s the The World Bank is a vital source of financial and
economic condition for donor funding, technical assistance to developing countries
Later on to get donor funding or loans, a; n d the world. We are not a bank in the
a r 0 U

political condition w a s added, namely, l mrnon sense. We are made up of two unique
CO

good governance. j development institutions owned by 185 member

I countries—the International Bank for
Later, the S A P s were refined to take \ Reconstruction and Development (IBRD) and the
better account of local circumstances and ; international Development Association (IDA),
social development needs. The SAP n'Each institution plays a different but supportive
implemented by a country now had a i role in our mission of global poverty reduction and
duration of 3-4 years and was followed by j the improvement of living standards. The IBRD
an economic restructuring programme j focuses on middle income and creditworthy poor
(ERP) with a similar duration. The ERPs countries, while IDA focuses on the poorest
were designed to promote broader; countries in the world. Together we provide low-
economic restructuring in the country.: interest loans, interest-free credit and grants to
Very few countries have managed t o ; developing countries for education, health,
avoid the pain of S A P s a n d to r e t a i n ; infrastructure, communications and many other
sovereignty over their economic policies; purposes.
by implementing homegrown measures.; Source: Mp://web.wor!dbank.org
South Africa is exceptional in not having
had any S A P loans.

Evaluating SAPs
At the start of the SAPs it w a s thought that successful economic adjustment would
lead to rapidly increasing foreign investments. In practice this has not happened in
most countries. It took, for instance, a long time before the impact of many of the
adjustment measures was seen. At the s a m e time the pain of the measures w a s felt
sharply. T h e worst affected groups were/are the urban poor and urban-based civil
servants, w h o lost their jobs, suffered severe salary cut-backs, and faced steep
increases of food and other basic cost such as transport a n d water/electricity cost.
T h e main beneficiaries of the SAPs were/are large traders a n d import-export

35
Unit 2 Agents of development - Differing agendas

merchants, a n d also rural agricultural producers who had a saleable surplus. This
w a s not the case in all countries In some countries, food security w a s undermined
by the IMF's insistence that food crops had to be swapped for cash crops that could
be exported. For instance, in the 1970s Sudan had attained food security through
maize cultivation. This was turned over w h e n under Sudan's first SAP cotton
production took the place of maize production. With the income from the cotton
maize was imported. W h e n the cotton prize fell in 1984, the cotton income was not
enough to import maize. People could not eat cotton a n d , so, famine threatened.
This caused much suffering and bitterness.

Poverty Reduction Strategies

Towards the end of the previous century both the IMF and the World Bank replaced
the ERPs and SAPs by Poverty Reduction Strategies (PRSs). This fitted in with a
changing way of looking at development aid. Instead of 'aid', the assistance was now
g i v e n through partnerships with developing countries. Poverty Reduction Strategy
Papers (PRSPs) describe a country's macroeconomic, structural and social policies
and programmes to promote growth and reduce poverty, as well as the external
finances needed to achieve these goals. PRSPs are prepared by governments
through a participatory process that involves civil society and development partners,
including the World Bank and the IMF. They are obligatory if a country wishes to
receive financial assistance from foreign donors, in the same way as the SAPs and
ERPs before.

Activity 2.5
The SAP, ERP and PRS have played a prominent role in economic and social (under)
development. Use this table as a guideline and answer the questions for these
programmes/ strategies.
SAP ERP PRS
W h a t is the cause that the programme/strategy was put into
place?
What is the aim of the programme/strategy?

W h o designs t h e programme/strategy?

W h o has to implement the programme/strategy?

W h o benefits from it most?

W h o suffers from it most?

W h a t is the biggest advantage according to you?

What is the biggest disadvantage according to you?

Maybe, when you formulated the answers to the questions in Activity 2.5, y o u
became cynical, or angry or sad, about how the wealthy nations have decided on the
development needs in Third World countries, as well as the w a y s to meet these
needs Remember, this was not done out of bad intentions, it often depended on the
worldview of these donors.

Nevertheless, we have to be alert and ask the right questions again and again about
h o w we know whether development programme has made positive changes,
particularly, to poverty and inequality

If poverty (and we will not go into different definitions of poverty here) has become
less, as well as inequality, then we know that s o m e development has happened in
the country. If one or two of these central problems have grown worse, a n d

36
 Unit 2 Agents of development - Differing agendas

especially if all three have, it would be very wrong to call the result "development"
even though the per capita income might have doubled!

2.6 Short history of foreign aid in a changing world

Y o u know that for a long time the decisions about what w a s desirable development
w e r e not taken by the 'beneficiaries' or 'target groups' but by the external 'donors' of
development aid, the 'benefactors'. T h e receiving states or groups in a particular
country were hardly seen as important roleplayers or stakeholders, a n d w e r e not
asked for their needs. A few decades ago this changed. The table below gives a
short history, a chronological overview, of how Foreign Aid (development assistance)
evolved over the past two centuries.

SHORT HISTORY OF FOREIGN AID

1812 USA Congress passes Act for the Relief of the Citizens of Venezuela.
1870s First discussions in United Kingdom (UK) of official finance for colonies.
1896 Transfer of food surplus (under Ministry of Agriculture) begins from USA with the
intention of developing new markets.
; 1918 Following World War I, USA ships 6.23 million tonnes of food aid to Europe, leading to
1933 Act.
| 1929 First UK Colonial Development Act.
| 1933 Agricultural Adjustment Act, beginning of systematic shipments outside of emergency
situations.
| 1942 Formation of United Nations (formally came into being in 1945).
1943 Formation of UN Relief and Rehabilitation Administration (UNRRA).
1944 Bretton Woods conference. Formation of IMF, World Bank, and the NGOs Oxfam and
CARE.
1946 Formation of the United Nations Children's Fund (UNICEF).
1947 Marshall Plan to assist in the rebuilding of Europe after World War II. (Appr. 25 % of
assistance was food, feed and fertilizer. So, at the end of the Marshall Plan USA
farmers lobbied to continue food aid, resulting in 1954 Agricultural Trade Development
and Assistance Act.
1949 UN establishes Expanded Programme of Technical Assistance (EPTA).
8
j 1950 USA Act of International Development and Truman's 'Four Points speech'
| 1950s Growth of Community Development Movement (CDM).
| 1954 USA Agricultural Trade Development and Assistance Act. With this act USA Congress
wanted to expand international trade between USA and friendly nations, promote the
economic stability of USA agriculture and make maximum efficient use of surplus
agricultural produce to further USA foreign policy and expand foreign trade in
agricultural produce of the USA.
| 1955 First meeting of Non-Aligned Movement, a group of countries that refused to group
themselves with the West or with the Soviet Union.
1956 President Khrushchev of the Soviet Union (USSR) expands Soviet aid programme.
Soviets take over funding of Aswan Dam in Egypt.
j 1959 UN Special Fund starts operations. Creation of the Inter-American Development Bank.
j 1960 Formation of Development Assistance Committee (DAC). DAC is part of the
Organization for Economic Co-operation and Development (OECD).
I 1961 President Kennedy of the USA launches Alliance for Progress.
; 1963 Creation of World Food Programme (WFP) - major multilateral channel for food aid,
but only for projects. WFP promotes developmental uses of food aid.

A small part of President Truman's speech is in Unit 1 of this module

37
Unit 2 Agents of development • Differing agendas

1965 UN Special Fund and EPTA merged to form United Nations Development Programme
(UNDP).
1968 DAC agrees on a definition of Official Development Assistance (ODA)
1969 Pearson Report proposes 0.7 % target for ODA volume.
1973 Robert McNamara (Head of World Bank) launches World Bank reorientation towards
poverty.
1975 First Lome convention - framework for aid from European Community (now European
Union) to African Caribbean Pacific countries (ACP countries).
1980 First structural adjustment programmes (SAPs) and structural adjustment loans
(SALs).
1980/81 Start of Third World debt crisis.
1987 Launch of Special Programme of Assistance for Africa (SPA). Publication of UNICEF-
sponsored study Adjustment with a Human Face. Brundtland Commission publishes
Our Common Future.
1989 World Bank launches governance agenda.
1990 End of Cold War. 1st Human Development Report (UNDP). World Development
Report (World Bank) on poverty (shift in donor policy towards poverty reduction).
1996 World Bank and the IMF jointly launch a debt relief initiative for the Heavily Indebted
Poor Countries (HIPC).
1997 Several donors issue policy documents embracing partnership with the Third World
2000 The 22 wealthiest countries of the United Nations unanimously agree to donate 0.7 %
of Gross National/Domestic Product (GNP/GDP) to aid in order to substantially
eliminate extreme poverty.
Source: Peter Hjertholm Howard White, 2000, Survey of Foreign Aid: History, Trends and
Allocation

Activity 2.6
1. Take a g o o d look at the text •History of Foreign Aid'.
Some of the reasons w h y foreign aid was started in the past and is continued in
the present are: humanitarian assistance (relief), trade market development
economic motives, political motives, promoting democracy, promoting
partnerships, poverty reduction. Of course, there may be more motivations and
also combinations of motivations.
2. Classify the events listed in 'History of Foreign Aid' by using the categories
mentioned above. If you feel that there are other categories needed to ctassify the
events, add them.

2.7 Who develops?

In the sections above we discussed approaches to economic development, or as
s o m e people say, underdevelopment. These approaches mainly came from the
global world outside the Third World. Development as the nations of the North a n d
West s a w it, w a s based on their o w n experiences of economic growth that w a s
achieved through industrialization with urbanisation. The development approaches
suited the worldviews, trade interests and political concerns of the developed world.
It w a s felt that the answer to 'bridging the gap between rich and poor' and find
approaches to solve Third World debt', w a s unhindered economic growth. A n d ,
because most of the financial, organizational and economic resources resided in the
developed world, the developed nations had the economic and political power and
could 'call the shots'. Thus, many of the programmes and strategies were 'dictated'
or 'imposed ' on developing countries.

$8
Unit 2 Agents of development - Differing agendas

This does not necessarily make the strategies wrong but it certainly m a k e s the
processes wrong. Third World nations w e r e merely seen as passive stakeholders
rather than as active and involved participants in development.

W i t h an overwhelmingly large debt, as many developing countries had, there w a s

little to choose from if they asked to be 'bailed out' by IFIs (international financial
institutions such as the World
Bank and the IMF). Another World Trade Organisation (WTO)
aspect of these globalised The World Trade Organization (WTO) is the only global
economic approaches to international organization dealing with the rules of trade
development w a s that the between nations. At its heart are the WTO agreements,
decisions about the negotiated and signed by the bulk of the world's trading
development strategies to be nations and ratified in their parliaments. The goal is to help
followed w e r e made between
producers of goods and services, exporters, and importers
governments, governmental
conduct their business.
organizations, such as the
World Trade Organization Location: Geneva, Switzerland; Established:
(WTO) and IFIs. This should 1 January 1995
have been alright, because
these are organizations of Membership: 150 countries on 11 January 2007
member states (represented Functions:
by their governments), were
- Administering WTO trade agreements (e.g. Doha)
it not that the weight of the
votes of the m e m b e r s of the - Forum for trade negotiations
World Bank, for instance, - Handling trade disputes
depends on the finances - Monitoring national trade policies
they bring to the World Bank. - Technical assistance & training for developing countries
Thus, the HIDCs a n d L D C s - Cooperation with other international organizations
are represented in these
Doha rounds
organizations but have very
The November 2001 declaration of the Fourth Ministerial
little say. Some countries
have a 0.1 vote! Also, Conference in Doha, Qatar, provides the mandate for
developing countries a r e not negotiations on a range of subjects, The negotiations
even officially represented in include those on agriculture and services, which began in
the W T O . early 2000.

In Doha, Ministers also approved a linked decision on

Furthermore, although the implementation — problems developing countries face in
United Nations a n d all its implementing the current WTO agreements.
sub-organizations (UNDP,
The original mandate has now been refined by work at
FAO, UNICEF etc) a r e m a d e
Cancun in 2003, Geneva in 2004, and Hong Korig in 2005.
up of member states, the
political and economic power
remains mostly where it has been ... with the developed world.

However, we must not forget that many international efforts to assist in the reduction
of poverty are born out of true concern. In September 2000, the 189 countries of the
United Nations unanimously agreed to
"spare no effort to free our fellow m e n , w o m e n and children from the
abject and dehumanizing conditions of extreme poverty, specifically
hunger and the major diseases that afflict humanity, such as HIV/AIDS,
malaria and tuberculosis."

39
 Unit 2 Agents of development • Differing agendas

INTERNATIONAL ASSISTANCE TO ELIMINATE EXTREME POVERTY

To accomplish the great objective to significantly reduce poverty and fight major diseases, the
members of the United Nations estimated that about $US 195 billion a year would be needed.
It would require the combined efforts of governments throughout the world to raise this amount
of money.

Countries Agree to 0.7% in International Aid

In March 2002 at the Monterrey Conference, 22 of the world's wealthiest countries agreed to
make concrete efforts towards the goal of each giving 0.7 per cent of their national income as
aid to the poorest countries. The 22 are: Australia, Austria, Belgium, Canada, Denmark,
Finland, France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, the Netherlands, New
Zealand, Norway, Portugal, Spain, Sweden, Switzerland, United Kingdom, United States).

In the Johannesburg World Summit for Sustainable Development (WSSD), in September 2002,
these countries re-affirmed their commitment to reach the 0.7% goal. This would provide
enough money to, in the words of the United Nations, substantially eliminate the problems of
extreme poverty. It is not a new idea. Already the Pearson Report of 1969 (see History of
Foreign Aid) suggested to use 0.7 % of GDP/GNP for development assistance.

Why the 0.7% Agreement?

The countries made this agreement because they realized that it was hard for each country on
its own to give a consistent, minimum level of aid each year. Despite good intentions, a country
would find that the aid it wanted to give was 'eaten up' by competing political interests, concern
about budget deficits, 'problems at home', 'problems abroad', and so on. So they agreed to a
minimal, flat rate that each country could afford each year regardless of its current political or
economic state. To calculate how much a particular country has to contribute, it takes the total
income earned by all the people in the country, after which the government contributes 0.7%
of this as aid.

How are the countries doing?

Five countries have met the goal to give 0.7% of their income in international aid: Denmark,
Luxembourg, the Netherlands, Norway, and Sweden. In 2002 and 2003, five other countries
set up a schedule to give 0.7%: Belgium, Ireland, Finland, France, and Spain. In July 2004, the
United Kingdom (Great Britain) set up a schedule to give 0.7%. In April 2005, Germany set up
a schedule to give 0.7%. In May 2005, Austria, Greece, Italy, and Portugal set up a schedule to
give 0.7%. In some cases, such as Great Britain and Germany, it took the combined effort of
many thousands of citizens writing and petitioning their government to get it done.

The remaining six countries

Only six countries have not yet set up a schedule to give 0.7%: Australia, Canada, Japan, New
Zealand, Switzerland, and the United States, To raise the combined US $195 billion a year,
they will need to reach the goal. All that is necessary for them to reach the 0.7% goal is for
enough of their citizens to show their support.
Based on: www.poverty.com

2.8 The role of national and regional governments in

development - NEPAD, AU and the RECs
So far, we have mostly spoken about how the Western & Northern nations intended
to 'deliver' development to the countries of the South By now, you may have
wondered about the absence of an active role for the developing countries
themselves. Fortunately, since the 1990s more and more recognition has been given
to the role of the governments of Third World nations in the formulation,
implementation and evaluation of development policies, including addressing the

40
Unit 2 Agents of development - Differing agendas

issues of poverty and inequality. To do this well, governance, public service reform,
a n d effective public management have been on many government agendas since.
This w a s reinforced by the demand of international donors for good governance as a
condition for funding. You will know about the African Peer Review Mechanism
(APRM) whereby African states evaluate each other on many aspects of good
governance:

• Democracy a n d g o o d political governance

• Economic governance and management
• Corporate governance
• Socio-economic development

They do this both for the sake of becoming credible for international donors as much
as to improve their o w n practices. The A P R M is part of the initiative of the New
Partnership for Africa's Development (NEPAD). This brings us to the role of regional
cooperation for development in Africa.

NEPAD
T h e New Partnership for Africa's Development (NEPAD) is a
vision and strategic framework for Africa's renewal.
N E P A D c a m e into being w h e n the Organisation of African Unity
(OAU) gave a mandate to the five initiating Heads of State
(Algeria, Egypt, Nigeria, Senegal, a n d South Africa) to develop
an integrated socio-economic development framework for Africa.
This N E P A D strategic framework document w a s formally
adopted by the O A U in July 2 0 0 1 .
NEPAD is designed to address the current challenges facing the African continent
such as the escalating poverty levels, underdevelopment and the continued
marginalisation of Africa. This needed a new radical intervention to develop a new
Vision that would guarantee Africa's Renewal.

NEPAD's main objectives are to:

• Eradicate poverty
• Place African countries, both individually and collectively, on a path of
sustainable growth a n d development
• Halt the marginalisation of Africa in the globalisation process and enhance its full
a n d beneficial integration into the global economy
• Accelerate t h e empowerment of w o m e n

NEPAD's success in implementing its agenda largely depends on the participation of

all stakeholders at all levels, including civil society groups, and the effort that is m a d e
to build their capacity.

AFRICAN UNION (AU)

By forming the African Union in Durban, South Africa, in June
2002, Africa's political leaders indicated that Africa faced serious
challenges. T h e most urgent of these are the eradication of
poverty and socio-economic development through democracy
and g o o d governance. The African Union acknowledges the
importance of just, honest, transparent, accountable a n d AjTemblem
participatory government and ethics in public life. A n d . so, the
members of the AU have committed themselves to combating and eradicating
corruption, which hinders economic development and undermines the moral fabric
of society. The African Union is the vehicle through which N E P A D programmes are
implemented. In addition, the Pan-African Parliament of the AU will oversee the
development a n d economic integration of the continent.

41
 Agents of development • Differing agendas

Regional Economic Communities

In practice, the N E P A D programme will be implemented via the structures of
Africa's economic regions, since Regional Economic Communities (RECs) are
crucial for successful implementation. The RECs are:

• Central Africa: Economic Community for Central African States (ECCAS)

• East Africa: C o m m o n Market for Eastern and Southern Africa (COMESA)
• Northern Africa: Arab Maghreb Union (UMA)
• Southern Africa: Southern African Development Community (SADC)
• West Africa: Economic Community for West African States (ECOWAS)

Several times we have mentioned the link between governance and development. In
the next section we look at governance and at government structures in the service
of development.

The sovereign state: Effective governance for

development
Most states will claim to be sovereign states. This means that they make their
decision independently of external authorities (such as the IFIs), and that they have
the capacity to govern, that is, to achieve the majority of the intended outcomes of
their decisions. In other words, if a country wants to be seen as one that can put its
house in order' and, therefore, deserves assistance from the outside, it has to give
proof of good or effective governance. At the same time this focus on governance
has had a positive effect on how policies in Third World nations are implemented.
What is then, effective governance?

Effective governance is the management of a nation's affairs through legitimate

and legal political, economic and administrative authority. This can only take place if
state institutions function properly a n d are responsive to the needs of individuals and
groups in society, especially the poor and marginalised. Important in this are a
culture of human rights, the rule of law, gender equality and o p e n electoral
processes. Promoting development and fighting poverty can only be done if the
institutions of government are instruments for popular participation and for the
administration of justice. Bureaucracies must be held accountable for their
performance.

By far most countries in the world have a Constitution. The Constitution sets in
place a democratic system of government. It provides citizens with the opportunity to
elect individuals and political parties into government in order to represent their
interests. The Constitution also sets out how the powers and functions between
various levels of government must be divided. If this is done well and it is adhered to,
this makes it more possible to address poverty and inequality.

Generally, most countries have three tiers (levels) of government. The first tier is the
National government. It is responsible for establishing norms and standards
regarding redistribution and equity. In this way, National government, provides a
framework for equitable service delivery, but leaves the implementation to the
second and third levels of government. Thus, National government departments
focus on (i) the initiation of projects and programmes, (ii) the design and planning of
these, and (iii) the process of resource allocation and co-ordination.

S o m e countries have as a second government tier States, some have Provinces

and others have Districts Second tier governments often have extensive legislative
a n d executive powers, ranging from key service delivery functions such as

42
Unit 2 Agents of development - Differing agendas

education, health and welfare to functions such as t o w n , regional a n d development

planning. These powers are often powers that are shared between the second tier
government a n d the national government. Generally, a large proportion of the actual
service delivery that impacts on poverty a n d inequality is the responsibility of the
second and third tier government.

Local government (third tier government) could be (Municipal) Districts and/or

Municipalities, or other entities, mostly have a mandate to govern, to provide
services a n d to promote social and economic development.

For these different levels of government to do their work well (effective governance),
integrative and regulatory structures are needed because poverty and inequality
are multi-dimensional phenomena, and therefore remedial strategies require
effective co-ordination, integration, a n d regulation of policies along sectoral (health,
education, social welfare etc) and vertical lines (e.g. national department + provincial
department + local government department).

Activity 2.7
Compare the government mandates and structures to deal with development, and
the reduction of poverty and inequality, that are mentioned above, with the ones in
your country
1 What is e1 uitable service delivery? What are legislative powers? What are
executive powers?
2. What are the tasks and mandates of National government?
3. What is the second tier government named in your country? What are its tasks
and mandates?
4 If there is a third tier government in your country, what is it called a n d what are its
tasks a n d mandates?
5, How do these different levels of government liase (communicate) with e a c h
other? A n d how do they make sure that they do their work well?
6. If you are working as a public/civil servant, where do you fit in this structure?

Below is a small part of a speech given by Trevor Manuel, Minister of Finance of

South Africa. He talks about the role of civil/public servants in a developmental
9
state , and related to this the role, of budgets and public spending.

"V^fe' CIVIL SERVANTS AND THE DEVELOPMENTAL STATE

A developmental state is a state determined to influence the direction and

pace of economic development, rather than relying on the uncoordinated
influence of market forces to allocate resources. A developmental state
must be able to manage the delicate balance between growth and
social development

Amartya Sen says 'development requires the removal of major sources of \

Trevor Manuel I un-freedom: poverty as well as tyranny, poor economic opportunities as j
^as ^ p ^ j ^ neglect o f public facilities a s well a s intolerance j
or over activity of repressive states'.

In our concept of a developmental state, Sen's idea of removing poverty and tyranny is key, j
expanding economic opportunities and fighting social deprivation is critical, and providing j
public facilities and services to the poor is paramount. Fundamentally, in a developmental \

In year one module CPM 430 Good governance, ethics and leadership quite a bit of attention is
given to the developmental state. This module has Trevor Manuel's complete speech.

43
Unit 2 Agents of development - Differing agendas

state, civil servants are servants of the people, champions of the poor and downtrodden. To
; the public service, poverty and social deprivation are the enemy.

Public service is a calling and a responsibility. We choose to serve and accept that we will
j be comfortable with that, or we enter the private sector in pursuit of wealth - we cannot do
both! In a developmental state, the civil servant is professional, skilled, adequately rewarded
but humble. Humility towards the poor is the greatest attribute of a civil servant. A leader who
best espoused these values in civil servants is Julius Nyerere, the former President of
Tanzania.
1
If the task of a developmental state is to fight poverty and expand economic opportunities for
the poor, then the budget of a developmental state must reflect this in every respect. The two
main thrusts of the budget of a developmental state must be:

j - How much the state spends fighting poverty and deprivation

! - How much of the country's resources go towards expanding the economic opportunities of
all citizens.

| What areas of spending expand the economic

opportunities for the poor? Here, our biggest investment
is the education system. The main way in which people
: improve their living standards is through improving their
\ education, getting a job and investing in assets such as
housing and furniture. The rates of return to education for
a society are massive. For many, economic opportunities Mwalimu Julius Nyerere
are limited because they live in townships with few work \ President and Leader
L
• opportunities, or worse still, in former homeland areas. -
Lack of access to business areas and more specifically work opportunities are a major 'un-
freedom' as Sen would put it. Providing public transport that is safe and affordable to poor
communities is a key ingredient in expanding economic opportunities.

j In the history of a nation, very few people get to be part of defining the development path of a
country. I cannot think of a more exciting time to be a civil servant, to be a senior manager in a
public service making a meaningful impact on the lives of our people. (Abridged)

| Source: Trevor Manuel, Minister of Finance (South Africa), 2003, The developmental state.
Address to Senior Management Services conference. Cape Town.

T h e state - made up of a network of government, and non-government institutions -

continues to play a prominent role in development. After all, governments design the
economic policies, provide the infrastructure, and constrain or promote private sector
business through their tax and investment policies, and provide an enabling
environment for development by other agencies.

At what level does development take place?

The achievement of development, the eradication of poverty and inequality, and the
meeting of basic needs are primary goals of the governments in Third World nations.
A n d so, much development work is done at the level of the nation-state. This is
w h e r e national governments make policies, at the first a n d second tier government
Service delivery and development projects a r e part of the implementation of national
a n d provincial/district policies. This is mostly done through local government. Many
feel that policies and programmes initiated by governments and other development
organisations to achieve poverty reduction and a more equitable distribution of
income and wealth, must:

44
 Unit 2 Agents of development • Differing agendas

1 0
• Strengthen the asset b a s e of the poorest groups in society, extend the use of
these assets, a n d increase the returns (the income) that can be achieved through
these assets.
• Promote human development by improving the well-being of the population in
terms of their health, nutrition, education, safety and choice.

• Be sustainable in terms of financial, institutional and human capacity.

11
• Be s u s t a i n a b l e in terms of the impact on the environment and on the larger
economic systems. For example, if development is vulnerable to market changes,
it is not sustainable.

Must a government carry the development load by itself? Hopefully not! Remember
what Amartya Sen said:
Societal organizations such as the state,
the market, the legal system, political One nf trip thousands nf NOOs in Africa

parties, the media, public interest groups

and public discussion forums must be seen
as institutions that enhance and guarantee
the freedoms of individuals. Individuals
must be seen as the active agents of
change, rather than the passive recipients
of benefits.

In other w o r d s , all these institutions have

a role to play. Let's look at the role of
NGOs (non-governmental organisations)
in development. jGRAFED is a grassroots NGO in Uvira, a town
| in the DRC on Lake Tanganyika that has seen
jmuch conflict. GRAFED has been in existence
2.10 Civil Society for more than 10 years; it hardly receives any
Before we discuss the role of N G O s we (funds. Its aim is to build capacity for the 203
need to talk about something called civil community-based organisations in the area that
u
society. There are many definitions of j belong to GRAFED. GRAFED works with unpaid
civil society. We would like to think of civil volunteers, and has its office in a corner of the
society as groups and movements outside stationary shop Pelikan'.
government that want to accomplish
positive change in society. It is clear that many groups fall under this label, from
businesses to trade unions to small community movements. In this Unit we will
particularly focus on N G O s (non-governmental organisations) as part of civil society.
Many N G O s focus on very specific issues such as w o m e n ' s issues, economic
development at community level, etc. Amongst them we find human rights groups
advocacy groups, environmental groups and groups focusing on development. S o m e
of these organisations are small and local, others big a n d international, such as
Greenpeace or Amnesty International, or the Red Cross, Oxfam, C A R E , ICCO.

Many local civil society organisations function outside political processes, a n d

outside government institutions. They a r e often labelled the 'watch dogs' of the
government. Because of this, there is often some tension and distrust between civil
society organisations and national a n d international governmental institutions. In
many instances civil society organisations are valued precisely because of their
watchdog function. This is seen as a much needed aspect of democracy.

10
We will discuss assets in a later Unit.
11
We will discuss sustainable development in a later Unit
12
We will come back to the role of civil society and its components when we discuss participatory
development in a later Unit.

45
 Unit 2 Agents of development - Differing agendas

N G O s can be divided into local N G O s and international NGOs. In the sections below
we will first look at the role of local N G O s in development, and then at the role of
International N G O s

2.11 Local NGOs

W h e n we talk about local N G O s in development we include the faith-based
organizations (FBOs) a n d community-based organizations (CBOs) that are engaged
in development.
N G O s are popular because they are seen as flexible, open to innovation and change
and as able to reach the poor through work at grassroots level. NGO's can roughly
be divided into having two main roles: 1. Service delivery; 2. Political advocacy.

In this module, we briefly discuss local N G O s as service delivery agents in the

context of development.

Most N G O s rely on outside funding,

sometimes from the government, at
other times from charitable
organizations or international donors.
N G O s engage in development fields as
diverse as water management,
education, capacity building and training
for entrepreneurship, primary health
care, farming and fishing, etc. If we had
to make a distinction between C B O s
and FBOs, we could roughly say that
community-based organizations (CBOs)
also work in development, but because
they are, usually, set up by community A women's CBO looks after displaced
members themselves, w h o are often children (orphans) in the Great Lakes Area
poor, they are mostly driven by the n e e d
for income generating activities. You find C B O s that are (agricultural) cooperatives,
or needs-driven income generating projects such as food gardens, a hospice, or a
creche. Faith-based organizations (FBOs) mostly focus on charitable activities, such
as counselling, running soup kitchens and hospices. As said, this is a very general
and very rough distinction and there are a great many overlaps.

In the role of service delivery, NGOs provide welfare, technical, legal, and financial
services to the poor or work with community organizations in basic service a n d
infrastructure provision. This sounds like the work that should be done by
governments. W h a t is, then, the relationship between the first, second a n d third tiers
of government and NGOs?

The link between NGOs, development and the government

In the past, governments of developing countries w e r e seen as the only
organisations leading development processes. W h e n it then turned out that
governments did not have enough financial, human and organisational resources to
'cope' with the massive challenges of development, it became clear that NGOs had
an important role to play. They have l o c a l knowledge' about local conditions. N G O s
have contacts with people and groups that government departments often do not
k n o w oft, or that are difficult to reach through official government programmes. In
other words, ideally, government and N G O s complement each other and should
work in collaboration. This is often not the case, unfortunately. Government
institutions often feel that development 'should' be their task, and often regard NGOs
as over-critical meddlers a n d busybodies. N G O s , on the other hand, feel that

46
 Unit 2 Agents of development • Differing agendas

governments are rigid in the implementation of policies and programmes without

knowing what is happening on the ground, and what the real needs of the poor are.

N G O s provide expertise in 'development software'

s u c h as participatory approaches, community International Red Cross &
organising, a n d stakeholder ownership strategies. Red Crescent Movement
NGOs are more cost effective, adaptable,
innovative and aware of the local situation. N G O s
grassroots representation brings legitimacy and
community mobilisation to a development
The red cross and red crescent
programme. Most countries have thousands of
| emblems are universally recognized ;
N G O s (CBOs/FBOs) working in development. The
\ symbols of assistance for the
downside of service delivery by N G O s is that these
i victims of armed conflicts and
thousands of projects and programmes often lack
natural disasters. In use since the
coordination and collaboration with other NGO
nineteenth century, these emblems
programmes that might be working in the same
| unfortunately do not always enjoy
geographical area or in the s a m e field (e.g. early
j the respect to which they are
childhood development).
entitled as visible signs of the strict
neutrality of humanitarian work.
NGOs exist as alternatives. In being "not Moreover, certain States find it
governmental" they m a k e it possible for people to difficult to identify with one or the
participate in development and social change in other. To resolve these issues, the
w a y s that would not be possible through states that are party to the Geneva
government programmes. In being "not Conventions adopted a Third
governmental" they create the "space" to think Additional Protocol to the
about development and social change in w a y s that j Conventions in December 2005,
are different f r o m government programmes. Thus, | and so established the red crystal.
w h e n thinking about participatory development, as Source: http://mm.icrc.org j
a democratic practice, N G O s (CBOs/FBOs) and
government departments and institutions would do
well if they worked together TO achieve development goais in fact, NGOs strengthen
the state and society through their participation in improving the efficiency in
government services, filling in the gaps in service provision, and helping the
government create true relationships with people and organisations at grassroots
level. The government is crucial in this partnership because they have to actively
allow the space (and other resources) to make it possible for N G O s to function.

We will c o m e back to the relationship between government a n d N G O s in later Units

of this module a n d , particularly, w h e n we discuss and do the modules Public
participatory planning processes (DPM 530) and Managing information and
knowledge in community development projects and service delivery projects (DPM
540) in the second year and w h e n we focus on Theories and strategies of
development ( B P M 681) in the third year,

2.12 The role of Northern NGOs (NNGOs) In development work

in the South
The roles of Northern N G O s (NNGOs) can be divided into six categories:
1. Responding to emergencies, short-term relief and long-term rehabilitation, for
victims of war, natural disasters or man-made disasters
2. Delivering welfare services like healthcare, education, clean water
3. Raising money in the North with the general public, the private sector and
governments to pay for their work, and to share as much as possible with local
N G O s in the South (SNGOs)

47
 Unit 2 Agents of development • Differing agendas

4. Supporting long-term development projects overseas for empowerment

processes and poverty eradication
5. Helping in building the capacity of the S N G O s , people's movements, churches
a n d other networks, so that they are in a better position to plan and manage
their work
6. Educating their own constituencies in the North about the underlying causes of
poverty, and drawing people into active lobbying a n d campaigning for change.

In general, most N N G O s work through local organisations rather than implementing

development programmes themselves, which is a change from a few decades ago.
N N G O s , generally, have a number of clear advantages over 'official development
assistance agencies (ODAs)' such as the UNDP, or governmental agencies such as
USAID (USA), N O R A D (Norway), or A U S A I D (Australia), or G T Z (Germany). This is
so, because N N G O s :

• Try not to be controlled by governments

• Work closely and directly with poor people
• Promote participatory approaches
• Advocate in the North on behalf of poor people in the South
• Understand the local culture and context in the South
• Foster democracy through capacity building that focuses on awareness-raising
and the strengthening of civil society
• Are cost effective and innovative, and, in doing so, try out n e w approaches and
take risks

However, while most N N G O s may strive to work according to these principles, in

reality the track record of NNGOs is mixed. Research on N N G O s has found that they
m a k e very important contributions to development in the South, but they have a
continued need to improve their effectiveness. The role of N N G O s is changing as
development thinking changes, and as new w a y s of partnering with S N G O s , with
Third World governments, and with donors in the North (e.g. governments and IFIs)
a r e discovered.

Reflection
• Now after Units 1 and 2, w h e r e do you stand? What has moved you.
emotionally'? What has prompted you to act? To discuss with others?
• How is what you learn about development changing you?
• What does this mean for how you do your work?

2.13 Summary
In this Unit we looked at the effect of worldviews on the w a y we think about
development, and we linked, it to t h e different kinds of development thinking t h a t we
discussed in Unit 1. We then focused on globalization a n d responses to globalization
s u c h as the African Renaissance, and we looked at (under)development in Africa as
an effect of globalization. From there we moved to problem of Third World Debt and
Structural Adjustment Programmes as the response of the IFIs and the North to
Third World Debt. We also briefly looked at Economic Recovery Programmes a n d
Poverty Reduction Strategies.

Next, we looked at the history of foreign aid as one aspect of development. This
brought us to the question 'Who develops?' a n d to the conclusion that heavily
indebted developing countries (HIDCs) and least developing countries (LDCs) have
very little say in the IFIs and, generally, in international organizations, although this is
slowly changing.

48
Unit 2 Agents of development • Differing agendas

From the international scene we m o v e d to the regional scene and focused on

NEPAD, the AU and the Regional Economic Communities (RECs) in Africa. From
there we moved to the need for a sovereign state to focus on effective governance
for development, not merely as an incentive to get donor funding, but also because it
is a democratic g o o d . In effective governance the role of public or civil servants is
crucial, so this w a s our next topic.

Lastly we focused our attention on local and international N G O s and the particular
roles they play in development, whereby we stressed that critical partnerships with
government institutions are needed to achieve development.

Self-assessment activity
In Unit 1 we asked many questions. We have listen most of them again. See h o w
many you can answer now. Give examples to illustrate your answers. There might
be questions that you cannot answer yet...

• W h e r e does development happen? In the First world? T h e Third World? Does it

take place between the First and Third World?
Is development about national governments or regional partnerships?
Is it about ending of war and armed conflict, and building peace?
Does development take place in rural villages? In urban townships and locations?
Does it take place in the minds of economists and politicians? Do civil & public
servants make it happen?
Is it about service delivery? Or sustainability? Or, something else again?
Is development about the alleviation and reduction of poverty of individuals, or of
societies? Is it about democracy and human rights? About governance?
Is development linked to gender issues?
Is it about well-being and empowerment? Is it about education and health, the
fight against HIV/AIDS?
Is it about employment and income generation? Is development about natural
resources a n d the environment?
Is development an action, an ideology, a process, or a goal?
W h o develops who, or what, and to what end? W h o wants it? Why? How is it
done?
W h o are the stakeholders, roleplayers, agents or actors in development?
How can we see that 'development' has happened, a n d how do we assess and
evaluate this?

Suggestions for further reading

Akindele ST, Gidado T O , Olaopo OR, 2002,Globatisation, Its Implications and
Consequences for Africa, http://globalization.icaap.org.

Internet sources of information

New partnership for Africa's Development (NEPAD) http://www.nepad.org
African Union (AU) http://www.africa-union.org
Organization of economic co-operation and
http://www.oecd.org
development (OECD)
United Nations (UN) http://www.un.org
United Nations Children's Fund (UNICEF) http://www.unicef.org
United Nations Development Programme (UNDP) http://www.undp.org
World Food Programme (WFP) http://www.wfp.org
Food and Agriculture Organization (FAO) http:// www.fao.org

49
2

United Nations Conference on Trade anc

http://www.unctad.org
Development (UNCTAD)
World Trade Organization (WTO) http://www.wto.org
World Bank http://worldbank.org/
International Monetary Fund (IMF) http://www.imf.org
OXFAM http://www.oxfam.org
CARE http://www.CARE.org

Reading Challenge: The G8 Summit Declaration on Africa

Y o u may remember that at the beginning of June 2007. the G8. that is the eight
wealthiest nations of the world, gathered in Heiligendamm, Germany, to discuss their
trade and development policies. The very last day of this gathering w a s dedicated to
Africa.
At the very end of this module, you find the G8 Summit declaration on Africa. Now
you have worked through Units 1 a n d 2, it will be rather easy for you to understand
the contents of this declaration. Have a go at it! Engage with the text, be critical a n d
test what you read against what you know about approaches to development, your
own experiences, what you think is possible, and what is morally right or w r o n g .

The G8 and Africa • Growth and responsibility

Summit Declaration Summary (8 June 2007)

A Continent on the Move

1. In the last 10 years we have witnessed a developing Africa endeavouring to take advantage of
opportunities that are emerging from a rapidly changing world economy. Driven by political and
economic reforms, growth in many African countries is accelerating and thus helping to tackle the
pressing challenges the continent still faces. It should, however, be stressed that despite this trend in
economic growth, a vigorous impetus seems necessary to ensure that Africa will meet the Millennium
Development Goals (MDGs) by 2015.

2. Today we underline once again our strong interest in a stable, democratic, and prosperous Africa.
Since the late 1990s, the G8 Summits have given Africa a high priority. We are continuing to work in
partnership with Africa, and we welcome the critical role of African leadership in the reform process. At
the same time, we stress our firm resolve to implement the commitments on development made, in
particular, in Gleneagles. These include the historic multilateral debt relief of up to US$ 60 billion, the
implementation of which is now well underway They also include increasing, compared to 2004, with
other donors, ODA to Africa by US$ 25 billion a year by 2010. The OECD/DAC estimates the global
increase of ODA by 2010 at around US$ 50 billion a year. Our Africa Progress Report provides a
regular opportunity to update on G8 support to Africa's development, including on meeting our ODA
commitments.

3. We also affirm the role emerging economies can play in the development of Africa and encourage
their engagement as responsible stakeholders in the international system.

4. We have agreed on a further set of measures to promote sustainable development in Africa. We will
focus on promoting growth and investments in order to combat poverty and hunger, to foster peace and
security, good governance and the strengthening of health systems, and to assist the fight against
infectious diseases. We also recognize that the impacts of climate change in combination with other
stresses present increased risks to sustainable development in Africa. To tackle these challenges, we
are firmly determined to support a vibrant Africa through further strengthening our concerted efforts, as
well as respective ones that are partly demonstrated by the African Partnership Forum, 24th
Conference of African and French Heads of States in February, the EU-Africa-Summit to be held this
December, and the 4th Tokyo International Conference on African Development (TICAD) of next spring.

50
Unit 2 Agents of development • Differing agendas

All these efforts, involving relevant stakeholders as appropriate, contribute to a seamless process
leading to the G8 Summit of 2008 in Japan.

Strengthening Good Governance and Institutional Capacities

5. Good governance in Africa is vital to peace, stability, sustainable development and growth. Without
good governance, all other reforms will have limited impacts. In the past few years, the AU and its
program NEPAD have provided important reform impetus with a view to improving governance in
Africa. The G8, with its Africa Action Plan, have provided a strategic framework for partnership-based
cooperation and will continue to support good governance throughout the African continent. Good
governance is an important basis
for our cooperation. Good
governance in all its dimensions
(political, economic, social,
cultural, environmental) and at all
levels (from local to global)
deserves recognition. It is the
most important assurance that
development cooperation goes to
its intended purpose of fighting
hunger, poverty or disease.
Respect for ownership, dialogue
between partners and incentives
for reforms are the main
principles of our common
The Presidents at the G8 Summit 2007, from left: Thabo Mbeki
approach. The following are all (South Africa), Abdoulaye Wade (Senegal), Umaru YafAdua
areas of focus for G8 efforts in (Nigeria), Abdelaziz Bouteflika (Algeria), Prof, Alpha Konare,
supporting good governance on Chairman of the Commission of the African Union, and John
the continent. Kufuor (GhanaV

Strengthening the African Peer Review Mechanism (APRM)

6. Through the African Peer Review Mechanism, African countries voluntarily take a critical look at their
development challenges so as to identify solutions and appropriate action. However, the APRM can
serve as an effective tool only if its results are recognised and implemented. The G8 will encourage
more African states to join the APRM and support efforts to accelerate progress in the APRM and the
implementation of necessary reforms.

7. The G8 will support the processing of lessons learned so as to help facilitate even swifter and more
effective implementation of the reviews, In that regard, the G8 will enhance the dialogue with our
African partners to facilitate a coordinated support effort that respects full African ownership.

8. The G8 reaffirm their commitments to actively support countries that implement sound policies
consistent with the recommendations of the APRM. We will support these countries in implementing
their national Plans of Action to make progress in achieving the MDGs by 2015, Consequently, we
commit ourselves and encourage others to give priority attention to the results of the reviews in their
own strategies for bilateral and regional cooperation.

Good Financial Governance

9. Competent, transparent, and accountable public financial management is a central element of a
functioning democracy, whereas weaknesses in this field restrict sustainable development, investment,
and economic growth. Transparency, participation, and accountability that come from an empowered
citizenry are the strongest antidotes to corruption.

10. In order to address constraints, the G8 "Action Plan for Good Financial Governance in Africa"
developed together with African partners and endorsed at the Pre-Summit of Finance Ministers will
support the promotion of good financial governance, including capacity development, working closely
with the International Financial Institutions' ongoing initiatives. We will assist African countries that are
taking credible action against corruption and increasing transparency and accountability. In the Action
Plan we strongly support efforts to increase the effectiveness and efficiency of public finance.

51
11. We will also continue to strengthen efforts such as the Extractive Industries Transparency Initiative
(EITI) as appropriate to enhance good financial governance on the revenue side. In this context, we
support African states in their efforts to increase the transparency and predictability of expenditure flows
and encourage more African participation in EITI. Transparency principles could also be extended to
other sectors, where appropriate.

Capacity Development Initiative for RECs

12. African Regional Economic Communities (RECs) are the key drivers of economic and political
integration and contribute to a better integration of African countries into the world trading system. The
institutional architecture to implement regional programs is still evolving, as are the capacities of the
individual organisations. The role of the African Union remains essential to streamline the RECs and
avoid duplication or overlap-ping in their activity. Infrastructure development in Africa is one of the key
issues on the African agenda and RECs play a pivotal role in facilitating the preparation and
implementation of regional infrastructure projects,

13. The G8 are committed to working closely together in support of regional integration and trade in
Africa. In this context, we will intensify our efforts to better support regional integration in a consistent
manner and build synergies in our activities.

NEPAD Infrastructure Action Plan

14. We will support a Capacity Development Initiative for RECs in line with the principles of the Paris
Declaration. Special emphasis should be placed on infrastructure development to ensure that the
NEPAD Infrastructure Short-term Action Plan (STAP) can be implemented without further delay
including through support to the NEPAD Infrastructure Project Preparation Facility. In the long term,
RECs should be enabled to independently facilitate the implementation of continental infrastructure in
collaboration with the AU and its member states. We will coordinate our support to REC capacity
development. Resources should be demand-driven and only respond to well prepared and focused
delivery plans.

15. The G8 reaffirm their support for the Infrastructure Consortium for Africa (ICA) to address
infrastructure shortcomings so as to reduce the high cost of production and transport and assure their
maintenance. The G8 invite other development partners to place their relationship with the ICA on a
continuing basis, with a view to harmonising support for infrastructure development.

Core Principles of Development Policy

16. G8 countries and other development partners have made substantial commitments to increase their
aid efforts through a variety of means, including traditional development assistance, debt relief, and
innovative financing mechanisms. Significant progress has been made, but we recognise that further
action is needed to meet our previous commitments. Our partnership and dialogue with Africa will be
based on a set of core principles:

17. Promoting good governance: In implementing development assistance we are committed to

promoting universal values of: Respect for human rights, fundamental freedoms, peace, democracy,
good governance, gender equality, the rule of law, solidarity and justice as well as sustainable
management of natural resources. We will actively assist countries which make efforts to govern justly,
invest in their people, favour open and democratic debate on priorities and policies, and create an
environment of economic opportunity. However, the diversity of country conditions in Africa requires
flexibility in donor resource allocation criteria, types of assistance and results targeted.

18. Improving our response to fragile states: We will improve our response to post-conflict and fragile
states, where a third of the world's poor live and will bring more timely and substantial assistance to
these countries, with a view to preventing the emergence of failed states. We support the role played by
the AU and the RECs. We will strengthen our efforts in conflict prevention and will support governance
as well as the building of viable state institutions in order to help them fulfil a range of basic functions
and meet the needs of their citizens. Immediate efforts to manage conflict, meet basic human needs,
and mitigate environmental degradation must be accompanied by significant improvements in
governance that build local capacity and enable long-term growth.

52
Unit 2 Agents or development • umermg agenaas

19. Fostering economic opportunity: Achieving and sustaining the Millennium Development Goals, and
moving beyond them, requires an environment that enables economic activity and encourages broad-
based private sector led growth. A robust private sector is vital for achieving growth. The broad
participation of all stakeholders, including economic and social partners, in countries' development
should be acknowledged and encouraged.

20. Following the Partnership Commitments of the Paris Declaration -

Ownership, Alignment, Harmonisation, Results-based Management and Accountability: We are working
to implement the Paris Declaration on Aid Effectiveness and recognise that both donors and partner
countries have steps to take to improve the impact of aid. We must all work to encourage country
ownership, assure alignment of aid programs with country priorities, reduce transaction costs of aid and
improve donor coordination.

21. The activities of emerging donors are broadening the options for growth and poverty reduction in
Africa. We welcome new partners to join in the consultations and in ongoing efforts in harmonisation
and coordinated support. We strongly encourage all donors to improve transparency of their aid and to
follow internationally shared principles.

22. We need to support sound development strategies with appropriately targeted aid, to ensure that it
achieves the greatest possible effect, particularly in poverty eradication. We therefore continue to work
with African countries to establish clear objectives, result-based implementation plans, benchmarks for
measuring and effective monitoring and evaluation systems to ensure transparent and accountable
results from development programs.

Fostering Investment and Sustainable Economic Growth

23. Africa's current growth performance, reaching an average growth rate of almost 6 percent, is
outperforming the global average and has started to reduce poverty in several countries. Growth is
driven by improvements in governance, the business climate, and macroeconomic stability in many
countries, as well as by strong global demand for Africa's natural resources.

24. The challenge to be met by African countries, policymakers, and business is to deepen, broaden,
and sustain shared growth in order to achieve the MDGs. It requires strong political will and institutional
capacity to maintain the momentum for democratic and fiscal reforms, streamlining of bureaucratic
procedures, as well as for strengthening trade capacity. An improved business climate can also
contribute to more sustainable growth based on private investments that enhance job creation and
economic diversification.

25. Trade is a key engine of growth for Africa. The G8 will further concentrate on trade capacity-building
assistance and support the recommendations of the WTO's Aid for Trade Task Force to improve quality
and monitor delivery of the commitments on Aid for Trade. The G8 will assist countries' efforts to
integrate trade into their growth and poverty reduction strategies. As agreed in Hong Kong at the Sixth
WTO Ministerial Conference, we are fully committed to provide duty-free and quota-free market access
for products originating from Least Developed Countries (LDCs) to achieve substantial improvements in
market access. We will examine the merits of existing preference schemes in order to achieve further
improvements and we urge other developed and emerging economies to do the same.

26. The G8 will also provide assistance to help Africa increase its capacity to trade: We will promote
simplified, more transparent, easier to use and development friendly Rules of Origin, in particular for
Least Developed Countries. We expect spending on Aid for Trade to increase to US$ 4 billion, including
through enhancing the Integrated Framework. We welcome the role of the WTO Secretariat and
Director-General, as well as the OECD, in monitoring the delivery of these pledges and ensuring that
aid for trade plans in poverty reduction strategies are funded in a coordinated manner.

Promoting Investment
27. The G8 will support African countries in their efforts to remove the obstacles hampering more
investment and to reduce the cost of doing business. A sound investment climate will increase the
effectiveness of risk mitigation instruments.

53
Unit 2 Agents of development • Differing agendas

28. The G8 will support national and regional efforts to improve the investment climate by means of
regulatory and administrative reform (including the implementation of national APRM
recommendations). We will individually and collectively continue to support initiatives which address the
investment climate, such as the Investment Climate Facility (ICF), the Foreign Investment Advisory
Service of the IFC or the NEPAD-OECD Africa Investment Initiative. The G8 also welcome the
development of governance and business indicators to organise and measure performance across
investment climate reform programs.

29. The G8 emphasise the importance of the political and economic empowerment of women as a
contribution to sustainable growth and responsible government. We are promoting the World Bank's
Gender Action Plan and welcome this and further initiatives supporting our African partners' efforts to
foster the economic empowerment of women such as those taken by the United Nations.

30. The G8 will encourage enterprises, especially small and medium-sized, in our respective countries
to step up investments that are sustainable, responsible and make a strong contribution to building local
private sector capabilities to drive sustainable economic growth, transfer of technology and to make a
lasting contribution to poverty reduction in Africa. We welcome the range of efforts to encourage African
new business now underway. We will also work through bilateral and international financial institutions
(IFIs) to intensify efforts to mobilize capital for private investments in Africa. To that end, in synergy with
existing Africa business programs, the G8 presidency is planning a business leaders' campaign,
including an investment conference aimed at improving Africa's image as a "continent of opportunity."

Strengthening Financial Markets

31. Countries with functioning financial markets grow faster and achieve lower poverty rates by helping
to channel resources to their most productive use, reduce dependence on external financing, and
facilitate risk management. Financial sector deficiencies such as the lack of long term financing in local
currency, pose key obstacles that act to con-strain African investors, including small scale and informal
entrepreneurs and women.
32. We welcome the initiative "Partnership for Making Finance Work for Africa" and the work underway
with the World Bank and the African Development Bank to establish it. It will provide a platform for
African expertise, institutions, the private sector, and donor resources for solid financial sector
capacities in governments and the private sector, and provide a forum for peer learning. This
partnership should help us work together more effectively with a variety of new and existing initiatives.

Ensuring Sustainable Investment

33. Growth and investment patterns need to be shaped in a responsible manner: growth needs to be
inclusive, allowing people to benefit in terms of employment and income; investment patterns should
pay due attention to agreed social and ecological standards. The G8 will encourage sustainable
investment through African private sector networks, including support for the UN Global Compact and
the UN Principles for Responsible Investment. The G8 will also strengthen their dialogue with emerging
donors on international initiatives for responsible investment and financial transparency (such as EITI).

34. The G8 welcome the progress made on the elaboration of the Clean Energy Development and
investment Framework ( C E D i F ) and will work with (fie World Bank, (he African Development Bank and
other donors with a view to implementing the Energy Access Action Plan for Africa. We reaffirm our
commitment made in Gleneagles to helping Africa strengthen its adaptive capacity on climate change
and work with African countries in the context of their national development strategies.

35. To improve energy security in Africa, we will give particular attention to energy efficiency and the
use of domestic renewable energy sources, including hydropower, where appropriate, and to give
priority support to the rehabilitation of existing hydro-power plants, and the development of small
hydropower plants.
source: NEPAD Dialogue Online Weekly, Issue 183-11 June 2007

54
 Unit 3 Sustainable development

3.1 Introduction
3.2 Sustainable growth and development
3.3 Brundtland Commission
3.4 Sustainable environment - The basis for development
3.5 Agenda 21 - A blueprint for sustainable development
3.6 Multi-dimensional causes of poverty
3.7 Sustainable livelihoods
3.8 A model for sustainable livelihoods
3.9 A rights-based approach to development
3.10 Assessing development
3.11 Summary

Suggestions for further reading

3.1 Introduction
In the previous Units we focused on development thinking, a n d on roleplayers a n d
stakeholders in development. W h e n we discussed this, we looked h o w the thinking
evolved over time and in different places. We made the link between development
thinking, worldviews a n d the role of roleplayers and stakeholders. In this Unit we will
build on this and will look at sustainable development as a w a y of development.
Again, like we did in previous Units, we will look at the global picture (global thinking)
and at the w a y this informs what is done 'on the ground' (local acting).

3.2 Sustainable growth and development

A few times in Units 1 and 2 we mentioned the term 'sustainable development'. The
Millennium Development Goals (Unit 1) mention it, for instance, and relate it to the
environment. It w a s mentioned in Unit 2 in the text of that dealt with
underdevelopment, w h e r e it is mentioned in the context of economic growth and
development. It one of the main objectives of NEPAD: Place African countries, both
individually and collectively, on a path of sustainable growth and development. It was
also mentioned in the criteria for development policies and programmes, w h e r e it
relates to sustainability in terms of financial, institutional and human capacity, the
impact of the environment and in terms of economic sustainability. A n d , then, of
course, it is mentioned a number of times in the G8 declaration on Africa.

Of course our questions are: What is sustainable growth? W h a t is sustainable

development? A n d , what is a sustainable environment? A n d w h y is this an issue all
of a sudden? W h e n we look 'sustainable' up in a dictionary (Cobuild), we get the
following definitions:
1. Y o u use sustainable to describe the use of natural resources w h e n
this use is kept at a steady level that is not likely to d a m a g e the
environment

2. A sustainable plan, method, or system can be continued at the

s a m e pace or level of activity without harming its efficiency and the
people affected by it.

55
 Unit 3 Sustainable development

Activity 3.1
1. What are the key w o r d s in the two definitions of sustainable?
2. Using these two definitions, how would you n o w describe in your o w n w o r d s what
is sustainable growth? Sustainable development? Sustainable environment?
3. Do you feel the sustainability of (economic) growth, development a n d the
environment depend on each other? Why and how?

You may have found that 'sustainable' says something about the use of natural
resources, the implementation of plans, systems and activities, and the fact that
neither people nor the environment must be harmed. You will find that these
elements c o m e back in our discussion of sustainable development. Once again, we
are doing s o m e 'global thinking' (what is sustainable development) before we can
m a k e decisions about 'local acting' in our o w n jobs, our o w n organizations and
communities (how does my organization/community achieve sustainable
development).

3.3 Brundtland Commission

As you know, during the 1970's the emphasis
was on economic growth through
industrialization. This was the element that
c a m e back in most development thinking. At the
s a m e time there w a s a growing concern that the
natural environment, which includes all natural
resources, could not support this. In fact, people
became aware that the environment was part of
a complex ecosystem, and that it was fragile
and threatened by severe disruption from the
competing forces of overpopulation, unlimited exploitation of natural resources, and
industrial pollution. In other w o r d s , an awareness was growing that there were
competing interests between protecting the environment and development. Yet, the
areas society, economy and environment were seen as separate areas that needed
separate policies and programmes to solve problems. The term sustainable
development was made popular by the World Commission on the Environment and
13
Development (Brundtland Commission ), that was
established in 1983. The commission coined what has
become the most often-quoted definition of sustainable
development:

Sustainable development is development that meets the

needs of the present without compromising the ability of
future generations to meet their own needs

The World Commission on the Environment and Development

w a s headed by Mrs Gro Harlem Brundtland, former Prime
Minister of Norway. It w a s set up as an independent body in
1983 by the United Nations. It was asked to develop
proposals to ensure that human progress will be sustained through development
without bankrupting the resources of future generations. In the Commission's Report.
Our Common Future (1987), the Commission makes it very clear that the time has
come for a 'marriage' of economy and natural environment, so that governments and
their people can take responsibility not just for environmental damage, but also for

Very soon the World Commission on the Environment and Development was 'nick named' the
'Brundtland Commission' after the chair of the Commission. Mrs Gro Harlem Brundtland.

56
unn o
the policies that c a u s e the damage. It is not too late to change these policies, they
said, but we must act now.

The Commission felt that if we carried on using the resources on our planet the way
we continue to do, this would make it impossible for future generations, our children,
grand children, great grand children to live a n d prosper on our planet.
Let's 'unpack' the idea of sustainable
development and see what it means for Policy areas for sustainable development
us, now, workers in development.
Sustainable development can be
broken into three parts that depend on
each other:
• environmental sustainability
• economic sustainability
• social & political sustainability

The Brundtland Commission made

clear that only w h e n these three parts
work together and reinforce each other
we would achieve sustainable
development.

Let's have a closer look at the picture of the interlocking circles. Sustainable
economic development can only take place if the environment can support it and if
the economic development does not use up the environment's resources faster than
14
they can be made. In other words, economic development must be 'viable'. Viability
also means that pollution and waste must be kept under control because they are a
grave burden on the environment. Economic development must also be equitable.
This means that the outcomes of the economic development must not only be g o o d
for some, but must be fairly shared between all.

Think, for example, of one of the definitions of poverty The carrying capacity of an
where this is simply the G D P / G N P of a country divided by ecosystem is the size of the
the population of this country. This d o e s not show whether population that can be
a small group is extremely rich and the majority is supported indefinitely by the
extremely poor, or if the per capita income is evenly available resources and
divided over all. Social development (and political services of that ecosystem.
development) must be such that the environment can carry Living within the limits of an
this. This is called carrying capacity (in the figure we have ecosystem depends on three
given it the label bearable"). An example: if there is a huge factors, namely (1) the amount
population growth, the environment may not be able to give of resources available in the
what is needed to provide food and water to people, and if ecosystem, (2) the size of the
the political environment is s u c h that, for instance, armed population, and (3) the amount
conflict and wars take place, with large numbers of of resources each individual is
displaced people, the environment c a n no longer sustain consuming.
people and famine might happen.

3.4 Sustainable environment - The basis for development

People have criticised the Our common future report because it continues to think of
global economic growth as the only solution to development, which is not different
from before. T h e report suggests more economic growth to pay for environmental
recovery, more funds for environmental projects, more technology, and altogether
better and more management of the environment. Yet, despite this criticism the

14
Viable means 'capable of doing what it is intended to do'.

57
3 Sustamaoie development

Brundtland Commission has made 'sustainable development' into a much thought

about issue. Achieving sustainable development has become one of the most
serious challenges facing our world in the 21st century.

15
These days many people are thinking differently about the inter-dependency of
economy, society and the environment. They feel that instead of society,
environment and economy are all completely part of each other, instead of seeing
them as three separate areas, that are partially overlapping, So, a better picture of a
sustainable community (as small as a rural
village or as big as the whole world) is the
circles within circles.

16
This figure shows how the economy exists
entirely within society, because all parts of the
economy need people to interact a m o n g each
other. However, society is much more than just
the economy. Friends, families and
organizations, music and art, religion a n d
ethics, for instance, are important elements of
society, but they are not part of the economy, they are not merely based on
exchanging goods and services. Society (community) can only exist within the
environment. Our very basic needs - air, food and water - come from the
environment, as do the energy and raw materials for housing, transportation and the
man-made products we depend on. So, the environment surrounds society. Human
activity is reshaping the environment at an ever-increasing rate. The parts of the
environment unaffected by human activity are getting smaller all the time. However,
because people need food, water and air to survive society can never be larger than
the environment.

Activity 3.2
1. Give some examples from your own experiences how the economy needs people
to interact with each other. Think of the areas of industry, agriculture, service
delivery, etc

2. Human activity is reshaping the environment. What does this mean? Give some
examples.

3. Which parts of the environment are so far, according to you, unaffected by human
activity? Why is this'' Will this remain so?

Sustainable Development
Sustainable development is not merely about a series of technical fixes ~ about re-designing
humanity, or re-engineering nature because we want globalised industrialization. Instead,
sustainable development is about re-connection with nature, copying what nature does, and
developing a deep understanding of the concept of care that underpins long-term ecologic,
economic, and social stewardship of the places we call 'home'. Also, sustainable development
is not just a problem of science or engineering or economics or proper management. It is all of
these, and more. For it also includes the passion found in the values, ethics, and cultural
heritage of people.

15
Interdependent means that all parties are dependent on each other, rather than that one is dependent
on the other, but not the other way round
16
Economy is the way that goods and services are produced, distributed and consumed.

58
Unit 3 sustamaoie development

The process of sustainable development must be a flexible process, because what works in
one community may not work in another or may work for different reasons. For decisions and
actions to be sustainable, they must be flexible, adaptable, and creative. Thus, the major
cornerstones forming the foundation of sustainable development include:

Flexibility, creativity and adaptation

Diversity, and stability (ecologic, economic, socio-cultural)

Change (change is the norm: the world changes, societies and traditions change, individual
people change)

Most regions and countries that want an improved quality of life try to reach sustainable
development through economics. And so, in many countries economics becomes the vehicle
for change. The road upon which this vehicle is driving is the environment (ecology and nature)
and its resources; and society is the driver of the vehicle. But if we do not maintain the road
and if we do not make sure that the driver, as a whole is ok, the vehicle of economic growth will
break down.

If we aim for sustainable development, there is interdependence between economy, ecology

(environment) and society. The economic, social, and environmental parts of the community
must be linked to strengthen its overall fabric. This can be done through actions that
simultaneously address issues of ecologic integrity, economic and social equity. Only then will
this result in well-being for all. Projects that work in only one of these parts of a community will
not achieve sustainability. For instance, if all development efforts are focused on social equity,
such as human rights, but no efforts are given to ecological or economic aspects and no effort
is made to integrate these with social equity, this will, in all likelihood not lead to sustainability.
All resources -- human, natural, and economic ~ are interrelated, and therefore must be
addressed jointly. Members of a sustainable community realize that long term economic
security depends upon having a sound, functioning ecosystem, a healthy social environment,
and full public involvement.

Source: Flint R W, Sustainable development, http://www.eeeee.net

Activity 3.3
1. Based on what you have read so far in this (and previous) Units, how would you
define sustainable development?
2. Do you feel sustainable development is a big issue for you, for your organization,
your government? Why or w h y not?
3 How do you feel about the different models for sustainable development as
explained in the figures? What would you change or a d d , if anything?
4. What does Dr Flint mean by stewardship and concept of care?
5. Do you feel it is important to be flexible, adaptable a n d creative in development?
Why?
6. Dr Flint says that change is the norm. Give examples of a changing society. Why
is it, then, that stability is important, too?
7. How can science, technology and knowledge be more effectively used in support
of sustainable development? Give examples.
8 What are the links between advancing human rights, economic development and
environmental protection?
9. If you look at what is happening in the world, politically, economically, scientifically
and technologically, how does this influence the challenges and opportunities for
promoting sustainable development over the next generations?

59
 Unit 3 Sustainable development

3.5 Agenda 21 - A blueprint for sustainable development

Thinking about sustainable development is not new. Already in 1972 a pioneering
United Nations conference on the Human Environment was organised in Stockholm
(Sweden). This first conference was followed a by quite a few other conferences that
focused on aspects of sustainable development. Sustainable development was the
core of the United Nations Conference on Environment and Development in 1992
that w a s held in Rio de Janeiro (Brazil). The central focus of this conference was on
the link between the environment and development & the practical
interpretation of how to balance the environment with social and economic
concerns

One of the outputs of this conference w a s Agenda 21. Agenda 21 gives a sharp
analysis of the symptoms and causes of lack of sustainability worldwide and
provided ideas on how to put sustainable development into practice Agenda 21 still
has a major impact on our thinking about the inter-connectedness of the different
aspects of sustainable development. Below is an overview of content of the three
sections.

CONTENT OF AGENDA 21
® SECTION 1 - Social and economic dimensions
- International cooperation to accelerate sustainable development in developing countries
and related domestic policies
- Combating poverty
- Changing consumption patterns
- Demographic dynamics and sustainability
- Protecting and promoting human health conditions
j- Promoting sustainable human settlement development
- Integrating environment and development in decision-making

SECTION 2 - Conservation and management of resources for development

- Protection of the atmosphere
|- Integrated approach to the planning and management of land resources
- Combating deforestation
- Managing fragile ecosystems: combating desertification and drought
- Managing fragile ecosystems: sustainable mountain development
- Promoting sustainable agriculture and rural development
- Conservation of biological diversity
- Environmentally sound management of biotechnology
- Protection of the oceans, all kinds of seas, including enclosed and semi-enclosed seas,
and coastal areas and the protection, rational use and development of their living
resources
- Protection of the quality and supply of freshwater resources: application of integrated
approaches to the development, management and use of water resources
- Environmentally sound management of toxic chemicals, including prevention of illegal
international traffic in toxic and dangerous products
- Environmentally sound management of hazardous wastes, in hazardous wastes
- Environmentally sound management of solid wastes and sewage-related issues
- Safe and environmentally sound management of radioactive wastes

SECTION 3 - Strengthening the role of major groups

- Global action for women towards sustainable and equitable development
- Children and youth in sustainable development
i- Recognizing and strengthening the role of indigenous people and their communities

60
Unit 3 Sustainable development

- Strengthening the role of non-govemmental organizations: partners for sustainable

development
- Local authorities' initiatives in support of Agenda 21
- Strengthening the role of workers and their trade unions
- Strengthening the role of business and industry
j- Scientific and technological community
| Source: www. un.org/esa/sustdev/documents/agenda21/english/Agenda21 .pdf.

Activity 3.4
1. Study the content list of Agenda 21.
2. You may have been: involved, personally or through your organization, in the
: implementation of some or many of t h e s e ' i t e m s ' o n this list. If this is the case,
'tick' t h e m . Explain h o w . W h e r e you aware that you were involved in Agenda 21
issues?
3. List the items in the Agenda 21 contents list in the categories environment,
society, and economy. You may find that some items belong with several
categories. . __
Environment Society Economy

Towards the end of the 1990s an evaluation w a s done to see if governments,

businesses, IFIs, etc., were dealing with the issues mentioned in Agenda 21.
Unfortunately, it w a s found that there were serious gaps. To address these gaps, the
World Summit for Sustainable Development (WSSD) w a s held in Johannesburg,
South Africa, in 2002. The W S S D stressed the importance of partnerships between
countries, and between governments a n d civil society. T h e central W S S D
conference involved governments a n d major groups in the sustainable development
process. The outcomes of the central conference were:

(i) Johannesburg Declaration on Sustainable Development, a political

document that concluded the conference

(ii) WSSD Plan of Implementation T h e W S S D Plan of Implementation has ten

chapters. Chapter Vila deals with Sustainable Development for Africa.

Below are the Headings in Chapter Vila. If you have access to the internet, we urge
y o u to read the full text of the W S S D Plan of Implementation.

HEADINGS OF CHAPTER VIIA: SUSTAN

I ABLE DEVELOPMENT FOR AFRICA
! - Implementing sustainable development in Africa is hindered by poverty, conflicts,
insufficient investment and HIV/Aids
- Action for sustainable development should focus on supporting the vision of the New
Partnership for Africa's Development (NEPAD), promoting science and technology
development in African centres of excellence, the development of education, the
contribution of industry (in particular, mining), environmental impact assessment, energy,
affordable transport, aforestation and reforestation
- Develop and strengthen health systems addressing ebola, HIV/AIDS, tuberculosis, malaria
and trypanosomiasis; manage the displacement of people; manage conflicts; and
rehabilitate destroyed environments
- Pay attention to potable domestic water resources, management of chemicals, sustainable
tourism, biodiversity and urban development
Source: www.un.org/jsummit/html/documents/summit_docs/2309_olanfinal.htm.

61
 Unit 3 Sustainable development

Activity 3.5
1. Study the contents list of Chapter Vila of the Plan of Implementation (Sustainable
Development for Africa) Do you a g r e e with what is stated? Explain.
2 Which topics would you have added? Why
3. List policies and programmes in your own context or work that aim to implement
the points mentioned under Chapter Vila. H o w successful are they?
4 You must be familiar with development policies or programmes, maybe in your
job, your organization, or in your community. What makes that
policies/programmes are successful? What makes them not successful?
5. How well-known is the Plan of Implementation in your workplace, your political
party, your community, etc.?
6 Would it help if the vision in the Plan of Implementation w a s more widely known?
W o u l d it assist in achieving sustainability? How?

In this Unit we have, so far, mainly dealt with

the larger picture of sustainable development, POPULATION LIVING ON
in other words we have focused on global LESS THAN 1 US $ A DAY
thinking. W h e r e this w a s possible we have
tried to link these changes in development
thinking with your o w n (work) experiences, Sub-Saharan
that is, local acting. In the last part of this Unit Africa
we will turn this around: we will focus on
sustainable livelihoods as one approach of South
achieving sustainable development. A n d we Asia
will discuss this as an approach that is
meaningful in the local context, in your work,
East Asia
your organization or your community, while & Pacific
this is set against global development
thinking.
Latin America
& Caribbean

3.6 Multi-dimensional causes of Eastern Europe

poverty & Central Asia

We know that for the poor it is very difficult to Middle East

achieve sustainable development. Thus, one & North Africa
of the biggest challenges in development is to
reduce poverty. About 1.3 B I L L I O N (that is, a 0 10 20 30 40 50
total of 1 300 000 000) people in the world Percentage of the population
live below the poverty line. Most of the world's
poor (40 %) live in South Asia, 2 5 % live in Source:
Beyond Economic Growth, 2004
sub-Saharan Africa and 2 3 % in East Asia. In
Unit 1 we mentioned that levels of poverty
can be measured in many different ways

Activity 3.6
Study the figure Population living on less than 1 US $ a day'.
1. What percentage of the population in sub-Saharan Africa has an income of less
than 1 USS a day?
2. What is the percentage of the population in North Africa that has to live on 1 US$
9
a day
3. What do you think are the reasons that it is so much w o r s e in sub-Saharan Africa
compared to, for instance, the Middle East or North Africa?
4 What do these numbers tell us, and what do they NOT tell?

62
3 Sustainable development

Previously, development thinking defined poverty as material deprivation that could

be measured by income or consumption levels per capita. Later on lack of access
to health services, education and social security systems was added to material
deprivation as other crucial aspects of poverty. In order to combat this kind of
poverty, it w a s necessary to have economic growth combined with government-
funded public services. The idea was that by a kind of trickle-down effect, the poor
would then slowly but surely automatically enjoy the benefits of the economic growth.
In 2 0 0 1 the World Bank published the World Development Report 'Attacking
poverty'. The report states that although economic growth is important, there is also
a need to make sure that to make sure that the benefits of economic growth actually
reach the poor. We cannot take for granted that this will happen automatically),
because it doesn't!! The report also stresses that, in addition to material deprivation
and lack of access to essential public services, poverty also includes:

• vulnerability • voicelessness
• exposure to risk • powerlessness

In other words, the causes of poverty are multi-dimensional. If the causes are multi-
dimensional, we cannot solve the problem of poverty with one single solution.
Therefore, also the solutions to poverty must be multidimensional. They must
include:
• economic processes • political processes
• social processes

Activity 3.7
In the text above we mentioned a number of different causes of poverty. Below the
causes we mentioned as solutions economic processes, political processes and
social processes,

1. Looking at the different causes of poverty, which cause(s) of poverty can be

addressed by economic processes? Explain how.

2. Which cause(s) of poverty can be addressed by political processes? Explain how.

3. W h i c h cause(s) of poverty c a n be addressed by social processes? Explain how

Sustainable livelihoods is an approach that takes into account the many faces of
poverty and tries to include processes that address these aspects.

Sustainable livelihoods
in every day life we define a livelihood as the j o b or other source of income that
gives a person the money to buy the things that this person need in her/his daily life.
Let's keep our 'normal' understanding of livelihood in mind, and look at one of the
best-known definitions of Sustainable Livelihoods.

DEFINITION O F S U S T A I N A B L E LIVELIHOODS

-» A livelihood includes the capabilities, assets (including both

material and social resources) and activities required for a means of
living.

A livelihood is sustainable w h e n it c a n cope with and recover from

stresses and shocks and maintain or enhance its capabilities and
assets both now and in the future, while not undermining the natural
resource base. (Carney 1998b:4)

63
 Sustainable development

Let's 'unpack' this definition and see what is meant by sustainable livelihoods.
1. The definition says that a livelihood is not just a job, but it is all the capabilities
assets and activities that are necessary to make a living.
2. An asset is a resource that a person has or has access to. Assets are also called
'capital'.
3. Capabilities are what is possible for people to be, or to become, or to do.
4 Activities are what people do and in this case what they do to make a living.

L e t s recall the meaning of sustainable: A sustainable plan/method/system can be

continued at the levei of activity while it does not become less efficient and does not
harm the people and damage/ d e p l e t e ' ' the natural resources (the environment) that
are affected by it.

5. So, a livelihood is sustainable when it

• can continue with its activities at the s a m e pace as before
• c a n continue with the same efficiency
• c a n cope with misfortune and hard times [coping with and recovering from
stresses a n d shocks]
• does not harm the people affected
• maintains or enhances people's abilities and assets in the present and in the
future.

• does not damage or deplete natural resources (the environment)

Sustainable livelihood of communities

So far, we have defined livelihood as the livelihood of individual people. When we
talk about sustainable development, we not only look at individual people but also at
the development of communities. So what we said before about sustainable
livelihood for individuals, is also true for the sustainable livelihood of households and
of communities.
A community is a group of people who live and interact within a specific geographic
area. W h e n we talk about sustainable development, a community can be a small
rural community, a large metropolitan region, a nation, or the entire planet Earth
What makes an area into a community are the shared interactions among the people
in the community. These interactions are:
(i) economic transactions (buying and selling goods and services to each other)
(ii) social relationships (being family, friends and neighbours, sharing,
cooperating, solving c o m m o n problems together)
(iii) environmental inter-dependence (relying on common resources or the services
of c o m m o n ecosystems like forests, farmlands, water supplies, and air supply).

W h e n we think of sustainable development as something that happens within a

larger or smaller community, we also have to think of the capital (assets), activities
and capabilities as belonging to individuals, households, and the community. Let's
have a look at the model

8 A model of sustainable livelihoods

On one of the next pages is a diagram of aspects of and processes in sustainable
livelihoods. There are other models (which we will not discuss here), but most
models have a lot in common. So. once you understand this model, this will make it

17
To deplete something means that you use It up, that it cannot maintain the same level as before.

r>4
Unit 3 Sustainable development

easier to understand other models, too. W h e n you look at them diagram, you will see
that it is divided into 5 parts: (1) Capital, (2) Vulnerability, (3) Transforming
structures and empowerment processes. (4) Livelihood strategies and
activities, and (5) Sustainable livelihood outcomes
We will take you step-by-step through the model of sustainable livelihoods. Let's
start with the triangle in the middle, CAPITAL. Instead of Capital we can also use the
term A S S E T S . You will find that we use both because both come back in other
development strategies that we will discuss.

1 CAPITAL (ASSETS)
If you look at the model, you will find that the assets back in the triangle in the middle
of the model There are 5 types of capital/assets, divided over three layers:

Layer 1: Natural assets

Layer 2: Human assets and social assets,
Layer 3 Economic & financial assets and (human-made) physical assets

You will recall the picture earlier in this Unit where the economy w a s a circle inside
society, because it was part of society, while society w a s inside the circle of the
environment because society depends on the environment. We concluded then, that
if the environment w a s not cared for and protected, society, and with it economy,
would suffer. Thus, the environment, that is, our natural assets, forms the basis. In
the figure natural assets form the basis of the triangle in the model.

Communities (big and small) and individuals receive benefits from these assets and
they rely on them in order to continue to exist, to go on living. Normally, we use the
terms 'capital' and assets' for money and material goods such as buildings. W h e n
we talk about sustainability, however, communities (individuals and households)
need to work with more kinds of capital (assets) than money and material assets. All
five types of capital are necessary for communities/individuals to function, and they
need to be managed, cared for, nurtured and improved over time.

(a) Natural Assets

At the base of the pyramid there are two blocks of natural capital: natural resources,
and ecosystem services. Natural resources are all the things that we take out of
nature and use, such as water, plants, animals, and materials from the earth such as
fossil fuels, metals and minerals. We use them, either as raw material or as part of a
production process. After we have used them, the result is a finished product, waste
material or both. We can deplete natural resources by overusing them.
Ecosystem services are natural processes that we rely on. For example, soil in a
hectare of farmland can produce food that we eat (maize, beef) or material for
clothes (cotton, wool) that we wear. Wetlands filter water a n d soak up floodwaters.
The water cycle is another example of an ecosystem service. If we do not overuse
them, these natural processes will provide us with services indefinitely. However, if
18
we are not careful in how we use them, we can d e g r a d e them. Farmed carelessly,
the soil on a farm erodes or loses essential nutrients. Sediment in wetlands reduces
their ability to filter water. Fill a wetland and it no longer provides a buffer against
flooding.

(b) Social capital (assets)

(c) H u m a n capital (assets)

T h e next level of the capital triangle is social and human capital. Human capital is
each individual's personal skills and abilities, physical and mental health, a n d
education. In short, what an individual can offer to make a livelihood.

To degrade something means that you cause it to grow worse.

65
3 Sustainable development

Social capital is the connections in a community - the w a y s in which people interact

and relate to each other. The simplest connections are connections to family, friends
and neighbours. On a larger scale, we form connections through community and
volunteer organizations, churches a n d political parties.

Also the ability of groups of people to form governments to deal with common
problems, and the ability of people to form companies to create goods and services
to satisfy the needs of the community belong to social capital. In other words, social
capital is the social resources that people draw on in the creation of livelihoods.

With the three blocks of natural capital and h u m a n and social capital we c a n create
the third layer of the triangle, economic and financial assets, and human-made
physical assets.

(d) Economic a n d financial capital (assets)

(e) Human-made physical assets

The assets in this layer have in c o m m o n that they are 'made' through human, social
and natural assets. Human-made
physical assets include physical ;
infrastructure such as roads and '
transport systems, heavy
equipment and factory buildings,
houses and apartment buildings. It
also includes basic necessities like
food and clothing, cars, telephones
!
and computers, and
communication and information
flows. In other words, human-made
physical capital is the basic j
infrastructure, production j
equipment and means that make it
possible for people to create A tree-growing cooperative. What kinds of
livelihoods capitals (assets) do you see in this picture?

Economic and financial assets include the economic and financial resources that
are available to people and that give them different options to create livelihoods.
Examples of these are savings, access to credit, loans, remittances, pensions,
subsidies, banking systems, etc.

2 VULNERABILITY
The second part of the model is about vulnerability. W h e n we are vulnerable we are
without protection, a n d weak and we can easily be hurt by what is happening to us.
This is the same with livelihoods. W h e n a natural disaster happens, for instance,
poor people are hit harder. W h e n you are losing your home to floods, or your crops
to drought, this can be the beginning of the end. Most poor people that are affected
by natural disasters in the world do not have an insurance policy or savings or
access to loans to fall back on. Not only natural disasters show h o w vulnerable the
poor are, also crises like illness and death in the family, or armed conflict in the area.

Government policies that are not pro-poor and that are not aiming at enabling the
poor to create a sustainable livelihood make the poor vulnerable. If it is difficult for
the poor to have access to public services such as health services a n d social
security, the poor cannot protect themselves well enough against crises. If policies
do not favour the integration of the poor in the country's economy, for instance, when
markets are too far away and transport is too expensive, or when the tax on selling
goods on the market is too high, or when it is very difficult to get a loan to start a
business, this keeps the poor vulnerable. Also culture and tradition can keep groups

66
of the population poor. Women,
generally, have a very hard time to
escape poverty, even more so than
men. In many developing countries a
w o m a n cannot inherit a house or land
and cannot claim the use of it after her
husband has died. In many traditions it
is frowned upon when w o m e n want to
start and own businesses and a loan
application often needs to be approved
first by the husband or father. This
keeps w o m e n vulnerable.

These are some of the aspects of

vulnerability to the poor. Vulnerability
has a negative effect on the use of
assets. Let's have a look at an example.

Imagine that an agricultural cooperative

(human/social asset) with good soil
(natural asset) in an area with a
reasonably good climate (natural asset).
The cooperative has just managed to
have a small loan (economic/financial
asset) to buy and install an irrigation
system (physical asset) so that they can
have a higher harvest of tomatoes and
onions (physical asset). The cooperative
has an old truck {physical asset) and
has just enough cash {financial asset) to
get the produce to the wholesale market
(social/economic asset). Due to market
fluctuations (vulnerability) t h e interest
rate on the loan rises sharply a n d the
transport cost to get the produce to the
wholesale market rise as well.
Immediately the net profit (livelihood)
Examples of vulnerability: Natural disasters;
drops dramatically and s o m e of the
women caught in armed conflict; hiv/aids orphans
cooperative members (social asset)

decide to drop out and look for better-paid work. It is clear, for livelihoods to become
sustainable, vulnerability has to be reduced. How can this be done?

3 TRANSFORMATION AND EMPOWERMENT

You will recall that the World Bank Development Report Attacking Poverty mentions
that, in addition to material deprivation, lack of access to essential public services,
vulnerability and risk (which we talked about) also includes voicelessness and
powerlessness. The report also says that to solve poverty we have to include
economic, political and social processes. So, what we are talking about is
transformation from being voiceless to having a voice that counts and from being
powerless to having political, social and economic power to increase assets (capital),
reduce vulnerability, and increase one's capabilities Empowerment is a term that is
used a lot. For the poor, e m p o w e r m e n t means that through participation in political
processes and local decision-making they are better able to influence state
institutions that affect their lives.

67
Unit 3 Sustainable development

This means that barriers - political,

legal, social, economical - that work
against particular groups must be
removed, so that the poor can build on
their assets to enable to create a better
livelihood. Amartya Sen - we
mentioned him before - talks about the
'need for freedoms' so that you c a n do
and be what you are capable of. When
he mentions freedoms, he means
freedoms such as the freedom for
people to be involved in political, social
and economic processes. This means
that they also have the freedom to vote,
Community empowers itself
to be elected, to speak out, to be a
In Barangay Olave (Philippines) 77 percent of the
member of a political party, to differ in
population lived below the poverty line. When!
opinion, to organize themselves in 1
they analysed their needs, the people agreed that
political, religious or other groups; it
what they needed most was electricity. They got
means that they have the freedom to
training from the Philippines Department of Social;
access economic and financial
Welfare and Development and learned the basics!
systems, and markets, to travel freely,
of accounting, how to maintain community:
to have good health, education, etc.
electricity infrastructure, and how to participate in
You can add to this list...
local governance, The residents themselves wrote
the proposal, designed its budget, and presented it
Thus, for the poor to get these at the assembly of villages. Among all the villages
freedoms, to achieve this Olave won the competition for funds. The money
transformation and empowerment, was sent in a record 8 days. Some 40 percent of;
g o o d governance is essential. But it is the cost was lowered by volunteer labour. The!
just as important for people to mobilise women dug the holes, while the men carried the
themselves and each other and form poles up the mountain which would link the cables
organisations (such as NGOs and to the provincial power network and helped the
CBOs) to take their destiny in their own electric company install the poles.
hands, hold state institutions
1
accountable and to ensure the rule of Today, the lights burn brightly at night in Barangay
law in their lives. Communities a n d Olave. Electricity is serving the community very
individuals must begin to claim and well. School children can now study at night, so!
o w n their development. there are now eight honor graduates. The people:
have livelihood projects to augment their farming :

income. More jobs will be created as people are!

Local empowerment is a form of
trained on welding, food processing, and mat!
poverty reduction in its own right. Thus,
weaving. Source: www.worldbank.org
development that is driven by the
community aims to promote security,
opportunity and empowerment by:
• strengthening accountable, inclusive community groups
• supporting broad-base participation by poor people in the strategies and
decisions that affect them
• facilitating access to information and linkages to the market
• improving governance, institutions and policies so that local and central
governments and service providers, including N G O s and the private sector,
respond to community demand.

Poor, marginalized communities can be mobilised to help reduce their poverty by

drawing on and strengthening their social institutions (their social capital).
 Sustainable development
O V E R V I E W OF S U S T A I N A B L E LIVELIHOODS

VULNERABILITY CAPITAL (ASSETS) TRANSFORMING

For instance
Shocks
(e.g. illness,
natural disasters,
conflict)
Economic
financial
A & (Human-made)
assets physical assets
STRUCTURES &
EMPOWERMENT
PROCESSES

STRUCTURES
shelter
Trends energy • Levels of
cash
(e.g. anti-poor equipment government
savings
policies, lack of technology 1
Private sector
remittances
access to public infrastructure 1
to credit
information, etc.
Institutions:/
services, economic.
seasonality) Social Assets Human Assets
political
Networks, group Skills
• Macro membership, culture, knowledge civic
economic relationships of trust, ability to work
conditions social claims.etc. good health • Laws
(e.g. markets) physical capabilities etc Policies
• Culture Natural Assets • Incentives
(e.g. local cultural Natural resources: Environmental (ecosystem) Regulation
practices that soil, water, air, fossil fuels, services: PROCESSES
affect livelihood genetic resources etc water cycle, fisheries,
soil fertility, etc

LIVELIHOOD STRATEGIES & ACTIVITIES

Surviving (coping) or sustaining (adapting)
Social actors
Community
Natural resource based
Market based
Intensification
Diversification
Migration

SUSTAINABLE LIVELIHOOD OUTCOMES

More income
Increased well-being and capabilities
Reduced vulnerability
Improved food security
Improved social equity
More sustainable use of Natural
Resource base
J susiainaoie development

4 LIVELIHOOD STRATEGIES AND ACTIVITIES

Mostly social scientists divide livelihood strategies into different categories, but in
reality different strategies are often combined.

• Social actors/ • Natural resource • Intensification • Extensification

relationships based

• Community • Market based • Diversification • Migration

W h e n individuals, households and communities face adversity, crisis and stress,

they can try to cope with these or adapt their livelihood strategies. W h e n people try
to c o p e , they make a temporary adjustment, until the crisis is past. For example, one
family member is seriously ill and is hospitalised. The family makes the decision to
use their savings to pay for the medical cost, knowing that through their joint income
they c a n top up their savings later on.

W h e n people adapt their livelihood strategies, they make long-term structural

changes, to deal with adversity. To deal with illness and death, people may take out
insurances, or become members of a funeral society, etc., and so attempt to face
crises in a structural way. Or if they feel they do not get out of poverty despite their
efforts to deal with challenges on a day-to-day basis, people may decide to m o v e to
a town to find other work, they may engage in vocational training, or become a
member of a trade union, find others to start a CBO with, or a small company, etc.
T h e s e are all long-term structural changes that on the one hand deal with adversity
while at the same time this creates additional capital (assets).

Activity 3.8
Give examples of how adapting livelihood strategies can increase assets (capital).

Below we discuss in s o m e detail livelihood strategies and activities. S o m e of them

are more coping strategies, while others are more adapting strategies. A n d ,
naturally, often these are combined.

Strategies involving social relationships

To avoid or alleviate poverty, many poor people create social relationships with
others that might support them on an ongoing basis, or w h o will assist them in times
of crises. This is one of the functions of extended families, of membership of
religious groups a n d of, for instance, funeral societies. Another example looking at
social actors: in G h a n a many urban dwellers have created long-term relationships
with migrants in Europe and the USA. In the past they would have these
relationships only with family members, n o w they also invest in relationships with
migrant friends, fellow church m e m b e r s , ex-colleagues and others. They increase
their social capital, by looking after migrants' children, supervision of migrants'
businesses or the construction of their houses. In this way they hope to get financial
and material support from migrants w h e n these urban dwellers face crises.

Community-based strategies
An important aspect of poor, marginalized communities is that they must begin to
see themselves as a strong force when they are together, rather than a group of
individuals that have little in c o m m o n . T h u s through communal decisions and making
use of existing social networks, a n d expanding them, resources can be utilised that
w e r e not used before. For instance, one farmer with one tractor w h o only uses it for
her/himself is expensive and no good to other farmers who have no tractor. But if
s o m e kind of cooperation could be established so that the tractor could be used by

70
Unit 3 Sustainable development

many, and the cost could be carried by many. Buying seed and fertiliser together and
transporting together is cheaper and more efficient, and costs less labour than every
farmer for her/himself.
T h e same is true for general dealers - buying in together is cheaper in terms of
transport and it is possible to get reduction/rebates, etc.

Also, w h e n groups organise themselves, such as all the hawkers in an area, the
bakeries and confectionaries in a location, the hospices in a township, etc., it is
possible to become a pressure group' and talk in one voice to the municipality, or
the tribal authority, to negotiate for infrastructure, permission to trade, cheaper rates
and taxes, and so on.

Natural resources-based
strategies
W h e n people make use of what
happens to be there is in their
natural environment to create a
livelihood, this is called a natural
resources-based strategy.
S o m e examples: cutting grass
for thatch and selling this,
forestry, eco-tourism activities
such as bird watching, guiding,
eco-camps, photo safaris. Other
natural resource-based activities
are agriculture, horticulture,
aquaculture (fisheries), cattle
rearing, producing medicine
from local plants, building
houses of natural materials,
running a ferry over a river, and
so on.

Market-based strategies
W h e n people understand what will sell well they understand the market. Individuals
may join forces (social strategy) with others to gain better access to markets and
market information and so find out which services or products sell well. For instance,
in cities there is a great need for safe places for young children so that their parents
are free during the day to earn a living. So, creches, day-care centres, and after-
school care centres are established. Another example is that based on a complaint
that school uniforms are becoming too expensive, cooperatives are set up to
manufacture school uniforms and knit school jerseys to provide these products at a
lower price locally. Another example, communities nearby tourist attractions provide
the essential cleaning and cooking services, and grow specific vegetables that
tourists prefer.

Often this is principle not well understood and you find 12 brick making companies in
one small village that only needs one. A n d none of the brickyards m a k e s enough
profit to sustain the livelihood of the people making the bricks.

Intensification strategies
One strategy to improve livelihoods is to intensify activities. The idea behind
intensification is to get more output from the same area. The example of the tomato-
growing cooperation that wanted to irrigate the fields is an example of this (use of
economic/financial capital). They w e r e not successful because they did not have
enough financial reserve at the time the interest rate went up. An example of

71
Unit 3 Sustainable development

intensification in a service is to increase the number of times a taxi runs a particular

route in a given day.

Extensification strategies
Another livelihood strategy is extensification. The idea behind this is not get more
output from the same area, but to make the area larger and so have more output. So
more fields will be ploughed, or the factory is made larger. Also here investment is
often necessary.
An example of extensification of a service-based strategy is to increase the number
of routes that a taxi runs, or make the day longer, so as to get more passengers.

To extensify or intensify agriculture, industry or services, instead of or in addition to

borrowing money for investment, more people (human capital) are employed to do
the labour for the sake of intensification or extensification.

Diversification strategies (spreading the risk)

One of the w a y s to make sure that shocks and stresses can be dealt with is to
broaden the variety of livelihoods that a person engages in. This is called
diversification. An example is that in addition to subsistence or cash crop farming,
farmers also engage in other income generating activities, such as general
dealerships, transport for others, paid labour on other farms, odd jobs, etc. In
Botswana, for instance, farmers spread the risk of drought killing their harvest, by
never planting all their fields with millet at once, rather they plant millet over a longer
period of time, a n d parallel to this rear cattle and goats.

In fact, a diversification of livelihood strategies may involve many tactics. In addition

to the strategies mentioned above, people may hoard, claim, borrow, share, steal
a n d so on. (We do not pass judgement on any of these tactics; it is what people see
as necessary to live.)

Migration
As you know, many people leave their rural environment to go to the towns and cities
to look for work. Often they leaver their families behind who will carry on with the
work they used to do. They hope that by finding formal employment in the town or
city, they will enter the 'money economy, and so will be able to send money home
regularly. Sometimes people migrate even further than to towns and cities and go to
live abroad. Many African people working and living overseas remit money to their
home country. S o m e leave out of desperation of not finding permanent work. Others
leave their country because the stresses and shocks are too high and too frequent to
cope with, caused by, for example, an unstable government, belonging to a
marginalized group, unstable economy, armed conflict, famine).

5 SUSTAINABLE LIVELIHOOD OUTCOMES

The sustainable livelihood outcomes that we mentioned in the diagram are:
• More income
• Increased well-being a n d capabilities
• Reduced vulnerability
• Improved food security
• Improved social equity
• More sustainable use of natural resource base
More income
W h e n particular livelihood strategies are combined successfully, they may result in
more income. In many Third World countries, there is a high level of unemployment,
or under-employment. So, there is a clear link between 'more income' and 'increase
in working days'. After all when you work is paid for and you work more days, then

72
unit o zusiainaoie aeveiopmeni
your income will be more. Generally 200 days of work is necessary to create a
minimum level of livelihood. Generally, income c o m e s from:

• w a g e s (salary) that you get as an employee working for another person, a

company, an organization, the public service

• producing something, delivering a service, selling a product. Y o u may do this

yourself, or you may employ other people to do it for you

• producing something, delivering a service, selling a product as a shared

activity (e.g. cooperative)

• trading one service or product for another one

• a combination of all of these activities a b o v e

Increased well-being and capabilities

We have mentioned Amartya Sen before. He sees capabilities as 'what people can
do or be with w h a t they have and should have'. As we said above, freedoms are
instrumental in this. W h e n we talked about vulnerabilities we showed that people
often do not have these freedoms. They are voiceless, powerless, and are
vulnerable a n d exposed to risk without being able to control this. W h e n we
discussed transformation and empowerment we showed that to reduce
vulnerabilities, people need to claim and create these freedoms a n d begin to own
development processes.

W h e n people do this, they increase their assets (capital), such as human assets and
social assets, financial & economic assets, physical assets. They may even be able
to protect their natural assets. The result of growing freedoms and, so, of growing
capabilities a r e a greater self-esteem, happiness, security, health, belonging,
increased relationships in number and strength, power, etc. T h e s e results then turn
into assets and become the resources for the next level of improved livelihood.

Reduced vulnerability
W h e n livelihood strategies a r e successful, they create a 'buffer' to vulnerability.
Crises, shocks and stresses will occur, but as livelihoods get improved, it will be
more possible to deal with them. W h e n livelihood strategies are successful,
individuals, households and communities can cope with adversity or adapt their
livelihood strategies in order to become less exposed to risks and crises.

Improved food security

Agriculture-based livelihood activities that a r e successful will yield a higher harvest,
or more cattle that can either be c o n s u m e d or sold. Naturally this improves the food
security of a household. Other successful livelihood strategies often give access to
the 'money economy' through, for instance, remittances that people receive, child
grants or pensions, or money received for delivery of services, products, or labour.
People with access to the money economy have the possibility of buying food if they
do not grow it themselves.

Improved social equity

Equity means that marginalized a n d vulnerable individuals a n d groups are better
able to influence social structures, state and economic institutions and policies that
affect their lives. It also means that access to natural and social resources, public
services and freedoms is divided in a more just way. Through empowerment and
transformation processes that involve the claiming and creation of equity, t h e poor -
a n d amongst them w o m e n a n d other vulnerable groups - gradually gain social
equity. In doing so they increase their assets (capital) and become less vulnerable.

73
 Unit 3 Sustainable development

More sustainable use of natural resource base

An example from Namibia:
In Namibia a number of protected natural areas (conservancies) have been placed in
the hands of local communities. As this took place, the necessary organizational and
individual capacity building w a s d o n e in t h e communities so as to use the
conservancies as natural resource capital to create sustainable livelihoods. The
conservancies have contributed to the maintenance of wild habitat and have helped
to promote wildlife and tourism as legitimate land uses. Many communities have
z o n e d specific areas of the conservancies as dedicated wildlife management areas
in which trophy hunting and tourism is promoted. In these areas no settlement,
agriculture a n d livestock farming may take place. In fact, the number of elephants,
black rhinos, zebras and springboks across large parts of northern Namibia is
increasing. With conservancies as a natural asset that needs to be sustained, the
range of income-generating activities can be increased into photographic tourism,
trophy hunting, live sale of g a m e , culling for meat, mid-market tourist lodges, a n d
handicraft. Based on this natural asset and the activities flowing from this, more c a s h
w a s available which had a positive effect on education (payment of school fees),
career path development (different experiences gained), local governance (through
conservancy committees), revaluing of tradition and culture as an asset for
livelihood. In other words, the sustainability of the conservancies formed the base of
sustainable livelihoods.

W h e n we talked about sustainable livelihood in this Unit, we also discussed

vulnerabilities for the poor. One of the points we mentioned was that if government
policies are not pro-poor, that is, if they do not aim at enabling the poor to create a
sustainable livelihood, they will, actually, make the poor vulnerable (and we gave
s o m e examples). In the next section we are looking at a rights-based approach to
development. The focus is on the role of the State to design and implement pro-poor
policies wit the aim to uphold basic h u m a n rights. This is a w a y to reduce
vulnerabilities and create opportunities for the alleviation and reduction of poverty.

3.9 A rights-based approach to development

Poverty is a human rights violation, a n d freedom from poverty is an integral and
inalienable human right. U N D P , January 1998.

Let's put the (human) rights-based approach to development in the context of

what we discussed before. In Unit 1 you read about 'development as freedom' an
approach to development proposed by Amartya Sen. Sen says:

Expansion of freedom is both the most important end and the main means of
development. Thus, development consists of the removal of various types of un-
freedoms that leave people with little choice and little opportunity to exercise
their agency ... There is strong evidence that economic, cMI and political rights
and freedoms reinforce one another. In the same way, the social opportunities
of education and health care support people in making use of opportunities to
participate in social, economic and political life. In this way, individuals are
empowered to overcome their deprivations, their poverty.
(Amartya Sen, Development as freedom, 1999:xii)

In Unit 2, we briefly discussed the role of the sovereign state in development and
e n d e d this discussion with the remark that, for different levels of government to do
their development work well, it is necessary that government establishes
integrative and regulatory structures because poverty and inequality are multi-
dimensional phenomena, and remedial strategies n e e d effective co-ordination,
integration, and regulation of policies

74
3 Sustainable development

I n p r e v i o u s U n i t s w e a l s o l o o k e d a t t h e Millennium Goals ( p a r t o f t h e M i l l e n n i u m
D e c l a r a t i o n ) a n d a t t h e mandates of several international and regional
organisations, a s w e l l a s h o w i n t e r n a t i o n a l o r g a n i s a t i o n s d e f i n e p o v e r t y a n d
propose how to combat this.
1 9
In the following text Linda Jansen van Rensburg discusses the links between
national legislation, international legislation and mandates and the need to reduce
the vulnerabilities of the poor, e n h a n c e their f r e e d o m s a n d rights (so that they c a n
become agents). It is part of a paper that she presented at a conference held in
Brasilia (Brazil) at the International Poverty Centre of the UNDP. The paper takes the
situation in South Africa as an example. Read the text and answer the questions that
follow.

A RG
I HTS-BASED APPROACH TO POVERTY: THE SOUTH AFRC
I AN EXPERE
I NCE
2 0
To address the problems of poverty a rights-based approach can be used. UNICEF
describes a rights-based approach as follows:
A human rights-based approach means that the situation of poor people is viewed not only in
t e r m s o f w e l f a r e o u t c o m e s b u t a l s o i n t e r m s o f the obligation to prevent and respond to !
human rights violations. F o r e x a m p l e , a n y a c t i o n t h a t e x c l u d e s a s p e c i f i c g r o u p o f :
children from school or discriminates against girls constitutes such a violation. The human;
rights approach a i m s to e m p o w e r families a n d communities to secure assistance a n d !
advocates a fair and just distribution of income and assets.
! I h a v e c h o s e n South Africa as an e x a m p l e of h o w s u c h an a p p r o a c h m a y be applied for the
following reasons:
1 1 . M a n y S o u t h A f r i c a n h o u s e h o l d s f a c e outright poverty a n d t h e d i s t r i b u t i o n o f i n c o m e a n d
! wealth in South Africa is among the most unequal in theworld.
| 2 . S o u t h A f r i c a d o e s n o t h a v e a comprehensive social protection system a i m e d a t c o m b a t i n g
i poverty. Permanent social assistance grants in South Africa cover children from infancy to
14 years (Child Support Grant), children in foster care (Foster Child Grant), people with
disabilities (Disability Grant), children with disabilities (Care Dependency Grant) and the
j elderly (Old Age Grant). In addition to the Old Age and Disability Grant, one can apply for a
Grant-in-Aid. No provision is made in terms of social assistance for people without
disabilities from the age of 14 to 60/65. This means that a large section of the population is !
excluded from the social security (or social protection) programme. The only exception is
the Social Relief of Distress, aimed at being temporary financial material assistance, issued I
to people who are unable to meet their family's most basic needs.
! 3 . S o u t h A f r i c a h a s a u n i q u e Constitution that contains a number of "fundamental rights for the!
2 2
poof \ T h e s e r i g h t s a r e j u s t i c i a b l e a n d h a v e b e e n e n f o r c e d b y t h e h i g h e s t c o u r t o n
2

constitutional matters in South Africa, namely the Constitutional Court.

4 . T h e S o u t h A f r i c a n C o n s t i t u t i o n p r o v i d e s f o r a n international friendly a p p r o a c h , w h e r e b y
courts are obliged to consider binding as well as non-binding international law when they
interpret the fundamental rights in the Constitution. The importance and role of international i
bodies and international monitoring bodies must not be underestimated. They play a vital
role in influencing the scope a n d content of municipal poverty law.

Linda Jansen van Rensburg is Associate Professor, North-West University (Potchefstroom

Campus), South Africa.
UNICEF (2000).
Also known as socio-economic rights, red rights or second-generation rights.
When a right is justiciable it means that citizens can go to a court to have it enforced by law.

75
Poverty as part of social exclusion
There exist numerous definitions of poverty. Traditionally, poverty has been associated with a;
lack of resources. More recently the concept of social exclusion has been used to describe:
23
poverty but as a concept that is about more than lack of income. In fact, income-poverty can j
be seen as part of the multi-dimensional concept of social exclusion. Social exclusion refers toj
the failure of any one of the following:
(a) the democratic and legal system (civic integration);
(b) the labour market (economic integration);
(c) the welfare state system (social integration); and
(d) the family and community system (interpersonal integration)

In other words, social exclusion is not only lack of access to goods and services, but also
exclusion from security, justice, representation and citizenship.

A rights-based approach to resolve social exclusion

A (human) rights-based approach means protection by law of the fundamental freedoms and;
entitlements that people need for a decent standard of living. But when we look at poor people, |
we see that many rights may be infringed at a given moment. For example, denying squatters:
access to housing rights, also implies that their rights to health, human dignity, water, food, j
freedom from discrimination and, sometimes, social assistance, are infringed. This is typically a
situation where poor people are socially excluded, marginalized and placed in a vulnerable
position. To solve this it is necessary that the State provides social protection. I propose that
when the fundamental rights relating to poverty are infringed, such a person needs social
protection.

The Committee appointed by the South African Cabinet to develop a definition of social j
protection came up with the following:
Comprehensive social protection is broader than the traditional concept of social security,
and incorporates development strategies and programmes designed to ensure,
collectively, at least a minimum acceptable living standard for all citizens. It embraces the
traditional measures of social insurance, social assistance and social services, but goes
24
beyond that to focus on causality through an integrated policy approach including many;
of the developmental initiatives undertaken by the State.

The Committee further developed "minimum" requirements for the comprehensive social
protection package and suggested measures to address:
|• income poverty (provision of minimum income)
• capability poverty (provision of certain basic services)
• asset poverty (income-generating assets)
• special needs (e.g. disability or child support)

Fundamental rights for the poor

Civil and political rights cannot prevail if socio-economic rights are ignored, and stability of
political democracy depends on the extent of balance between the two groups of rights.
Proclamation of Teheran adopted on 13 May 1968 during the International Congress on:
Human Rights states (para 13):
Since human rights and fundamental freedoms are indivisible, the full realization of civil
and political rights without the enjoyment of economic, social and cultural rights is
impossible. The achievement of lasting progress in the implementation of human rights is
dependent upon sound and effective national and international policies of economic and!
social development.

See for example Unit 1

Causality means looking at what caused something, what made it happen

76
Unit 3 Sustainable development

T h e S o u t h A f r i c a n Bill o f R i g h t s ( p a r t o f t h e C o n s t i t u t i o n ) e n s h r i n e s t h e f u n d a m e n t a l r i g h t s f o r
t h e p o o r . T h e s e a r e r i g h t s t h a t p l a c e a n obligation on the State to act positively in favour
of everyone, especially the poor, marginalized and vulnerable *. T h e B i l l o f R i g h t s r e f e r s t o
2

the concept of social protection, as a way to combat poverty. According to the Bill of Rights,
s o c i a l p r o t e c t i o n i n c l u d e s social security, social assistance, a c c e s s t o adequate housing,
a c c e s s t o health care services ( i n c l u d i n g r e p r o d u c t i v e h e a l t h c a r e ) a c c e s s t o sufficient food
and water, t h e r i g h t ( a ) t o a basic education, i n c l u d i n g a d u l t b a s i c e d u c a t i o n ; a n d ( b ) t o further
education, w h i c h t h e s t a t e m u s t t a k e r e a s o n a b l e m e a s u r e s t o m a k e p r o g r e s s i v e l y a v a i l a b l e
a n d a c c e s s i b l e , a n d f o r every child the right to basic nutrition, shelter, basic health care
services and social services.

International and regional poverty combating instruments

There is a wide range of international law instruments on poverty that can assist bodies in
S o u t h Africa a n d other countries to interpret the f u n d a m e n t a l rights of t h e poor. S o m e t i m e s
these instruments do not directly mention poverty, but our broad definition of poverty as the
lack of basic capabilities to live in dignity ' s p e a k s ' t o t h e s e i n s t r u m e n t s . S o m e o f t h e m o s t
important instruments are the Millennium Development Declaration and Goals, the Universal
Declaration of Human Rights, the United Nations Covenant on Economic Social and Cultural
Rights and the Convention on the Rights of the Child to name a few. Other international
instruments that contains sections that protects the poor a n d the vulnerable are: UN
Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW),
ratified by South Africa on 15/12/1995; Convention on the Elimination of All Forms of Racial
Discrimination, entered into force 4 January 1969, signed by South Africa on 3/10/1994;
Convention Relating to the Status of Refugees, entered into force 22 April 1954, acceded by
South Africa on 12/1/1996; Protocol Relating to the Status of Refugees, entered into force 4
October 1967, acceded by South Africa on 12/12/1996; International Convention on the
P r o t e c t i o n o f t h e R i g h t s o f all M i g r a n t W o r k e r s a n d M e m b e r s o f T h e i r F a m i l i e s e n t e r e d into
force 1 July 2003, not yet signed or acceded to by South Africa; Convention Relating to the
Status of Stateless P e r s o n s entered into force 6 J u n e 1960, not yet signed or a c c e d e d to by
South Africa. On regional level there are for example the African Charter on the Rights and
Welfare of the Child, ratified by South Africa on 7/1/ 2000. Regional poverty instruments
applicable on Africa are for example the African Charter on Human and Peoples' Rights, i
ratified by South Africa on 7/1/2000. Also the Southern African Development Community
2 6
(SADC) instruments will influence the interpretation of socio-economic rights of the poor.
(Abridged & adapted)

Source: Jansen van Rensburg L, 2005, A rights-based approach to poverty: The South African
experience, www. undp. org/povertycentre/md%2Dpoverty/papers/Linda_.pdf

The challenge to implement a rights-based approach

Despite all good intentions, it is a challenge to realize the rights of the poor as they
are laid down in the Constitution and in International Conventions, etc. Some of this
has to do with policies that must be designed and strategies that must be developed,
In their 4th Annual Economic and Social Rights Report (2000-2002) to South African Parliament the
South African Human Right Commission identified as very vulnerable and marginalised people:
Informally employed people, the unemployed and the self-employed; non-citizens, refugees and
asylum seekers; persons infected with HIV with a CD4 cell count below 50; children regardless of
their age; children infected with HIV/AIDS; child-headed households; children living on streets,
support givers to extended families due to HIV/AIDS related deaths.
The SADC vision is that of a common future within a regional community that will ensure economic
well-being, improvement of the standards of living and quality of life freedom and social justice and
peace and security for the peoples of Southern Africa This shared vision is anchored on the
common values and principles and the historical and cultural affinities that exist between the
peoples of Southern Africa.

77
Unit 3 bustamaote development

another aspect is the cost of full implementation, yet another aspect is that the
various rights a r e not 'separate' but link with each other. A n d , then there is the
element of attitude and awareness of the rights of a marginalized group of poor
people.

Activity 3.9
1. List the various conventions, agreements, declarations etc. that are mentioned in
this text. Indicate (i) which ones have been signed, ratified or acceded by the
government of your country, and (ii) when this w a s done.

2. Try to find evidence of your country's support of these conventions etc., in your
Constitution.
3. What evidence do you see in your environment or work of this, and in policies that
are implemented?
4 There are a number of challenges attached to social protection, such as high cost
if a large section of the population is poor. It has also been said that if too much
protection is given to the poor, it will create dependence of the poor on these
grants and as a result they w i l l n o longer work for their o w n development. W h a t is
your opinion on this?
5. Go back to Unit 2 to the discussion of Structural Adjustment Programmes (SAPs).
Do you think a rights-based approach to development would have fitted into an
SAP? Give reasons.

3.10 Assessing development

One of the most difficult things in development is to assess whether development
has taken place, whether it is taking place a n d h o w much. Amartya Sen says that
development is a goal (we want a developed nation) a n d a process (the more
freedoms and capabilities we acquire as part of our development, the higher our
development goals will be). Let's for now stick with a short text about development in
the Democratic Republic of Congo (DRC). Read it, think about it a n d attempt to
answer the questions that follow (the self-evaluation task for Unit 3).

DEVELOPMENT? SUSTAINABLE?
© | The second largest rainforest in the world, after the Amazon (South America), is in the Congo
; Basin of Africa. Half of the Congo Basin lies in the DRC, The Congo rainforest is the life
support system for millions of people in the 'green heart' of Africa. In the Democratic Republic
of the Congo (DRC) 40 million people, out of a population of about 60 million, depend on the
forest. Like all large forests, it's also crucially important for regulating the local and global
climate. Rainforests provide important carbon reserves and are essential to the biodiversity of
the planet Earth. The Congo rainforest is home to some of Africa's most iconic wildlife including
I gorillas, chimpanzees, bonobos, forest elephants and okapis.

As the DRC begins to recover from decades of civil wars and dictatorship, the country is in
great need for development. Yet this development must be sustainable. Bringing international
logging (timber) companies in and granting them concessions (contracts) for controlled logging
I was meant to assist in the alleviation of poverty in one of the poorest countries on Earth. Taxes
! paid by. the companies for the rights to log the forest are intended to go to local forest
| communities to provide essential services like education and healthcare.

78
Units Sustainable development

27
A moratorium on logging
In spite of a moratorium that w a s negotiated with the transitional g o v e r n m e n t of the D R C by
the World Bank in 2002 as part of an initiative to control the forestry industry, international
logging (timber) companies are causing social chaos and wreaking environmental havoc. Over
| 15 million hectares of rainforest have been granted to the logging industry. This is an area
| nearly ten timesthe size ofthe Kingdom ofSwaziland, All the concessions (contracts) handed
| out are in sparsely inhabited areas that are vital for protecting biodiversity. More than a third
| are home to pygmy communities. It is believed that 20 foreign-owned forestry companies are
| active in the DRC, and that many other international logging companies are seeking to get
\ concessions. The timbercompanies export logs, sawn timberand finished products such as
|flooring,windows,andfurniturealloverEurope.
According to a review in 2007 by Greenpeace (an international NGO focusing on protection of
the environment) of the 156 timber contracts, 107 were signed after the May 2002 moratorium.
Although there is an investigation into their legality, the majority of the contracts are expected
to go ahead.
The case of Lamoko
| Lamoko, a village about 220 kilometres down the Maringa river is located on the edge of a
j massive stretch of virgin rainforest. At the beginning of 2005, representatives of a major timber
j company arrived to negotiate a contract with the traditional landowners. Few people in the
| village of Lamoko realised that these talks would transform all their lives. In just a few hours,
I the chief of the village, who had received no legal advice and did not realise that just one tree
j m i g h t b e w o r t h m o r e t h a n U S $ 8 , 0 0 0 i n E u r o p e , h a d s i g n e d a w a y all h i s c o m m u n i t y ' s r i g h t s t o
! the forest for a period of 25 years. In return for his signed permission to the timber company to
2 8
i cut thousands of hectares of exotic woods such as Afromosia (African teak) and Sapele, the
c o m p a n y p r o m i s e d to build three simple village schools a n d clinics for the c o m m u n i t y of
j Lamoko and other communities in the area. In addition, the company promised it would give
; the chief 20 bags of sugar, 200 bags of salt, some machetes and a few hoes. All in all the gifts
would cost the company US$ 15,000. The Lamoko agreement is just one of many contracts
: ( c o n c e s s i o n s ) that foreign c o m p a n i e s h a v e s i g n e d with tribal chiefs in the D R C . S o m e
! contracts s h o w only promises of sugar, salt a n d tools worth about U S $ 1 0 0 in return for
: p e r m i s s i o n to log.
; When the Lamoko villagers found out that their forest had been "sold" so cheaply, they were
furious. They complained to the local and central government that there had been no proper
consultation, that the negotiations had been conducted in an "arrogant" manner, and that
people had been forced to sign the document. The villagers demanded that the company must
pull out. However, since February 2005, logging roads have been made deep into the forests
near Lamoko and the company has started extracting and exporting trees. Now, in 2007, 5he
villages have not been given yet (it is 2007) to see their schools and clinics. The villagers were
even refused wood for their coffins.
; In m a n y c o m m u n i t i e s the y o u n g people feel that village elders h a v e failed to look after the
: long-term interestsofthecommunity. Graduallymanycommunity leaders arebecoming aware
that their villages will sink into destitution if logging goes ahead. They begin to realise that If the
t r e e s g o , t h e y will h a v e n o t h i n g a n d will s u f f e r f r o m p o v e r t y f o r e v e r . Officially t h e c o m p a n i e s
are obliged to employ local people, but villagers feel that the companies bring in their own
people and that at best they are left with unskilled jobs that pay a pittance.

A moratorium on a particular activity is the stopping of it for a specific period of time. It is the result
of an official agreement between various parties or groups.
African teak wood (Afromosia) is protected by global agreement and cannot be exported from some
tropical countries such as Cameroon, which have few trees left, but at present there are no
restrictions on its export from the DRC.

79
Unit 3 Sustainable development

The World Bank admits that over the last three years, not a single penny paid by the logging j
companies has reached local communities. This leaves these people not only without the
forest that provided their food, shelter and medicine, but also without the benefits they had
been promised. The World Bank accepts that logging could destroy the forests in a short time,
which will lead to immense social problems and a rapid increase of poverty. Not one dollar of
\ax trial has been coWected has tetarneo. to \he pvov\v\ces," savi tt\e fovesA otf\cev \ck \he Wortd
Bank in Kinshasa (DRC).

Community members are afraid of intimidation from local authorities, who are involved in I
corruption with the logging companies. In addition, the local authorities are poorly paid, and
inadequately trained and equipped to enforce the law of the land. Officials sometimes have
only a bicycle to help them patrol vast areas of rainforest. Ofcourse this makes it impossible to
control the logging industry, in actual fact, there are reports that some companies use
intimidation tactics against people who try to protest

Carving up the forest, a report issued by Greenpeace in February 2007, states: "Our findings
expose serious lapses of governance, a massive lack of institutional capacity to control the
forestry sector, widespread illegalities and social conflicts, as well as clashes with established
conservation initiatives".

Sources: www.greenpeace.org/intemational; www.monuc.org; www.corpwatch.org

Reflection
• Thinking back to what you have read about sustainable development and
sustainable livelihoods, where do you stand? What makes you want to be part of
it?
• How do you feel about a rights-based approach? Should the State support and
endorse this? W h y or why not?
• Are there any issues that you think might be difficult to deal with, particularly in
7
public m a n a g e m e n t What are they? W h y ? What might be w a y s to deal with
these challenges? If you a r e in public management, what does this mean for how
you do your work?

3.11 Summary
In this Unit we focused on sustainable development, and we placed the growing
awareness for sustainability against a changing development thinking that economic
growth only is problematic. We briefly discussed the Brundtland Commission and the
different scenarios for sustainable development. We focused on Agenda 21 and the
World Summit for Sustainable Development as indicators of global development
thinking and the consequences for Africa. We then looked at the complexity of
causes of poverty and the link with the creation of sustainable livelihoods on a local
scale. Next we looked in detail at a model for sustainable livelihood. In the light of

vulnerabilities and pro-poor policies we looked at the role of the State in a rights-
based approach to development. We ended Unit 3 with a case study describing the
logging and consequent destruction of the environment for communities in the
Democratic Republic of Congo

In Unit 4, the next unit in this Module, we discuss participation in development.

80
 Unit 3 Sustainable development

Self-assessment activity
Go back to the text on timber logging in the Congo Basin Rain Forest. We ask you to
take the model on sustainable livelihoods a n d to try a n d analyse the situation
described in the text. To do this well, try to step in the shoes of the people living in
the rain forest and describe:
| (1) vulnerabilities,
: (2) assets/capital,
(3) transformation & e m p o w e r m e n t processes that are in place and/or needed.
| Then, imagine:
(4) what livelihood strategies and activities might be put in place by the people, and
| (5) what the outcomes might be.

| This is not an easy task, but you will find it very worthwhile. If you engage with this
j task, it will give you analytical skills that are useful in development.

Suggestions for further reading

Malone M a n d Belshaw D, 2003, The human rights-based approach to
development: Overview, context and critical issues. Transformation (2003) 20/2
April: 76-89

Soubbotina T P , 2004, Beyond economic growth . An introduction to sustainable

n d
development ( 2 edition). Washington DC, USA: The World Bank.
World Commission on Environment and Development, 1987, Our Common Future.
London, UK: Oxford Paperbacks.

If you are very interested in Human Rights (the basis of a rights-based approach to
development) you may want to get hold of the following small book that gives an
overview of all current human rights treaties and conventions:
Buergenthal T, Shelton D and Stewart D, 2 0 0 2 , International Human Rights. St Paul,
USA: West Group.

Internet sources
Sustainability & environment www.greenpeace.org/international
www.corpwatch.org
Sustainable development www.eeeee.net
World Summit on www.un.org/jsummit/html/documents/summit_docs/2309
Sustainable Development _planfinal.htm
( W S S D - Johannesburg)
Agenda 21 www.un.org/esa/sustdev/documents/agenda21/english/A
genda21.pdf
A rights-based approach to www.undp.org/povertycentre/md%2Dpoverty/papers/Lin
poverty: The South African da_.pdf
experience
Freedom from poverty, a http://www.hurights.or.jp/asia-pacific/no_12
fundamental human right
(UNDP)

81
Unit 4 Participation in development

Unit 4
Participation in development
4.1 Introduction
Vulnerability, empowerment and transformation
Development by the community for the community
Participation as transformation - towards development and beyond
Participation - Shifts of power
Asset-based community development (ABCD) - A strategy for community driven
& managed development
Doing A B C D
Community Public Private Partnerships (CPPPs)
Community-based natural resource management ( C B N R M )
Summary
Suggestions for further reading
Internet resources

4.1 Introduction
In the previous Units we have seen how over time development thinking has
changed in many ways. In fact, the social, political and economic landscape in the
world has changed. In many developing countries structural adjustment
programmes, and the economic recovery programmes that came after, weakened
the position of the government. No longer was the government the main provider of
structural solutions to community problems in the fields of health, education,
infrastructure etc.

At the s a m e time, international donors demanded stronger, accountable forms of

governance at national and local level. Developing states recognized the need for
this but also claimed sovereignty. Parallel to this, there was the emergence of a
strong civil society. All in all this resulted in strong drive for democratization.

In the economic arena technological advances in global and local communications

(ITC) provide opportunities for local economic development in s o m e communities.
Other communities, meanwhile, struggle for survival, and have to stretch their assets
(capital) to levels that cannot be sustained. This means w h e n we look at
communities, they have a two-fold challenge at community level, namely, to:

1. Create and seize opportunities for sustainable development

2. Claim and retain the rights and entitlements of citizenship, both as citizens of
a particular state (country) a n d as global citizens.

In this situation of change, transition and new needs a n d opportunities for

communities it is somehow logical that participation in development is seen as
essential to (i) achieve sustainable development and (ii) claim, keep and extend the
rights and freedoms of citizens. Why is this so? And w h y are these two challenges
linked? In this Unit we will look at this. We will give much attention to the use of
asset-based and community-driven development strategies (Asset-based community
development a n d Community-based natural resource management) to achieve this
We will also look at partnerships of the community with government and business,
so-called Community Public Private Partnerships (CPPPs),
 Unit 4 Participation in development

4.2 Vulnerability, empowerment and transformation

In the previous Unit one of the topics we looked at w a s sustainable livelihood. W h e n
we discussed the various steps in sustainable livelihood, the second step we looked
at, after assets/capital, w a s vulnerability. We said that vulnerability has to do with
h o w the poor are able to protect themselves against shocks, such as natural
disasters and sudden illness and death. Vulnerability also has to do with whether the
poor can cope successfully with stresses. Stresses are, for instance, government
policies that are not pro-poor, or a situation where the poor have little or no access to
public services such as health services, education, and social security. Stresses are
also c a u s e d by policies that do not actively integrate the poor into the country's
economy. Also culture and tradition can cause stresses, for instance w h e n this
hinders the development of w o m e n such that they have little access to education
and training, or to micro credit, or to ownership of a business. W h e n we discussed
vulnerability, we also mentioned how vulnerability has a negative effect on the use of
assets (capital).

Activity 4.1
If vulnerability then makes it difficult for the poor to develop themselves, to become
owners, architects and builders of their o w n future, what must happen to change
this?
1 Give some real life examples (from your experience) of shocks and stresses that
cause vulnerability.
2, W h e n you consider these examples, what must, according to you, happen so that
the poor can change their vulnerability into strengths, and successful coping
strategies?

Maybe your answer to Question 2 in this activity w a s that the poor must organize
themselves, must become m e m b e r s of a trade union, that they should start
cooperatives, and start a n e w political party, an N G O or a C B O . Maybe you felt that
families should put money together to cope with crises, or to send their children to be
educated, or may be get skills through training themselves. If you gave answers like
these, you suggested that people use their human and social capital to transform
their vulnerability into empowerment.

Through acquiring skills, training, and education, h u m a n assets will be increased. In

doing so, it will be easier to find paid employment or start businesses. Through
putting money together as a family in order to deal with crises, the social asset of
relationships is increased and also the economic/financial assets. By working
together in cooperatives we increase human, social and economic assets, a n d often
physical assets, too. By forming an NGO, CBO or a political party we develop social
29
assets and in particular institutional assets .

4.3 Development by the community for the community

One of the most complex issues in development is what role the community should
have. Are they 'targets', recipients', beneficiaries' or clients'? Or are they actors
that influence a n d drive development? Successful community development begins
with the premise that the more people affected by development have a stake in its

Institutional assets belong to the group of social assets

83
Unit 4 Participation in development

formulation and implementation, the

greater the likelihood that this results
in a sustainable future for all
community members.

If development means giving people a

maximum number of options and
ensuring that a host of basic human
rights are met, strategies to achieve
this must adhere with (stick to)
universal principles of transparency,
accountability, pluralism, justice, a n d
participation within the realities of Villa El Salvador
each community's unique identity and i On the outskirts of Lima (Peru) the sprawling
condition. I shantytown (township, location) known as Villa El j
:
! Salvador (literally this means The Saviour) has
:
It is very fashionable to talk about witnessed an asset-based approach that builds on
community participation, integrated ; the residents' traditions of solidarity. It began in
development, and community \ 1970 during a time of rampant inflation, with a food
driven & managed development : program of communal kitchens, which then pooled
3

But how serious are we about this? Do resources and bought food in large quantities at
communities really want to take the | lower prices.
responsibility for their development? j Over decades of service and with international
Do development providers j assistance, the result has been the construction of \
(government, NGOs or other \ more than 50,000 houses, provision of essential
organizations) really want to hand \ food, basic health care for the entire population,
over power to communities to decide j almost 90 percent enrolment in primary and
what kind of development they want, : secondary education, reduced illiteracy and infant
h o w they want to achieve this and \ mortality rates, the creation of arable land, and
w h e n they want to do this? After all, establishment of an industrial park to support a
we must not forget that true j growing number of micro-enterprises.
participation involves shifts in power The goal has been to move people from being
within communities themselves, and recipients of aid to small-scale entrepreneurs
between 'the people' and policy- i producing handicrafts and other enterprises. At
making & resource-holding ! Villa El Salvador, cultural values of solidarity have
institutions, and also within the I served as sources of self-esteem that has
structures of those institutions. ... A n d
produced a shift in residents' attitudes toward the
power is something we all like to hang
! |rest of society, themselves, and their families.
on to ... yet it might be necessary to
Source: Robert McNulty. 2005
let go off power a n d look at the
potential of participation.

W h e n we look at the meaning of the

w o r d participation, we find that it
literally means 'the activity of taking
part in something'. Of course one can
take part in many different w a y s , more
actively, or less actively. Participation
could, simply, mean listening, or
commenting, or following directives, it
could also mean active decision-
making and implementation. Let's look

At the very end of this Module you will find a few case-studies. One of them is on community-driven
development for land-use management planning: Land Use Management Planning: A community
dnven approach

84
Unit 4 Participation in development

at a brief history how development thinking

changed over time in it thinking about Definition of stakeholders
participation. In 1994, the World Bank defined
stakeholders as parties who either
affect or are affected by the World
In the 1970s popular participation and political Bank's actions and policies.
participation focused on how a larger number of Primary stakeholders are the poor
people could be persuaded in playing a role in and marginalized: those who lack
public decision-making. In reality, however, the information and power and are
role of the participants w a s that they were excluded from the development
consulted about policies, or that they were asked process.
to implement policies. The authorities decided on
Secondary stakeholders are NGOs,
the terms on which people participated! T h e
businesses and professional bodies
participants themselves had no say in this! This
with technical expertise and linkages to
form of participation w a s part of the early thinking
the primary stakeholders. The goal of
about development. Modernization (and what
participation was to reach and engage
c a m e after) was seen as a way to very gradually
primary stakeholders in ways that were
transform a traditionally isolated, subsistence
transformational, not instrumental.
driven Third World society into participants in a
Getting communities to decide on their
modern economy. First World countries and First
own priorities is transformational;
World organizations with power and resources
getting people to buy into a donor's
decided upon the goal, the terms and
project is instrumental.
participation processes. T h e assumption amongst
the development-givers was that people w e r e not Source: World Bank. 1994,
economically and politically active before The World Bank and Participation
development c a m e along. Of course, you and I
know better!

T h e development thinking that went with 'another development' w a s one of the first
major changes towards communities to determine their own development. Y o u will
recall h o w Paolo Freire, Steve Biko, a n d Gandhi thoughts about this (Unit 2).

Since the 1970s international N G O s (NNGOs) have argued that development should
generate self-sufficiency rather than depend on the top-down provision of services.

At the end of the 1980s a clear call for 'participatory development was heard. Five
hundred representatives of African grassroots organizations at the Arusha
conference in 1990, organized by the United Nations Economic Commission for
Africa (UNECA), called for popular participation and transformation. Twenty-nine
leading personalities of the Third World in that s a m e year called for 'making people
central to development through economic growth, good government, equity and
popular participation'. Since then, also the North has followed this trend. After much
debate the following definition of participation w a s agreed upon:
Participation is a process through which stakeholders influence a n d
share control over development initiatives, decisions and resources that
affect them.

Note that in this definition participation is linked to

development. When we begin to think about the participation
( / , ; / ; i i i i i i
meaning of participation, we have to took at why — — —
participation would be desirable. S o m e feel that
community) participation is a means to

vntat
4.4 Participation as transformation - Towards development
and beyond
Others (Amartya S e n amongst them) feel that participation is both the means and
more importantly a goal in itself to achieve sustainable development because it
opens up the future and enables the community (or group) to begin and maintain the
process of control its o w n future, its o w n development (transformational
participation). They see it as one of the essential freedoms that lead to the growing
31
of capabilities . Participation is a basic human right. So, it must be accepted that it is
as an e n d (goal) in itself and cannot merely used to produce a desirable
development project outcome. The need to think, to express oneself, to belong to a
group, to be recognised as a person, to be respected and have a say in crucial
decisions affecting one's life are as essential to the development of an individual,
32
groups and c o m m u n i t i e s as eating, drinking and sleeping. In other words,

Participation is not a fringe benefit that authorities may grant as a

concession but [it is] every human being's birthright that no authority
may deny or prevent (Diaz-Bordenave, 1983:3)

participation

Participation as
an end

In the figure below we have tried to show you the influence of successful
participation. Of course, community participation leads to a more successful
development project. But if we see participation as much more than a means, it will
also have many other consequences. Participation will mean that people become
more aware of their power, knowledge a n d expertise and this will have a positive
influence on sustainable development. But this is not all. W h e n people become more
aware of their power, this nearly always leads to greater participation, and this will
mean that people begin to play a much more active role in their community, in their
country. If they were a marginalized group, they now gradually become full citizens.
This naturally means that they become less vulnerable. They can take a stand,
approach authorities, c o m e with different proposals etc.

As this happens, a community's assets grow, and also personal assets grow New
networks are made and new skills are acquired. People and groups will, do things
they never dreamed they could do. A n d . in the process this has a positive effect on

31
When people have the capabilities to do something, they have the ability, the qualities, and the
knowledge that are necessary to do it In other words, they can use all their assets (see sustainable
livelihood) to their potential.
32
In the module on conflict management (CPM 460) we will come back to these basic human needs.
 their livelihood strategies. With better social assets, individual assets, with a lower
vulnerability, it is easier to find a sustainable livelihood. A n d it does not stop here,
this process continues into the future.

4.5 Participation • Shifts of power

Whether participation is seen as a means or as an end, in both cases the power
relations between the m e m b e r s of t h e community as well as between the community
and the state and other institutions that have resources and power, will change. The
difference is h o w much more the local population is going to be e m p o w e r e d and
involved.

Activity 4.2
Go back to Unit 3 to the examples of the Lamoko community in the rainforest in the
DRC and the Olave community on the mountain in the Philippines. Comment on the
levels and kinds of participation in the development process:
1. W h o was the powerful party in the participation process in Lamoko. and who in
Olave?
2. W h a t w a s the end result in the two cases if we look at asset (capital) building,
empowerment processes and vulnerability? Give examples.
3. W a s participation used as a means or as an e n d in the two communities? W h y
are you saying this?
4 What is changing in the power relations within the community in Lamoko? A n d in
t h e case of Lamoko? What might change between the community and the
government in the case of Lamoko?

Below is a short reading text related to w h a t we discussed in the sections above.

THE DISTRIBUTION OF POWER:

LESSONS FOR NGOs AND GOVERNMENT FROM PARTICIPATORY APPROACHES TO DEVELOPMENT
A central theme in all community-based and community-driven approaches to development isj
:the relocation of power that was/is held by external agencies to communities. As a reaction!
;against mainstream approaches to development that marginalized the poor and powerless,)
participatory development work has pushed for change that transforms inequitable social:
;
relations, whether these are within a community or inherent in the relations the community has;
with external agencies. The challenge is to ensure that people on the margins are prioritised,|
.{and to ensure that participation is genuine and equitable, rather than passive, co-opted orj
jrestricted to the relatively powerful. In other words, power dynamics between different social
groups and in the community, and within the household (for example, between genders) are as;
Imuch a part of the agenda of participatory approaches as power relations between the!
!communityandexternalinstitutions.
! In recent years, critics have argued, participatory development has become more and more
part of the mainstream of international development practice, mostly because it leads to
jefficiency rather than for the potential of a participatory approach resulting in social
transformation. The results of so-called participatory initiatives have therefore been mixed.
! Looking at the relations between the community and external institutions, NGOs and
Igovemment agencies have often set the terms of community engagement, thereby limiting it
sometimes to consultation rather than community decision-making.

87
Although there is often an assumption of evolutionary stages towards decision-making and
self-mobilization, experience suggests that NGO (and government) involvement can often stifle
(stop) that progression; thus, less direct involvement from the outside might have greater;
chance of success.

One of the challenges is to identify a legitimate role for external agencies in community
development so that control over development stays within the communities themselves, but in
a climate where inclusive participation is encouraged,

Existing associations and networks (whether formal or informal) are assumed to be the source
of constructive energy in the community. Some NGOs might argue, however, that capacity
building in the participatory methodology is more effective if people are not constrained by
cultural norms and practices that are undemocratic or non-egalitarian. For this reason they
might advocate that new community-based organizations should be formed rather than
building on existing associations that might prejudice the interests of less powerful members
(women, marginalized groups in the community). The challenge of encouraging inclusive
participation, which may at times be at odds with "leading by stepping back," is therefore one
with which NGO's and government agencies will have to wrestle as community-driven
development unfolds.

Community-driven development stands to gain from the rich resource of tools and methods
igenerated by participatory development practice. A wealth of literature on women's:
empowerment and on the transformation of gender relations for participatory development is:
! particularly noteworthy. The literature also records extensive experience of scaling-up
1
participatory approaches at the local level to regional and national decision-making systems,
which can be used to create linkages between associations at the community level and
regional and national institutions. (Abridged)

Source: Alison Mathie & Gord Cunningham, 2002, Coady International Institute, St. Francis
Xavier University, Canada

Activity 4.3
1 In the first paragraph of the reading text the main focuses of community-
driven/managed approaches to development are mentioned. W h a t are they?
What are the aims of these approaches to development?
2 Why. do some critics say that participatory approaches a r e used by external
agencies community development? Is this participation as a means or
participation as an end?
3 Why would less direct involvement from outside the community in a participation
process be better? Do you agree? What are your reasons for agreeing or not
agreeing?
4 What is your opinion on the view of some N G O s that capacity building in the
participatory methodology is more effective if people are not constrained by
cultural norms and practices [in the community] that are undemocratic or non-
egalitarian. Do you know of cultural norms a n d practices that are undemocratic or
:
non-egalitarian? If y o u look at participation as a characteristic of democracy and
as a freedom that leads to the future, how can a community deal with this 'clash'
(if there is one)?

Civil society and participation

In Unit 2 we looked at the role of civil society. We looked at N N G O s and S N G O s . We
mentioned that civil society groups can have many different goals. It includes
development NGOs, churches, people's movements, trade unions, village
organizations, advocacy groups, media groups a n d many other actors. In its

ss
 Unit 4 Participation in development

activities, civil society has a wide range of social and economic roles including
service delivery, cooperative social and economic activity, advocacy, protection of
the public interest, a n d public education. Civil society is thus the vehicle for active
citizenship a n d a strong democracy. Civil society only functions well in an
environment w h e r e the basic rights of freedom of association and information are
accepted, and w h e r e there is a rule of law. A strong civil society is needed for
ongoing promotion of accountable governance at local, national, and international
levels, and for stimulating participatory decision-making for development. At the local
level, participatory decision-making depends on (i) enhancing the capacities of
people w h o previously were excluded from decision-making, and (ii) on creating the
institutional mechanisms for their voices to be heard. This is the reason that the
33
strengthening of civil society is often complementary to government
decentralization and participatory governance.

Important functions of civil society

: • Nurturing of social a n d economic assets that exist in e v e n the poorest communities
| • A d v o c a t i n g for, and holding governments accountable for, the redistribution of more
concrete assets through redistribution of land, employment opportunities, public
facilities and services to which the one billion absolute poor in the world are entitled
• Generate processes that enable people to bargain, negotiate and advance their
interests which will leads to 'self-belief, human ingenuity, and independence of
thought'

Source: Edwards (1999)

Activity 4.4
1. Make an inventory of the civil society groups in your community or
neighbourhood. List their names, and their goals.
2. How does the national and local government regard civil society: as assets, or as
meddlers, or as something else? Explain why this is so.
3. What is your government's view on participatory governance? A n d h o w d o e s this
link in with the African Peer Review Mechanism (APRM)?

4.7 Asset-Based Community Development (ABCD) - A

strategy for community-driven & managed development
Below is an (abbreviated) article on Asset-Based Community Development (ABCD).
You will find that it combines many aspects that you are now familiar with from the
Sustainable Livelihoods (SL) approach and issues in participatory planning. Read it
carefully a n d answer the questions that follow.

FROM CLE I NTS TO CITIZENS: ASSET-BASED COMMUNT IY DEVELOPMENT AS A STRATEGY FOR

COMMUNITY-DRIVEN DEVELOPMENT
Asset-Based Community Development (ABCD) is an innovative strategy for community-driven j
development in both urban neighbourhoods and rural communities. It is very different from the j
needs-based approach to community development that often forms the basis for service \
delivery by government and NGOs. ABCD emphasizes that communities can drive the
development process themselves. They can do this by identifying and mobilising existing (but
often unrecognised) assets. And when they do this they can respond to local economic
opportunities and create new local economic opportunities.

When two things are complementary to each other, they are different from each other but make a
good combination

89
Unit 4 Participation in development

; ABCD draws attention to human and social assets: the gifts and talents of individuals, and the j
social relationships that give energy to local associations and informal networks.

An overview of Asset-Based Community Development (ABCD)

ABCD counteracts the needs-based approach to development. In a needs-based approach,
well-meant efforts of universities, donor agencies and governments have created needs j
surveys, have analysed problems, and identified solutions to meet the needs that came up in
the surveys. As this happens, a one-sided negative view is presented that only focuses on
problems. This has often had a negative influence on community capacity building, rather than j
that it assisted in community capacity building. If development is based on needs only, the |
consequences can be 'devastating'.

; Community leaders may find that the best way to attract resources from outside is to play up |
1
the severity of problems, and so ask for assistance. After all, local leadership is more often
judged on how many resources are attracted to the community, than on how self-reliant the j
community has become. Another consequence of a strong focus on needs is that people in the |
communities begin to believe what their leaders are saying and begin to see themselves as j
deficient and incapable of taking charge of their lives and that of the community.

Not surprisingly, community members no longer act like 'citizens' who are in control of their j
lives; instead they begin to act like 'clients' or 'consumers of services' with no incentive to be
initiators or producers. Another consequence of the needs-based approach is that local groups j
begin to deal more with external institutions than with groups in their own community. This j
: strengthens the belief that 'only outside experts can provide real help' and it weakens the links
in the community. In a needs-based approach to development funding is made available to
alleviate particular needs rather than to find integrated approaches that will take into account
both needs and assets. This then often results in the breakdown of the community's own
I problem-solving capacities. To make matters worse, in a needs-based approach the bulk of the
funding goes to institutions that fulfil the needs rather than to institutions ones that call for j
community based initiatives.
1
In Building communities from the inside out, Kretzmann and McKnight (1993) describe an I
alternative approach. It is an approach that recognizes that it is the capacities of local people
\ and their associations that build powerful communities. The process of recognizing these j
capacities begins with the construction of a new lens through which communities can see their
j own strengths, assemble their strengths into new combinations, new structures of opportunity,
new sources of income and control, and new possibilities for production. This approach has j
| been called Asset-Based Community Development.
1
i Many communities have mobilised to take action for their economic and social development.
I For example, in Savannah, Georgia, neighbourhood redevelopment had been going on for
\ more than 25 years, initially through municipal agencies responding to problems identified in |
local neighbourhoods. Over time, however, municipal agencies decided to 'lead by stepping
back'; and communities shifted from being 'consumers of services' to 'designers of community
programs', and, finally 'producers of community development'. Communities build an inventory j
of their assets and are encouraged to see value in resources that would otherwise have been
ignored, unrecognised, or dismissed.

: These unrecognised resources include personal attributes and skills, and also the relationships
among people through social, kinship, or other networks and associations. When these
I networks are mobilised, formal institutional resources can be activated, such as local j
government, formal community-based organizations, and private enterprises.

90
 In fact, the key to ABCD is the power of local networks to drive the community development
process and to leverage additional support. Networks and associations are the vehicles j
through which all the community's assets can be identified and then connected to one another j
in ways that multiply their power and effectiveness.

Asset-Based Community Development can be understood as an approach, as a set of

methods for community mobilization, and as a strategy for community-based development.

ABCD as an approach
ABCD is based on the principle that the recognition of strengths, gifts, talents and assets of
\ individuals and communities is more likely to inspire positive action for change than an
exclusive focus on needs and problems would. (In ABCD terms: Seeing the glass half-empty)
34
Seeing the glass half-full as well as half empty is not to deny the real problems that a |
community faces, but to focus energy on how each and every member has contributed, and i
can continue to contribute, in meaningful ways to community development. Focusing on I
uncovering the merits of all members encourages a spirit of egalitarianism, even in societies |
that are hierarchical in structure and differentiated by culture, educational background and
gender.

At the core are associations and networks of community members, both formal and informal. |
They are engines of community action, a source of power and leadership; they are assets of j
the community.

ABCD is a set of methods

Accompanying this approach is a set of methods that have been used to inspire a community
to mobilise around a common vision or plan.

ABCD as a strategy
1
Finally, ABCD is a strategy for sustainable community-driven development. Beyond the j
mobilization of a particular community, ABCD is tries to find ways to link micro-assets to the |
macro environment. In other words, in ABCD attention is given to the boundaries and |
limitations of the community and how to position the community in relation to local institutions
; and in relation to the external economic environment to make their development sustainable.
(Abridged)

Source: Mathie A, Cunningham G (2002), From Clients to Citizens: Asset-Based Community

Development as a strategy for Community-Driven Development.

Activity 4.5
Y o u have read the article that describes briefly what Asset-Based Community
Development (ABCD) is about. The article contrasts A B C D with a needs-based
approach to development.
1. What, do you think, is a needs-based approach to community development?
2, In a needs-based approach, where d o e s the 'help' c o m e form?
3 W h y does a needs-based approach often not contribute to community capacity
building? What effect has a needs-based approach on empowerment?
4. If you look at community socio-economic development, what happens in your
country more: a needs-based approach or other approaches? Give examples
5. What c a n you see as links between A B C D a n d the sustainable livelihood
approach? What kinds of assets can the community build?

In ABCD terms, seeing the glass half-empty means that the focus is only on needs and problems,
on what a community lacks. Seeing the glass half-full means that the focus is on the assets and
possibilities, on what a community has.

91
 Willi t ranicipauon m aeveiopmem

6. Think of a situation that you know of w h e r e a community or a group in a

community is a 'consumer' of services; also think of an example w h e r e they are
'designers', a n d finally w h e r e they are 'producers' Describe these examples.
7. In your o w n words, what are the key elements of the A B C D approach, which
makes it different from a needs-based approach?
8. The w o r d 'asset' appears very frequently in this article. G i v e a definition of what
you think 'asset' means in A B C D
9. C a n you see a role for A B C D in development in your area? Explain.

Since A B C D combines many elements of Sustainable Livelihood (SL), participatory

planning processes and focuses on community driven & managed development
(CDD), we would like to look at how A B C D c a n be used in practice.

4.7 Doing ABCD

A B C D is an approach to community-driven development that is based on t h e
following principles:
• Appreciating and mobilising individual a n d community talents, skills and assets
(rather than focusing on problems a n d needs)
• Community-driven development rather than development that is driven by
external agencies

A B C D builds o n :

• Appreciative Inquiry (Al). Al identifies and analyses the community's past

successes. This strengthens people's confidence in their o w n capacities a n d
inspires them to take action.
• The recognition of s o c i a l c a p i t a l and its importance as an asset. This is why
A B C D focuses on the power of associations and informal linkages within the
tcmmuTAty, \Vfe retefttoTfch\f& t>u\\\ omsk covwrwYYty
betoken assoctefoons
and external institutions
• Participatory approaches to development, which are based on principles of
empowerment and ownership of the development process
• Community economic development models that stress the importance of
collaborative efforts for economic development that makes best use of the
resource base.
• Efforts to strengthen civil society These efforts focus on how to engage
people as citizens (rather than as clients) in development, and how to m a k e local
governance more effective and responsive.

ABCD is a process of self-mobilisation and self-organising for change. Of

course, this is not new. Self-mobilisation and self-organisation has happened
35
spontaneously in many communities all over the world. However, if there is an
outside agency involved in the development process, s u c h as an N G O or
government institution or a private donor, then the challenge for this agency is to
stimulate the self-mobilisation and organisation process in the community without
creating dependency.

When something happens spontaneously, it happens because of processes from within, rather
than being directly caused by people or events outside.

92
Unit 4 Participation in development

Activity 4.6
1. W h y is it important to make sure that (groups in) the community do not b e c o m e
dependent on an external (outside) agency? What might happen if they did?

2. Think of s o m e w a y s how an external agency can prevent that dependency is

created.

If you think about genuine participation, you can only conclude that it is impossible
for an outside agency to be involved in self-mobilisation of a community! This is a
contradiction in itself! Yet, this is the aim in order to get to a situation w h e r e the
community drives a n d manages its own development. It must be clear to you that
any outside agency must be very careful in the methods that a r e used in A B C D , or in
any participatory process. A B C D has a particular method, but it is important that you
understand that this is not a blueprint. The method is actually a set of guidelines for
achieving community-driven development. How things are done precisely, varies
from community to community.

The steps in the ABCD process

T h e steps in the A B C D process are:
1. (a) Collecting stories about community successes
(b) Identifying the capacities of communities that contributed to successes
2. Organizing a core group to carry the process forward
3. Mapping completely the capacities a n d assets of individuals, associations, and
local institutions
4. Building relationships a m o n g local assets for mutually beneficial problem-solving
within t h e community.
Mobilizing the community's assets fully for economic development and information
sharing purposes
5. Convening as broadly a representative group as possible for the purposes of
building a community vision a n d plan
6. Leveraging activities, investments and resources from outside the community to
support asset-based, locally defined development

The ABCD steps in detail

Let's discuss the steps in s o m e detail.

1. Collecting stories about community successes & identifying the capacities of

communities that contributed to successes

Often a community that feels marginalized and poor does not have a great deal of
confidence in the future, and in is o w n abilities to create that future. So, to begin
building the community's confidence, informal discussions and interviews are
held. These draw out people's experience of successful activities and projects
that took place in the community a n d link these with the gifts, skills, talents and
assets people have. Not only does this uncover assets that people have not
recognised before, but it also strengthens people's pride in their achievements. This
celebration of achievement and realisation of what talents and assets community
m e m b e r s have to contribute, builds confidence in their abilities to be producers, not
recipients, of development.

2. Organising a Core Group to carry the process forward

In the process of collecting stories, particular people will emerge as leaders in the
community. T h e s e are often people who have shown commitment and leadership in
the past or who are currently taking a leadership role. The next step is to organise a
group of such committed individuals w h o are interested in exploring further the

93
Unit 4 Participation in development

community's assets a n d w h o are willing to act on the opportunities that are identified.
They are the Core Group Naturally, each of these individuals has his/her own
network of relationships inside the community w h o m they can draw into the process.
Each of these individuals will also have a personal interest - something that
motivates her/him to at.
3. Mapping completely the capacities and assets of individuals, associations, and
local institutions

Mapping is more than just gathering data (facts). It is very important that community
members and their associations/networks do the asset mapping themselves so that
they themselves build new relationships, learn more about the contributions and
talents of other community members, and identify potential links between different
assets. A reminder: W h e n we mention assets, think of the assets (capital) as in SL
(Unit 3) Let's break the mapping process down in its parts.

(i) Identifying associations

The starting point of this exercise is to identify associations in the community.
Associations are relationships, and they are the engines of community action, but
they are often not recognised as such. They are, therefore, essential as assets. One
way to map associations is to start with the Core Group and ask them what
associations and informal g r o u p s they belong to. Once these have been listed, ask
the Core Group to expand the list to include associations they know about. This
longer list of associations can then be clustered by type of association and in terms
of those associations that most likely want to work together for a c o m m o n purpose.
In the process of identifying associations, the list of leaders in the community also
expands.

(ii) Identifying individual gifts, skills, and capacities

There are many ways of trying to get people to tell of their individual gifts, skills and
capacities. The important thing is to make sure that this is not just a data gathering
exercise, but a w a y in which people feel that their abilities and contributions are
appreciated. Eventually a 'capacity inventory' is developed, listing these capacities in
categories such as 'community-building skills', 'enterprise skills', 'teaching skills',
'artistic skills', etc. A simpler w a y might be to divide the skills into skills of the heart,
head, and hand
(Hi) Identifying the assets of local institutions
W h e n we identify assets of local institutions, this includes government agencies, civil
society groups (NGOs, CBOs, trade unions, churches, local media, etc.) and private
sector businesses. T h e assets that these institutions have, might, for instance, be
the services and programmes they provide, the meeting places they offer, the
organisational experience they have, the equipment and other supplies they may
have, or the communication links (internet & email) they may have. They also have
paid or unpaid staff, w h o may be important links in the community

(iv) Identifying physical assets and natural resources

When we identify physical assets and natural resources we list assets such as land,
water, mineral or other resources. W h e n we look at physical resources, we look at
roads, water systems (irrigation a n d domestic), waste manage systems, clinics,
schools, church buildings, electricity, etc.
We must then identify the assets and resources that are communally owned and
managed, those that are individually owned and managed, those that are available
but owned and managed by an outside agency, for instance the local government or
another institution.

(v) Mapping the local economy

This exercise helps people in the community understand h o w the local economy
works, showing h o w well local resources are maximised for local economic benefit.

91
Unit 4 Participation in development

One of the important questions is: Are

products and services imported that
could be produced locally?
4. Building relationships among local
associations (local assets) for
mutually beneficial problem-solving
within the community

O n c e associations are identified, they

are encouraged to engage in the
participation process by appealing to
their interests, finding c o m m o n ground
and ensuring that they are contributing
on their o w n terms. Eventually, an
"association of associations" emerges. One process that works very well to create a
This umbrella organisation of common vision and plan, and begin working on
associations c a n become a platform concrete tasks and activities, is Future Search.
for c o m m o n vision, problem-solving,
and, at a later stage, for the promotion Note: In Year 2 of the public management
and support of capacity building, programme, an entire module focuses on Future
linkages with external actors, etc. Search. It will look in-depth at the principles of
participatory processes and particularly at Future
5. Mobilizing the community's assets Search. This also involves practical training in the
fully for economic development and facilitation of Future Search.
information sharing purposes

The process continues with ongoing mobilisation of community assets for economic
development a n d information sharing. This is initiated by the (association of)
associations.
6. Convening a broad representative group for the purposes of building a community
vision and plan

During this part of the process, assets are matched with opportunities around an
"organising theme", that is a particular vision for community development. How is this
process managed? It is important that the representative group that is convened
reflects the energy that has been identified at the level of the associations.
Institutions take a back seat role, leaving decision-making to those w h o have been
identified as leaders in the community with key links to associations a n d networks.

After a c o m m o n vision has been set, an activity (or more activities) is selected within
the theme that the community can begin to work on right away. The activity needs to:
-> Be a very concrete activity, so that people know what to do to succeed, and what
success will look like.
-> Start immediately
-> Be achievable with community resources
-» Be unifying so that it brings people together
-> Strengthen the assets that people have, such as using and valuing people's skills
and experiences (people's skills are used and valued)
7. Leveraging activities, investments and resources from outside the community to
support asset-based, locally defined development

The process of realising the community vision begins with associations asking
themselves 'What can we do to make this vision happen?' Often local initiatives fail
because people begin to depend too soon on external resources (donor funding)
before they have used local resources to the fullest. This makes them very
dependent.

95
Unit 4 Participation in development

External resources must not be tapped until local resources have been utilised. This
puts the community in a position of strength in dealing with outside institutions.

A B C D is a very powerful and sound approach to participatory development. On the

o n e hand it leaves the development process in the hands of t h e primary
stakeholders and works from their assets. At the same time it defines a role for
N G O s (and other development agencies) without interfering with the local
community. Yet there are challenges for A B C D . In the text below they have been
listed.

Note: In the last Unit of this Module we will look at research in development and the
A B C D approach will c o m e back.

CHALLENGES FOR A B C D
There are a number of questions and challenges in ABCD that need attention. In brief these
are:
• Promoting an internally-driven process: One of the key principles of ABCD is that it
should be a community-driven process. What then should be the role of the external
agency? Clearly the role in the initial stages is as facilitator of a process, and as one node
in a widening network of connections that the community may have with other actors. The
challenge is to avoid a level of involvement that can cause dependency of the community
on the external agency.

• Promoting inclusive participation: While ABCD is, in principle, an inclusive process in

which the contributions of all are valued and appreciated, this may be more challenging in
communities where social/cultural hierarchy marginalizes some groups. A particular
concern are the opportunities for women and groups that are regarded as 'outcast'
(politically, socially, religiously, gender-based). How ABCD unfolds in different settings will
therefore depend on how compatible existing norms and cultural practices are with the
principles and values of ABCD.

• Promoting community leadership: Because ABCD is community-driven, and the role of

the external agency is 'from a distance', leadership to sustain an asset-based approach like
ABCD becomes a central issue. As it unfolds in different settings, it will be important to
learn about the qualities of leadership. Is it, for example, an individual or a group of
individuals? Is leadership formalised, or are people called upon to be a leader by individuals
or groups at certain times? What kind of associations nurtures the best community leaders?

• Selecting enabling environments: The external environment will influence the capacity of
communities to realize their potential. How fair and responsive government institutions and
other formal local institutions are, and how much groups trust each other outside their own
immediate circle, are important for the introduction of ABCD. If it turns out that the
environment is not enabling, that groups have a basic distrust of each other, it is important
to explore whether an ABCD approach might be an option for identifying and creating
openings in this otherwise hindering environment.
26
• Handling the fluidity of associations: Over time, as social and economic circumstances |
change, also the form and function of associations and informal networks will change.
Users of an ABCD strategy need to know how associations have developed and changed
historically. They must also be aware of the effect of the ABCD process on social
relationships and on associations and networks. Sometimes associations can become:

36
Fluidity has to do with the fact that things change and recombine because the context, the situation
changes. For instance, businesses, organisations and associations may stop existing, or they
recombine in new organisations and businesses.

96
 unit 4 participation in development

powerful and they institutionalise themselves. Within an ABCD strategy it is then necessary
to assess whether institutionalisation hinder asset-based community development, or will
new forms of associations emerge?

Activity 4.6
W h a t do you think is meant when associations 'institutionalise' themselves? W h a t
would be bad, or g o o d , about this? Do you know of examples?

4.8 Community Public Private Partnerships (CPPPs)

More and more, development strategies bring together players from within and
outside the community and from various sectors - government, business, and civil
society. Indeed, an awareness is growing that to make economic development
sustainable partnerships may h a v e to be developed that go across groups in society,
although, as we saw in the previous section on A B C D , this has to be done with
caution. It has been accepted that no one sector can do it alone, not government, not
business, not civil society. This means people and organizations (institutions) are
forced to work together in ways that, in the beginning, may seem alien to t h e m .

Partnerships between the community, government (public sector) a n d business

(private sector) are often called Public-Private Partnerships (PPPs). If we continue to
think in terms of assets (capital), it is clear that both government and the business
sector generally have a great deal of economic/financial a n d physical, and
institutional capital (assets), while communities generally have an abundance of
human, social, and informal institutional capital, a n d often natural assets as well.
3
Therefore, a partnership between these three sectors, whereby equitable '
community participation in the partnership is the norm could well be a way forward. A
partnership between these T H R E E p a r t n e r s should therefore make up a
Community-Public-Private Partnership (CPPP) that makes sure that true participation
(of the community, but also of the other two partners) as tool for empowerment and
transformation is a main characteristic of such a partnership.

A primary ingredient of this n e w mix of talents and voices is trust. Without trust
partnerships struggle and may fail. Each participant, a n d , particularly, the m e m b e r s
of the community, must feel that the other partners are playing according to agreed
rules and say what they mean. W h e r e government, civil society and business have
obligations to act according to principles of transparency a n d accountability,
communities must commit themselves to inclusiveness and equity. This means that
participation must extend to traditionally weak and voiceless members: t h e young,
w o m e n , the elderly, and the disabled. The challenge of community-public-private
partnerships is to o v e r c o m e rivalries, stereotypes, and prejudices, to find a c o m m o n
language of dialogue, and to focus on a vision that offers mutual benefits in a win-
win situation. No one sector can produce sustainability alone. T h e integrated and
complex nature of contemporary society demands that partnerships a r e formed in
which flexibility, inclusiveness and openness are the main values.

In the section of this Module on Case Studies, you will find a case study from
Khayelitsa (South Africa) on a Community-Public-Private Partnership. The text below
talks about Public Private Partnerships f r o m the point of view of a business. It is
followed by some questions.

When participation is equitable, it means that it is fair, that parties have an equal share in the process.

97
Unit 4 Participation in development

PUBLIC PRIVATE PARTNERSHIPS

Public-private partnerships can range from privatization of state-owned enterprises to:
traditional involvement of companies carrying out humanitarian aid. We focus on a narrower
set of arrangements in which businesses, government and civil society come together t o :

address a country's social and economic development needs in such areas as education,
health and micro-enterprise.

Typically, these types of partnerships can be placed under one of four categories:
- Advocacy
- Developing norms and standards
- Sharing and coordinating resources and expertise
- Harnessing markets for development

In advocacy, a public-private partnership advances a cause or highlights an issue for

consideration. Illiteracy, poverty, and poor health care are examples of causes for advocacy
work. In developing norms and standards, the partnership establishes codes of conduct and
standards for companies doing business. Such codes provide a frame of reference for defining
acceptable behaviour. In sharing and coordinating resources and expertise, the partnership
contributes to key development issues by sharing resources and expertise from different
sectors. Through knowledge generation and dissemination, the partnership helps build
capacity in developing countries. In harnessing markets for development the partnership
supports the development and expansion of sustainable markets, access to local production
networks or provides incentives for businesses to invest in non-traditional markets. A very
important aspect of some partnerships is that they provide small businesses in developing
countries access to consumers in the industrialized world.

A successful partnership depends on the engagement and coordination of participants from

different sectors. Some partnerships are based on formal, legally binding contracts. Others are
based on non-contractual agreements, such as a memorandum of understanding. In a
contractual partnership the focus is on meeting the terms of the contract. In a non-contractual
partnership the focus is on building trust and working in cooperation with other partners' needs
and motivations. This last type of partnership requires greater patience and understanding.

Company (business) Civil sector Government

Fmancial & Accounting & Local knowledge (assets) Strategic coordination
Marketing Skills independence (assets) Regulatory powers
Training expertise Commitment to the community Expenditure budgets
Project Management Skills Holistic vision
Longevity of local presence
Distribution networks Countrywide development goals
Product Research & Local development goals
Development

Development Goals
Civil sector •Business (private)
International development
^objectives
goals
National (public) ;New business investments
Millennium Development
development goals & opportunities
Goals
Economic investment ; Effective social,
International treaties
stimulation I environmental & financial
Enhanced environmental and
Good governance : risk management
social standards (human
'•:, Millennium Dev. Goals I Higher worker productivity
International treaties Local development goals & staff retention
Local development goals ; Procurement reliability & .
Sustainable economic » lower supplier costs''
development

98
Unit 4 Participation in development

Types of Partnerships

Although the term 'public-private partnership' commonly refers to voluntary alliances between j
the private and public sectors, the partnership often includes a third sector—the civil sector of;
non-governmental organizations, or directly, representation of the community. Hence, two{
I sectors or three sectors may come together for partnership projects. Once the partnership is!
{formed, the success of the partnership project relies on the strength of the alliance and the!
{competencies that are brought to the project. Private companies bring financial resources,
project and management skills, and quality control. The civil sector brings local knowledge,
commitment to the community, and longevity of local presence. The public sector brings
regulatory powers, strategic coordination, expenditure budgets and a holistic vision of the
project, within the context of community and countrywide development goals. In the figure we;
{have attempted to depict visually each sector's core competencies and how combining these!
{competencies meets both business and development goals (a win-win situation). (Abridged)

Source www.ced.org/docs/2006usaid_partnership.pdf

Activity 4.7
By now, you have read and thought quite a bit on sustainable livelihood,
transformation and shifts of power, participation in development, and A B C D .

1. In the text above, which partner(s) gain(s) most from this partnership?
2. The text talks about advocacy, acceptable behaviour in business, sharing
resources and expertise, and the development and expansion of markets. From
where you stand now. and from what you have learned, w h a t would you change
or add in this piece of writing if you think about a Community-Public-Private
Partnership for Development?
3. What would you change or add in the figure?

The last topic in this Unit deals with a specific asset-based a n d livelihood approach
that focuses on the management of natural resources (natural assets) by
communities.

4.9 Community-based natural resource management (CBNRM)

-An example from Zambia
T h e text that follows describes a C B N R M approach as it is followed in Zambia. It is
an abridged version of a longer text. Y o u can find the longer text on the website
www.africancolleqe.edu.zm. The text focuses on the establishment of an
Administrative Management Design (ADMADE) for G a m e management areas
(GMAs) that c a n also be used in other contexts of natural resource management.
We ask you to read the text and look at it through the lenses of:

1. Sustainable livelihood
2. Participation (empowerment and transformation)
3. Asset-based community development
4. Community-public-private partnerships

COMMUNITY-BASED NATURAL RESOURCE MANAGEMENT ( C B N R M ) IN ZAMBIA

In Zambia, average income is less than US$1 a day and 86% of the population lives below the
poverty line. AIDS infection rate is among the highest in Africa, health care is ranked among
the iowest in the world, and education is not far behind. If you were without food or medicine
and were desperate to support your family, would you care about something called " nature
conservation"? Would you care about wildlife ten years from now?

99
Unit 4 Participation in development

i Most likely you would try to find the easiest source of food or income to assist you. In rural
i Zambia with its vast, relatively unspoiled wildlands, this source is often wildlife. In order for
rural Zambia to accept the concept of conservation, basic human needs (poverty & hunger)
MUST be met first.

Coping with poverty and hunger translates into many forms of environmental degradation,
including the decimation of wildlife. Environmental degradation of communal land often occurs
when human pressures exceed the limitations of the resources. For many years, authorities
; believed that law enforcement was the best way to achieve nature conservation. It has
: become clear that instead of over-reliance on law enforcement, it might be more sustainable to
: use approaches that are based on better understanding and involvement of communities.
I Zambia has responded to this challenge by seeking leadership and solutions from rural
I communities through a process known as community-based natural resource management, or
| CBNRM.

j The CBNRM process attempts to strengthen the link Facts about rural Zambia:
| between resource management and improved rural Household annua! income in many
! livelihoods. It provides an incentive for communities to communities is less than $140.
2 5 0 % o{
I conserve resources to sustain their own development °- community members
| needs. CBNRM is also a process that requires
care
^^^J^L^^^if.
which limits a c c e s s to family
democratically elected local institutions to facilitate
planning : and disease prevention
solutions to development challenges that have been
products.;
identified by community residents themselves. These 2 f > i % of children in rural areas fail
j institutions are also expected to regulate human activities complete primary school because
t0

j to ensure that these solutions are achievable. they cannot afford school fees

j Community life is the very fabric and soul for people living !
| in Zambia's rural areas. Thus, problems affecting an
j individual's standard of living, whether this is food security, clean water, education, or health
! care, are often experienced as a community. In areas that can support wildlife, poverty and
| hunger are the two most critical aspects that have a negative impact on communities' ability
j and desire to preserve wildlife.

i Zambia's experience in developing its CBNRM program is limited to about 12 years. During
\ this short history, mistakes were made and the results did not always reach expectations. By
remaining adaptive and experimental, however, we were able to apply important lessons. The
Government of Zambia is very committed to the CBNRM process, not just because it makes
conservation more feasible and affordable, but also because it offers communities a chance to
benefit from well-managed uses of natural resources, and it encourages communities to
develop leadership and governance skills to solve their own livelihood needs without over-
| reliance on the government. CBNRM is rooted in this understanding and promotes ways that
i households can express their needs through leadership structures that are democratic and
| participatory.

Goals of CBNRM/ADMADE
! Poverty reduction: to increase food security and household income
Democratic leadership: to harmonise relations within local leadership for a stronger j
community organization
Transparency: to improve leadership skills in managing wildlife revenues & strengthen j
community capacity to develop and manage budgets
Cooperation: to improve cooperation and communication between NGOs and ZAWA/African |
College (education institution)

100
Unit 4 Participation in development

Information: to develop databases on wildlife populations through methods that local residents
can use

Improved links with government institutions: (i) to improve government support and
recognition of CBNRM, (ii) to conduct research and making link between community needs and
government policy needs.
Making conservation work-
Individuals from the community are the foundation of the CBNRM approach
A main feature of CBNRM is the level of community organization that provides community
members the opportunity to overcome many causes of rural poverty. Through training,
households are educated on how to form groups composed of people who live together in the
same area and share similar needs and interests. Through these groups and with livelihood
skills training, group members embark on improved ways of increasing personal income or j
: household food production. These groups are then represented in their local Village Area \
\ Group (VAG) committee, which receives and distributes wildlife income for projects in support \
\ of community needs. And so, these groups are able to request loans or grants for particular
projects that can help support the start-up costs of their activities. Through this approach,
households show increased cooperation with community-led efforts to manage and protect
natural resources.

The CBNRM community organization requires decision-making to be participatory. No member

I of the community is excluded and elected leaders to facilitate CBNRM are held accountable by
\ their electorate. The Zambian experience has shown that community organization requires a
structured leadership that is well defined and encourages active participation by all residents.

By opening up the process of decision-making and accountability of actions to all, the

community as a whole becomes more unified in resolving problems that affect the welfare of
the community.

The ADMADE (administrative management design) Unit

This can, for instance, be a wildlife production unit or a game management area. It is made up j
i of community, government and private membership. For the first time in Zambia, Government,
private sector, and communities work as strategic partners in natural resource management.

Community membership in ADMADE

Village Area Group Committee (VAG) Members are (i) elected officers, (ii) representatives
of household groups needing to improve living standards, (iii) people co-opted because of i
special interest in natural resources and or skills in community development.

Key community leaders are elected based on educational standards and proven performance.
| A structured leadership system engages active participation by residents and establishes a I
: framework for assessing its own efforts. Communities are required to ratify and develop their
own constitutions, formalizing the CBNRM structure and ensuring investment in rural
development meets the expressed needs of local resident households.

The VAG is important for involving individuals at the village level in supporting resource
management, community participation and benefit sharing under the ADMADE policy. VAG is
also the unit for deciding how to support community needs from their wildlife revenue shares.
\ All the VAGs in a Unit are supported by technical committees for Financial Management,
Community Development, and Resource Management, (i) Financial Management Committee
consists of elected representatives from each VAG, members are trained to advise VAG
committees on how to budget and prepare financial reports. _____

101
4 Participation in development

They also assist in carrying out routine audits of VAG Example of an ADMADE constitution
accounts and report any anomalies to the CRB, (ii)
Community Development Committee consists of We, the local residents, living on
elected representatives from each VAG, and they communal lands endowed with
provide technical stewardship for designing and • natural resources and serving our
implementing projects at the VAG level. As technical ;•; communities as elected ADMADE
advisors to the household groups, they help plan leaders, do declare our complete
projects and advise on how best to invest funds for commitment and resolve to:
VAG development activities, (iii) Resource
Management Committee consists of elected A. achieve total food security in our
representatives from village area groups to evaluate community and thereby remove
the work of CRB-employed village scouts and to help the need for residents to destroy
formulate land use plans, resource management wildlife resources as a way of
budget, and hunting quotas for the Community meeting food shortages,
Resource Boards. These three management
committees report to and advise the Community B. provide economic alternatives for
Resource Board on VAG activities pertaining to these those people who represent the
issues. greatest threat and cost to our
wildlife-based industries,
Community Resource Boards (CRBs): The overall <
leadership is invested in democratically elected C. provide improved health care and
Community Resource Boards (CRBs) made up of thereby remove the need for large
representatives of VAGs in the community. Members families that increase risks of
of the CRBs are among the most educated and malnutrition and poor education to
respected people in the community. CRBs work our children,
closely with the VAGs to develop and implement land
use plans to help reduce or avoid land use conflicts D. develop the full economic
with their natural resources. They are the single potential of our wildlife resources
management authority for wildlife resources in their through sound conservation and
area. They also promote private sector partnerships management practices,
with the community and help create opportunities for
employment and market linkages. As the highest : E. keep community funds free of any
local authority presiding over the VAGs, they also fraudulent use and allow full
provide guidance for promoting good leadership at transparency of their use for
the VAG level. community development and
resource management, and
Traditional Leadership: Traditional rulers are
recognized as integral and important parts of African F. show respect to our traditional
culture and are also fully involved in the ADMADE rulers for continued harmony and
program as Patrons to the CRBs. In their capacity as cooperation in achieving an
Patrons, they assist the CRBs by resolving conflicts, improved standard of living
encouraging improved land uses, and promoting through the ADMADE
improved livelihoods for community residents. programme.

Government membership in ADMADE

V/7/age scouts: Young adults recruited and employed by the community to police resources,
monitor use, protect crops from wildlife and improve public awareness about CBNRM. Over
650 are in service throughout the country. Although they are employed by the CRB and
answerable to local management authority, they are also answerable to the Zambia Wildlife
Authority (ZAWA), a government instrument, and are therefore considered an auxiliary staff of
Government appointed to protect wildlife resources.

102
Unit 4 Participation in development

Unit Leader: The ZAWA officer resident in the community who facilitates local participation
and leadership in wildlife management.

Private membership in AMADE

The Wildlife Unit or Game Management Area makes income through safari hunting
partnerships with local businesses.

What emerges from CBNRM?

A unified approach towards managing natural resources and benefiting from these. For the
first time, Government and private sector are beginning to regard communities as a strategic
partner, and in so doing, are dramatically reducing the costs in delivering social benefits in
rural areas and in maintaining wildlands as viable investment opportunities in tourism.

A system of local governance not seen before in Zambia for managing natural resources:
effective use of local manpower (village scouts), local leaders who apply civic duty to a range
of important functions of resource management and community development, village based
committees that meet regularly, reinforcing the link between development and conservation.

Diversifying a community's income is now becoming possible as resource production levels

\ increase and households become better skilled in forming small group businesses. VAG and
CRB-level leadership promotes better linkages between these groups and private sector
partners, which opens up new markets and opportunities to reduce poverty as a prime cause
for illegal hunting in GMAs. (Abridged) Source: www.africancollege-edu.zm

Reflection
• Thinking back to the approaches to development that we have discussed, what
have you learned that w a s new? What surprised you? What excited you?

• A r e there any issues that you think might be difficult to deal with, particularly in
public management? W h a t are they? How could these challenges be dealt with?
If you are in public management, what does this mean for how you do your work?

4.10 Summary
In this Unit we discussed the role of participation in development and how the
thinking about this changed over time. This led to a discussion of participation and
community-driven development, where we also looked at the role of participation for
empowerment and transformation that goes beyond development projects towards
full democratic citizenship. Next we looked at Asset-based community development
(ABCD) as one method that increases the community's capabilities to empower
themselves both in terms of economic development and democracy, and in this way
create their own destiny. After this we looked at partnerships of the community with
government and business, so-called Community Public Private Partnerships
(CPPPs), which could - w h e n used well - be assets for development. We ended this
Unit with the discussion of a specific use of sustainable livelihood and A B C D , namely
Community-based natural resource management (CBNRM).

In the next Unit, the last in this Module, we will discuss rights-based approaches to
development, and we will look at urban renewal and integrated rural development as
examples of integrated development planning. We end the next Unit (and the
Module) with challenges for government in a complex developmental situation

103
 Unit 4 Participation in development

Self-assessment activity
| 1. Study the text on C B N R M in Zambia (if you have access to the internet, you may
want to look at the website www.africancollege.edu.zm as well).
| 2. Look up (i) sustainable livelihood (SL), (ii) Participation (iii) A B C D and (iv) CPPP.
j 3. Analyse what is written on C B N R M in Zambia and use SL, Participation, A B C D
j a n d C P P P to do so. Questions to help you: How much does C B N R M follow these
approaches? W h e r e is it different? W h y ? If you could change the C B N R M or any
I of the other approaches, what would, in your opinion, be the ideal approach?
Why?

Suggestions for further reading

On general participatory approaches a n d communication for development:

Melkote SR & Steeves HL, 2 0 0 1 , Communication for development in the Third World
n d
- Theory and practice for empowerment ( 2 edition). New Delhi, India: Sage
Publications.

Nelson N & W r i g h t s (eds), 1995, Power and participatory development. London,

UK: ITDG Publishing

Internet sources
Asset-based Community Development (ABCD) www. coad y. stfx. ca
Community Public Private Partnerships www.ced.org
Community Based Natural Resource Management www.cbnrm.bw
www.africancollege.edu.zm
Future Search www.fsn.org

104
 wm
I i * ? .'11* *T •

Topics
5.1 Introduction
5.2 Integrated Development Planning
5.3 A government-initiated Integrated Development Planning process
5.4 Public participation in an IDP process
5.5 Urbanisation
5.6 Urban growth - Housing the urban poor
5.7 Urban renewal
5.8 Rural development
5.9 Food security
5.10 Mainstreaming rural development
5.11 Conflicting interests and long term sustainability
5.12 Summary

Suggestions for further reading

Internet sources of information

5.1 Introduction
In this Unit, the last of this Module, we will discuss s o m e aspects of integrated
development. Integrated development has a close link with asset-based
development, and sustainable livelihood because the underlying theme is to 'do'
development in such a way that it is done with the community, that it makes sense to
the community, and that it can be used as an opportunity to develop further.
Integrated development also links with the notion of community-public-private
partnerships as a relationship that integrates different groups, and, so, can create
sustainability. From there we m o v e to urbanisation and urban renewal, a n d to rural
development. The idea of 'integration' will c o m e back there. We end the module by
discussing clashing interests between rural communities and their livelihoods, the
38
industrial mining of natural resources and the difficult and c o n t e s t e d roles of
government and civil society in this.

5.2 Integrated development planning

There are many definitions of integrated development. Before we go into them,
let's look at what integrated and integration means. The Cobuild Dictionary puts it
like this:
If you integrate one thing with another, or one thing integrates with
another, the first thing is combined with the second so that they b e c o m e
closely linked or form part of a whole idea or system.

Most descriptions of integrated development have in c o m m o n that they mention that

sustainable development cannot be built on a single focus, but it has to look at the
wider context of assets and needs, and base the development goals on this.

If you contest a statement or decision, or role you formally disagree with it because you think it is
wrong or unreasonable.

105
Unit 5 Integrated development, urbanisation & rural development

Activity 5.1
1. Look at the definition of integrate as the Cobuild Dictionary defines it and write
down in your o w n w o r d s what you think integrated development is.

2. W h a t are the aspects that, according to you, need to be integrated to achieve

sustainable development?

T h e route to integrated development is the integrated development planning

process, integrated planning is an approach to planning that involves an entire
area, municipality (district or province) and its citizens in finding the best solutions to
achieve good, sustainable, long-term development.

Activity 5.2
1. Based on your experience, think of a development programme, project or policy
that is not integrated.
2. Based on your experience, give an example of a development programme,
project or policy that is integrated.

The result of integrated development planning is the Integrated Development Plan

(IDP). This is a written plan for an area that gives an overall framework for
development. It aims to co-ordinate the work of local and other levels of government,
a n d also takes into account work done by non-government institutions and
organizations, and the private sector. It puts this in a coherent plan to improve the
quality of life for all the people living in an area. An IDP should take into account the
existing resources, conditions and problems in the area. The plan should look at
economic a n d social development for the area as a whole. It must set a framework
for how land should be used, what infrastructure and services are needed a n d how
the environment should be protected.

5.3 A government-initiated IDP process

In a number of countries the IDP process is part |
of law, and policies were designed on how local
and/or district and/or provincial government
should implement an IDP process. In the next
sections we will focus on a situation where the
government is mandated to lead the IDP process.

The reasons for allocating the developmental role

and the responsibility for integrated development
planning to local/district /provincial government, in
spite of its capacity limitations are:

• Its closeness to the communities and

residents, local places and conditions
• Local government is the appropriate place
from which to co-ordinate investment and the
activities of different sectors and actors in
terms of place and time.

In situations where the government initiates and

leads the IDP process, the IDP becomes the Nigeria: Local conditions and needs
main strategic planning instrument that guides
all planning, management, investment, development, and implementation decisions

106
Unit 5 Integrated development, urbanisation & rural development

and actions in the local (provincial) area a n d supersedes all other plans that guide
local/district/provincial development. It is one of the key tools for local/district/
provincial government to cope with its developmental role a n d is part of an
integrated system of planning and delivery In practical terms, the IDP process is
meant to reach decisions on issues such as budgets, land management, promotion
of local economic development a n d institutional transformation. It must do this in a
consultative, systematic and strategic manner.

Six good reasons for an IDP Process

There are many g o o d reasons for a local, district or provincial government to be
actively involved with an IDP process (of course they may be called by a different
name). Here are some of the most important reasons:
• Strengthening democracy
Through the active participation of all the important stakeholders, decisions are
made in a democratic a n d transparent manner.
• Effective use of scarce resources
The IDP will help the local/provincial government focus on the most important needs
of local communities taking into account the resources available at local level. T h e
local municipality must find the most cost-effective ways of providing services a n d
money will be spent on the causes of problems in local areas. For example, a
municipality may decide to allocate resources to building a canal that will prevent
homes being damaged during the flood season. This will reduce the financial burden
placed on the municipality's emergency services.

• Speeding up service delivery

The IDP identifies the areas that are least
serviced a n d the areas that are most
impoverished and points to where municipal
funds should be spent. Implementation is
made easier because the relevant
stakeholders have been part of the process.
T h e IDP provides mechanisms to ensure
that projects and programmes are efficiently
implemented. The IDP helps to develop
realistic project proposals based on the
availability of resources.

• Attracting of additional funds

Government departments and private Democratic Republic of Congo:
investors are willing to invest w h e n Challenges of service delivery - A clinic, no
municipalities have clear development medicine, no nurse, no doctor, many patients
plans.

• Overcoming poverty a n d segregation

Municipal resources are used to integrate rural and urban areas and to extend
services to the poor.

• Promoting co-ordination between local, provincial and national government

T h e different government levels are encouraged to work in a co-ordinated way to
tackle the development needs in a local area. E.g. the Department of Health plans to
build a clinic in an area. It has to check that the municipality can provide services like
water and sanitation for the effective functioning of the clinic.

If something is superseded by something else, it is replaced by this because it has become old-
fashioned or unacceptable.

107
Unit5 Integrated development, urbanisation & rural development

Activity 5.3
1. Have you or your community been involved in an IDP-like process? W h e n ?
2. If you or your community did, describe the participation processes that were used
and the short-term and long-term outcomes
3. W h o were identified as important or crucial stakeholders? What were the reasons
for this?
4. If you and your community were never involved in an IDP-like process, w h o , in
your opinion, might be the important stakeholders in such a process?
5. Do you think it is important to have these stakeholders taking part in the IDP
process? W h y ?

5.4 Public Participation in an IDP process

We mentioned a b o v e that the IDP process is good for democracy because all crucial
stakeholders take actively part in a democratic and transparent planning a n d
decision-making process.

Stakeholders
To get the most inclusive public participation in the IDP process, we have to ask:
W h o are the stakeholders in the IDP process? Below is a list of w h o are generally
thought to be important stakeholders and the reasons why this is so.

• Municipality (or District or Province)

The IDP guides the development plans of the local municipality.
• Councillors (or similar)
T h e IDP gives councillors an opportunity to make decisions based on the needs and
aspirations of their constituencies.
• Communities a n d other stakeholders
The IDP is based on community assets, needs and priorities. Communities must
participate in the IDP process to identify their assets and most important needs. The
IDP process must encourage all stakeholders w h o live and conduct business within
the area of the IDP to participate in the (i) preparation and (ii) implementation of the
development plan.
• National and provincial sector departments
Many government services are delivered by provincial and national government
departments at local level. Examples are police stations, clinics and schools. Local
government (e.g. municipalities) must take into account the programmes and policies
of these departments. This means that the national and provincial departments must
participate in the IDP process so that they can be guided how to use their resources
to address local needs and to give input from their perspective.

In previous Units we talked a lot about public participation in development

processes. If we go back to Unit 1, you will recall that lack of public participation was
one of the reasons why approaches to Another development c a m e into being. It was
a reaction to 'modernization' and 'stucturalist' approaches to development that did
not include the people for w h o m development was a matter of survival, for w h o m it
was the means to reduce severe poverty, and a way of being part of the mainstream
economy of a country. We also briefly discussed aspects of effective governance for
40
development in Unit 2, and in Units 3 and 4 we focused on the active role of

Module CPM 430 Introduction to good governance, ethics and leadership (Year 1 module) deals
with good governance in much more depth. The Year 2 Modules DPM 530 Public participatory
planning processes DPM 540 Managing information & knowledge in community development
projects & service delivery projects is very relevant in this.

108
Unit 5 Integrated development, urbanisation & rural development

communities in development, for instance through active participation in

transformation and empowerment and decision-making processes (sustainable
livelihoods and ABCD), and in partnerships with local government, the business
sector and others (CPPPs).

Strategy for public participation

The importance of public participation is often not fully understood. It happens that
local government (municipality, district, province) feel that it is are merely 'nice' to
listen to the general public, but that the
government will make the decisions. This is a COMMUNT IY PROTESTS: LACK OF COMMUN
TIY
very arrogant point of view and it robs the CONSULTAT
OIN N
I MERAFONG, SOUTH AFR
C
IA
community of fulfilment of the basic human
41
needs to be recognised, to be listened to,
and meaningfully responded to.

There have been situations where the local

government actually was afraid of the
community and decided to only involve them in
hearings. This is not participation, and it will
definitely lead to citizens being disappointed
and frustrated, sometimes even angry. More
and more local governments realise that
participation processes that are not taken
seriously, may lead to violent protests by
community members when they feel there w a s
a lack of consultation, and lack of service
delivery. In some instances this has led to
burning of local councillors' homes. This, of course cannot be condoned, but it s an
indication of the seriousness of public participation.

Self-mobilisation, including the

The participation ladder
design of the planning
Interaction, within a framework set by
the planning authority g
i—
Functional participation to achieve pre-set <
0 goals by the planning authority
o
a.

Being consulted upon the initiative of the planning i—

authority, but without sharing of information rt
<
Giving information and feed-back only on request of the a.
6 planning authority X
o
Being informed, listening, no possibilities for feed-back

True participation in a development process is one of the most difficult things to

achieve. Yet if we want development to be sustainable, it needs to be 'owned' by all
stakeholders involved. Therefore participation is a MUST and not a choice. The

41
Basic Human Needs will come back in Module CPM 460 (Conflict prevention and resolution in the
workplace - Communication skills), Module DPM 561 (Change & Conflict management for the
public sector) and Module BPM 661 (Mediation and negotiation skills).

109
Unit 5 Integrated development, urbanisation & rural development

42
model above, the participation ladder , shows different levels of participation.
Study the model and do the following activity.

Activity 5.4
1. Study the participation ladder and give examples from your experiences as a
participant or as an initiator of each of the levels in the ladder.
2. Which level is mostly used by you (or your organisation) when you are initiating
planning? W h y ?
3 At which level do most organisations understand and use participation?
4 At which level, in your opinion, should participation take place? Why?
5, Think of w a y s to involve stakeholders in the process.

in the box below there are some suggestions of ways to involve stakeholder groups.
Of course, there are other w a y s to involve stakeholder groups, but we will come back
43
to this in other m o d u l e s .

Possible ways to involve stakeholder groups

: Physical presence
| Stakeholders need to be present in meetings and be able to take part in a meaningful way. So
| active support may be necessary to make sure that stakeholders have access to information
! and can participate in an effective way. They may need additional training.
Direct representation by duly mandated representative
This can, for instance, be by the Mayor, NGO leaders, official representation of Traditional
Leadership, CBO leaders, etc. It is crucial that the actions and decisions on behalf of the given :
stakeholder group are accountable and legitimate,
Observer status by an independent expert
This could be an expert in a particular field. Such an expert does not represent the interests of I
:
a particular stakeholder group. This role can be performed by an external agency in the
: processes.
Review and commenting
"his can be done through, for example, open house, written submissions, public meetings or
other techniques that actively invite inputs from groups that do not directly take part in the
planning process.
Surveying needs and aspirations of key stakeholder groups
Such a survey must be done with great integrity. The outcomes must be channeled into the
planning process by e.g. a community organizer.

Source: UNEP, 2004. Integrated Assessment and Planning for Sustainable Development.
Guidelines for pilot projects \

To make a strategy for public participation official and formal, the Local Council (or
similar institution) must approve this strategy. The strategy must be clear, amongst
other things, o n :

Source: United Nations Environment Programme, 2004, Integrated Assessment and Planning for
Sustainable Development. Guidelines for pilot projects. Washington, USA; United Nations.
Modules 530 (Public participation processes) and 540 (Managing information and knowledge in
community development projects and service delivery projects) focus on this. They are both Year 2
Modules.

110
Unit 5 Integrated development, urbanisation & rural development

• The roles of the different stakeholders during the participation process

• Ways to encourage the participation of unorganised groups
• Methods to ensure participation during the different phases of planning
• Realistic timeframes for public and stakeholder response, inputs and comments
• W a y s to disseminate information
• Means to collect information on community needs

Phases in participatory planning in de IDP process

The IDP process takes place in phases. Naturally, there are different w a y s of doing
this. Here is an example of planning phases and the methods of participation that go
with them.

Planning phase Methods for Participation

1. Analysis • Community Meetings organised by the ward councillor
(or similar), or community leader/organiser
• Stakeholder Meetings
• Surveys, interviews, opinion polls (getting views on how
people feel about a particular issue)
jiTstrategies & • IDP Representative Forum
Projects • Public Debates on what can work best in solving a problem
• Meetings with affected communities and stakeholders
• Representation of stakeholders on project subcommittees
3. Integration • IDP Representative Forum
4. Approval • Public Discussion and consultation with communities and
stakeholders
5. Monitoring & • IDP Representative Forum
Implementation
6. Final decision on • Elected Council (or similar)
IDP

The IDP Representative Forum

In some countries the policy about the IDP suggests that an IDP Representative
Forum (or short IDP Forum) is established to realise the participation of communities
and other stakeholders.

Members of the IDP Forum

Depending on the country and area, the membership of the IDP Forum might
include:
• Members of the executive committee of the local/district/provincial council
• Councillors (including district councillors)
• Traditional leaders
• Representatives of electoral areas
• Heads of departments and senior officials from government departments (all levels
that are relevant)
• Representatives from organised stakeholder groups: NGOs, CBOs, FBOs, etc.
• Individuals who fight for the rights of unorganised groups - e.g. activists in the
fields of gender, human rights, environment, conflict resolution, etc.

Ill
Unit 5 Integrated development, urbanisation & rural development

• Resource people or advisors

• Formal community representatives
• Others ...

The purpose of the IDP Forum

The purpose of the IDP Forum is to:

1. Provide an opportunity for stakeholders to represent the interests of their
constituencies
2. Provide a structure for discussion, negotiations and joint, active and
transparent decision-making
3. Ensure proper communication between all stakeholders and the municipality
4. Monitor the Integrated Development Planning and Implementation process

A Code of Conduct for the IDP Forum

People in the Forum come from different stakeholder groups with very different
needs and assets. So, they may have very different expectations. To deal with this in
44
a constructive way, it useful to draw up a code of c o n d u c t for the IDP Forum that
gives details on:

• Meetings - frequency and attendance

• Agenda, facilitation and recording of proceedings
• Understanding the role of various stakeholders as representatives of their
constituencies
• How feedback to the constituencies will take place
• Required majority for decisions to be taken
• How disputes will be resolved

Activity 5.6
1. What is your opinion about the IDP process? Do you think it can w o r k ' ' Give
reasons for your answer
2. What do you think are s o m e of the main difficulties that need to be overcome?
Give reasons for your answer.

5.5 Urbanisation
Many local governments are based in either urban, or rural environments, or
sometimes in a combination of these. The challenges in these environments are
different in many ways. So, naturally, also the planning for development is different.
In this section we particularly look at the challenges of urbanisation and urban
renewal. Urbanisation is the proportion of the population that lives in an urban
context. When we talk about an urban context, we mean a town or a city. More than
two thirds of the world's urban population is in Africa, Asia, Latin America and the
Caribbean. When we look at statistics we find that by far the larger share of the G D P
is generated in urban areas. It is in the urban areas where we find modern buildings,
the opulent wealth of central business districts, industrial estates, modern shopping
malls and high-income residential areas. It is not surprising that it is very tempting to
see towns and cities as the engines of economic growth' and places where one can
get rich, and so it attracts many people who are seeking employment and income

This comes back in detail in Module 540 Managing information and knowledge in community
development projects and service delivery projects (Year 2 module).

112
5 Integrated development, urbanisation & rural development

generating activities they can be part of. This is not a new phenomenon.

Since 1950 fast urbanisation has become a characteristic of developing nations. You
will recall that the earlier development thinking focused on industrialization and
urbanization as the roads to development.

A shanty town (barrio) in Caracas (Venezuela, South America)

W h e n we look at the world at large, what is the situation now? At the moment, for
every urban dweller in the First World, two people live in the poorer cities and towns
of the Third World. Within a couple of years this will reach the ratio of 1:3. In the
table below you can see how the urban population has changed over the past 50
years.

Urban populations from 1950 - 2010*

Regions 1950 1965 1980 1995 2010
Urban populations (millions)
Africa 33 66 130 251 45&n
Asia 244 426 706 1192 1816
Latin America and the Caribbean 69 133 233 350 A
463
Rest of the world **) 404 559 685 781 849
Population in urban areas compared to rural areas (
Africa 14.6 20.7 27.3 34.9 43.6
Asia 17.4 22.4 26.7 34.7 43.6
Latin America and the Caribbean l 41.4 53.4 64.9 73.4 78.6
* Rest of "fie world**] 55.3 64.1 70.5 74.2 78.0

j
i *) the numbers for 2010 are an estimate based on what we have seen from 1950 onwards
**) Rest of the world includes all countries in Europe, North America and Oceania

Source: United Nations (2000), World Urbanizations Prospects: the 1999 Revision. New
York, USA: United Nations, Population Division, Depadment of Economic and Social Affairs.

Activity 5.7
1. What is the % in Africa of rural dwellers in 1980? What is it now? (take the year
2010 as now'). Has this increased or decreased?

113
Unit5 Integrated development, urbanisation & rural development

2. How many million people lived in cities and towns in Africa in 1980, and how
many now? (take the year 2010 as now). Is this a decrease or an increase"?
3. W h a t do you think are the reasons that the urban population has grown so much?
4 What do you think are some of the main challenges for government caused by
rapid urbanisation?

Read the text below. It is a formal statement by Dr Olusegun Mimiko, Minister of

n a
Housing and Urban Development of Nigeria, which he made at the 2 African Ministerial
Conference on Housing and Urban Development. (AMCHUD) in Nairobi, Kenya, in
April 2006. It focuses on Nigeria's urbanisation challenges and its approach to
urbanisation and urban development.

AMCHUD and Nigeria's approach to urban development

(Statement by the Minister of Housing & Urban Development of Nigeria)

On behalf of the people and Government of the Federal Republic of Nigeria, I my fellow African
Ministers of Housing and Urban Development on the successful institutionalization of AMCHUD
as a platform to share experiences, strategize and adopt actions to ensure the provision of
adequate shelter and the promotion of sustainable urban development on our continent. We
are confident that this partnership will not only help in defining the magnitude of the challenges
we face, but will also play a crucial role in promoting rapid development of our continent
through the adoption of practical measures and urgent actions to meet the Millennium
Development Goals.

Nigeria is the most populous country in Africa and is home to Lagos, its largest city and one of
the fastest growing mega-cities in the world with an expected population of 25 million in 2015.
The national annual urbanization rate is an extremely high 5.5%, and projections suggest that
Nigeria will be 50% urbanized by the year 2007. Slum dwellers now make up the majority of
urban populations and Nigeria's poor are said to account for 6% of the world's poor.

Mindful of the big challenges of rapid urbanization and population growth, and especially our
grave concerns about the magnitude of the population who live in abject poverty and in poor
housing conditions makes Nigeria more than ever committed to the goals and targets of the
Millennium Declaration.

This is particularly so with targets which address the challenge of housing and urban
development.

Our quest for sustainable development has led to substantial progress in instituting basic
reforms, including improvements in economic stability.

The Nigerian nation has adopted a comprehensive development strategy known as the
National Economic Empowerment and Development Strategy (NEEDS) whose goals and targets
are aligned with the objectives of the MDGs and those of NEPAD.

The focus of NEEDS is on sustainable poverty reduction, employment generation, wealth

creation, overall social development and value reorientation. These are being addressed
against a framework of social and economic interventions at national, state and local levels.

Nigeria is pursuing an integrated approach in the planning and development of its human
settlements. Slum upgrading programmes, provision of infrastructure and social services, micro-
credit schemes, and good urban governance underpin our human settlements programmes.
Our policy measures include a new National Housing and Urban Development Policy,
modernized Land Registration and Information System, strengthened information and data
bases for development and planning, enhanced mortgage system to facilitate home
ownership among all segments of the population, a National Contributory Pension Scheme to

114
Unit5 Integrated development, urbanisation & rural development

ensure the availability of long-term savings

for residential estate development and a History of UN-HABITAT
robust secondary mortgage system, a In 1978, when Habitat was established, urbanisation
and its impacts were less significant on the initial
National Poverty Eradication Programme
agenda of the United Nations, simply because when
for skills acquisition and job creation, and
the UN came into being two-thirds of humanity was
the development of Strategic Regional still rural. From 1978 to 1997, with meagre support
Development Plans to correct regional and an unfocused mandate, Habitat struggled almost
disparities, for instance, in areas such as alone among multi-lateral organisations to prevent
the marginalized Niger Delta region . 45
and reduce problems stemming from massive urban
Government has also created an enabling growth, especially among cities of the developing
environment to foster private sector world. In 1996 the UN held a second conference on
cities, Habitat II, in Istanbul to assess two decades of
participation in housing delivery while forced
progress and set fresh goals for the new millennium.
evictions of slum settlers are being
Adopted by 171 countries, the political document that
discouraged. came out of this 'City Summit is known as the
Furthermore, we have adopted a holistic Habitat Agenda (Agenda 21) and contains over 100
commitments and 600 recommendations. From 1997
approach to sound environmental
to 2002. by which time half the world had become
sanitation by putting in place an
urban, UN-HABITAT - guided by the Habitat Agenda
Environmental Sanitation Policy and Plan of
and the Millennium Declaration - underwent a major
Implementation. The goal is to "ensure a revitalisation, using its experience to identify
clean and healthy environment by priorities for sustainable urban development and to
adopting efficient and cost effective make needed course corrections.
strategies, to safeguard public health and
well-being in line with national On 1 January 2002 UN-HABITAT's mandate was
development objectives". In the water sirengthened and its status elevated to that of a full
sector, reforms have been undertaken to programme of the UN (UN General Assembly
ensure the provision of safe and affordable Resolution A/56/206). Key recommendations and
water services for all Nigerians. fine tuning of the Habitat Agenda are now underway
Specifically, a National Water Policy, which for achieving the urban development and shelter
includes an Integrated Water Resources goats and targets of the Millennium Declaration. This
revitalisation has placed UN-HABITAT squarely in
Management Plan has been established. It
the mainstream of the UN's development agenda tor
is our desire to achieve our water target by
poverty reduction, with a more streamlined and
2011, through a vigorous implementation
effective structure and staff, and a more relevant and
of the Water Policy within the framework of focused set of programmes and priorities.
"Water for People, Water for Life". These
actions underscore the commitment of the Through the Habitat Agenda UN-HABITAT
Nigerian Government to the goals of contributes to the overall objective of the United
AMCHUD and the Habitat Agenda. Nations system to reduce poverty and promote
sustainable development, UN-HABITAT's partners
range from governments and local authorities to a
To support the realization of the MDG goals wide international cross-section of NGOs and civil
by all African countries and overcome society groups, UN-HABITAT is based in Nairobi,
current constraints. It is Nigeria's Kenya.
expectation that this Conference will
UN-HABITAT's website: www.unhabitat.org
develop and adopt pragmatic measures
and action-oriented programmes that will
help in attaining the regional goals we have set for ourselves. AMCHUD should equally
anticipate and prepare for growth, develop robust and sustainable financing strategies, and
attract long-term capital investments so critical for the provision of infrastructure and other
services in Africa's cities and towns. Let me also emphasize the need among our various

We will briefly come back to the issues in the Niger Delta when we discuss rural development. Also
one of the case studies (see Case Studies Section) is dedicated to development in the Niger Delta

115
Unit 5 Integrated development, urbanisation & rural development

countries for the exchange of expertise, research, experience, technology, and best practices,
especially on matters such as the eradication of slums in our cities and metropolitan areas. For
all our countries, capacity building is essential. We must put in place effective monitoring and
evaluation mechanisms, including peer review meetings to assess implementation. We must
collectively seek development assistance, debt relief including debt cancellation and debt
swaps and market access without which it will not be possible to meet the MDGs in Africa.

In conclusion, Nigeria wishes to acknowledge the support of the African Union and UN-
HABITAT to AMCHUD. We identify with the laudable initiatives of the UN-HABITAT through its
46
various programmes such as the Global Campaign on secure tenure and Good urban
Governance, the technical cooperation programmes and initiatives such as the Slum
Upgrading Facility which should be effectively utilized to support African states to achieve the
MDG targets on slum dwellers, safe drinking water and basic sanitation and infrastructural
development. Nigeria looks forward to working in partnership with other members in realizing
the MDGs in Africa. (Abridged)

Source: Statement by Dr Olusegun Mimiko. Minister of Housing & Urban Development of Nigeria
at the 2nd African Ministerial Conference on Housing and Urban Development. Nairobi, Kenya 3-
4 April, 2006.

Activity 5.8
1. What % of the population of Nigeria lives in Lagos'? Will this increase or decrease?
2. Which regional/international cooperations & organisations does Dr Mimiko
mention?
3. What is the importance of these collaborations and cooperations?
4. Which Millennium Development Goals refer to housing and urban development?
What do they say? (You may have to go back a few Units)
5. Does Nigeria have integrated or comprehensive development strategies? What do
they intend to do?
6. What measures is Nigeria taking in the field of urbanisation? The table below m a y
assist you.
Tenure & Water Economic Sanitation j Good Environment
home development governance
ownership

7. Why is tenure important for people?

8. What do you think is 'value reorientation' and why would it be important?
9. If Nigeria is not the country you live in, compare Nigeria's strategies and
interventions with those of your own country in the field of urbanization.

Of course, when a larger portion of the population lives in an urban context, this
means that the cities and towns grow (urban growth). Dr Mimiko mentions that Lagos
is a mega-city that will reach an expected population of 25 million in 2015. Mega-
cities are cities with more than 10 million inhabitants Mega-cities can only develop in
areas with large non-agricultural economies and large populations. As you probably
know, Nigeria's oil and gas industry is very large and the country itself has a
population that is estimated to be close to 140 million people.

46
Tenure is the legal right to live in a particular building or use a particular piece of land during a fixed
period of time.

116
Unit 5 Integrated development, urbanisation & rural development

Having said this, we must remember that in all regions of the world, most of the
urban population lives in urban areas with less than one million inhabitants. Although
these urban areas are
not as huge as the
mega-cities of Lagos,
Mexico-city, Calcutta or
Shanghai, they are
nevertheless large
cities with their o w n
challenges. Smaller
cities and towns also
1

have their own specific * 1 -

challenges.

One of the most difficult

issues in urbanization
and urban growth is
what to do with informal
settlements. Dr Mimiko An informal settlement (self-help area) in South Africa
also touched on this in
his speech. The text below looks at the challenges that c o m e with rapid urban
growth and the formation of informal settlements.

Settlements: formal, informal, legal and illegal

CD \ Rapid urban growth over a period of less than sixty years has meant that cities in the
developing world have come under much spatial, economic and social pressure. One of
consequences is that due to rapid expansion of the urban areas around a city there are not
enough resources to cope with this rapid transition. Uncontrolled urban growth has posed
! serious problems for the development of sufficient possibilities for basic shelter and also for the (
self-maintenance of urban migrants. Because of the lack of resources and planning by the
governments, the new migrant population has to provide for itself without state support. In the j
past this has led, and still does, to the illegal development of informal neighbourhoods and
settlements resulting in most cases in qualitatively inferior housing.

Legal settlement Illegal settlement

These are formal settlements. The urban These types of settlements do not really exist
E areas have been planned and approved within urban areas. An example of this type of
through government procedures before settlement in rural areas could be a large farm,
1in they are developed (and built). Here buildings are constructed without being
approved through government procedure but
have been built according to the logical layout
of a farm
Shanty towns/barrios are also found on Shanty towns/barrios/ that are often found on
the edges of large cities in lesser the edges of large cities in lesser developed
E
developed countries. They have the countries. These can be large or small
% same physical structures as the type of settlements.
III
settlements, illegal and informal due to
the property boundaries being archived
in the cadastre.
c

Another unwelcome effect often accompanying the rapid growth of urban areas is the capacity
shortage within the infrastructure of the host city to cope with this growth. National or local
government resources for the maintenance of existing and new urban areas are spread thinly.

117
Unit 5 Integrated development, urbanisation & rural development

Roads, public buildings and other physical elements of urban areas are often badly maintained \
and cannot accommodate the capacity that is required. Some examples are: badly maintained I
and overfull road networks, water systems that cannot supply the entire urban area, leaking j
sewage-systems causing serious pollution. The pressures on the physical structures of the city \
therefore extend further than just the informal and illegal settlements, they tend to affect the \
entire urban area.

: When we look at settlements, we can define four general types. It is important to define types \
47
|of settlements as one of the focuses of urban renewal is often creating transitions from one j
type of settlement to another. The figure (above)shows the four general types of settlements |
and the transition phases in the status of the settlements.

Phase 1, the transition from an 'illegal and informal' settlement to a 'legal and informal' status I
has to be achieved before any sustainable physical developments can take place. Phase 2 is I
[the transition from legal informal- to legal formal settlement. Phase 1 can only be accomplished \
by the adjustment and consequent application of government policy. This is generally achieved j
48
by creating a cadastre for the settlement, which in this instance formally recognizes property j
boundaries and formally allocates the properties within the settlement to the people who |
previously occupied them illegally. The cadastre creates a platform for controlled development. |
The legalisation of the settlement gives buildings and property boundaries legal status, and as |
a result, they obtain a stable monetary value. Legalisation also provides the government with a |
toolbox with which it can control and stimulate further developments within the settlement, \
within the parameters of the law. (Abridged)
Source: Erald Smith, 2007, An analysis of Caracas Slum-upgrading project.

5.6 Urban growth - Housing the urban poor

Millions of families in the cities of the Third World live in adequate accommodation
and some e v e n live in luxury. Unfortunately, the majority of urban households do not.
Most poor people live in dwellings without adequate sanitation, with no or an
irregular electricity supply, built of flimsy materials and without good security. Many
also live in fear of being forcefully removed from their dwellings, because these are
illegal or informal. Millions of
other people live in
somewhat better
accommodation but this c a n
be very overcrowded. In
other words, many urban
inhabitants of the Third
World, and many
governments, feel there is a
serious housing problem in
the towns and cities of the
world.

What exactly is involved in

solving the housing problem?
Well,, we have to begin by
what a house is and what, it Furniture manufactured in Kibera, the largest slum
means. Look at the house (shantytown) in Kenya

47
We will discuss urban renewal a little later.
48
A cadastre is the official, formal and legal state records of unmovable property (buildings, plots, etc.)
within a municipality, or province, or state/nation.

I 18
Unit5 Integrated development, urbanisation & rural development

you live in right now, and check whether you agree with what we are saying. First of
all, a house is a physical asset: it is built from physical materials such as bricks,
corrugated iron, plastic, carton boxes, planks, cement, etc. A house gives us
physical shelter - it lets us stay out of the cold, the rain, and the dark. A n d , if things
are well, it comes with physical services such as water, sanitation, electricity, waste
removal, etc. A house is also a social asset: a house provides safety from harm, it
may provide status. A n d in an urban environment a house is next-door to another
one. We have neighbours that we must get on with. A house also s h o w s our human
assets: our skills (in building it), our education (by the books we possess), and our
health (amongst other things dependent on the quality of our dwelling). A house is an
economic asset: it has monetary value, a n d it gives us a base to engage in
economic activities (a tuck-shop, home industries, urban agriculture) or it simply is a
base to go to paid employment. Lastly, a house is a cultural asset: it is a meeting
place for family and friends. For s o m e people it may be a place to hold religious
services, or hold political meetings, etc.

The housing problem is not simply solved by giving poor families a three-bedroom
house if the family cannot afford the rent or the bond (mortgage) repayments. In
other words, when we talk about solving the housing problem we talk about creating
possibilities for adequate housing, that is, housing that fits the physical, social,
economic and cultural circumstances of a family. So, in solving a housing problem
we must look at all these aspects, a n d more. W h e n we want to solve the housing
problem, we must make sure that also the standards of living are improved, the
employment opportunities, the infrastructure like roads, communication means
(telephone) a n d transport, a n d clinics, shops and schools. A n d this needs to be d o n e
by involving the people w h o live there in the planning and implementation (IDP), by
the local government that is jointly with the inhabitants of such an area responsible
for the development of this area. There are many approaches to solving the housing
problem.

5.7 Urban Renewal

T h e main objective of urban renewal programmes is to ensure that the programmes
on poverty alleviation, economic growth and environmental sustainability are
implemented in an integrated manner.
Of course, different urban areas have different needs and priorities, but the purpose
of all urban renewal is to upgrade the living conditions and human development
potential. In other words, urban renewal focuses on:

Creating integrated a n d functional settlements

&
Rehabilitating dysfunctional urban areas through economic and social
development

In order to achieve this, most urban renewal programmes focus on:

=> Substantially reducing levels of unemployment
=> Creating a healthy and clean living environment
=> Providing urban services at an affordable a n d sustainable level
=> Reducing levels of crime and violence
Upgrading existing housing environments
=> Creating additional affordable housing opportunities
=> Lowering the density of households in the area

119
Unit 5 Integrated development, urbanisation & rural development

Activity 5.8
1. Take the 7 focuses of an urban renewal programme (above) and think of urban
renewal programmes in your o w n country, of one that you specifically know of.
Give an example of a project (activity, policy) that aims to achieve these goals.
Give your comments (on its success, progress, involvement of stakeholders,
specific approaches, etc). The table below will assist you
Aim Name/place of j How is it done? Your
j renewal programme j comments
Reducing levels of employment

Creating a healthy and clean

iiving environment
Providing urban services at an
affordable and sustainable level
Reducing levels of crime and
violence
Upgrading existing housing
environments
Creating additional affordable
housing opportunities
Lowering the density of
households in the area
Your opinion:
2. W h e n you think of urbanization a n d urban renewal, what are the biggest
challenges (Use in your thinking what you have learnt so far about: communities,
livelihoods, participation, governance, integrated development)?
3. Suggest ways to face the challenges and turn them into opportunities

In the Case Studies Section, one of the case studies deals with an urban livelihood
initiative in one of the locations in Lusaka, Zambia. It specifically focuses on an
asset-based approach that includes governance structures, and a positive
developmental relationship with the Lusaka City Council as part of an integrated
approach to development.

Urbanisation, urban growth a n d urban renewal are large and very important issues.
We have touched very briefly on only some of its aspects. S o m e of the aspects we
49
did not discuss will c o m e back in more detail in the Year 2 and Year 3 m o d u l e s . For
now we will end our discussion of urbanisation, urban growth and urban renewal
here.

5.8 Rural development

Despite the fact that industries a r e mostly located in urban areas, and have created
urban areas, much of Africa's income c o m e s from agriculture and agriculture related
activities, which mostly take place in rural areas. This does not automatically mean
that people in rural areas have a sustainable livelihood. As you know, most people
w h o live in the rural areas of developing countries a r e struggling to get a livelihood
that is sufficient and sustainable for themselves and their families, and live on a
50
subsistence l e v e l , or below this. The reasons for this are many, and they vary from
place to place.

Many of the development approaches we discussed in this Module can be used and

Urban development will also come back in the Year 3 Modules BPM 680 (Local economic
development) and in BPM 681 (Theories and practices of development).
Subsistence is the condition of just having enough food or money to stay alive.

120
Unit 5 Integrated development, urbanisation & rural development

are actually used in rural development. Often they have their roots in the challenges
facing rural communities. Think of approaches such as sustainable livelihoods (SL),
asset-based community development (ABCD), and community-based natural
resource management (CBNRM). T h e s e approaches are closely related to each
other. They look at development, including rural development, from a holistic
51
perspective . Also, many of the examples and short case studies in this Module
describe situations in rural development. W h e n we discussed the Structural
Adjustment Programmes we mentioned their effect on agriculture and food security
in, for instance, Sudan and Ghana (Unit 2). Y o u will recall the example of the village
in the mountains in the Philippines in Unit 3, the example of the communities in the
rainforest in the DRC in Unit 3, and the example of Community Wildlife management
in Zambia in Unit 4. Keep these examples and approaches in mind as we briefly
discuss rural development. As we discuss rural development, we will bring in a little
history so that you get a sense of the reasons behind rural poverty and the thinking
related to rural development and the alleviation of rural poverty.

Integrated Rural Development

In the 1970s there existed the belief that for the rural population to become part of
mainstream development initiatives, they needed to change their mindset. It w a s felt
52
that this w a s necessary so that they could adopt Western ways of development. A
few years later this idea w a s seen as totally w r o n g , when research proved that it w a s
not the mindset of people that w a s in the way but economic and governance issues
that created external constraints:

• Lack of knowledge and skills related to the proposed interventions

• Lack of people involvement in the planning process
• Lack of financial and material input needed or adoption
• Lack of infrastructure to facilitate distribution of information and material
• Lack of off-season employment opportunities in the rural areas
• Inadequate market development for sale or purchase of agricultural produce

In 1973 Robert McNamara, then president of the World Bank, delivered his famous
"New Directions in Development" speech. In this speech he stated that development
strategies had so far failed to produce advancement of Third World countries. In fact,
the plight of the poor seemed to have become worse. One of the major
shortcomings, McNamara felt, w a s the fact that constraints for development were
only removed one by one a n d bit by bit. He argued that a multi-disciplinary
integrated rural development approach w a s needed that would remove all
hindrances so that the rural poor could adopt the proposed interventions. Part of this
would be to prioritise basic needs such as food, shelter, education and employment.

Activity 5.10
1. Do you feel the Integrated rural development approach fits better with the
Modernisation approach or with one of the Another development
approaches? Why do you say so?
2. What is your personal opinion on the adoption theory? W h y ?

When you look at an issue from a holistic perspective, you think of all the different links this issue
has with other issues and how they influence each other.
When you adopt a policy or a plan, you accept it as it is without making any inputs.

121
Unit 5 Integrated development, urbanisation & rural development

5.9 Food security

During the World Food Conference of 1974, food security was seen as a serious
challenge. There was a need to maintain a network of sufficient food reserves to
meet the food needs of a country. Many Third World countries bought into this idea
because they would be less dependent on imports of food aid from developed
countries, which often carried political objectives. Many countries, however, had
insufficient agricultural resource based to be self-sufficient in food production. Thus,
food security w a s re-defined as:

Having physical a n d economic access to sufficient food for an active

healthy life by all people at all times. (World Bank, 1986)

To achieve food security, policy interventions are needed at household, community

and national (and global) levels The prerequisites for food security are:

1. Availability of food: National (and global) grain reserves, and emergency stocks
of food for 'lean times'.
2. Physical and economic access: Agricultural households need to have sufficient
resources to grow food beyond their own needs, and non-agricultural households
have to earn sufficient income to buy the food they need. Infrastructures are
needed for helping production, distribution, processing and sale of food.

3. Access to basic needs: Infrastructure of health care, sanitation, safe drinking

water, and education is made available to convert food security into nutrition
security (quality and nutritional value).

Although many developing countries focus on industrialization as a road to

development, which also dramatically increased urbanisation, as we discussed
earlier, agriculture is once again seen as one of the important engines of
development and economic growth. Particularly in South Asia and sub-Saharan
Africa agriculture is of crucial importance. T h e s e are the regions where currently
more than 5 0 % of the world's poor live, and where more than 7 5 % of the world's
malnourished children will live in the year 2020. To cope with this demand an
increase of at least 4 0 % of production of grain (maize, millet, wheat, rice, etc) is
needed.

Because agriculture is so important in most developing countries, when agricultural

production cannot keep up with the d e m a n d , or decreases, this will lead to social
tensions which may fuel conflict. In fact, these kinds of conflict will not limit
themselves to the area directly affected, but will have a knock-on effect. Lack of food
and agricultural production in Zimbabwe and Lesotho will create an exodus of people
looking for food and a livelihood in surrounding countries, which already struggle to
feed its populations.

122
 Sources of food a n d nutrition insecurity
Condition or event Population at risk
• Drought • Small farmers with limited resources
• Crop production risk and n o n - d i v e r s i f i e d " income
04
• Small farmers on m a r g i n a l lands
• Landless farm labourers
• Disruptions in imports/exports • Small farmers heavily dependent on
• Falling prices of agricultural exports export crops
• Poor households heavily dependent on
imported food
• Unemployment • Wage-earning households
• Informal-sector employees
• Lack of healthcare and sanitation • Entire communities
• Poor infrastructure • Poor households
• Vulnerable members (women a n d
children) of households
• Political crisis • Households in areas of civil unrest,
| •Governmentfailure armed conflict or war
• Marginalized (ethnic, religious, political)
groups
Based on: Von Braun, 1999, Food security, a conceptual basis

Assets in rural livelihoods

There are many reasons w h y the rural poor find it hard to create a livelihood, which
will vary from piace to place. People may not have tenure of the land; they may have
inadequate access to markets; droughts and floods may affect the harvest; local
governance problems may result in little transparency and accountability; rapid
population growth; rural-urban migration; increasing problem of HIV/AIDS; no
national pro-poor policies; weak delivery of services; local culture of deprivation.
Another development aspect in rural poverty alleviation is the role of gender in the
traditional allocation of roles, and the allocation of property and income. We will not
discuss 'gender' here, however, since gender is the topic of Module 481 Gender and
Development.

Many rural people use combinations of livelihood strategies to make a living. They
may get a part-livelihood f r o m agriculture, subsistence or cash crops; from
remittances sent by family members working in the city or elsewhere; from a variety
of other activities such as small trade, providing transport or other services, or from
small industries like bread baking or beer brewing. Although this reduces the risks of
poor people, this is often not enough to sustain the livelihood of households a n d
communities. Also, it does not make a large enough positive impact on national food
security and the economy.

Y o u will recall that we discussed assets/capital in some detail in Unit 3. They play a
central role in rural development. Agriculture and rural livelihoods at all levels, that is
f r o m farms to communities to national economies, rely for their success on the total
stock of natural, social, h u m a n , physical and financial/economic capital. Here is a
short list of capital (assets) related to the context of rural development.

Income of only one kind, so only from agriculture, not from other jobs, or remittances etc.
Marginal lands are lands that either are too small to produce much, or have soils that are not good
for agriculture, etc.

123
Unit 5 Integrated development, urbanisation & rural development

1. Natural capital: Nature's free goods and services: food (farmed and from the
wild), wood and fibre; water regulation and supply; waste assimilation,
decomposition and treatment; nutrient recycling and fixation; soil formation;
biological control of pests; climate regulation; wildlife habitats; storm protection
and flood control; carbon sequestration: pollination; recreation a n d leisure.

2. Social capital: The cohesiveness of people in their societies: relations of trust

that inspire cooperation; sets of c o m m o n rules, norms and sanctions for
behaviour; reciprocity and exchanges; connectedness and social institutions.

3 H u m a n capital: The status of individuals: stock of health, nutrition, educations,

skills and knowledge of individuals; access to services that provide these, such
as schools, medical services, adult training; w a y s individuals and their
knowledge/skills interact with productive technologies; leadership quality of
individuals.
55
4. Physical (man-made) capital: Local infrastructure: h o u s i n g and other
buildings; roads and bridges; energy supplies; communications; market places;
air, road, water and rail transportation.

5. Financial/economic capital: Stocks of money, savings; access to affordable

credit; pensions; remittances; welfare payments; grants and subsidies, access to
financial a n d economic institutions.

These five assets are transformed by policies, processes and institutions to give the
outcomes that are desired (see Unit 3). Agriculture impacts on the assets on which
they rely for inputs. For instance, an agricultural system that depletes organic matter
or erodes the soil in order to produce food creates ecological and climatic cost that
others must carry. In other words, it is not sustainable. Sustainable agriculture tends
to have a positive effect on natural, social and human capital, whilst producing, food,
fibre etc. Sustainable agriculture is defined as agricultural technologies and practices
that maximise the productivity of the land while seeking to minimize damage both to
valued natural assets (soils, air, water, biodiversity, climate) and to human health
(farmers and other rural people, consumers). It seeks to minimize the use of non-
renewable inputs, such as pesticides and artificial fertilisers that damage the
environment or harm the health of farmers and consumers.

Activity 5.11
1 What is meant by: (i) waste assimilation, decomposition and treatment, (ii) nutrient
recycling and fixation, (iii) biological control of pests, (iv) carbon sequestration, (v)
cohesiveness, (vi) norms and sanctions for behaviour, (vii) reciprocity and
exchanges, (viii) social institutions, (ix) grants and subsidies? [If there are other
terms that are unfamiliar, look them up].
2. Think of an example f r o m your o w n personal or professional experience where
sustainable agriculture is or was practised Thinking in terms of assets, how
was/is it made or kept sustainable? What measures w e r e taken?

5.10 Mainstreaming rural development

Since the 1990s social a n d h u m a n development have emerged as key elements of
rural development. Thus, along with income generation, the emphasis has been on
capacity development, social security and safety of vulnerable groups. Also
institutional strengthening (farmers' groups, cooperations, N G O s etc) and
participatory approaches became key issues Institutional strengthening, and real

Although housing is much more than a 'physical asset as we saw earlier in this Unit

124
Unit5 Integrated development, urbanisation & rural development

empowerment and participation of the rural people continue to remain formidable

challenges in achieving equitable and sustained rural development. To tackle the
many structural and institutional barriers that hinder rural development, rural
development and poverty alleviation/reduction must be mainstreamed into t h e overall
national and provincial development policies.

56
T h e table below shows policies, policy i n s t r u m e n t s a n d programmes/projects that
are suggested for rural poverty alleviation (Source: Joe Mullen, 2002. Rural poverty).
These measures include macro, meso a n d micro policies a n d policy instruments at
sector level, a n d project/programme interventions. Note: You may not be familiar
with some of the terms. If this is so, please look up their meaning.

Policies, policy instruments and programmes/projects for rural poverty

alleviation
Policy Policy instrument P rog ra mm e/P roject
Redistributive fiscal • Added-value economic activities in rural
regimes (systems), areas
parity (equality) of • Employment generation
urban and rural • Small and micro business promotion, and
investment and business incubation - private sector
Equitable/ social provisions support
inclusive
• Rural electrification
development
• Water supplies
Infrastructure and
• Schools and knowledge culture
public goods
• Information technology
provision
• Health; A I D S prevention
• Social protection
• Devolution (decentralisation/ delegation) to
local level
Decentralisation
• District (provincial/state) development
programmes targeted on deprivation
Institution • Reinforcing capabilities, training
strengthening
• Information flows, public awareness of
Good Public accountability
57
c i t i z e n s rights
governance
Democracy • Free and fair elections
• Promotion of human rights and free
Civil society
association
• Gender awareness promotion and
Gender
economic empowerment of w o m e n
• Equality in accessing social and economic
Transparency
opportunities; integrity
• Reconciliation
Stability Conflict resolution 58

• Post-conflict reconstruction

Policies and policy instruments are discussed in Year 1 Module CPM 410 (Introduction to public
policy), in Year 2 Module DPM 510 (Public policy formulation, planning, implementation and
impact), and in Year 3 Module BPM 611 (Sectoral public policy).

Good governance and topics that are linked with it, are discussed in modules in Year 1. Year 2 and
Year 3.
Conflict management is dealt with in the Year 1 Module CPM 460 (Conflict prevention and
resolution in the workplace - communication skills, in the Year 2 Module DPM 561 (Change and
conflict management for the public sector), and in the Year 3 Module BPM 661 (Mediation and
negotiation skills.)

125
Unit 5 Integrated development, urbanisation & rural development

Policies, policy instruments and programmes/projects for rural poverty

alleviation
Policy Policy instrument Prog ra m m e/P roject
• Reduction of military expenditure
• Peace-building and inter-group (ethnic,
religious, political) collaboration
• Promotion of private sector initiatives
Liberalisation
• Venture capital partnerships
Economic • Marketing infrastructure
diversification • Increased competitiveness
• Protection of cultural identity and local
Globalization
economic systems
• Erosion control, regulatory provision
Enabling • Control of toxic waste and agricultural
economic chemicals
Environmental
environment • Good animal husbandry practices
awareness
• Afforestation (planting trees for commercial
purposes)
• Conservation of flora and fauna
Sustainability • Capacity resource availability
• Community participation
Debt management • Qualification for debt relief
• Conditionally fulfillment
Rural development • Agricultural productivity
• Food security
• Sustainable rural livelihoods
Sector-wide
• Agribusiness
approach
• Access to financial markets
International • Collaborative aid management (donor
transfers funding)

Activity 5.12
Having read the list of suggested policies, policy instruments and actual
programmes/ projects for rural poverty alleviation, now focus on your o w n country, or
work environment and answer the following questions:
1 What are according to you, a n d based on your experience, the most pressing
challenges in rural areas?
2. What policies are in place in your country to mainstream rural development into
the national (provincial, state) development policies? What do these policies focus
on?
3 What policy instruments do they use?
4, What are the actual programmes and projects 'on the ground'?
5, What may assist or hinder in achieving their success.

Although much more can be said about rural development, we will end here. In
Module C P M 481 {Gender and Development) rural development will be discussed in
relation to gender. Rural development will also come back in the Year 3 Modules
B P M 680 (Local economic development) and in BPM 681 (Theories and practices of
development).

126
 unrto inwyrausu uevvivpinvin, uiuaiusdiiun a luiai uevvivvinvm

5.11 Conflicting interests and long-term sustainability

This very last section of this Unit and this Module deals with one of the most difficult
issues in development, that is, what must be done when the interests in development
of different groups clash? Let's assume a situation of people living in a rural area
w h e r e diamonds are discovered. Mining the diamonds might be a great source of
revenue for the government a n d a potential source of employment for part of the
rural population. At the s a m e time, because of the mining activities this is a big
59
i n t r u s i o n on people's traditional rural livelihoods, their w a y of living, a n d a serious
environmental risk. Think of the effect of putting a nuclear reactor in a small village
on the coast that exists on fishing and tourism, yet there is a nation-wide increasing
d e m a n d for energy.

T h e s e are aspects that governments have to deal with, and they are not easy issues.
One of the best-known cases of this kind of conflict is in Nigeria w h e r e different
interests related to the oil production in the Niger Delta clash. Below is a case
description of this based on the findings of the International Crisis Group, Global
Security and Human Rights W a t c h . In the case studies section of this Module there
is a case study from the Niger Delta that tells of an initiative trying to deal with some
of the issues mentioned in this text. Read the text and do the activity that follows.

OIL AND THE NIGER DELTA

CD Nigeria is the world's sixth largest oil-producing
:
nation. The oil mainly comes from the Niger Delta
and is a good source of revenue (income) for the - >, \
national government of Nigeria. The Niger Delta
is a politically unstable area of Nigeria. Inter- , .
ethnic clashes are common. Often access to oil negejua
revenue is the trigger for violence. Pipelines are
regularly vandalised (damaged) by impoverished I ;. ;tiA

residents, who risk their lives to siphon (drain) off NIGER,

fuel for their own use. This kind of vandalism
LA /
f '"I
DELTA {
causes wastage of thousands of barrels of crude . ,-4
oil every day, which is a loss to the Nigerian -
economy of millions of dollars each year.

Recent history
Historically, Delta communities prospered as "middlemen" controlling the trade with the interior
of Nigeria, particularly of palm oil products and slaves. After independence, the Niger region
experienced a steady decline for no new sources of wealth developed to replace the former
activities. Although the Nigerian government promised to treat the Delta as a special
development area this has not sufficiently taken place. The steady reduction in the share of oil
royalties that the federal states in the Niger Delta have received, and the fact that military state
governors not from the Delta have disregarded the needs of the people in the Delta for roads,
schools, electricity, health services, have worsened the Delta's problems. Many educated
Delta youths leave the area, which has confirmed the Delta's status as an economic
backwater, that is, the people who remained behind simply do not have prospects elsewhere.

The Delta is politically very fragmented. There have been frequent and violent disputes over
60
land and fishing rights, as well as over traditional leaders' political jurisdictions . As more
powerful weapons became available in the mid- and late-1990s, the disputes became more

59
An intrusion is something that disturbs your life in an unwelcome way.
60
Jurisdiction is the power and authority a government institution or an official has to enforce laws.

127
Unit5 Integrated development, urbanisation & rural development

violent. Youth gangs who were willing and able to protect their villages and elders became
more powerful.

When after military rule democracy returned in 1998-1999, some of these youths took up a
new line of activity, namely, the paid disruption of election campaign events. Alternatively, they
provided candidates with protection.

Oil and insurgency

Nigeria's estimated oil export revenues in 2005 were US $45 billion. There is an inevitable and
serious conflict of interest between Delta communities that bear the environmental damage of
oil extraction and the rest of the nation for which oil money is essentially a free good. Delta
populations regularly lose these struggles. Had they some authority over environmental issues,
many of the current problems might be more manageable. Lacking this, and given the federal
government's control over all subsurface resources as well as "ownership" of all land, all Delta
issues inevitably become national issues. There is a deep distrust in the Delta concerning the
federal government and a feeling among local populations that most other Nigerians care little
for their problems, so long as the oil flows.

The slow pace of structural reforms and change, and the lack of jobs, electricity, water, schools
and clinics in large parts of the Niger Delta have boosted support to insurgent (rebellious)
groups. The root causes of the Delta insurgency are well known. Violence, underdevelopment,
environmental damage and failure to establish credible state and local government institutions
have contributed to increased public frustration. A potent (powerful) cocktail of poverty, crime
and corruption is creating a militant threat to Nigeria's reliability as a major oil producer.

Insurgent groups have fought with government forces, sabotaged oil installations, taken foreign
oil workers hostage and carried out lethal car bombings, Some groups demand that the
government withdraws troops, releases imprisoned ethnic leaders and grants oil revenue
concessions to Niger Delta groups.

Illegal oil theft has accelerated the conflict

and provided militant and criminal groups
with funds to purchase arms. Another
source of funding are the discreet
payments oil companies make to leaders
of militant insurgent groups in return for
"surveillance" and protection of pipelines
and other infrastructure. This practice,
frequently disguised as community
development, has fuelled conflict through
competition for contracts and by providing i Delta State: Militants wearing black masks, military
income to groups with violent agendas. Oil i fatigues and carrying assault rifles and rocket-propelled
companies also pay allowances, and I grenade launchers patrol the creeks of the Niger Delta
sometimes salaries to "supernumerary
police", as well as to regular duty police
and soldiers deployed to protect oil installations.

Solutions
The Nigerian government has begun important reforms but these must be continued and
deepened if peace is to succeed. In the past the Federal Government has downplayed the
seriousness of the Delta insurgency and has dismissed the militants as "mere" criminals. In an
effort to deal with the growing public impatience, government officials have demanded that oil

128
Unit5 Integrated development, urbanisation & rural development

companies spend ever-larger amounts on community projects. Oil industry officials have stated
that, after taxes and royalties, the Federal Government collects thevastmajority ofearnings -
90 % of industry profits when oil prices are above US$60. The companies place the primary
responsibilityforsolutionstothecrisis-includingincreaseddevelopment-onthegovernment
but they do not want to admit that their own development strategies have failed.
Transparent and participatory development schemes can foster hope and accountability in
Delta communities. Development efforts led by the European Commission and Pro-Natura
6 1
International provide models for an approach that could reverse the cycle of poverty and
violence - but only if their scale is b r o a d e n e d to include a w i d e range of stakeholder g r o u p s in
oil producing areas. Government must also tackle corruption by making development initiatives
more transparent.
INTERNATIONAL CRISIS GROUP RECOMMENDATIONS
To Nigeria's Federal Government:
1. Initiate a credible, sustained dialogue on control of resources with Niger Delta civil society
groups, including militants, activist leaders, religious leaders, women and youth drawn
from nominees submitted by councils of ethnic groups in the Niger Delta states.
2. Institute while this dialogue is proceeding a derivation formula of b e t w e e n 25 a n d 50 per
cent of mineral resources, including oil and gas, to all Nigerian states, and phase this in
over five years in order to avoid budgetary shock to non-oil producing states a n d to
encourage exploration and production of other mineral resources throughout Nigeria.
3. A m e n d or repeal the 1978 L a n d U s e Act to e x p a n d the opportunity for communities to
seek compensation for land through legal means and to allow a more transparent
adjudication process of potential land seizures.
4. S e e k in parallel with the dialogue on control of resources an a g r e e m e n t with militants that
includes a phased withdrawal of troops from Delta towns, concurrent with a weapons-
return a m n e s t y p r o g r a m that p a y s militants a n d g a n g m e m b e r s m a r k e t rates for g u n s a n d
enrols t h e m in skills a n d j o b training a n d that p a y s attention as well to the n e e d s of girls
a n d w o m e n w h o m a y not carry g u n s but h a v e roles within those bodies (such as forced
wives or cooks).
5. Bring the increasing n u m b e r of quasi-independent local g o v e r n m e n t institutions formally
into federal structures as part of an effort to rationalise local g o v e r n m e n t s in Niger Delta
states, particularly in areas where these are unworkably large or combine substantively
distinct ethnicities or communities.
6. E n s u r e t h a t s e c u r i t y f o r c e p e r s o n n e l a r e p a i d o n t i m e a n d i n full i n o r d e r t o h e l p p r e v e n t
dependency on oil company payments and illicit and corrupt practices; increase
enforcement of penalties for corruption and consider raising salaries; clarify the chain of
command; and change the uniform of the "supernumerary police" that provide security
services for the energy companies.
7. R e f a s h i o n t h e g o v e r n m e n t / t r a n s n a t i o n a l oil c o m p a n y j o i n t v e n t u r e s t h a t c o n t r o l p r o d u c t i o n
to offer residents a substantial o w n e r s h i p s t a k e along the lines of w h a t corporate majors
including Royal/Dutch Shell, ExxonMobil and Conoco have done in Canada's Arctic.
To the State Governments:
8. Engage more fully with professional, non-governmental organisations that demonstrate a
capability a n d willingness to assist c o m m u n i t i e s to take responsibility for their o w n
development.

See case study in the case studies section.

129
Unit 5 Integrated development, urbanisation & rural development

9. Accelerate steps to implement poverty reduction strategies outlined in State Economic

Empowerment and Development Strategies (SEEDS) that have been developed in
conjunction with Nigeria's national umbrella anti-poverty strategy, NEEDS.
10. Make budget details publicly available and respond to queries about specific spending
patterns and projects.
To the Energy Companies:
11. Improve measures to ensure transparency of contracts and other community payments,
including for surveillance, development projects and compensation for land use and
pollution, and in particular:
(a) honour company commitments and ensure that payments are made in full, by bank
transfer - not in cash - to the intended recipients;
(b) conclude agreements wherever possible that provide for individuals and local
communities to be compensated for land use and pollution;
(c) seek independent mediation or arbitration when agreements are in dispute.
12. Prioritise long-term ability to operate in Nigeria over short-term production goals and seek
community assent before proceeding with production-related projects.
13. Develop partnerships with non-governmental, community-based bodies with a
demonstrated ability to provide skills training and capacity building for development
projects, including women's and religious groups that have played significant roles in
mediating among various ethnic groups and actors in the past decade.
To the U.S., the EU and EU Member States with major oil interests in Nigeria:
14. Press the Nigerian government to institute resource-control reforms and negotiate in good
faith with Niger Delta groups, and encourage oil companies headquartered in their
countries to be transparent about revenue and payments.
15. Condition assistance to the government upon greater transparency in federal and state
budgets, particularly with regard to energy revenues.
16. Lobby China and India to sign the Extractive Industries Transparency Initiative.
To the United Nations and the wider International Community:
17. Offer the good offices of a neutral country without oil interests in Nigeria to mediate
between the federal government and Delta groups, an idea already accepted in principle
by MEND.
18. Consider delaying or postponing cooperation with state governments that have a poor
record for delivering public services or controlling graft, and do not work with government
or party officials who provide weapons or funding to armed groups for political purposes.

Activity 5.13
Having read the brief description of the conflict in the Niger Delta and the list of
suggestions to solve the crisis, answer the following questions:
1. Look at the case study in the light of Asset-based community development,
Sustainable livelihoods and Integrated Development. W h o are the main
stakeholders? What are the vulnerabilities, and the assets?
2. Again, bearing these approaches in mind, what kind of processes would you use
to solve this very complex situation? Explain your choice
3. Looking at the suggestions of the International C r i s i s Group, which of the
suggestions can. according to you, be implemented rather soon? Which are
harder to implement? W h y ?
4 W h a t suggestions would you add, if any?

130
Unit5 Integrated development, urbanisation & rural development

Reflection
Now after you have studied this module on Approaches to development, what have
you learned that influences how you look at development strategies, development
projects, you role in public management or in an NGO? What knowledge, and
practical skills did you find useful for you, for your organization? What are you going
to do with this knowledge and with these skills?

5.12 Summary
In this Unit we looked at a variety of development issues and possible responses of
government to them. One aspect we looked at was Integrated Development
Planning and w a y s for the government to initiate such a planning process. In this
context we also looked at how public participation might be enhanced in an
integrated development planning process. We touched on issues related to
urbanization, urban growth and urban renewal and possible responses of
government to this We looked at rural development, food security and how rural
development could be mainstreamed by means of policy choices. The last topic in
this Unit focused on what happens when there are conflicting development interests
in a country that threaten sustainable development. We used the Niger Delta in
Nigeria as a case study for this.

Self-assessment activity
Study the text on the Niger Delta Take everything you now know about the various
approaches to development and analyse the situation described in the text.

To do this well, try to step in the shoes of the people living in the Delta, the
government, the oil companies and describe:
! (1) vulnerabilities
(2) assets/capital

(3) transformation & empowerment processes that are in place and/or needed

Then, imagine:
(4) what livelihood strategies and activities might be put in place by the people.
(5) what the outcomes might be

Suggestions for further reading

U N - H a b i t a t has interesting texts on urbanization, and urban challenges:
•/ Global Campaign for Secure Tenure: A tool for Advocating the Provision of
Adequate Shelter for the Urban Poor.

s Guidelines on how to undertake a National Campaign for Secure Tenure

This document presents a framework for undertaking the Global Campaign for
Secure Tenure at the national level. It contains an explanation on how the
national campaign is situated within the overall objectives and goals of the Global
Campaign for Secure Tenure. It also presents an overview of the three main
stages on national campaign implementation,
(downloadable document from www.unhabitat.org)

s Global Campaign on Urban Governance (December 2004)

Urban Governance in Africa: Experiences and Challenges (Series title)

131
Unit5 Integrated development, urbanisation & rural development

Africa enters the 21st century not only faced with the challenge of an
unprecedented rapid rate of urbanisation, but also with an intensification of
poverty among the urban population. Within the next two-and-a-half decades,
Africa's urban centres will become the dominant habitat of its population. While
this unavoidable demographic shift has a historic potential of transforming cities
into crucibles of development and engines of national growth, the prevalence of
abject poverty impedes the harnessing of such an opportunity. Thus enhancing
the capacity of local authorities to partner with the private sector and civil society
in delivering services and promoting economic development is crucial,
(downloadable document from www.unhabitat.org)

Internet Sources
UN-HABITAT www.unhabitat.org
Urban renewal (South Africa) www.buffalocity.gov.za/municipality/m
dantsane.stm
www.alexandra.co za
Nigerian Integrated Rural Accelerated www.nirado.org
Development Organization (NIRADO)
Human Rights Watch www.hrw.org
Global Security www.globalsecurity.org
International Crisis Group www.crisisgroup.org

132
Case studies

THE AKASSA COMMUNITY DEVELOPMENT PROJECT IN NIGERIA

In 1998, Statoil and BP formed an alliance to tackle development issues in the Niger Delta
where it meets the Atlantic at Nigeria's southernmost point. The Akassa Community
Development project brings together the two companies, along with Pro Natura International
( P N I ) a n d t h e A k a s s a c o m m u n i t y -- t h e 1 8 0 , 0 0 0 p e o p l e w h o l i v e i n t h e a r e a , A l t h o u g h g r e a t o i l
wealth is produced from the sea on their doorstep, the Akassa are very poor. The project aims at
improving food security and the standard of living for the Akassa people through participatory
community development.
A Statoil/BP funded Environmental Impact Assessment identified the area as the place most
likely t o b e i m p a c t e d b y a n a c c i d e n t a l oil spill f r o m e x p l o r a t i o n w e l l s i n Statoil p a r t n e r e d o f f s h o r e
blocks. As a newcomer to the Delta, Statoil wanted to establish a reputation as a good corporate
citizen from the very beginning a n d sought to p r o m o t e understanding b e t w e e n the c o m p a n y a n d
its primary stakeholders. Statoil's involvement in the Akassa Community Development project
w a s p r o m p t e d by the desire to minimize negative impacts a n d be a force for g o o d in this
community. Statoil is an integrated oil and gas company and one of the world's largest sellers of
crude oil, and a substantial supplier of natural gas to Europe,

Providing food security and improving living standards

T h e overall objective of the p r o g r a m is to a c h i e v e f o o d security a n d i m p r o v e living s t a n d a r d s for
the Akassa people. The Akassa project is an integrated development program with five main
functional areas. Each of these areas requires both institutional development and capacity
building to reach success. Although these sub-programs deal with separate aspects of the
overall Akassa project, they are inter-related in operational terms. These sub-programmes
include:
• Humanresourcesdevelopment-topromotehealth,adultliteracy,andwomenandyouth
development issues as they affect the Akassa people;
• Naturalresourcesmanagement-tomakeaninventoryofthenaturalresourcebaseofthe
area and to work out appropriate modalities for the management and conservation of these
resources;
• Povertyalleviation/micro-credit-toinstitutionalizeahomemadefinancialsystemaimedat
mobilizing local savings for micro-credit delivery to participants e n g a g e d in micro-enterprise
investments;
• Infrastructure/micro-projects-toprovidebasichealthcare,educationandotherinfrastructure
through execution of micro-projects;
• Institutionaldevelopment/capacitybuilding-toestablishand/orstrengthenappropriate
d e v e l o p m e n t institutions in A k a s s a through training ("help for self-help" a n d self-government),
most notably in health, education and the environment.
The programme
The Akassa Community Resources Management and Development Programme (ACDP) was
started under the belief that a group of stakeholders needed to run and manage the programme.
Several groups have been incorporated in the funding, management, and operations on the
ACDP program. The distribution of roles:

133
Case studies

• The NGO Pro Natura International (PNI) conceptualised this community development model
and facilitates the management of the project in Akassa;
• The Akassa people and community themselves own and manage the project drawing on
support from both Pro Natura International and Voluntary Services Oversees - VSO. VSO is
employed by the community to help with training, primary health care and marine-based natural
resource management;
• Statoil/BP and lately also Texaco support the project primarily through a financial contribution.
The companies otherwise keep a low profile and play a discrete monitoring role.

The Akassa Community Resources Management — - — "

and Development Program uses a participatory
approach with stakeholders, employing a
methodology that is both interactive with the
community and proactive in attempting to tackle
problems. The community stakeholders, broken
down into small interest groups called ogbos, give
input and participate in the programs that the ACDP
develops and implements. Both PNI and members
of the Akassa community play significant roles in the
various initiatives encompassed by the ACDP.
Initially, a study was completed to identify
development needs, community resources and
possible action paths. Solutions to certain problems
were then explored, focusing on those that incorporated self-reliance and programs that could
attract funding and support.

Key features of the approach included a "bottom up" community-led development approach, a
preference for small-scale and low-cost micro-projects as participatory learning activities, an
awareness that programme benefits could be captured and diverted away from the
disadvantage in society, whom the programmes are meant to target.

Each of the sub-programmes developed their own initiatives to address problems identified by
sub-task members. These teams, or ogbos, work independently to accomplish the goals
established by the team. Members of an ogbo share a similar trade, interest or hobby. There are
separate obgos for fishermen, fish-smokers, traders, dancers, etc. One aim of the ogbos is to
save small sums of money on a regular basis. Most ogbo members save about one US dollar a
week. Once a sufficient fund has accumulated, the ogbos lend money to their own members. If
its books are in order, an ogbo may apply for a loan from the ACDP, Micro-credit of this kind has
transformed the local economy as for the first time people have access to funds to improve their
livelihoods.

A work in progress
Since the goals of the Akassa project are long term, the ACDP is a work in progress. A
preliminary project evaluation was undertaken in late 2000 by a team of experts from the Rivers
State University, Port Harcourt, Nigeria. The purpose of the evaluation was not to police the
activities of the ACDP, but identify the project's strengths and weaknesses. Significant
accomplishments within the sub-programmes include the following;
Human resources development - 1 8 health posts have been established and 32 health post
attendants have been recruited;
Natural resources management - An inventory has been made of the forest resources of

134
Case studies

Akassa and the Akassa Forest and Wildlife Regulation has been amended; • Poverty
alleviation/micro-credit- Successful registration of60 micro-savings and credit groups with a
100% recovery rate in 2003-4; the micro-credit agency will serve the Bayelsa State and the
UNDP as a micro-credit training and extension agency;
• Infrastructure/micro-projects-Rehabilitationofhealthcentres,constructionofwooden
bridges, rehabilitation of primary school buildings all were achieved;
• Institutionaldevelopment/capacitybuilding-Anumberofdevelopmentinstitutionshavebeen
e s t a b l i s h e d a n d its m e m b e r s h a v e r e c e i v e d t r a i n i n g a i m e d a t i m p r o v i n g t h e i r c a p a c i t y for
good governance.

In addition, several research projects were spawned from the work of the ACDP. A research
project to develop rice varieties that c a n perform in salty w a t e r h a s b e e n initiated with technical
assistance from International Institute of Tropical Agriculture (IITA) a n d T h e W o r l d Conservation
Union (IUCN). Research to find more sustainable fishing methods and harvesting of alternative
marine resources is being undertaken in collaboration with River State University of Science and
Technology in Port Harcourt. And the community has also created people-oriented bylaws for
consideration by Akwa Ibom State for the conservation of sea turtles.

Findings from the evaluative team include:

• Varioussub-programmeshavebeensuccessfullylaunched,coordinatedandmanaged;
• Partneringwithmanylocalandinternationaldevelopmentagenciestoderivetechnicaland
financial benefit has also been successful;
• Dueto inadequatefunding ofthenumeroussubprogrammes, the projectfaces constraints
including s h o r t a g e s of technical staff to m a n a g e the m o r e technical activities of the
subprogrammes (e.g. fishery, engineering, health) as well as a lack of equipment/inputs
(refrigerator for vaccines, planting materials for demonstration farms, office equipment for the
ACDP Management);
• In orderto makethe projecttrulysustainable, ACDPshould ensurethatlocalgovernment
eventually assimilates some of the responsibilities that the project manages as a lot of what
the ACDP is doing would normally fall within their responsibility.

The mam challenge of the project was to overcome the culture of dependency and
irresponsibility in the Niger Delta, where oil companies for decades have been doling out casn to
the local population in order to pacify people a n d ensure that production can go on
uninterrupted. This practice has functioned as a disincentive to work, genuine community
involvement and sustainable development. Motivating the Akassa people has been achieved by
ensuring that respected and genuinely interested elders are the driving forces of the project.
Enlightenment campaigns, remuneration, interesting and challenging tasks as well as
networking and partnering with many local and international development agencies have also
been important motivating factors.

Significant lessons learned include

• Organizations with considerable experiencein specificfields are valuablewhen planning an
operation on the same scale as the ACDP;
• Communityownershipandactiveparticipationareessentialtoensureimplementationand
sustainability;
• A project of this kind, which is aimed at strengthening the Akassa community's capacity for
self-government, requires patience and long-term investment; it cannot be assessed using

135
Case studies

the standard evaluation tools of business, as an evaluation in this case must focus on the
process as well as on the end result.

This work with the ACDP has enabled Statoil to

• move beyond the traditional charitable approach in corporate social responsibility;
• engage in community development in a legitimate and sound manner;
• participate in a high-quality project through the quality and integrity offered by the Akassa
community, PNI and VSO and other secondary stakeholders;
• raise internal awareness.

About the World Business Council for Sustainable Development

The World Business Council for Sustainable Development (WBCSD) is a coalition of
international companies united by a shared commitment to sustainable development via the
three pillars of economic growth, ecological balance and social progress. Our members are
drawn from more than 35 countries and 20 major industrial sectors. We also benefit from a
Global Network of 40 national and regional business councils and partner organizations
involving more than 1,000 business leaders globally.

Contact details: 4, Chemin de Conches Tel: +41 (22) 839 31 00 Geneva, Switzerland
Fax: +41 (22) 839 31 31 Website: www.wbcsd.org

Planning; A multi-stakeholder community-driven

approach
The Planning Context
The Province KwaZulu-Natal, as with the rest of South Africa, has recently seen the
development of Integrated Development Plans (IDP's) for each municipality - metro, district and
local levels. Incorporated in the IDP's are broad spatial frameworks for land use planning and it
is intended that detailed land use management plans be drawn up under the IDP umbrella.

The Land Use Management System (LUMS) has been devised to bridge the gap between
Integrated Development Plans and the detailed requirements of land use management at
municipal level. A primary aim of the LUMS is to provide municipalities with a commonly
applicable land use management system that can be used throughout the Province. In effect,
the LUMS extends the former town planning schemes over the entire municipality. The LUMS
enables development control, at differing levels of complexity, to extend even over rural areas,
giving property owners, developers and the authorities a clear point of reference from which to
manage the conservation and development of land. A guideline manual was drawn up which
provides a common reference for all users

Pilot projects
Three pilot projects were selected in the Province, all of them covering areas that are access
routes to major nodes within the Greater St Lucia Wetland Park, a newly proclaimed World
Heritage Site. These areas are at the forefront in the classic "conservation vs. development"
debate as there is a lot of pressure for development in these corridors with the Park being
perceived as a major draw card for investment It was therefore felt that the selected areas
would benefit from the early application of land use management, as well as provide good
lessons for replicating the system throughout the Province. The Mbazwana - Sodwana Bay

136
uase siuoies

Corridor is one of the pilot project areas. Situated in tribal land (Ingonyama Trust Land) under
communal tenure, it encompasses the fast-growing rural village of Mbazwana, and
approximately 15 kms of road towards Sodwana Bay, a high impact tourism node within the
Greater St Lucia Wetland Park. Sodwana Bay sometimes accommodates up to 7000 people a
day on major holiday weekends. Mbazwana has only recently had its road connection north and
south upgraded to tar as part of the Lubombo Spatial Development Initiative. The population of
the study area is approximately 16 000.

A community driven approach

KwaZulu-Natal has had a long history of land use management planning and research, the new
IDPs largely consolidate this information and put it into the context of the new municipal
management system. Much of the planning done, including the IDPs, has been strategic,
somewhat removed from the day-to-day realities of administration and of the lives of local
62
residents. Where local residents in tribal and historically black areas have come into contact
with planning, the experience has generally been negative. Plans during the apartheid years
often resulted in large-scale removal of people resulting in considerable social and economic
hardship.

The Mbazwana-Sodwana Bay pilot is in a tribal area with a history of removals and resettlement.
In bringing the land use management pilot project to the area, there were a number of
challenges that needed to be dealt with. These can be summarised as:

i. General suspicion of planning. For the most part, people associate planning with forced
removals.
ii. Confusion over planning and implementation: people bring their needs to planning
workshops and expect these planning sessions to be opportunities to lobby for specific
services or social facilities
iii. Dealing with the heart of the tribal system - the control, management and use of land. The
Tribal Authority "owns" the land through the Ingonyama Trust, and therefore has a central
role to play in approval of tenure rights. The new local municipality has control over
development rights, although this is closely linked to tenure approval. The municipality's
capacity to exercise its development control is currently very limited.
iv. The technical side of planning brings in new jargon, legislation, policies and procedures that
are not familiar to most people
v. Both the local and district level municipalities are new; there were no local municipal
structures operating in the area prior to December 2000 and it has really only been since mid
- 2001 that these municipal structures have begun to operate.
vi. Control, such as it was, and the application of relevant legislation in this area has previously
only been administered by:
• Tribal Authority (traditional controls over land allocation and use)
• Former Regional Council based in Richards Bay (200 kms to the south)
• Provincial Government, operating out of Ulundi, Durban and Pietermaritzburg, all several
hours away.

There have never been any locally based professional resources in the form of local authority
staff to deal with planning and development control. Because of this, in deciding how to apply
the LUMS guidelines to this area, me approach had to be community driven rather than
technically driven.

As during the apartheid era in South Africa.

137
Case studies

The question to be asked of a technically driven LUMS plan would be: "Who would have an
incentive to use this plan and apply the zoning and controls?" From experience, the answer
would be that neither tribal nor municipal structures would have a great deal of reason to do so.
Without their full participation, the tribal leadership would not understand the zoning of their land,
which has never been zoned before. They have never experienced town-planning schemes. The
new municipality relies on external technical assistance and has limited staff capacity. The local
councillors therefore have an expanded role in the municipality; their concerns are largely with
their constituents, the tribal authorities and local residents. Again, a technically produced LUMS
plan is unlikely to be supported if their constituents are unaware of, or do not support, the zoning
and controls it brings.

To improve the likelihood of implementation, the residents of the area, in particularly the tribal
and municipal leadership, need to be fully involved in the drawing up of the LUMS plan. They
need to participate in decisions over the zoning of the land and the land use controls that are
established. This will give meaning to the LUMS for them. Even with a full staff complement, it is
very difficult to monitor all the land under the jurisdiction of the municipality. A widely understood
and accepted land use management plan increases the chance of monitoring and control of
illegal development by the tribal leadership and municipal ward committees.

Methodology
The methodology selected for the LUMS is based on a community driven approach where the
land use plan is drawn up by the local participants in a process that is facilitated by (external)
consultants.
Stakeholder groups were decided on by the Project Steering Committee, which had
representation from all sectors. It was agreed that the groups in the community who had
common interests were:
• Traditional authority
• Government
• Business
• Conservation / Environment

The government group included the local and district municipality as well as the local ward
committees, the civil society component of the new municipal structures. Business was given
recognition for the vital role that they play in putting investment into the area, for providing jobs
and keeping the local economy going so could provide a particular view on how land should be
zoned for future use. The study area is dominated by the eco-tourism industry with its focus
being Sodwana Bay. The view from the conservation lobby was therefore seen as critical for the
future of the area although they are sub-groups of both business and government. The
Traditional Authority group was to ensure that the tribal authority and all the residents not
participating in the other groups could have their say. No limit was given to the numbers of
people who wished to attend these stakeholder workshops. Advertising the workshops was done
through the traditional authority system, public meetings, phone calls, faxes, and through
individual contact. Public notices and flyers were also used.

The facilitators made no attempt, during these stakeholder workshops, to direct people's thinking
or ideas, or to judge any of the suggestions put forward. Everything was noted, either as a
spatial element on the map, or as an issue for consideration later on. The intention was to draw
up a composite map that reflected the different visions of each stakeholder group, however, crowded
or conflicting that map may be.

This map was then presented back to a plenary session to which all the stakeholders were
invited. The main focus of the plenary session was for people to see that their vision had been
recorded, and to elect representatives from each group to sit on a Working Group of 15 - 20

138
Case studies

people who would take the process forward. The task of the Working Group was explained fully
to the plenary, particularly the importance of being able to commit time to attending the
sessions. It was stressed that the Working Group would be reporting back to the plenary
themselves (rather than to the consultants / facilitators) and that they operated under a mandate
from the stakeholders and would have no power at all to make decisions - only
recommendations.

The Working Group workshops covered the following:

• Agreement on a broad spatial framework - the main access routes and the current reality of
any cadastral boundaries. In this case the latter included only the Greater St Lucia Wetland
Park, a proclaimed conservation area, and the surveyed, but as yet informal boundary of
Mbazwana town.

• Taking each land use suggested on the stakeholders composite map and discussing in detail
whether this land use should remain as it was, be amended or removed. All
recommendations decided on had to be clearly motivated.

• All discussions were recorded on flip charts

• Areas or land uses that were the subject of another process or set of negotiations were either
set aside, or recommendations were made that would be taken to the relevant negotiating
forums

• During these sessions the facilitators would intervene with questions to stimulate discussion
and debate, particularly where illogical, impractical or illegal land uses were being suggested.
The intention was to allow the participants to identify these issues themselves and recognise
good land use planning from bad.

• Once the land use zones were finalised, each zone then had a set of land use controls drawn
up, headed by a clear statement of intent for that zone. (Table 1 below illustrates the content
of the land use controls that were workshopped with the Working Group)

• Finally, the development application procedure was looked at by the Working Group and
appropriate procedures drawn up in terms of current legislation, practice and capacity. These
procedures also stipulate how the Land Use Management Plan can be amended.

The Draft LUMS

The draft LUMS is presented to the Plenary Session by the Working Group who will explain why
the map looks like it does, and what is intended by each of the zones. They will explain how this
plan should be used in practice. The LUMS is circulated directly to the key roleplayers who are
part of the decision-making process for any development:
• The Tribal Authority
• The Local Municipality
• The District Municipality
• The Greater St Lucia Wetland Park Authority
• The Department of Traditional and Local Government Affairs
• The Department of Environment Affairs
• KwaZulu-Natal Wildlife

Once amendments have been made, the Land Use Management Plan will be adopted by the
authorities and will then be used as the prime tool for development decisions in the area.

139
Case studies

TABLE 1: LAND USE CONTROL TEMPLATE

Land use type / zone e.g. traditional settlement
Statement of intent
Provides a detailed statement of the desired future development of particular areas / zones. The zones
identify areas of land set aside for different uses. A zone conveys certain development rights that are
stipulated in the plan.
Objectives Definitions
This sets out the main objectives one wants to This defines what is meant by each zone - largely
achieve in that particular zone; provides added drawn from the definitions in the LUMS manual;
detail to the statement of intent amended where appropriate

Sub-zones,' districts Land use controls

A district is a more detailed specification of a zone This sets out the following:
and allows for different intensities of development;
it may contain different development controls, and • permitted land uses
may permit a variation in permitted or consent uses • special consent land uses
• prohibited land uses for each zone
Management area / overlay
A management area is a defined area of land, which has a distinct set of policy guidelines or statements
of intent which influences and facilitates its development in a unique or specific manner. They may be
shown spatially showing an overlay to the planning scheme map, and should be linked to a series of
management controls or policy statements in the planning scheme.
Type • Management controls / policy statement
Type of management overlay e.g. environment, Details the policy and controls governing that
urban design, economic management area

Lessons learnt
The most important part of undertaking a pilot project is learning from the experience so that the
relevant authorities can apply the LUMS more effectively in the remainder of the Province. The
lessons learnt are:

Project Establishment

1. Suspicion over motives for undertaking the land use plan. This community recognised
the need to set out better controls for development within the town of Mbazwana yet it took
three months to overcome the resistance to extending that planning to the wider area. It was
not possible to move forward unless everyone was comfortable with the principle of
extending the land use plan over the rural area surrounding the town.
2. Study a r e a : an additional issue which took several meetings to resolve was not just where to
define the study area, but whether to define it. Lines on a map bring suspicion. "If I'm inside
the area, will it mean I'll be moved?" was a central concern. Again, this must be dealt with
fully so everyone is comfortable that lines on a map do not pose a threat, and specifically,
that these lines will be drawn up by the participants themselves.

3. Time: Both of the above meant a much longer lead-in period before the LUMS work actually
started. Working with all communities, but particularly in tribal areas, this project
establishment phase is critical. If rushed, the leadership and residents of the area may not
cooperate or only do so superficially throughout the planning process. Sufficient time must be
allocated to project establishment to ensure people are comfortable with the proposed
process and its implications for them.

140
Case studies

4. Sensitivity: planning is based on a legal imperative and the authorities have a duty to
undertake planning and carry out development control. However, it is counter-productive to
brandish the big stick during the project establishment phase. The benefits of forward
planning to the future of the residents of the area, if not already recognised, should be
communicated in a way that ensures the LUMS process is adopted for all the right reasons.
Methodology

The rationale behind the approach used in this pilot L U M S has been explained above.
There are some points that can be made.

5. The approach was discussed at length and agreed to; In fact, if the approach had been
more technical (e.g. consultants drawing up options and presenting them) the pilot project
might have been blocked, The fact that the plan was going to be drawn up in a room in
Mbazwana and not somewhere in Durban or Pretoria was appreciated and helped allay
suspicions. It must be noted, however, that in a similar pilot, the leadership expected plans to
be presented for comment early on in the process and felt that the consultants/facilitators
were not doing their job when this did not materialise.

6. Very time consuming: This methodology has more than doubled the length of time of the
original contract. One reason is mentioned above under project establishment. During the
Working Group sessions several of the land uses sparked extensive discussions. In some
instances, only one land use was dealt with in a session, Such land uses had underlying
social implications that were well-known to the participants, but were not obvious to the
facilitators. It is not advisable to cut short such discussions when the outcome will have a
much wider effect that just the land usage.

7. Short-cuts: When drawing up land use controls, it was recognised that this could take even
longer than the mapping exercise. When it was suggested that the consultants draw up a
draft (based on all the comments during the earlier sessions) and bring them back for
comment, this was agreed to. The participants insisted, though, that the set of controls for
each zone had to be looked at carefully. It was stated that this was the methodology chosen
at the start, and that it should not be abandoned even though everyone was tired of attending
so many workshop sessions.

8. Commitment of leadership: This was a key factor to the success of the methodology.
Strong support was given by both tribal and municipal leadership with the inkosi of the local
Tribal Authority and the councillor for the area attending most sessions, with the mayor
attending some of the more important sessions where agreement between the traditional and
new municipal structures was critical.

9. Stakeholders: Defining the stakeholders through consultation during the project

establishment phase was important. Initially, certain stakeholder groupings were assumed by
the facilitators but through discussions, these changed. A balance has to be found between
the number of stakeholder groups and time/cost.

10. Maps IGIS technical skills: It was made clear that while the ability to read maps was an
advantage for Working Group members, it was by no means a criterion. Local residents who
knew the area well and could bring special information to the group were welcomed, even if
unable to read maps or illiterate. It is critical that this process does not become the sole
preserve of those with formal education or those who speak English.

11. Impatience with the process: Even though the methodology is fully supported, the
pressure from developers is always there. The issue of interim guidelines for development or

141
Case studies

a moratorium on new development decisions needs to be discussed to tide the local

leadership over the planning period.

Wider Municipal issues / socio-economic context / Implementation

12. Focus of councillors and local leadership: The timing of the LUMS pilot was unfortunate.
It was intended to be done before the IDP was undertaken and was included as part of the
IDP. Due to the long lead -in time, the LUMS coincided with the IDPs. This meant that the
focus of the local leadership and people in government was on the IDP process with all the
meetings and workshops this entailed. The IDPs had a very particular time frame that the
consultants and all participants had to adhere to. There was therefore an atmosphere of
"meeting / workshop exhaustion" in the area. It was also taking place when a whole range of
new structures were being put in place, so people involved in the project locally or at
government level were still trying to understand their own roles and responsibilities and found
it difficult to devote the real time required to the planning process.

13. Challenges in bringing the traditional structures and new municipal structures
together around a common vision: This mentioned above to indicate the reason for using
a community driven approach. During the workshop sessions there were sometimes
undercurrents between the traditional and municipal structures, which is part of an ongoing
tension over the powers and functions between the two. While there has been, and continues
to be, capacity building and training on municipal roles and functions, the LUMS pilot project
was undertaken at a time when these tensions had not been resolved. Although this did not
affect the pilot project unduly, it must be recognised that such tension may be worse in other
areas, and may affect implementation of this LUMS.

14. Focus of residents in the area: Although the benefits of planning were definitely accepted
by the local leadership and community, the process is, at the end of the day, only a plan. It
does not necessarily bring physical development or satisfy the needs of the people. Very
often the focus moved to discussions on water supply and infrastructure, which should follow
land use planning - not drive it. In addition, the area is relatively poor with high
unemployment, poor levels of services and many other problems typical to rural areas. This
makes it sometimes difficult to engage local residents in forward planning and its links to
implementation when their prime focus is "where is the next meal coming from?" and "will this
bring jobs?" This needs to be recognised and those links to implementation reinforced
throughout the process.

15. The new legislation on local government, and therefore the IDP and the LUMS, are
based on devolution of powers and control to local government level. It is therefore a
contradiction that for some time to come, the final decisions on development can only be
made at provincial level. Tribal, local and district municipal levels do not yet have decision-
making powers over development; this still lies at provincial level. New legislation is being
drawn up but it will be a while before regulations are designed and enacted. Until that time,
the local levels of government will only be able to comment and make recommendations on
development applications. This reality needs to be recognised by the local leadership so that
they can put the LUMS in the correct context, and understand that this is a transitional phase.

Costs
16. Meetings postponed, no quorums etc. is common to all areas and needs to be recognised
as an additional cost item. During this process, it was sometimes necessary to return three
times before a meeting/ workshop is held successfully.

17. A community driven approach is time consuming and has direct cost implications. A
balance needs to be found between ensuring that the process is effective but keeping within

142
Case studies

an affordable budget. Time and money spent now may result in much greater savings later
on.

18. Language: The LUMS manual with its planning terminology are all in English. When working
at local level there has to be translation - both verbal and written. A 60-80 page report, at
current rates for translation could add on 15-20% to the overall planning budget. It was very
clear from this pilot that translating into the local language makes all the difference to
understanding the process, even for those who understand both languages used.

2
19. Area: This pilot covers a relatively small, manageable area (400 km ). A community driven
approach is more manageable at this level. Larger areas, with more tribal or municipal wards
make the process more unwieldy, and more costly. A certain amount of participation may
need to be sacrificed in the interests of getting the job done. This does not mean the
approach should be abandoned, but rather that the planning areas should be kept to a
manageable size. This also keeps the plan understandable and more real for the residents of
the area. Clearly, levels of complexity will also have an influence on this.

CONCLUSIONS
A community-driven approach is very satisfying - for both the consultants / facilitators as well as
for the local participants. It is interactive and truly promotes two-way learning. It enables the
facilitators to pick up on a wealth of local knowledge that might otherwise remain unnoticed. It
has certainly helped to ensure that the traditional and municipal authorities work together at an
early stage, which is a key issue in this land use planning process. The greater the participation,
the more difficult it makes it for any of the parties to ignore the plan later on. In addition, the
importance of land to the people cannot be underestimated. Therefore any planning process
dealing with land must be handled with respect.

The time and cost factor to this approach has been mentioned several times and it may be
difficult to find a balance at this point. However, as capacity is built within the new municipal
structures and traditional authorities, as there is greater understanding of the different roles of
these authorities (and therefore a decline in tension) and as people begin to associate planning
with positive outcomes, it should make it easier to introduce and workshop future Land Use
Management planning processes.

Authors: Wendy Forse, Vicki Doesebs, Riaan Botes

INTRODUCTION

Community Initiative Support Services [CISS] is a non-profit-making development agency

registered as an NGO in the Republic of Kenya. It is based in Kisumu in the West. We believe
that people are the reason for and the means through which development can be achieved.
Unless communities or groups of people are aware of their roles and rights, they are not in a
position to bring about change. The past experiences of these populations have shaped how
they relate to the context of today. If this process is carefully studied, we can understand why
certain situations are now in place. So CISS we have put huge amounts of resources to in-
depth studies of the communities we work with.

143
Case studies

HISTORICAL BACKGROUND OF THE COMMUNITIES

CISS works among different ethnic groups, mainly farmers working with crops and animals on
poor, unrewarding land. Many of the men go away to find work in the towns leaving female-
headed households. The communities with whom we work were subjected to colonial rule for a
very long time. All development decisions were being made for them, not by them. The result
was a loss of initiative, loss of confidence in their own ideas and in their ability to put such ideas
into practice. The development masters did not stop at this; they made people believe that the
values and way of life of local people was primitive and backward - not useful at all. Gradually,
people got used to others speaking for them. Gradually they came to believe that good
initiatives can originate only with the developed West, not locally.

Colonisation has had many negative effects. However, one aspect that seemed to work well
was the provision of basic services to the poor majority. With Independence, many people
thought that these services would continue. However this was not the case. Kenya soon slipped
into a situation common to many new states in Africa - management of services and wealth,
access to services and wealth, were with only a few people at the top of the pyramid. For the
rest - abject poverty and lack of essential services.

And the response from the community? Those controlling the services and wealth can offer job
opportunities, political goodwill, limited access to the services. To have a chance of getting
these, sycophancy has to be offered. Non-sycophants are reduced to low-key protest, limited
and ineffective since many are afraid of victimisation. Others do not even have an idea that they
had any right to be heard. Some leaders who had tried to educate the people about their rights
have been accused by those in power of being engaged in subversive activities.

COMMUNITY STATUS

Given all this, many people do not have the time or skills to learn about their rights under the
constitution. Widespread political patronage have characterised and influenced the people
during elections. The poor and hungry are easily bought to vote for self-seeking leaders. But
after the elections - the leaders just keep away until the next time,

RATIONALE FOR CIVIC EDUCATION

Development is what people can do for themselves, not what one person can do for another.
Good development agencies like to work with groups which are ready to participate fully,
generate ideas, offer resources to implement these ideas. And for any activity to be sustained,
there has to be those who own it and will work for it. The predicament in this region has been
that people wait for services to be provided to them by the development agencies. Their own
efforts in initiating, managing and eventually sustaining projects are limited. So CISS, together
with many other concerned agencies, decided to provide civic education.

The aim: to provide communities with the capacity to demand their rights when and if
needed.

DEVELOPMENT APPROACHES

At present, there is a big push for demand-driven development approaches. This means that
the possible beneficiaries have to know what they need and want, are able to ensure that
projects are kept going, remain sustainable even after the departure of funders and helping
agencies. But how can such an approach work with people who have no confidence in their own
ideas? Instead they ask us to tell them what to do and how to do it. There is a whole process
needed before any demand-driven development becomes possible, the process of people
becoming aware of their own strength, value and role in the process.

144
FACT-FINDING

Sustainability of Projects

We started by mobilising the people and grouping them into interest or focus groups. Some of
the groupings were done by sex, age, number of children and occupation. In each meeting, the
people were asked to indicate successful projects which they had initiated through the advice
and support of outsiders that had been operational for at least a year after the withdrawal of
support. They also identified those projects which they had initiated on their own during a similar
period of time and to give a rating in the performance of both at that time. This exercise was
done many times as they varied those projects initiated both at group and also individual levels.
Through this process, it became clear that the projects which were initiated through the local
communities both at personal or group level were more sustainable. It further became clear that
the one who has a problem is best placed to determine the solution - not an outsider. If projects
are to have a meaning to any specific group of people, then those concerned have to play a
major role in the initiation of such projects and all the steps that follow. Members were
challenged to be aware of this in all their development aspirations.

Problem identification

Secondly, the team of facilitators were given time to group themselves away from the population
and to come up with what they perceived as the community's major problems. Each group was
also given a chance to do the same. On comparing the prioritised problems it was realized that
the two groups had completely different views. The conclusion was that what people from
outside a community perceive to be the problems that affect a community may not necessarily
be correct.

People's perception of Improved Living Standards

In all development initiatives, people talk of the need to improve the standard of living for
various communities. However, the indicators for measurement are widely varied and may not
reflect what the target population may have in mind. In fact each individual does have what they
perceive as indicators of better life.

In the following exercise, each person was asked to come up with his or her dream life by
stating some of the facts they consider to indicators of better standards of living. They were also
asked to state why each has not been able to achieve the preferred standard, it was interesting
to note that people understand development as the provision of such facilities as transport,
housing, education and health facilities without any reference to good governance, appropriate
laws, security, accountability and transparency. Moreover, the community's own roles in
determining the aforesaid did not feature at all.

After lengthy discussions we concluded that unless communities take an active role in
demanding the various documents containing the regulations which guide their rights, study
them and work out strategies, then it would be difficult for them to have a say in what affects
them in every sphere of life.

Knowledge of Various Policy Papers and Regulations

For clarification, we asked people to name some of the very common regulatory bodies like the
Kenya Revenue Authority and identify their powers which are stated in the Police act. These
powers concern the public, trade, agriculture, the sugar authority and many other areas. We
eventually realized that people were not even aware of the existence of these bodies let alone
what they are about. The community then demanded lessons on how they can go about
pressing for their rights.

145
Case studies

THE ACTUAL CAPACITY-BUILDING PROCESS

We started by training a group of community volunteers who were to be known as the paralegal
community workers. These were given lessons on democratisation - the key idea being that the
majority opinion ought to be the guiding factor in decision-making. The next topic was human
rights, the key idea being the equitable distribution of resources. Gender issues, particularly
around resource distribution, roles and responsibilities, were discussed at length and
considered in relationship to traditional beliefs.

In the management of public affairs the need for transparency and accountability was
emphasized, it was noted that many people did not see the need to vote due to the lethargy
which had set in among the community members. Their argument was that in the past the
voting in elections was rigged during elections so going to the polls seemed pointless. The
rights of voters and the need to vote by learning the approved voting process each time was
emphasized. Another area which generated a lot of interest was the need of and use of legal
advice through lawyers. Legal advice was noted to be very expensive and out of the reach of
many people.

The issue of costs led the people to discuss the importance of economic stability in exercising
ones right in a society. It was clear that those with a sound economic base have better
bargaining power in all aspects of economic development. Community members were to be
challenged to address this critically. Only the introductory aspects of these topics were covered
during the training of the paralegal volunteers. Topics were carefully selected to ensure the
usefulness of the messages to the target population.

COMMUNITY MOBILIZATION

The community trainers were recruited from some of the social and development groups in the
community. They were to go back and carry out what they had learnt using the adult learning
methods, and avoiding confrontations with those who felt that the issues being addressed were
not a concern. For the rest of the communities not represented by these groups, other
development workers with the mandate of civic education were consulted for collaboration and
co-ordination.

OBSERVABLE RESULTS

Community Groups

Since we took these steps in civic education, we have seen many community groups coming up
to address the socio-economic needs of the people. We are convinced that once such a forum
exists then it is easy for communities to use it to press for their needs, As a group they form a
critical mass able to pool resources to cater for legal support or representation when needed. In
addition, they can press for changes they wish to effect even in their relationship with
development agencies or representatives of various sectors of the Government.

Gender Awareness

The idea of sharing of roles in the family between men and women is presently being debated a
lot by both women and men in the community. Although in practice there is little sharing,
particularly of activities which were originally the domain of either men or women, we believe
the discussions are a good starting point Many of the women who went through the courses
are much keener in following matters pertaining to family property than their counterparts. The
current general belief among most of the women is that it is just as important to educate the
girls, as it is to educate the boys. As a way forward many see the sense in exposing male and
female children equally to household cores. The idea is however not popular with most older
members of the community. Many of them feel that such a move leads to confusion among

146
Case studies

young people in areas of traditional taboos. To us the fact that the issues are being debated is a
good sign.

Participation in the Savings and Credit Scheme

Following discussions between CISS and community members, many are currently participating
in savings and credit within our areas of operation. There are over 1,000 women and a few men
in various groups. Once they improve on their economic status they have a strong base for
political and development bargaining. Normally those who are well placed make sure that their
standard of living - housing, education, health facilities, clothing, food - all stay the same or
improve. Now, savings and credit group members can start to concern themselves as well

Participation in the last general election

It was amazing to see the number of people who participated in the last general election
compared to the previous years. Their determination to vote out the previous regime was
demonstrated in the outcome of the results. This has shown them that they can achieve a lot if
they could choose to work together as a team.

Source: http://www.networklearning.org/case-studies/kenya.html

Case study Tanzania: Community involvement in the

management of a water project
COMMUNITY INVOLVEMENT IN THE MANAGEMENT OF A WATER PROJECT
LESSONS FROM MBUO

Background
The setting of the project is in a part of Tanzania where there is a lot of water on the surface.
Even during the dry season, people can always find water of some kind if they spend enough
time. But usually it is not clean. Less than 29% of the rural Tanzanian population have access to
clean and potable water (Ministry of Water). The others are forced to use polluted water leading
to disease. Waterborne diseases include those transmitted by the faecal-oral route including
diarrhoea, typhoid, viral hepatitis A, cholera and dysentery. Evidence suggests that waterborne
disease also contributes to background rates of disease not detected as outbreaks. Water-
washed disease occurs when there is a lack of sufficient quantities of water for washing and
personal hygiene, including skin and eye infections such as trachoma. Diarrhoea is the most
important public health problem affected by water and sanitation and can be both waterborne
and water-washed.

Some of the problems affecting rural communities and water supply are historical events,
occurring after Tanzanian independence in 1964. Under "Ujamaa", the political philosophy of
President Nyerere, a large proportion of the population was moved into new settlements in the
"villagisation" process. This was forced resettlement aimed at the creation of bigger, more
productive rural groupings with better access to services. But these new communities were made
up of people who did not know each other and had no history of working cooperatively. Then, in
the decades of the seventies, eighties and nineties, various initiatives, programmes and
interventions were planned and begun in the rural areas, usually with no follow-through; water
policies and responsibilities were shifted between State, Ministries and communities with few end
results. The most recent initiative is the Tanzania Water Policy, now legalised, which seeks to put
responsibility completely in the hands of communities. Once the 1995 revised Rural Water Policy
is in place:

147
Case studies

• the roles and responsibilities of various stakeholder groups become clearly defined;

• there will be full cost recovery for Operation & Management (O&M) and part of the capital
costs from users by the establishment and formal recognition water committees and water
funds;

• there will be a complete departure from the traditional supply-driven approach (SDA) to a
demand-responsive approach (DRA);

• management of water supplies is to happen at the lowest appropriate level, as opposed to the
centralised command control approach;

• there will be increased participation of the private sector in the delivery of goods and services;

• and integrated water supply, hygiene and sanitation education.

To make all this happen would require considerable devolution, training and retraining and
financial resources. In particular the Local Government (LG) workers at District level were
realising they would have to change their role from that of being a service provider to that of
facilitator, regulator and promoter. At the time they were not performing their partnership role as
envisaged. They mainly performed crisis management, they carried out their roles and
responsibilities at less than full power, there was a lack of transparency; and finally, they found it
difficult to evoke a partnership response from the communities. They may have had the technical
skills that their new role needed but they did not have any of the other skills needed once no
NGO is around to help - skills to build a partnership with communities and to provide the training
that would allow both sides of the partnership, together, to run water projects.

Villagers, beginning to contribute to this process, were handicapped in a number of ways. With
villagisation there was a destruction of ways of working together and traditional conflict resolution
mechanisms. The last thirty years have perhaps made worse certain issues in the communities
that are not talked about easily, like corruption, alcohol and witchcraft. These divide villages and
can negatively affect progress.

The Project
When Concern decided to start the project, it chose to repair an existing water supply system
fallen into disrepair. The system covers eight villages with populations of about 2,000 people
each. Concern dug nine deep boreholes. The system was geographically large, with electric
pumps and extensive piping - all requiring, in the long term, high maintenance and joint
management by all the villages involved. This put responsibility onto communities that had little
mutual trust. The system required electricity and at the time the bill was paid by the Local
Government.

Part of the land covered by the project was purchased by a white Zimbabwean to form his private
ranch. For some time he took water from the system while refusing to pay or even to permit
workers to come onto his domain to make repairs. He distanced himself from the villagers while
trying to get close to the NGO Director. The situation was not helped by the legal system that
meant that the ownership of water by communities was not legally clear. Traditional reconciliation
methods failed. Then the NGO successfully carried out a reconciliation meeting that established
the obligation for the farmer to pay for his water and co-operate in general.

New legislation will soon stop the Local Government from paying the electricity bill for the project;
the sum is not that big and the villagers should be able to find the money between them but it will
require co-operation. This may have an effect on sustainability.

Concern created Village Water Committees in each village. However each community already
had a Village Government and the water committee was not slotted in as part of the hierarchy

148
Case studies

controlled by this Government. This has led to difficulties. In addition the rules for electing Water
Committee members and supervising the collection and outlay of money were not laid out clearly
enough.

The project introduced Animators, mostly females, in every village, chosen by the Water
Committees and by villagers to carry out hygiene education. This was an idea that was working
on a small scale but only reaching other women. Effective hygiene education needs to reach
women and men both for proper success - telling housewives to wash their hands with soap is
futile if it is husbands who control spending. Animators were also acting as sources of
information for the NGO. However they were not becoming voices for the women of the
community in the committees themselves.

The two groups of villages

There were two groups of villages in the project and the author spent time studying two villages
in each group. In one of the groups of villages, the hardware was installed, the committees
created in each village and given extensive training; these were the trained villages. In the other
group of villages the hardware and the committees were installed but the training was not carried
out - these were the untrained villages. On paper the training was about management and
accounts, but, in practice it seemed to have carried an ethical framework with it. The villages that
had training built effective Water Committees, collected money and paid it out as they should and
in general acted honestly.

In the untrained villages, corruption and ineffectiveness had crept in. Important people in the
villages were claiming water without paying, taking part of the collected water money, and getting
their candidates onto the water committees - which then had high member turnovers.

The actors in the Mbuo project

There are many actors in the Mbuo project - villagers, committee members, Local Government
officials, workers for the NGO - and to be effective they had to trust each other, be active and
honest and work together. In practice, though, their viewpoints were shaped by their individual
pasts and previous experiences of each other, by what they saw as the rewards of being active
or otherwise, by the extent to which their lives had room for risk.

The viewpoint of the village people

Villagers faced a prospective water project with traditional co-operation badly damaged. To quote
a villager:

"Because of Ujamaa we lost out culture of mutual self-help. In the traditional community, people
could rely on the family in cases of an emergency, such as illness, crop failure etc. The traditional
initiations in our former villages forced us to be fnends. The idea was: one for all and all for one...
When we came into the new villages, no one knew each other. We lived more independently
than before. Also, the social services provided by the Government made communal and family
ties less necessary for solving problems. (Retired Village Leader Namgogoli, 15-03-2002)

"Villagisation was a forced and political movement. Social services were too far away and
villagers became dependent on the Local Government who had to give everything. [...] The rural
communities' first reaction was to ignore the grass-root planning process invented by the Local
Government as a waste of time and instead to wait passively for whatever benefits might come
from aboi/e".(Concern Programme Advisor, 27-03-2002)

This dependency culture was identified as a real problem.

149
Case studies

Village people live in or near poverty. Factors that influence their willingness to use better water
supplies are cost and ability to pay, their time budget and their awareness of the risk of illness
through dirty water. A representative response in one of the untrained villages was:

"we do not agree to pay for the water. How can somebody 'own' water and claim that we have to
pay for it? I do not like this idea, and therefore collect free water from the ponds".

In the trained villages a more typical response was:

"Since we use clean water, our children get less diarrhoea. This makes us buy clean water. I am
worried when the water scheme is out of order: then I have to collect dirty water from the ponds."
(villager Mgao, 16-04-2002)

The viewpoint of the village people about the Water Committee

In the untrained villages there was often a lack of knowledge or ownership:

"I am surprised that you want to talk to us about our village water committee. I cannot give you
any information".(Villager Mkwajuni, 04-03-2002)

"/ did not know that this water project is a community-based water project. It does not feel that
way. We do not get any information and we are not involved in any water-related matters. If we
are, from the start, not jointly responsible, how and why should I then co-operate in the
management of the scheme?" (Villager community Mkunwa, 14-02-2002)

The role of women

In this culture as in most others, women do almost ali the work around water. With the help of
children they carry water long distances when necessary. However, in this project resistance to
female participation in village structures was strong. There was no quota of female membership
imposed on the Water Committees. Nevertheless, a few women were starting to hold positions in
the committees and to help make decisions. When asked for explanations for the poor
representation of women in the public domain of water supply, committee members mostly said
that traditionally the voice of women in public events is not very common. One male member of
the VWC said that:

"women wouldn't understand the content of the discussions and decisions because of their poor
education".

The viewpoint of the village-elected committees

'When a lot of water is sold, the village leader observes that the Village Water Committees have collected
more money that the Village Government. The village leader clearly feels threatened in his power and
position. In the untrained villages, two things may happen. The village leader may either claim the money
of the village water fund or bring influence on the people not to buy water from the scheme. This
used to happen in our villages, but training on cost recovery opened the eyes of everybody. Now
the trained Village Government (VG) supports the water committee." (VWC Namgogoli, 07-02-
2002)

"The village leaders in the untrained villages have ties that are too strong with the Village Water
Committee. To make sure that the Village Water Committee does not threaten their traditional
status, they push forward weak and poorly educated members to take positions in the VWC.
These members have no experience at all with management or water projects. But they slay in
position as long as they pass money from the water fund and free water to the village leader".
(VWC Namgogoli, 19-03-2002)

"We give free water to members of the VG because we feel obliged". (VWC Mkwajuni, 08-03-
2002)

150
Case studies

The viewpoint of one village committee towards the committees of other villages

"We need more training...we cannot take any or good action. When we meet, we do not know
what to do, we disagree with each other or we stay silent. So it is not very useful to come
together. We need more training to overcome these p r o o / e m s " . ( V W C M g a o , 1 5 - 0 4 - 2 0 0 2 )

The viewpoint of the village committees towards Local Government

"We as a Village have no relationship with people of fhe Local Government We hardly
communicate and we never work or eat together. They stay in their offices while we life and work
here". (Villager Mkwajuni, 14-03-2002) and "I can only dream, The dream is that w get more
financial support from Local Government - this village has few services, and we can use more
help. But in reality we never get the support we need.... That is the reason why I do not sit and
wait or approach the District'. ( V i l l a g e s e c r e t a r y N a m g o g o l i , 0 1 - 0 2 - 2 0 0 2 )

An illuminating incident - though the facts were never confirmed

"Communities further away complained that they did not get any water. This was strange as the
Hijari tank was supposed to be full. We investigated the pipelines, but no leakages were found.
When we visited the water attendant at the tank, he said nothing strange had happened and that
he did not understand the cause of the problem. Later on however, we found out that big lorries
from the Local Government (District) come now and then and are filled with water from the tank.
We believe that the District sells the water in other villages for their own profit. The attendant at
the Hijari tank, employed by the District, closes the pipes on purpose so that the District can tab
off water. He is bought off by the District and gets his share. We have reported the theft at
District level, but without result. The District takes what is good and says it is theirs, it is clear for
us that we can't trust the District, as well as the water attendant".(mc, 25-02-2002)

The viewpoint of the Local Government Officials

The author was not able to get Local Government Officials to give the whole picture. She
observed that they responded to emergencies when put under pressure but tended to ignore
chronic problems such as non-functioning pumps. They were still reluctant to build partnerships
with villagers. It has been noted that public sectors typically rely on incentive systems that send
very weak signals about performance to staff who are employed on long-term, low-paying
contracts with few legal opportunities for advancement.
The NGO and committee building
Given the many problems already discussed, why did the trained villages perform better? They
had been in the project longer - nearly five years. Perhaps this is the minimum length of time it
takes for communities to find their ethical feet. The project, at the time, had a five-year duration,
which is longer than usual and it has been extended since.
A n o t h e r k e y factor w a s that the N G O built trust in a consistent a n d pro-active w a y ; it did this in
various ways including; ensuring a good flow of information; visiting the villages as often as
possible and listening; being very careful of the profile it presented, including being careful of the
c o m p a n y ii kepi - for e x a m p l e refusing invitations to eat with the private farmer.
However some aspects of the NGO played a less positive role. There was insufficient staff in the
Concern office for the size of the project, especially given the geographic distances between
villages. A further issue was whether the NGO could have created structures that worked more
with the grain of the culture - Village Water Committees linked properly to the Village
Government, reconciliation methods that strengthen the traditional ways.
Discussion
Case studies

Watsan specialists during the nineties considered that water projects should always be linked to
latrine and hygiene education components. Currently people are not so sure. Latrine projects
demand a high number of staff working over a long period - even if the technology is local and
simple. The absence of latrines in this project and the low priority given to hygiene education
must limit the effect which clean water can have on the health of the communities.

The choice of technology in any project is strongly linked to sustainability. It determines the
amount of co-operation needed from and between communities. The technology in this project
demands a lot. But the possibilities of alternative technology in the project area are limited for
geo-physical reasons. Rain catchment could be used but would require corrugated iron roofs for
each house. Shallow wells would reach only polluted water table levels. So boreholes and
electric pumps make sense. However, in five or six years time the local government may no
longer be paying the electricity bill for the project and the NGO may have gone. The cost of the
electricity will not be huge and will probably be payable between the eight villages if their
management capacity is in place. And the trained villages are already showing management
capacity. This shows that with time the villagers should be able to play their proper role.

What is less likely is that, in six years time, the Local Government officials will be playing their
proper roles. They should be ordering spares and make tricky repairs and in a much wider sense
be working whole-heartedly with communities to maintain the water supplies. A Finnish project in
the region is currently providing training to Local Government officials at District level and it is
said to be making good progress. This type of intervention could be key for water projects in the
future - and make sanitation components possible.

The country's legal system means currently that communities do not clearly own water
resources. This suggests that perhaps NGOs should be playing a greater advocacy role.

Conclusion
Building effective community management in water projects is not easy but it can be done,
as this project has demonstrated - in half of its villages. The other villages remind us that it
can also easily go wrong if the necessary effort is not made.

Source: http://www.networkleaming.org/case-studies/tanzania.html

PUSH II and PROSPECT

In many urban settlements in developing countries, securing a livelihood can be complex and
confusing. Urban residents live in uncertain environments, with urban growth, which outstrips
economic opportunities, government services, which are often decreasing and deteriorating,
rapid cultural change and increasing crime. People use varied strategies, often living on credit
and networks of support, undertaking seasonal work, earning incomes in the informal
economy, shifting from one temporary household arrangement to another. Strategy outcomes
often do not meet even the most basic of households' needs, increasing the vulnerability of
those already marginalized.

Within this muddle, livelihoods based approaches provide a map for analysing the problems of
the urban poor and developing appropriate interventions. The starting point is vulnerable
households (women, men and children) and their livelihood strategies, that is, how they secure
means of living, what assets they build up, the resources they need and use, and importantly,
who controls these resources and how they do it.

152
studies

Since the mid 1990s CARE International has been implementing and refining its own
livelihoods approach, household livelihood security (HLS). Originated from methodologies
used in rural areas concerning food security, livelihoods approaches are remarkably suitable in
helping to interpret the complexities of urban living.

Key aspects that HLS shares with the livelihoods approach include:
• Vulnerable women, men and children are the starting point
• The building and enhancement of household level assets (both tangible and intangible) is at
the heart of programming activities
• The holistic analysis of problems and opportunities, followed by implementing focused
intervention strategies
• Interventions addressing different levels, from household level asset building to municipal
level control of resources
• Using tools at all stages that are participatory and are aimed at empowering those involved
• Programmes require coherent information and learning systems, which implies not only
good monitoring and evaluation but also reflective and self-critical practice, feedback
among participants, and a knowledge base for the programme, which is consciously
evolving.

The following case study from Zambia seeks to illustrate these points. The study describes
CARE's experiences of implementing urban livelihoods-based programming in three
consecutive projects: PUSH I, PUSH II and PROSPECT.

TRANSITIONS FROM PUSH TO PUSH II AND PROSPECT

One of CARE Zambia earliest projects was PUSH (Peri-Urban Self-Help), begun in 1990 and
funded jointly by the Canadian International Development Agency and the World Food
Programme. The two-year project involved 2000 of the poorer residents - mainly women - in
rehabilitating roads and drains and solid waste removal, in return for which they received food
rations. In response to initiatives of the project participants and requests by the Councils,
CARE began a second phase in 1994, PUSH II, with funding from the Department for
International Development (DFID), and with a more sustainable community development focus.
PUSH II took place in three settlements or "compounds" in Lusaka and one in Livingstone.

The aim of PUSH II was to reduce poverty by strengthening people's capabilities to initiate and
maintain their own development. Key to this was 'ownership' of how the needs were prioritised,
the means of achieving improvements, and a shared understanding of the situation and nature
of the challenge. To achieve this, PUSH II was designed as a process project, in which specific
outputs and activities were defined in consultation with residents. Hence the project began with
an extensive "Participatory Appraisal and Needs Assessment (PANA), which involved
training residents and co-conducting exercises to prioritise and characterise critical issues that
affected their livelihoods. The activities in PANA included semi-structured interviews,
institutional inventories, listening surveys, role-play to stimulate discussion, and group analysis
of key issues.

In 1998, after extensive evaluation and consultation. PUSH II was followed by PROSPECT
(Programme of Support for Poverty Elimination and Community Transformation). PROSPECT
keeps the PUSH II focus, but is scaled up to involve 14 settlements with a population of
600000, an emphasis on institutional and policy strengthening and the role of the Council, and
includes a new element of environmental health.
The following case study refers to PUSH II as well as some innovations within PROSPECT.

153
Case studies

COMPONENTS OF PUSH II AND PROSPECT: HOLISTIC ANALYSIS,

STRATEGIC FOCUS
Based on the conclusions of the 1994 PANA, PUSH II was structured into three components:
• Personal empowerment (now renamed microfinance to convey the actual strategic focus),
• Social empowerment (or institution building),
• Infrastructure improvement.

The programme interventions all ideally lead to a cycle of livelihood improvement through
personal and social empowerment, and they are founded on a base of participation and
partnership, gender equity and information and learning systems (including monitoring and
evaluation).

1. Personal Empowerment/ Microfinance

(household level assets building and increasing access to credit)
Persona) empowerment focused initially on the training of the 2000 food-for-work participants.
A savings and loan system was designed specifically for income generation needs. This
emphasised group solidarity. Savings accounts were opened as a guarantee to the loan. In
PUSH II, 900 people formed savings groups and saved US$18000, while loans were issued to
73 groups for a total value of US$10000. These were 92% repaid without recourse to drawing
on the savings, which were used as a guarantee. The monitoring is done through "livelihood
categories" indicator that has elements such as number and content of meals, being able to
send children to school. More than 70% of residents in the group reported having stable or
improved livelihoods in contrast to only 1 1 % in control groups.

Since generally the view was that microfinance will be unsustainable for the very poorest,
these achievements were encouraging. In PROSPECT, the component was revised to have
greater emphasis on savings and institutional sustainability, and early pilot project results show
surprisingly strong capabilities in this regard. While repayments on the PROSPECT loans of
US$15000 are as expected, more notable is the fact that all the financial services societies -
with some 1000 members • have been issuing loans from their own savings worth
approximately US$8,000.

A particular focus of the PUSH II empowerment training was on women and their ability to
retain control over resources. Prior to the training many women stated they did not participate
in decision-making on household issues such as family planning or the use of income. Half of
these women found that this changed significantly after the training. An extra result of this
activity was the training of groups of voluntary gender facilitators for educating the community.
These facilitators also serve as mediators in cases of property grabbing, a serious problem that
occurs frequently after a husband's death, where the man's relatives seize all the family
assets, leaving the widow destitute with nothing to support the children. Currently such groups
are at work in five compounds, in some cases evolving into universally recognised institutions
of conflict resolution.

2. Social Empowerment/ Institution Building

(neighbourhood level access to resources through institution building and providing support to
city councils)

Social empowerment works in parallel at two levels:

• At neighbourhood level through the formation of representative area based organisations
(ABOs);
• At city council level through supporting policy reform and improved provision of services.
Both activities therefore focus on improving the supply of resources. At one end mobilization
and management of primarily internal resources, at the other end access to government
resources.
Case studies

Within neighbourhoods, given the weakness of existing organisations, a democratic process

was initiated leading to the election of representative neighbourhood level 'area based
organisations' (ABOs). A federal structure combines ABOs into a compound-wide structure.
Approximately 2000 members of area-based organisations have received training in leadership
of community development, with topics such as participation and self-help, consultation and
conflict resolution, planning and evaluation. People are encouraged to participate in ways they
find familiar and culturally appropriate, such as using local proverbs to help people find a
deeper resonance with some of the ideas discussed. For example: Uwawa, taimina
(ChiBemba) - He who falls does not rise on his own, Kupa nkwaanzika (TsiTonga) - To give is
to store - giving is a form of savings, since the people you give things to will come to your aid
in time of need.

The ABOs provide several functions. The most obvious is the organization of services, in
particular water supply. However their impact has been far greater. The process of
neighbourhood organization has given a platform for residents to engage with Lusaka and
Livingstone City Councils. Project activities have focused on improving city councils' ability to
work with ABOs. These efforts include direct training and collaboration of Council staff in
project work in each settlement, regular meetings of ABOs and Councillors, as well as the
formation of a steering committee, which oversees a number of issues such as the ABO legal
framework.

Lusaka City Council (LCC) has been responsive to this approach, and has requested CARE to
continue this support and also to assist in strengthening relations between Council staff and
existing neighbourhood organizations (known as Residents Development Committees) in all of
Lusaka's compounds. Interest has also been shown by national government. Several ministers
have visited neighbourhood initiatives, whilst the Vice-President officially opened one of the
water projects.

3. Water supply and infrastructure improvement (improved resources)

The third major area of PUSH II was the implementation of projects to provide services,
ranging from supporting pre-schools and gender educators to building bridges. The major
priority of residents, however, was to have available a piped water supply. To these ends,
CARE collaborated on a Japanese-funded project in George compound, and from 1996-7
implemented the Chipata water project.

The water scheme is managed and owned by the Residents' Development Committee in the
name of the residents of Chipata, with support from CARE and Lusaka City Council. The
project involved extensive involvement of ABOs who organised and educated residents. ABOs
were key in the planning of the scheme, deciding the location and design of communal water
points, the level of service required, and the residents' monthly fees and capital contributions.
Community participation was such that an estimated 70% of the families contributed 5 days
labour in laying pipes.

Fees for using the water supply are paid to trained local residents who are employed by the
scheme. By mid-1999 over 4000 families had subscribed the scheme, All operating costs are
paid from these fees, and the scheme already has US$ 13000 banked towards capital
replacements. In addition to the CARE's support services, financial management support was
provided by the Council, and operations assistance by Lusaka Water and Sewerage Company
(LWSC).

After the Chipata scheme had been operational for 2 years, a major review was conducted by
CARE, LCC, LWSC, and the government's Water Supply Reform Support Unit.
PricewaterhouseCoopers was contracted by these institutions to conduct extensive
consultations and surveys, make recommendations for improvement of the scheme, and
facilitate a discussion among all stakeholders about the best future management system. The

155
Case studies

scheme assets will be handed over to LCC. and leased for a long term to a Trust with a
comprising members from the ABO, other community members, LCC, LWSC and CARE.

Overview of ABO Formation within an Appraisal Process

The model of moving into a new compound and starting work is to work in very close
partnership with Council in a combined PANA and ABO formation process. In reality, the
various parts of the process do not often follow a straight line, but the following are the steps
taken:

Surveillance (intelligence gathering)

CARE and Council officials begin to discuss what is known about the community, consulting
with other agencies, which may have worked in it. The council officer then calls together some
community-based organisations and other leaders to introduce PROSPECT. They discuss the
major needs felt by the community, the number of CBOs and the relationships, the history of
the compound and types of activities done in the past, and their willingness to work with CARE,
and to plan the next steps, including the eventual formation of a full ABO. Mapping, Venn
diagramming, and historical time line are some of participatory tools used. At this stage, the
concern is to understand some of the issues to be faced in the process, but to avoid raising
expectations too early, and thereby running the risk of setting in motion distortions and biases.

Compound-Wide Rapid Appraisal

The existing RDC (or other CBOs) mobilise a group of general residents to meet at a central
point. The purpose of the meetings is explained to them after which they are divided
(disaggregated) into three groups, male, female and mixed group, to confirm the issues
discussed at the surveillance stage, expand the analysis and obtain more information. A
number of participatory tools are used such as causality analysis, problem ranking, activity
profile, seasonality calendar, and historical time line. Residents are also asked about their
knowledge of the existing RDC, to get more perspectives on their representativeness.

Area Wide Appraisal

At a certain stage, when we are sure that we are in a position to reasonably soon begin
operations in a compound, we move into a more intensive PANA phase. The compound is
divided into two or more areas depending on its size, and meetings are held in each area
facilitated by Council and PROSPECT staff, and some community leaders. In addition to the
procedure of the compound-wide meetings, residents arrive at a consensus on zone demarcations.
From this meeting, a group of people volunteer to assist with the ABO formation process.

Zone-Level Meetings and Elections

Zoning volunteers undergo a weeklong training in non-partisan community participation, the
role of ABO and its structure, and how to facilitate discussions on the qualities of people to be
elected to the ABO. After trial run meetings to build the confidence of the volunteers, a series
of three meetings are held in each zone, with an agenda for each, including election of the
ZDC in the third meeting. Council officials facilitate the elections, and generally residents
nominate about 15 people who qualify to be in the ZDCs. Out of these, each person secretly
writes 10 names on a ballot sheet, all of which are counted in full view of everyone. Issues that
[Come forward from the meeting are recorded for future reference.

KEY COMPONENTS OF LIVELIHOOD PROGRAMMING

The livelihoods approach provides a framework with which to map out factors that affect
people's lives. These range from everyday relationships to achieve a common goal, to the
influences which governments and other organizations (i.e. transforming structures and

156
processes) of those lives. The tools of livelihood programming therefore seek to build
household assets, improve resources access and control, reduce vulnerability and improve
shared control over resources by making structures and processes more equitable.

Within PUSH II, components for implementing livelihoods programming were experimented
with and refined. These components - participation, enablement, developing capabilities,
building links between sectors - are already within the mainstream of development thinking,
and are by no means unique to livelihoods thinking.

Key lessons learnt

PUSH has been noted in evaluations for the high degree of participation of residents. Key
lessons learned in refining this process, include:
• Guided Participation, not Participationism: participation fundamentally involves
"handing over the stick", letting residents take an increasing leadership role. It is however
easy to fall into the trap of 'participationism', seeing development as a simplistic process of
asking the community to 'identify the project they want to implement', or taking the opinion
of a small group as being that of "the community". The key to meaningful participation is to
establish respectful but honest relationships and equitable consultation
• Taking Time to Avoid a Disempowering Charity Approach:
The fundamental question is always: how can residents be assisted to do this themselves
in the long-term, when outside agencies are not around? If the community avoids taking
responsibility for what it can and should do, asking the project to pay them to participate,
that must be challenged in a way that they realise this would be in no one's long-term
interest. Poor urban dwellers are sitting on a huge renewable resource, their own human
resources, development projects must tap that and use limited project resources well.
• Developing capabilities
Capabilities can be though of as the ability to do something - for example, the capability to
work in terms, the capability to consult equitably or the capability to take leadership. Part
of the project is analysing that capability in terms of what concepts, skills, attitudes and
qualities are needed. In training these capabilities, respect and support is needed in the
way that residents understand them - for example, they commonly include love and
prayer among the ingredients of leadership, or of conflict resolution. Traditional proverbs
and stories need to be drawn on. powerful images and metaphors, songs and dances to
help people develop capabilities.
• Building links
An important aspect is to strengthen the three sectors of society - public, private, and civil
society. PUSH has focussed somewhat more on the third sector, developing grassroots
capabilities and institutions. PROSPECT is expanding that focus to achieve a more
effective coordination and policy impact with Councils and Government, as seen in the
work on community management of water supplies.

Participation in community development work

Noah and his family members said they were very active in the implementation of the water
project in Chipata compound. He had come to appreciate the need for the water project in
large part due to the education that was provided with the project on the need for clean and
safe water. The rest of the family members said they were motivated to work as the water they
drank before was from shallow wells and unclean, the source was very far and they paid a lot
of money for it. They also said some people died in search of water whilst others spent
sleepless nights in long queues trying to get water. All of them had to get involved as it was too
far, but this is no longer so. Everyone felt the impact and was motivated to work. Noah was
very involved in mobilizing people to work and would wake up his family early, leave them

157
Case studies

working on site and go to mobilise other people. His children participated in digging trenches,
concrete laying and plastering. Agnes dug trenches and poured water on the concrete. They
said they volunteered their services because they were convinced the project was going to
bring them good.
Excerpt from 'life story' of Noah and Agnes Musanshiko and Family, Chipata Compound,
Lusaka

SUMMARY OF LIVELIHOOD ASPECTS OF PUSH II

Building household level assets. The project seeks to build assets in several ways:
• Through the promotion of income-generating activities and the development of savings and
loans services to improve financial status (financial assets)
• Through personal empowerment and livelihood improvement training to increase
knowledge and skills (human assets)
• Through involvement in ABOs and gender groups. This builds community relationships for
better group based activities (social assets).

The building of assets is intended to lead to more sustainable livelihoods, e.g. through
increased ability to access resources, more available income to eat better or pay for education;
or better resilience to shocks and stresses, e.g. increased quality and quantity of water leading
to less water related disease. For the long term, the building of household assets and
community owned structures and processes strengthens both households and communities for
longer-term possibilities for addressing other problems without outside interventions.
Using social capital: We have seen the presence of many capable, enthusiastic residents
who are willing to participate for the benefit of themselves and their community. They have
shown that they can relatively independently construct and manage complicated water supply
systems, bridges, intervene in cases of gender abuse, save money and manage loans, etc.
Women and the poor are among the best participators, which makes it even more important to
ensure that they reap the benefits and are not subsequently marginalised from a newly
established service.

Challenging structures and processes: Council staff have enthusiastically taken on ABO
formation and support as a legitimate role for themselves, and are beginning to gain credibility
and the trust of residents. They have spearheaded the formation of 12 ABOs in Lusaka
following the ABO model, have a Task Force which can assist in resolving conflicts, and are
providing invaluable financial management training and auditing services. Some Mayors and
Councillors have been very cooperative and played strategic roles in facilitating projects, while
other politicians continue to make moves to control community participation for their own
benefit. In addition to the established agreement with stakeholders on community management
of water supplies, PROSPECT is now working to stimulate greater recognition among political
leaders of the benefit of autonomous community-based development organisations.
Infrastructure development as the vehicle to promoting livelihoods. Water supply
development is seen from the eyes of household members - and in particular, women and
children - as providing services which directly increase their livelihood security. The poorest
save up to one third of their income previously spent at makeshift and inadequate water
sources, and improved health means reduced stresses, medical expenses, and increased time
available for productive work. It is also crucial that the process of infrastructure development
and its subsequent management, combined with training and access to income-generating
activities, strengthen capabilities for sustainable livelihoods.

Source: Darren Hedley and David Sanderson, CARE International, August 2000.
www. careinternational. org.uk

158
Agenda 21.1992, vvww.un.org/esa/sustdev/documents/agenda21/english/Agenda21.
pdf. Accessed 15 May 2007.
Akindele ST, Gidado TO, Oiaopo OR, 2002, Globalization, its implications and
Consequences for Africa, http://globalization.icaap.org. Accessed 1 July 2007.
Antrobus P. 2000, Bridging the divides. Development, Vol 43(4). Internet Publication:
Society for International Development.
Bester BC, 2007, A proposed multi-disciplinary and integrated model for managing
the flow of information in development projects in Africa. Master thesis in
Information Science. University of Pretoria. South Africa.
Biko BS, 2004, / write what I like - A selection of his writings, (posthumously
published) Johannesburg, SA: Picador Africa
Birns T, 2002, Dualism and unlinear concepts of development. In V Desai and R B
Potter, 2002, The companion to development studies. London, UK: Arnold.
Buergenthal T, Shelton D a n d Stewart D, 2002, International Human Rights. St Paul.
USA: West Group.
Centre on Integrated Rural Development for Asia and the Pacific (CIRDAP),
http://www.cirdap.org.sg/index html Accessed 11 August 2007.
Cobuild Dictionary, 1995, London, UK: HarperCollins.
Desai V, 2002. The growth of the N G O sector. In V Desai and R B Potter, 2002, The
companion to development studies. London, UK: Arnold.
Diaz-Bordenave, 1989, Participative communication as a part of the building of a
participative society Paper prepared for the seminar 'Participation: A key
concept in communication for change and development'. Pune. India.
Edwards M, 1999, Future positive. International co-operation in the 21st century.
London, U.K.: Earthscan Publications.
Ehrenpreis D (ed), 2006, W h a t is poverty? Concepts and measures. Poverty in
Focus. December 2006, Brasilia, Brazil: International Poverty Centre, United
Nations Development Programme, www.undp-povertycentre.org. Accessed 13
July 2007.
Everatt D, 2004, The politics of poverty, www.polity.org.za
Flint R W, Sustainable development, http://www.eeeee.net/sd03002.htm. Accessed
3 May 2007.
Freire P, 1995. Pedagogy of Hope. Reliving Pedagogy of the Oppressed. New York,
NY: Continuum.
Freire P, 1970, Pedagogy of the oppressed. New York, NY: The Seabury Press.
Hjertholm P and White H, 2000, Survey of Foreign Aid: History, Trends and
Allocation. Discussion Paper 0004. Department of Economics, University of
Copenhagen, Denmark. http://ideas.repec.Org/p/kud/kuiedp/0004.html.
Accessed 8 May 2007.
Fox W and V a n Rooyen E, 2004. The quest for sustainable development. Cape
Town, South Africa: Juta.
Hettne B, 2002, Current trends and future options in development studies. In V
Desai and R B Potter, 2002. The companion to development studies. London,
UK: Arnold.
International Monetary Fund, http://www.imf.org. Accessed 8 May 2007
Jansen van Rensburg L, 2005, A rights-based approach to poverty: The South

159
Sources

African experience. Paper presented at the International Conference: The

Many Dimensions of Poverty (Brazil. 2005). Brasilia, Brazil: UNDP International
Poverty Centre, www.undp.org/povertycentre/md%2Dpoverty/papers/ Linda_.
pdf. Accessed 18 May 2007
Kretzmann J & McKnight J, 1993, Building communities from the inside out. Chicago,
IL: ACTA Publications.
Mathie A & Cunningham G, 2002, From clients to citizens: Asset-Based Community
Development as a strategy for community-driven development. Occasional
paper. Canada: The Coady International Institute, St. Francis Xavier University.
Martinussen J. 1997, Society, state and market. Pretoria, South Africa: Human
Sciences Research Council HSRC).
Matthews S, 2 0 0 1 , African Renaissance and conflict management. Accord: Conflict
Trends 2002(1),
Medeiros M., 2006, Poverty, inequality and redistribution: A methodology to define
the rich. Working paper No 18. May 2006. UNDP International poverty Centre.
Melkote S R and Steeves H L, 2 0 0 1 , Communication for development in the third
n d
world - Theory and practice for empowerment ( 2 ed). New Dehli, India: Sage
Publications India,
Merkestein A, Nel J and Ntlha K. 2006, Transformational Leadership Programme for
Women. Pretoria, South Africa: Afrika Leadership Develoment Institute.
Mimiko O. 2006, Statement by DrOlusegun Mimiko. Minister of Housing and Urban
Development of Nigeria at the 2nd African Ministerial Conference on Housing and
Urban Development. Nairobi, Kenya 3-4 April, 2006.
www.housing.gov.za/amchud
Mitlin D, Hickey S, and Bebbington A, 2005. Reclaiming development? NGOs
and the challenge of alternatives I DPM, School of Environment and
Development
University of Manchester, http://www.sarpn.org.za. Accessed 8 April 2007
Mullen J, 2002, Rural poverty. In V Desai and R B Potter. 2002, The companion to
development studies. London, UK: Arnold.
Nelson N and Wright S, 1995, Power and participatory development - Theory and
practice. London, UK: ITDG
NEPAD (New partnership for Africa's Development), 2002b, Declaration on
Democracy, Political, Economic and Corporate Governance
(NEPAD/HSGIC/03-2003/APRM).
Nigerian Integrated Rural Accelerated Development Organization (NIRADO),
http://www.nirado.org Accessed 11 August 2007.
Organization of African Unity (OAU), 2 0 0 1 , A New African Initiative: Merger of the
Millennium Partnership for the African Recovery Programme and the Omega
Plan. Pretoria. South Africa: Printed by the South Africa Department for
Foreign Affairs.
Organization of African Unity (OAU), 2002, Document AHG/235 (XXXVIII) Annex II:
The African Peer Review Mechanism (APRM) Structure. Assembly of Heads
of State and Government - 38th Ordinary Session of the Organization of Africa
Unity. 8 July 2002. Durban, South Africa.
Peters Map, http://www.petersmap.com. Accessed 10 June 2007.
Polity, 2002, Poverty and inequality in South Africa, h t t p : / / w w w . p o l i t y . o r g . z a
Potter R B, 2002, Theories, strategies and ideologies of development. In V Desai
and R B Potter, 2002, The Companion to Development Studies. London, UK:
Arnold.
Poverty.com, International Aid, www.poverty.com/internationalaid.htm. Accessed 23

160
 July 2007.
Public Papers of the Presidents of the United States, 1964, Harry S Truman. Year
1949, 5, Washington DC USA: United States Government Printing Office.
Rahnema M and Bawtree V (eds). 2003, The post-development reader. Claremont,
South Africa: David Philip Publishers.
Sen A, 1999, Development as freedom New York, USA: Random House
Simon D, 2002. Neo-liberalism. structural adjustment and poverty reduction
strategies. In In V Desai and R B Potter, 2002, The companion to development
Studies. London. UK: Arnold.
Smith E, 2007, An analysis of Caracas Slum-upgrading project. Unpublished B.Eng
thesis. Hogeschool Utrecht.
Sustainable Measures, www.sustainablemeasures.com Accessed 5 June 2007.
Tsikata D, The Rights-Based Approach to Development: Potential for Change or
More of the Same? Published on the Community Development Resources
Association website www.cdra.org.za. Accessed 15 June 2007.
United Nations, 2000, World Urbanizations Prospects: The 1999 Revision. New
York. USA: United Nations. Population Division, Department of Economic and
Social Affairs.
United Nations Children's Fund (UNICEF), 2000, Poverty Reduction begins with
Children. New York, USA: United Nations.
United Nations Development Programme (UNDP) - International Poverty Centre.
www.undp.org/povertycentre
United Nations Development Programme (UNDP), 2006, Human Development
Report, http://hdr-beta.undp.org/hdr2006. Accessed 18 April 2007.
United Nations Development Programme (UNDP). 1998, Integrating Human Rights
with Sustainable Development. New York, USA: United Nations.
United Nations Development Programme (UNDP), 1997, Freedom from Poverty: A
Fundamental Human Right Speech presented by James Gustave Speth,
Administrator. UNDP at the Swedish Development Forum. November 1997
http://www.hurights.or.jp/asia-pacific/no_12/no12_freedom.htm Accessed 28
April 2007.
United Nations Environment Programme, 2004, Integrated Assessment and
Planning for Sustainable Development. Guidelines for pilot projects.
Washington, USA: United Nations.
V o n Braun J, 1999. Food security: A conceptual basis. In U Kracht and M Schultz
(eds.), Food security and Nutrition: The global challenge. New York, USA. St
Martin's Press.
White H, 2002, The measurement of poverty. In V Desai and R B Potter. 2002, The
companion to development Studies. London, UK: Arnold.
W o o d D, Kaiser WL & Abramms B, 2006. Seeing through maps- Many ways to see
n d
the world ( 2 ed). Amherst, Mass, USA: ODT.
World Bank, 1994, The World Bank and participation, fourth draft. Washington DC,
USA: World Bank.
World Bank, 1986, Poverty and hunger: Issues and options for food security in
developint countries. Washington DC, USA: World Bank Policy Study, World
Bank.
World Bank, http://web.worldbank.org. Accessed 15 April 2007.
World Commission on Environment and Development (Brundtland Commission),
1987, Our Common Future. Oxford, UK: O U P .

I6l
Sources

World Summit for Sustainable Development, 2000, Plan of implementation,

wvvw.un.org/jsummit/html/documents/summit_docs/2309_planfinal.htm.
Accessed 25 April 2007.
Z u m a J, 2000, Address by former Deputy President of South Africa, Mr Jacob Z u m a ,
at the launch of the South African Chapter of the African Renaissance on 7
April, 2000.

162