NOTES AND REFERENCES

 

  1. Sections 5.1-5.3 are a slightly shortened and amended version of a background paper prepared for the Global Report entitled The Governance of Human Settlements by Richard Stren and Christie Gombay, Centre for Urban and Community Studies, University of Toronto.

    2.
  2. . World Bank, Sub-Saharan Africa: From Crisis to Sustainable Growth, The World Bank, Washington DC, 1989, p. 5.
    3.
  3. Wunsch, James and Dele Olowu, "The Failure of the Centralized African State" in James Wunsch and Dele Olowu (editors) The Failure of the Centralized State; Institutions and Self-Governance in Africa, Westview, Boulder, 1990 pp.4-5.
    4.
  4. . Prud'homme, Remy, "Main Issues in Decentralization" in World Bank, Strengthening Local Governments in Sub-Saharan Africa; Proceedings of Two Workshops, EDI Policy Seminar Report, No. 21, the World Bank, Washington DC, 1988, p. 71.
  5. . Dillinger, William, Decentralization and its Implications for Urban Service Delivery, Urban Management Programme Discussion Paper No. 16, the World Bank, Washington DC, 1993, p. 8.
  6. . See Smith, B.C., Decentralization; The Territorial Dimension of the State, George Allen and Unwin, London, 1985, esp. chapter 1.
  7. . The best discussion of this typology is to be found in Shabbir Cheema and Dennis Rondinelli (editors), Decentralization and Development; Policy Implementation in Developing Countries, Sage, Beverly Hills, 1983.
  8. . See, for example, Prud'homme 1988, op. cit.
    9.
  9. Huntington, Samuel, P., The Third Wave; Democratization in the Late Twentieth Century, University of Oklahoma Press, Norman, Oklahoma, 1991, p.7.
  10. Huntington 1991, op. p.113.
    11.
  11. Huntington 1991 op. cit. p.26. Only states with a population of over 1 million were included in this calculation.
    12.
  12. These estimates, and definitions of the categories, can be found in the newsletter Africa Demos, issued by the Carter Center of Emory University, Atlanta, Georgia. The 1991 estimates are taken from Volume 1, Number 4 (May 1991); and the 1994 estimates are taken from Volume 3, Number 3 (September 1994). The key definitions are those of a democratic and an authoritarian political system. Thus, a democratic system is "a system enjoying wide competition between organized groups, numerous opportunities for popular participation in government, and elections that are regularly and fairly conducted. Constitutional guarantees of civil liberties and human rights are effectively enforced." An authoritarian system is "a system with highly restricted opportunities for political mobilization. Power is exercised by a leader or small group who are not formally accountable to an electorate. There are no effective constitutional limits to the exercise of political power."
  13. Examples of these are given in Chapters 9, 10 and 11.
  14. See Peattie, Lisa, "Participation: a case study of how invaders organize, negotiate and interact with government in Lima, Peru", Environment and Urbanization, Vol. 2, No. 1, April 1990 , pp. 19-30 for one detailed description of this. Also Cuenya, Beatriz, Diego Armus, Maria Di Loreto and Susana Penalva, "Land invasions and grassroots organization: the Quilmes settlement in Greater Buenos Aires, Argentina", Environment and Urbanization, Vol. 2, No. 1, April 1990, pp. 61-73.
  15. Ibid.
  16. Hardoy, Jorge E. and David Satterthwaite, Squatter Citizen: Life in the Urban Third World, Earthscan Publications, London, 1989.
  17. Hirschman, Albert. O., Getting Ahead Collectively; Grassroots Experiences in Latin America, Pergamon Press, New York, 1984, p.100.
  18. Valladares, Licia, and Magda Prates Coelho, "Urban Research in Brazil and Venezuela: Towards an Agenda for the 1990s" in Richard Stren (Editor), Urban Research in the Developing World; Volume 3: Latin America, Centre for Urban and Community Studies, Toronto, 1995, chapter 3, p.36.
    19.
  19. Rodriguez, Alfredo, Vicente Espinoza and Hilda Herzer, "Argentina, Bolivia, Chile, Ecuador, Peru, Uruguay: Urban Research in the 1990s -- A Framework for an Analysis" in Richard Stren (Editor), Urban Research in the Developing World; Volume 3: Latin America, Centre for Urban and Community Studies, Toronto, 1995, Chapter 5, p.11.
    20.
  20. Inglehart, Ronald, Culture Shift in Advanced Industrial Society, Princeton University Press, Princeton, 1990, pp.137-9.
  21. Inglehart 1990, op. cit. p.267.
  22. Hays, Samuel, Beauty, Health and Permanence: Environmental Politics in the United States 1955-1985, Cambridge University Press, Cambridge, 1987, p.22.
  23. On the Canadian pattern, see Doug Macdonald, The Politics of Pollution, McClelland and Stewart, Toronto, 1991, pp.90-91. Kirkpatrick Sale sums up the American pattern of support. "Generally the strength [of the environmental movement] came from the more urbanized and often more liberal sections of the country -- chiefly the conurbations known as Bos-Wash, Chi-Cin, Pitt-Phil, Sea-Port, and San-San, the last in California -- and petered out in the Heartland and Plains, dwindling even more in such areas dependent on petrochemicals and extraction as the Rockies and the Gulf. Generally the shock troops as well as the directors and the staffs were younger, richer, and better educated than the American average, leading to criticism that it was an 'elitist' movement concerned only with the luxuries of a good life for those who already had a good living. And generally both the organizations and their supporters were predominantly white, with little impact in black or brown populations where ecological matters at this point seemed trivial compared with economic ones and the connections between the two rarely made" Kirkpatrick Sale, The Green Revolution: The American Environmental Movement 1962-1992, Hill and Wang, New York, 1993, pp. 44-5.
  24. Macdonald 1991, op. cit. pp.98-9.
  25. Government of Canada, Canada's Green Plan for a Healthy Environment, Minister of Supply and Services, Ottawa, 1990, p.135.
  26. Sale 1993, p.44.
    27.
  27. Sale 1993, p.80.
    28.
  28. Sale 1993 p. 79.
    29.
  29. . Herzer, Hilda, and Pedro Pirez, "Municipal government and popular participation in Latin America" Environment and Urbanization Vol. 3, No. 1, April 1991, pp.79-95.
  30. . Campbell, Tim with G. Petersen and J. Brakarz, Decentralization to Local Government in LAC: National Strategies and Local Response in Planning, Spending and Management, Latin American and the Caribbean Technical Department, The World Bank Washington DC, 1991.
  31. . Rodriguez, Alfredo, and Lucy Winchester, "The City: Governance and Urban Poverty in Six Countries in Latin America", Unpublished paper, SUR, Santiago, 1994.
  32. . de Mello, Diogo Lordello, "Brazil" In Samuel Humes IV, Local Governance and National Power: A Worldwide Comparison of Tradition and Change in Local Government, Harvester, London, 1991, p.155.
  33. . de Mello 1991, op. cit. p.162.
    34.
  34. de Mello 1991, op. cit.p.167.
  35. Assies, Villem, "Urban Social Movements in Brazil. A Debate and Its Dynamics" Latin American Perspectives, Issue 81, Vol. 21, No. 2, Spring 1994, p.93.
    36.
  36. . Carrion, Diego, "The role and functions of municipal government in Ecuador" in The Role and Functions of Municipal Government in Selected Countries, Centre for Urban and Community Studies and Federation of Canadian Municipalities, Toronto, 1995, p.116.
  37. . Carr, Michelle, "A Case Study of Quito, Ecuador" in Metropolitan Planning and Management in the Developing World: Abidjan and Quito, UNCHS, Nairobi, 1992, p.94.
  38. . Carrion 1995, op. cit. p.119.
  39. . Rodriguez and Winchester 1994, op. cit.
  40. . Rosenfeld, Alex, "The role and functions of municipal government in Chile" in The Role and Functions of Municipal Government in Selected Countries, Centre for Urban and Community Studies and Federation of Canadian Municipalities, Toronto, 1995, p.89.
    41.
  41. Rosenfeld 1995, op. cit., p.95.
  42. For these cases, see Nikki Craske, "Women's Political Participation in Colonias Populares in Guadalajara, Mexico"; and Leda M. Vieira Machado, "'We Learned to Think Politically': The Influence of the Catholic Church and the Feminist Movement on the Emergence of the Health Movement of the Jardim Nordeste Area in Sao Paulo, Brazil", in Radcliffe and Westwood 1993, op. cit.; and Veronica Schild, "Recasting 'Popular' Movements: Gender and Political Learning in Neighborhood Organizations in Chile" Latin American Perspectives, Issue 81, Volume 21, No. 2, 1994. In her conclusion, Schild makes a point common to many studies of women in local social movements: "Inequalities based on gendered class relations (and limiting subjectivities) have traditionally rendered citizenship marginal for most poor and working-class women. However, during the period of enforced public silence [i.e. during the authoritarian period] many of these women found new resources with which to question limiting subjectivities, while some also engaged in crafting new political subjectivities. Thus women's neighborhood organizations have been important sites of struggles in which women have begun to acquire their own voices as part of the creation of new political identities. These new voices will no doubt help to make the so-called reconstitution of civil society currently taking place in Chile more a redefinition than a restitution." (p.75).
    43.
  43. . World Bank, Urban Policy and Economic Development. An Agenda for the 1990s, The World Bank, Washington, 1991.
    44.
  44. Gilbert, Alan, and Peter Ward, Housing, the State and the Poor. Policy and Practice in Three Latin American Cities, Cambridge University Press, Cambridge, 1985, p.175.
    45.
  45. Saravia, Joaquin C. and Godofredo Sandoval Z. Jach'a Uru: żLa Esperanza de un Pueblo? Carlos Palenque, RTP y Los Sectores Populares Urbanos en La Paz, CEP and ILDIS, La Paz, 1991.
    46.
  46. Pflucker, Piedad Pareja and Aldo Gatti Murriel, Elecciones Municipales en las Provincias de Lima y el Callao, Fundacion Friedrich Ebert, Lima, 1993.
  47. For instance, the recently elected mayor of Bogota
  48. Guerrero V., Rodrigo, "Innovative programs for the urban poor in Cali, Colombia", in Bonnie Bradford and Margaret A. Gwynne (editors), Down to Earth: Community Perspectives on Health, Development and the Environment, Kumarian Press, West Hartford, 1995, pp. 17-22.
  49. Shefner, Jon, and John Walton, "The damnificados of Guadalajara: The politics of domination and social movement protest" International Journal of Urban and Regional Research, Vol. 17, No. 4, December 1993, p.621.
    50.
  50. . Attahi, Koffi, "Planning and management in large cities: a case study of Abidjan, Côte d'Ivoire" in UNCHS (Habitat), Metropolitan Planning and Management in the Developing World: Abidjan and Quito, UNCHS, Nairobi, 1992, pp.31-82.
  51. . Lapeyre, Charles, "La ville de Dakar: commune et région" in Centre d'études et de recherches en administration local, L'administration des grandes villes dans le monde, PUF, Paris, 1986, p.339.
    52.
  52. Diop, Momar Coumba and Mamadou Diouf, "Pouvoir central et pouvoir local. La crise de l'institution municipale au Sénégal" in Sylvy Jaglin and Alain Dubresson (editors), Pouvoirs et cités d'Afrique noire; Décentralisations en questions, Karthala, Paris, 1993, pp.114-5 [Author's translation].
  53. Attahi, Koffi, "The Functions and Powers of Municipal Government in Côte d'Ivoire" In Centre for Urban and Community Studies, The Role and Functions of Municipal Government in Selected Countries, University of Toronto for Federation of Canadian Municipalities, Toronto, 1995, p.72.
    54.
  54. . Kasfir, Nelson, "Designs and dilemmas: an overview" in Philip Mawhood (editor), Local Government in the Third World. The Experience of Tropical Africa, John Wiley and Sons, Chichester, 1983, pp.25-47.
  55. . Adamolekun, Lapido, "The idea of local government as a third level of government" In L. Adamolekun and L. Rowland (editors), The New Local Government System in Nigeria; Problems and Prospects for Implementation, Heinemann, Ibadan, 1979, p.3.9
  56. . Olowu, Dele, "Centralization, self-governance, and development in Nigeria" in Wunsch and Olowu (editors) 1990, op. cit.
  57. . The following section on Nairobi is based on a longer account in Richard Stren, Mohamed Halfani and Joyce Malombe, "Coping with Urbanization and Urban Policy" in Joel Barkan, (editor) Beyond Socialism and Capitalism in Kenya and Tanzania, Lynne Rienner, Boulder, 1994, pp.175-200.
  58. . The Weekly Review (Nairobi) July 12, 1991, p.18.
    59.
  59. Section 5.4 is a shortened version of a background paper written by Richard M. Bird
    60.
  60. . See Bird, Richard M., Federal Finance in Comparative Perspective, Canadian Tax Foundation, Toronto. 1986 for further discussion.
    61.
  61. Surveyed by Bahl, Roy W. and Johannes Linn, Urban Public Finance in Developing Countries, Oxford University Press, New York, 1992, pp.14-15.
  62. Bird, Richard M. and Christine Wallich, "Fiscal Decentralization and Intergovernmental Relations in Transition Economies," Working Paper No. WPS 1122, World Bank, Washington, DC, 1993, page 22.
  63. Developed countries surveyed in OECD, Fiscal Affairs Secretariat, "The Role of Intermediate and Local Levels of Government: The Experience of Selected OECD Countries," Background Document for Seminar on Fiscal Federalism in Economies in Transition, Paris, 1991.
    64.
  64. . The extent to which such activities are reflected in the data included in Table 5.1 varies from country to country. The full range of local government activities has been thoroughly analyzed in few countries outside the industrial world, and even when such data have been gathered in special studies, they have not been kept up to date.
  65. . Advisory Commission on Intergovernmental Relations, Significant Features of Fiscal Federalism, Washington DC., Vol.2, 1992, p.58.
  66. . Bahl, Roy W. and Johannes Linn, Urban Public Finance in Developing Countries, Oxford University Press, New York, 1992, pp.14-15.
    67.
  67. World Bank/UNCHS, The Housing Indicators Program Volume III; Preliminary Findings, a Joint Programme of the United Nations Centre for Human Settlements (Habitat) and the World Bank, Washington DC, April 1993, 106 pages.
    68.
  68. . Bird and Wallich 1993, op. cit.
  69. . Bird, Richard M. and Christine Wallich "Financing Local Government in Hungary," Working Paper No. WPS 869, World Bank, Washington, DC, 1992.
  70. . See Bird, Richard M. and Enid Slack, "Financing local governments in OECD countries: the role of local taxes and user charges," in Owens, Jeffrey and Giorgio Panella (editors) Local Government: An International Perspective, North-Holland, Amsterdam, 1991.
  71. . Bahl and Linn 1992, op. cit. pp.36-37.
  72. . Bird and Wallich, 1993, op. cit. p.44.
  73. . World Bank, World Development Report 1988, Oxford University Press, 1988.
  74. . Bahl and Linn 1992, op. cit.
    75.
  75. OECD 1991, op. cit. p.66.
  76. Covered by Bahl and Linn 1992, op. cit. pp. 34-35.
  77. Bahl and Linn 1992, op. cit., page 40
  78. World Bank, Chile: Subnational Government Finance, Washington DC, 1993, p.57.
  79. This variation partly reflects differences in the roles of state and local governments in different U.S. states. Even if state and local expenditures are combined, however, the variation is still from 68 to 291 percent of the national average. See Advisory Commission on Intergovernmental Relations 1992, op. cit. vol. 2, pp. 224-25 and p.220-21).
  80. Bird, Richard M. and Heng-fu Zou , "Financing Local Government in Romania," Draft; World Bank, Washington DC, 1992
  81. World Bank, Chile: Subnational Government Finance, Washington DC, 1993.
  82. World Bank, "Indonesia: Fiscal Decentralization: Towards a New Partnership for Progress," Report No. 12407-IND, October 1993.
  83. Bird, Richard M., Intergovernmental Fiscal Relations in Colombia, Harvard Law School International Tax Program, Cambridge, Mass, 1984, p.267.
  84. Kitchen, Harry M., Local Government Finance in Canada, Canadian Tax Foundation, Toronto, 1984, page 175.
  85. Rao, M. Govinda and A. Das-Gupta, "Intergovernmental Transfers as an Instrument to Alleviate Poverty," Economic Development Institute, World Bank, 1993.
    86.
  86. . Dreze, Jean and Mrinalini Saran, "Primary Education and Economic Development in China and India: Overview and Two Case Studies," No. 47, Development Economics Research Programme, London School of Economics, September 1993, p.73.
  87. . Rao and Das-Gupta 1993, op. cit.
  88. . Keith, Simon H., Property Tax in Anglophone Africa: A Practical Manual, World Bank Technical Paper No. 209, Washington DC, 1993.
  89. . Kitchen, Harry, Efficient Delivery of Local Government Services, Discussion Paper 93-15, School of Policy Studies, Queen's University, Kingston, 1993 p.30.
  90. . See for instance Bird, Richard M., Charging for Public Services: A New Look at an Old Idea, Canadian Tax Foundation, Toronto, 1976.
  91. . Bahl and Linn 1992, op. cit.
  92. . As Thirsk notes with respect to Canada, the same argument may be made with respect to that portion of the property tax - frequently half or more of the total - that applies to nonresidential property; see Thirsk, Wayne R., "Political Sensitivity versus Economic Sensibility: A Tale of Two Property Taxes," in W.R. Thirsk and J. Whalley, eds., Tax Policy Options in the 1980s, Canadian Tax Foundation, Toronto, 1982.
    93.
  93. Bahl and Linn 1992, op. cit. p.43.
  94. World Bank, Colombia: Decentralizing Revenues and the Provision of Services - a Review of Recent Experience, Report No. 7870-CO, October 1989.
    95.
  95. . Bird and Slack 1991, op. cit.
  96. . Dillinger, William , Urban Property Tax Reform, World Bank, Washington DC, 1991.
  97. . Dillinger, 1991, op. cit.
  98. . Kelly, Roy "Implementing property tax reform in transitional countries: the experience of Albania and Poland," Environment and Planning C: Government and Policy, Vol.12, 1994.
  99. . World Bank, "Indonesia: Fiscal Decentralization: Towards a New Partnership for Progress, Report No. 12407-IND, October 1993.
  100. . Bird and Wallich 1993, op. cit.
  101. . Davey, Kenneth J. , "Municipal Development Funds and Intermediaries," Working Paper No. 32, World Bank, Washington, 1990.
  102. . Bird, Richard M. and Enid Slack , Urban Public Finance in Canada, 2nd ed, John Wiley, Toronto, 1993.
  103. . Bird, Richard M. , Intergovernmental Fiscal Relations in Developing Countries, World Bank Staff Working Paper No. 304, October 1978.
  104. . Bird and Wallich 1992, op. cit.
  105. . World Bank 1988, op. cit.
  106. . Bird and Slack 1993, op. cit.
  107. . Slack, Enid and Richard M. Bird, "Financing urban growth through development charges," Canadian Tax Journal, 39: 1288-1304, 1991.
    108.
  108. Rao, M. Govinda, "State Government Transfers to Urban Local Bodies," National Institute of Public Finance and Policy, New Delhi, 1991.
  109. Campbell, Peterson and Brakarz 1991, op. cit.
    110.
  110. Thirsk, Wayne R. and Richard M. Bird, "Earmarked Taxes in Ontario: Solution or Problem?" in Allan Maslove (editor), Taxing and Spending: Issues of Process, University of Toronto Press, Toronto, 1994, pp. 129-84.
    111.
  111. Bird, Richard M. and Barbara Miller, "Taxes, Prices and the Poor," in Richard M. Bird and Susan Horton (editors), Government Policy and the Poor in Developing Countries, University of Toronto Press, Toronto, 1989.
  112. Lee, Terence and Andre Jouravlev, "Self-financing Water Supply and Sanitation Services," Cepal Review, No. 48, December 1992.
  113. Davey, Kenneth J., Elements of Urban Management, World Bank, Washington DC, 1993, page 22.
    114.
  114. . See Cairncross, Sandy, "Water supply and the urban poor", in Jorge E. Hardoy, Sandy Cairncross and David Satterthwaite (Editors), The Poor Die Young: Housing and Health in Third World Cities, Earthscan Publications, London, 1990, pp. 109-126.
  115. . Kornai, Janos, The Socialist System, Princeton University Press, Princeton NJ, 1992.
  116. . Tanzi, Vito (editor), Fiscal Policies in Economies in Transition, International Monetary Fund, Washington DC, 1992 and Tanzi, Vito (editor), Transition to Market: Studies in Fiscal Reform, International Monetary Fund, Washington DC, 1993.
  117. . Kornai, 1992, op. cit.
  118. . Bird, Richard M., "Threading the Fiscal labyrinth: some issues in fiscal decentralization," National Tax Journal Vol.46, 1993, pp. 207-27.
  119. . Bird 1993, op. cit.
  120. . Bahl, Roy and Sally Wallace, "Revenue Sharing in Russia," Environment and Planning C: Government and Policy, Vol. 12, 1994.
  121. . Wallich, Christine, Fiscal Decentralization: Intergovernmental Relations in Russia, World Bank, Washington, DC, 1992.
  122. . Bird and Wallich 1993, op. cit.
  123. . Soderstrom, Lars, "Fiscal Federalism: The Nordic Countries' Style," in Remy Prud'homme (editor), Public Finance with Several Levels of Government, Koenigsteing: Foundation Journal Public Finance, the Hague, 1991.
  124. . Bird and Slack, 1993, op. cit.
  125. . Bird and Wallich, 1992, op. cit.
  126. . World Bank, World Development Report 1993, Oxford University Press, 1993.
  127. . See, for example, Bird, Richard M., Intergovernmental Fiscal Relations in Colombia, Harvard Law School International Tax Program, Cambridge, Mass, 1984.
  128. . See Bird, Richard M. and Enid Slack, "Redesigning intergovernmental transfers: A Colombian example," Environment and Planning C: Government and Policy Vol.1, 1983, pp. 461-73.
  129. . Bird 1993, op. cit.
  130. . Kelly, Roy "Implementing Property Tax Reform in Transitional Countries: The Experience of Albania and Poland," Environment and Planning C: Government and Policy, Vol. 12, 1994.
  131. . Bird and Wallich, 1992, op. cit.
  132. . Bahl and Wallace 1994, op. cit.
    133.