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Extending Service Delivery to the Urban Poor, the Case for Formalizing Community Engagement Preliminary Findings from Interdisciplinary Policy Research.

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Presentation on theme: "Extending Service Delivery to the Urban Poor, the Case for Formalizing Community Engagement Preliminary Findings from Interdisciplinary Policy Research."— Presentation transcript:

1 Extending Service Delivery to the Urban Poor, the Case for Formalizing Community Engagement Preliminary Findings from Interdisciplinary Policy Research on Dhaka, Karachi and Mumbai Institutional and organizational findings are case studies from an interdisciplinary policy research study, Lead Researcher Faisal Haq Shaheen, Ryerson University

2 Outline The Inevitable Service Delivery Context in South Asia’s Cities – Insufficient policies and program complexities constrict utilities – Comparative analysis of policy and program interventions for management improvement is valuable Methodology: Comparator Variables and Process Tracing – Comparison of Engagement of Informal Sector in Water and Sanitation – Process Mapping of State and Non-State activity in low income areas Findings and policy stages ‘themes’ across mega cities – Mapping the Emergency of State/Non-State Arrangements Policy Recommendations – Informing a Mega City Policy and Program Research Agenda

3 South Asia’s Service Delivery Context Mega city growth is surging in South Asia – Growing segments of urban society live in low income, unplanned settlements and struggle with basic necessities despite contributing to urban resilience – Rising prices and unaffordable housing will perpetuate the growth of ‘informal’ communities, demanding access to services Historical challenges constrict the equitable distribution of services – Colonial imprint has polarized a ‘tiered’, center facing bureaucracy – Politicized institutions operate without due process or oversight by upper tiers – Weak municipal institutions are drowned out by upper tier policies/decisions Duplication of ‘legacy’ departments, politicized functionaries, poor financial recovery tools Basic services are delivered and influenced by upper and lower tier actors – Upper Tier (health, education) – Lower Tier (solid waste, electricity, water and sanitation, shelter) Uncoordinated and weak frameworks persist in an atmosphere where lower tiers are expected to ‘discover’ self sufficiency

4 Challenges in Policy Analysis Differentiating between Upper and Lower Tier Actors – State Actors Upper Tier (Central/Federal and Provincial/State) Lower Tier (Provincial/State and Municipal/Local) – Non-State Actors Upper Tier (Multi Lateral Donors, Country Funding Agencies, Private sector, NGOs) Lower Tier (Technical Donors, NGOs, CBOs) The history of service delivery has seen changing priorities – Shift from State to Non-State Activity Donor funding, state capability and community responses have oscillated – Different outcomes emerge from different tiers of the state High Prioritization of Upper Tier Initiated Policies and Projects ‘Service Delivery Events’ or ‘Community Milestones’ realized at the Lower Tiers of the State Matching outcomes to policies and establishing causality and inferences for analysis is challenging

5 Methodology: Process Tracing Value of comparing state and non-state actors between Mega Cities – How do the water and sanitation service delivery contexts in Dhaka, Karachi and Mumbai compare in terms of informal sector engagement? I have integrated the mixed scan and process tracing approaches, through causal-process observations, nested within the case study and non state actor experience. This brings out the causal sequence in which process- tracing observations are then situated (Collier et al, 2011). – Comparator variables compare the service delivery contexts among lower tier actors (Siddiqui, Umeh and Andranovich) – The ‘Policy Stage’ highlights higher policies (Lasswell, deLeon, Anderson et al.) Dhaka (Dhaka and DWASA), Karachi (OPP and KWSB/KMC), Mumbai (SI and MCGM) – The ‘Typology’ of state and non-state engagement is programs (Sansom et al.) Maturity of relationship between state and non-state service providers Interdisciplinary approach draws out specific tools linked to positive service delivery outcomes

6 Findings: Utility Service Contexts DhakaMumbai Karachi

7 State Engagement of Non State Actors 19801985199019952000200520102015 5 4 3 2 1 Dhaka Karachi Mumbai

8 Patterns of State-Non-State Engagement Karachi Dhaka Mumbai Monitoring Implementation Development Formulation Agenda RecognitionDialogueContractualCooperation Collaboration G20

9 Some Constraints to Engagement Karachi – OPP RTI research has highlighted the challenges of mal governance within Karachi, including water pilferage and revenue losses to the utility. – Absence of broad, formalized state facilitation and collaboration, securing the relationship with this NGO, has left the organization and staff vulnerable. Dhaka – DSK has successfully facilitated service delivery across the district of Mirpur, including water supply to the largest slum, Karail. It has now been granted the ability to extend service delivery extension to other parts of Dhaka. – Utility sees the convergence of revenue recovery and extending services through engaging NGOs like DSK. MOUs have been publicly signed Mumbai – SI, SPARC and others have documented the benefits of local entrepreneurial design, exposing the limitations of the privatized ‘one size fits all’ model. – Absence of local state sponsorship, has led to unnecessary experimentation with subsidized private sector operation and substantial JNNURM outlays.

10 Common Themes of Service Delivery Extension Local Community Engagement central to design success Design must be developed in cooperation with local actors (non-state) Local revenue generation, key to service delivery design, made at project inception Driver is community, State is sponsor for local service delivery solutions Establishing Shared Interests will sustain cooperation Lower tier actors sustain momentum of program service delivery by sharing O and M. Institutional strengthening and revenue recovery (reduce non revenue water) Engagement must evolve into formalized Relationships Documentation is central, with community advocacy facilitating further engagement Memoranda of understanding and Letters of Intent are key assets of recognition Absence of securing shared efforts, leaves non state actors vulnerable

11 Examples of Service Delivery Interventions Imagine modes of technology to sustain and expand monitoring – Increase Transparency at the lower tiers by employing GIS applications for billing and monitoring of service delivery such as water services, solid waste routes and mapping infrastructure lines and maintenance for O&M budgeting Deepen Engagement between Lower Tier Actors during Implementation – Increase Effectiveness at lower tiers through facilitated engagement between CBOs and Municipal officers from implementation and evaluation of current policies and programs. Reporting and Funding models should be linked – Increase Accountability at lower tiers where the state is limited in its ability to extend and sustain service delivery. Lower tier community actors can ensure that locally developed solutions are incorporated into designs as part of service delivery replication. – Invest in a proactive, talented and agile community engagement cell – The policy window is establishing a talented pool to keep pace with growth

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