Universidad del Valle

Cinara, Research, Drinking Water Development, Sanitation and Water Conservation Institute

 Ines Restrepo-Tarquino

Ramon Duque-Munoz

Mariela Garcia-Vargas

Santiago de Cali, June 1998

A great poem is made by all

2. 2.1. Context

2.2 Public Policies

This document contains an analytical synthesis of three case studies:

• "Water provision for human settlements in northern Lima, Callao (Peru)". Carried out by CIPUR (Regional and Urban Projects and Research Centre) in 1993.
• "Habitat, water cycle and environment: the example of Parque HavaÌ in Eusebio (a district on the metropolitan area of Fortaleza, Cear· State capital, Brazil)". Carried out by CEARAH Periferia between 1992 and 1997.
• "Team Learning Projects: sanitation for the informal city in Altos de Menga (Cali, Colombia)". Carried out by UniValle/Cinara and EMCALI (Cali City Council Companies) between 1994 and 1997.

The objective of the first case study was to improve water provision in six district communities of Ventanilla and Puente Piedra in Lima (Peru). The second case study sought to stimulate community development through joint work between the local authority and the people living in the peripheral zone of Fortaleza (Brazil). The third case study aimed to improve sanitation conditions in Altos de Mengua, an informal settlement in Cali (Colombia) through joint work between local organisations and the community, with the Instituto Universitario de InvestigaciÛn acting as facilitator.

The participating groups and their roles:

1. The communities were involved in all three case studies. They participated in the technology selection process. In the Peruvian case, they discussed the designs proposed by CIPUR and contributed with modifications. In the Colombian case, the community prepared the technology pre-designs which were then passed on to the technical team.

In all cases, the communities were involved by providing labour and materials. In Peru and Colombia they supervised the works being carried out by other agents. The community did the project evaluation in the Colombian case. In the three cases, the communities were involved in the operation and maintenance of the new infrastructure.

2. The local authorities were involved through different institutions. In the Peruvian case, their involvement was weak since they only provided logistic support for the works. In the Colombian case, the local authority was actively involved throughout the whole process. In the Brazilian case, the development works were part of a government programme.
3. NGOs: CIPUR in Peru and CEARAH in Brazil performed a facilitator role. In Peru and Colombia two other NGOs -MISEREOR and Plan International– provided financial support for the infrastructure.
4. The facilitator in Colombia was Universidad del Valle’s Research and Development University Institute : Cinara.

Alternative technologies were used : in Peru and Brazil they installed public stand pipes; a non-conventional sewerage system was used in Brazil and Colombia. In Parque HavaÌ they used a "condominial" sewerage system, which included solid waste separation by groups, anaerobic filters, bleach treatment; and in Colombia, Simplified Sewerage Network (RAS, Redes de Alcantarillado Simplificado), to discharge wastes directly into the urban sewerage system. The Colombian case also included rain water drainage solutions.

The objectives of the projects were fulfilled. In Peru, the public basins provide water to 7,800 people. In Brazil, a town development for 150 families was built, and the non-conventional sewerage system covered 143 families in Colombia.

At first, the people resisted the projects due to the alternative technologies used. In Colombia the institutions offered resistance as well. There were difficulties in fulfilling the commitments by the local authorities in all three case studies, and in Peru the problems were mainly related to the political promises of the candidates prior to the elections.

A significant impact of the projects is the building capacity of the community-based organisations. Also, in the cases of Brazil and Colombia a coordinated work between the organisations, the people in general and the government institutions -in whom they did not believe before- was made possible. Since all three case studies included the improvement of water and/or sanitation provision (in the Brazilian case, habitat in general), projects were expected to have an impact on health, particularly children health. Impacts were also expected on the environment in the Colombian and Brazilian cases, since they improve human waste and sewerage disposal.

The main lesson learned is that communities and institutions can work together with a facilitator’s support. Each party involved can assume its role in a responsible way and without displacing the other participants. The technological solutions were not the starting point of the projects, but it was the organisation and process which were important to achieve solutions.

These case studies illustrate three Latin-American experiences concerning the problems of informal cities. Informal cities consist of illegal and poor human settlements (See Table 1). They are generally located in very precarious environments facing problems in obtaining basic public services, such as drinking water and sanitation. Despite all this, these settlements’ main strength is their community organisations.

Table 1 Informal cities in three Latin-American cities. 1998

The current public policies towards informal settlements are more tolerant compared to what they were 20 years ago. In some countries, support is even given to informal residents’ initiatives which aimed to upgrade their habitat (Hardoy and Satterthwaite, 1989). In the case studies, local authorities gave their support. Even the regional authority was involved in Brazil. The Brazilian project was part of a government programme which goal was to relocate 150 marginal families to other districts of Ceara. This project was part of an integrated programme seeking to provide appropriate habitat to residents of deprived areas.

In Colombia and Peru the main limitations of implementing the policies to improve the living conditions of informal cities were legalisation and technology standardisation. The existing norms and standards prevent the use of appropriate technologies.

In all case studies, the community remains the main participant. Selected organisations within the community were used as a focus/contact point with the other project participants. In Peru, the housing organisations were very important in the project, in Brazil, "Eusebio Residents Association" was initially created and later replaced by the "Ciudad Nueva" association when the families moved in. In Colombia, there were several organisations ranging from State-supported to civil society organisations. Table 2 shows the projects beneficiaries.

Table 2 Beneficiaries of the projects

In Peru and Colombia it is clear that communities were involved in all project stages. In Brazil, they participated in the construction stage. The Colombian project strengthened women’s role and their participation in decision making (Box 1). In Altos de Menga (Cali) new leaders emerged, particularly women. Women took part in the supervision during the construction stages and faced conflicts with the builders, since they found it difficult to believe that a woman could carry out such a task.

Box 1 Women’s involvement was strengthened

A community leader explained during the construction stage, that " We didn’t know anything about excavations, foundations or pipes. This is all new to us but we have learned, and eventhough several problems emerged, we found ways to solve them all. "

Altos de Menga.

In Peru and Brazil, the second most important participant was the local authority, represented by the Prefeitura (municipality) of Fortaleza, and by EMCALI in Colombia. In Peru, the local authority played a minor role, and in Brazil they were clearly involved and provided great support since the project was part of a government programme. In Altos de Menga (Colombia) one of the objectives was to promote joint work between the community and the local institutions which were in charge of providing support to this type of settlements.

In Peru, CIPUR had a remarkable performance: "the main relationship was the one established between CIPUR and the community organisation". In the rest of the cases, CEARAH Periferia and Cinara had acted as facilitators. Several NGOs gave financial support to the projects : MISEREOR from Germany (Peru) and Plan International from USA (Colombia).

Due to the involvement of the communities in the activities, the results went beyond the expectation of finding a technological solution to the problems : all three experiences demonstrated the approval generated by an active participation. The Peruvian and the Colombian cases are examples of community involvement in the decision making process. In Altos de Menga (Cali, Colombia) the community was given training on leadership, hygiene and health, organisation, setting and maintenance of the technological options selected for the project. The projects put several strategies in place, in order to achieve capacity-building and foster joint actions between local institutions and community-based organisations.

The three case studies emerged with the help of community organisations which acted as a bridge for the rest of the people involved, and with/through the facilitators who managed to obtain support from other institutions. In general, informal settlements have great organisation abilities widely used to solve housing, water and sanitation related problems (Box 2).

New community organisations were created when appropriate, e.g. : in Parque HavaÌ, "Ciudad Nueva" was created when all families moved into their new houses; in Altos de Menga district project support committees and building supervision community groups were created.

Box 2 Community work

Community organizations have really worked hard to improve upon people’s living areas. Community was involved in various ways : it built an aqueduct and a school and took part in any kind of work the settlement areas required.

The facilitators were most concerned with the organisation of the operation/setting up and maintenance of the projects. In Brazil and Colombia, another matter of concern was the relationship between the organisation of the projects and the local institutions, as it is believed that the community needs their support to solve problems found to be beyond their control. This is one of the key factors for project sustainability.

Each case study emphasises on the importance of the process rather than on the technology. Non-conventional technologies were used in all three cases. The community was involved in the design and technology selection process in Colombia. CIPUR carried out the project design and the community made its contribution.

The chosen technology took into account environmental conditions and community characteristics. As shown below in Table 3, in settlement areas in Peru and Brazil water is scarce and thus the chosen technological solution for water supply was public basins. The concept of "spacing out" (escalonamiento) or progressive development of services was selected in these two experiences. In Colombia the sewage disposal RAS (Simplified Sewerage Network) was chosen. This system was inspired by the Brazilian developed "condominial" sewerage system, which was used in Parque HavaÌ.

Table 3 Technological options

All three case studies show how technology can be and needs to be related to the social context. The Brazilian experience was treated as a whole -including habitat and job creation for the families- since it was the creation of a completely new settlement. The case studies also included several specific activities for environment protection and improvement : in Altos de Menga technological solutions to tackle rain water disposal were designed.

In Brazil and Colombia the communities were responsible for the operation/setting up and maintenance of the projects. Agreements were taken between the communities and the institutions defining clear responsibilities for each. For example, in Brazil in order to cover maintenance costs, the community contributed with labour and was in charge of minor expenses. However, the Prefeitura (municipality) contributed to bleach and sewerage maintenance expenses, and CEARAH Periferia was in charge of major expenses.

There were several funding sources for the projects. In Colombia and Brazil, the main sources were the local authorities through their institutions. In Peru the main source was MISEREOR from Germany. In all case studies, several lower-cost and non-conventional technologies were used. The communities contributed by giving their time, materials and low qualification labour.

CIPUR¥s similar projects (Peru) received 50% financial support from MISEREOR and 50% from the residents. The latter 50% was a credit from CIPUR coming from a revolving fund. The objective is to have projects completely funded by the communities. The average cost of the technological solution per person is US$18.

In Brazil the funding sources were local and regional authorities, as well as residents and international technical cooperation. The families are entitled to make payments for five years : they will only have their title deed at the end of this period.

EMCALI provided the financial support in Colombia. The infrastructure was financed through a loan given to the residents as part of EMCALLI's AOISPEN programme. Plan International also provided grants to the poorest families, and to those whose problems could be solved individually. The residents contributed with materials and non-qualified labour. A significant problem for obtaining support from the institutions came from the fact that the non-conventional sewerage system went through private land, and institutions were allowed to invest only on public land. EMCALI's loan was subject to a written commitment regarding operation and maintenance between the company and the families.

Sustainability is not a final goal but it is built on a day-to-day basis. Project sustainability builds up starting from the planning stage. Figure 1 below (Not available) shows Cinara's proposed concept of sustainability which includes three dimensions : environment, community and local institutions, as well as science and technology (Duque et al, 1996).

The Peruvian and Colombian experiences demonstrate that the communities were involved in the technological design and selection process. They supervised the construction stage and organised themselves for projects operation and maintenance. It is at this last stage that sustainability is put to the test, i.e. when all residents feel that the problems have been solved and that there is an established organisation in charge of keeping the technology running. The organisations presenting the experiences consider that the solutions are sustainable. Nevertheless, communities need support for they can not be considered the only actors responsible for the projects’ weaknesses.

The Brazilian case which involved family relocation saw unemployment rise and farming activity reduced. This may have negative effects on the sustainability of the project, although further research into the causes is needed. In Altos de Menga (Colombia), the community expressed its uncertainty regarding EMCALI's support -which had a facilitator role-, once Cinara will no longer be present in the project.

The main achievement of the experiences is the relationship between civil society and the State. Both assumed their responsibilities to reach the expected results. Conflicts were solved through dialogue.

Projects involving direct participation strengthened solidarity links amongst the residents. Informal settlements consisted of people of different origin, habit and culture. Strengthening these links renders solving common problems an easier task.

The projects have had a demonstrative effect. As CIPUR explains : <<Neighbouring settlements have shown interest and have presented similar projects to their local authorities>>. Methodology was considered as more important than technology.

One of the points that needs to be focused on is the excess of work that settlement residents must deal with in direct participation projects. When their working day is over, residents still have to attend meetings and workshops and help with construction work. Therefore, projects need to be flexible and adjustable to participants pace. This was a difficult issue for government institutions to adapt to, since they usually have tight time tables.

It was difficult for the population to accept the types of solutions put into action to progressively improve their living conditions, as they consider these interventions as second class solutions compared to the solutions applied in formal cities. Institutions and professionals are responsible for this " formal " and " informal " concepts. Thus, the project’s success largely depends on understanding the solutions and on being clear on what one means by progressive improvement.

Replicability of methodology and technology to other projects depends on their institutionalization, i.e. on whether these methodologies and technologies are " borrowed " and put into practice by institutions.

The projects have a demonstrative effect on neighbouring communities whose inhabitants seek contact with the institutions involved in the projects, in order to carry out similar projects. An Integration Council, which consisted of approximately 15 members including prefeituras (municipalities), community organisations and universities, was created in Brazil. The aim of this council is to disseminate and negotiate the programme. This council is also "a decision making space and a valuable democracy learning instrument" (CEARAH Periferia).

Interactive process foster capacity-building of communities and institutions, implying communication strategies are fundamental. The main aspects of these communication strategies rely on how decisions are taken and how conflicts are solved.

Direct participation projects are highly motivating for the people involved. These projects create new knowledge/skills and allow innovation in methodology and technology. The university and technical school played an important role in Brazil, as well as the Universidad del Valle/Cinara in Colombia.

Project facilitators play a significant part in the inclusion of innovative aspects, since they usually have time, ability and space for thinking of new alternatives. This rarely happens within government institutions whose main job is "doing". There was a knowledge/skill exchange between NGOs involved in the project in Brazil and Colombia.

Although these experiences seek solutions to specific problems concerning small population percentages in informal settlements, their demonstrative effects and contributions to building new methods are of great importance. In Latin American countries, local authorities and institutions involvement has a significant influence on government policies and government related resources. It is worth pointing out that all three experiences sought their participation, through which they realised the feasibility of the methodology and technology of the projects as being adequate, thus embarking on project replication. The project in Peru was institutionalised, which is a fundamental step towards a transfer process.

All projects imply achievements and limitations. A key factor in sustainable projects is the recognition of limitations, joint discussion to overcome them and learning lessons out of these difficulties. Likewise, achievements must be identified and strengthened. Communication plays a paramount part in this as well as do notification of agreements or of problems and in general of all events of the projects.

A change tendency is observed when handling conflicts : local authorities recognise the importance of community participation in order to find sustainable solutions, and the communities accept the participation of institutions in the projects. Agreement and dialogue between the people involved is essential for the projects' success. Thus, CEARAH Periferia in Brazil and Universidad del Valle/Cinara in Colombia became facilitators for this dialogue.

Autonomy is also an important concept in the transfer process. Communities, facilitators and institutions each have their own way of solving problems and own specific interests in participating to the projects. But, this does not necessarily mean that their participation is better or worse. Autonomy is developed as people are allowed to participate and express their ideas and as contribution is shared, i.e., as individual's points of view are respected and taken into account for decision making.

Community participation in decision making throughout the project is a key factor in the " borrowing " process. However, institutions support is required -each with its social mission- in order to achieve project sustainability.

According to Abbott (1996), the critical stage is the project completion, when everyone considers that the problems have been solved. The motivation for participation which emerged as a result of a dissatisfied vital need, is reduced. At this point, projects keep running only if there is an organisation with clear responsibilities counting on beneficiaries' support. Constant institution support helps to keep collective memory to avoid interest decline. Likewise, education centres’ role is essential, raising a feeling of " belonging to " and of been protected by water and sanitation systems, to the new generations.

The existing community organisations were the projects' starting point. However, according to the needs, the creation of new community organisations was possible. In marginal areas, people have high organisation ability despite their diverse origin. Problems related to basic needs are thus better tackled.

When community organisations grow in confidence over their role in the project, they become very efficient instruments. They are the ones in charge of fund-raising and conflict mediation within the community. Yet, they are in a better position to make decisions such as employing people -for construction work, supervision, management of material resources- and taking responsibility for the projects’ operation and maintenance.

Development projects must imply working with local leaders -without considering their affiliation- and training new community representatives. The experience at Altos de Menga (Colombia) showed that water and sanitation related problems bring women to leadership, thus increasing their self-esteem and ability to contribute to community work.

The experiences strengthened community participation as "it made social and democratic control of the process possible" (CIPUR). This participation had legal support and fostered social control in Colombia.

Community participation in development projects contributes to building up democracy in each country.

It is possible to carry water and sanitation projects out, in which technology is the result of a process. An open mind is required in order to recognise local technology developments and analyse them together with the community. There are several non conventional technological options and they all imply a close institution-community coordination. Critical attention should be paid to the chosen technology as it is generally responsible for the project's success or failure.

The technology selection process is vital to achieve sustainable solutions. Starting from the different experiences’ strategies helps to improve the process by showing possibilities and limitations of the different options to the people involved. Follow-up and evaluation indicators must be clear/well defined from the beginning of the project, both for community and institutions.

Community-institutions joint work turns up to be enriching for both. A respectful relationship with the community is an essential condition to make this work possible. It is important to count on the participation of community groups and on strengthening leadership, particularly women participation and leadership. Communities demonstrated their great responsibility, efficiency on decision making and resource management ability. Any problem may be overcome when communities feel civil servants are committed to their work. The fear of joint work between institutions and communities may be overcome by creating a relationship of transparency and by learning/teaching skills.

Women play an important part in habitat and public service provision projects, as they are directly in charge of both family and home affairs. Their involvement in solution design is essential in order to achieve sustainable projects. The solutions must meet women's needs as they are responsible for water and sanitation management. Therefore, the activities must facilitate, foster and strengthen their participation.

When analysing the problem, the close relationship between the communities and the environment should be considered. A water micro-basin is the common point of interest for the different community groups and institutions. This is why it is an excellent starting point to include environmental protection issues in water and sanitation projects.

It is important to boost the institutionalisation of participation methodology. The production of educational material for all school levels contributes to this objective. It must introduce the concepts on which methodology, process, activities and technologies are based and which are developed throughout the project. The reward for NGOs and research centres is the information dissemination.

Lastly, sustainability is built from the beginning as opposed to something achieved at the end. It is the goal of both communities and institutions. Therefore, it is necessary to have clear indicators, allowing early identification of danger signs in the project, in order to take preventive measures.

ABBOTT, John (1996), Sharing the city, Earthscan Publications Ltd, UK.

DUQUE, R., RESTREPO, I., and GALVIS, G., (1996), Concepto de sostenibilidad. Paper presented at the International Conference on Water Quality Improvement, Cali, Colombia.

HARDOY, Jorge E and SATTERTHWAITE, David, (1989), Squatter citizen: Life in the urban Third World, Earthscan, UK.