Future Megacities 4: Local Action and Participation

ISBN 978-3-86859-276-4

ISBN 978-3-86859-276-4


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• Urumqi<br />

Casablanca • Tehran-Karaj •<br />

• Hefei<br />

Hyderabad •<br />

Addis Ababa •<br />

• Ho Chi Minh City<br />

Lima •<br />

Gauteng •

Index<br />

5<br />

Preface<br />

Elke Pahl-Weber, Bernd Kochendörfer, Lukas Born, Carsten Zehner<br />

Introduction<br />

13<br />

17<br />

<strong>Local</strong> <strong>Action</strong> <strong>and</strong> <strong>Participation</strong> in Urban Development<br />

Ulrike Schinkel, Angela Jain, Sabine Schröder<br />

Theoretical Departures<br />

Ulrike Schinkel, Angela Jain, Sabine Schröder<br />

Eight Case Studies<br />

27<br />

43<br />

62<br />

78<br />

93<br />

110<br />

135<br />

Urban Agriculture in Urban Development: Methods of Awareness-raising <strong>and</strong> Knowledge<br />

Transfer (Casablanca, Morocco)<br />

Juliane Br<strong>and</strong>t, Natacha Crozet, Ahmed Chahed<br />

Community <strong>Participation</strong> for Energy-efficient <strong>and</strong> Sustainable Housing (Ilitha, South Africa)<br />

Bertine Stelzer, Bernd Heins<br />

Challenges of Interdepartmental Collaboration to Foster Energy Efficiency in Public<br />

Buildings (Gauteng Province, South Africa)<br />

Johannes Rupp, Michael Knoll<br />

A Citizens’ Exhibition as a Communicative-participative Approach in Hashtgerd New Town<br />

(Iran)<br />

Sabine Schröder<br />

Hyderabad—Community Radio for <strong>Local</strong> Empowerment: <strong>Participation</strong> <strong>and</strong> Organisational<br />

Sustainability<br />

Alva Bonaker, Raban Daniel Fuhrmann<br />

<strong>Local</strong> <strong>Action</strong> in <strong>and</strong> on Urban Open Spaces of Hyderabad<br />

Angela Jain, Tobias Kuttler<br />

Lessons Learnt from a Community-based Adaptation Project in Ho Chi Minh City, Vietnam<br />

Ulrike Schinkel<br />


155<br />

Addis Ababa—Participatory Development of Carrying Devices for Recyclable Material<br />

Collectors<br />

Daniela Bleck<br />

Outcomes<br />

175<br />

Findings <strong>and</strong> Lessons Learnt<br />

Ulrike Schinkel, Angela Jain, Sabine Schröder<br />

Appendix<br />

187<br />

206<br />

208<br />

The Projects of the Programme on <strong>Future</strong> <strong>Megacities</strong> in Brief<br />

Authors<br />

Imprint<br />


GAUTENG: Building inspection [Zehner]


GAUTENG: Convincing people to use better stoves can only be successful with local action. [Zehner]

Ulrike Schinkel, Angela Jain, Sabine Schröder<br />

<strong>Local</strong> <strong>Action</strong> <strong>and</strong> <strong>Participation</strong> in<br />

Urban Development<br />

Policymakers <strong>and</strong> planners frequently overlook the significance of bottom-up approaches<br />

that have been initiated by civil society <strong>and</strong> the contribution of these approaches to urban<br />

development <strong>and</strong> climate-change adaptation <strong>and</strong> mitigation. Moreover, they underestimate<br />

the importance of the local level as the level for implementing concrete projects <strong>and</strong>/or<br />

climate change–related policies. The complexity of the challenges that need to be addressed<br />

in urban environments today requires a multi-level governance approach, which distributes<br />

competences <strong>and</strong> decision-making powers among different decision-making levels <strong>and</strong> which<br />

integrates all stakeholders as partners. But local communities <strong>and</strong> their organisations are not<br />

yet fully recognised as actors who shape their own living environments <strong>and</strong> who contribute to<br />

urban development as a whole.<br />

This book <strong>Local</strong> <strong>Action</strong> <strong>and</strong> <strong>Participation</strong>: Approaches <strong>and</strong> Lessons Learnt from Participatory<br />

Projects <strong>and</strong> <strong>Action</strong> Research in <strong>Future</strong> <strong>Megacities</strong> highlights the potential of bottom-up,<br />

or grassroots, approaches. It traces participatory projects <strong>and</strong> local-action initiatives for<br />

climate-change adaptation <strong>and</strong> mitigation, which have been initiated within the scope of<br />

research projects undertaken in Morocco, South Africa, Ethiopia, India, Iran, <strong>and</strong> Vietnam.<br />

By bringing together experiences gained in pilot projects <strong>and</strong> action research, the volume<br />

narrates the stories behind individual activities <strong>and</strong> co-operative processes, <strong>and</strong> it frankly<br />

illustrates results <strong>and</strong> lessons learnt. Finally, it formulates overarching conclusions <strong>and</strong> recommendations<br />

for future participatory research <strong>and</strong> development projects.<br />

International co-operation often focuses on implementing new technologies, which have<br />

been developed in the environment of industrialised countries <strong>and</strong> are then transferred to<br />

the global south in order to improve the situation there. The strategic concepts for technology<br />

transfer, however, mostly underestimate <strong>and</strong> undervalue the effort needed to embed<br />

new technologies or organisational innovations into the local technological, political, <strong>and</strong><br />

socio-economic environment. In order to fill this gap, the contributions of this book look at<br />

local governance structures, specific constellations of local actors, <strong>and</strong> practices of communication<br />

<strong>and</strong> co-operation. Within their projects embedded in the research programme <strong>Future</strong><br />

<strong>Megacities</strong>: Energy- <strong>and</strong> Climate-efficient Structures in Urban Growth Centres, the authors of<br />

this book are working at the interface of theory <strong>and</strong> practice. Through action research <strong>and</strong> the<br />

implementation of demonstration projects, they have put into practice theoretical approaches,<br />

<strong>and</strong> their results enrich the research discourse on participation <strong>and</strong> local action.<br />

This book mainly addresses researchers <strong>and</strong> practitioners who deal with bottom-up approaches<br />

to development <strong>and</strong> planning. It can be regarded as a compilation of the experiences<br />

that we have gained from research projects. This compilation highlights hurdles, obstacles,<br />

<strong>and</strong> stumbling blocks for participatory <strong>and</strong> local-action projects; it provides recommendations<br />

on how to avoid or overcome them, <strong>and</strong> it points out how one can foster favourable conditions.<br />


Fig. 1<br />

Awareness-raising for sustainable lifestyles, Hyderabad [Steinbeis India]<br />

Particularly interesting for those who have limited practical experience with participatory<br />

projects is the fourth thematic field, which discusses the occurrence of unplanned <strong>and</strong> unforeseen<br />

impacts of participatory interventions <strong>and</strong> the options for dealing with these impacts.<br />

The fifth thematic field examines the changing role of the external researcher <strong>and</strong> practitioner<br />

in participatory projects <strong>and</strong> local-action initiatives that aim at empowering locals to<br />

take responsibility for decision-making <strong>and</strong> for implementing such initiatives.<br />

The last thematic field summarises the variety of tools <strong>and</strong> approaches applied <strong>and</strong>,<br />

based on the different authors’ experiences, offers critical reflections on which methods <strong>and</strong><br />

tools best suit which contexts.<br />


Ulrike Schinkel, Angela Jain, Sabine Schröder<br />

Theoretical Departures<br />

<strong>Participation</strong> <strong>and</strong> <strong>Local</strong> <strong>Action</strong><br />

There is a wide range of definitions for the terms participation <strong>and</strong> local action. Thus, finding<br />

clear designations for these terms—designations relevant to all development contexts <strong>and</strong><br />

ones that can be applied in this book—presents a challenge. In fact, the book’s contributions<br />

reflect a variety of conceptualisations <strong>and</strong> interpretations of participation. Nevertheless, we<br />

can offer here a theoretical framework for these terms, in order to put the book’s contributions<br />

into conversation with each other. In this volume, the distinction between participation <strong>and</strong><br />

local action is neither absolute nor strict; on the contrary, both concepts may partially overlap.<br />

However, here, a distinction between the terms will help to highlight qualitative differences.<br />

<strong>Participation</strong><br />

The term participation can be differentiated into a) public participation, civil society’s participation<br />

or people’s participation as an approach to legitimise political <strong>and</strong> planning decisions,<br />

b) community participation, which predominantly fosters joint decision-making <strong>and</strong> information<br />

gathering, or c) stakeholder participation as an effort to integrate relevant stakeholders<br />

from the political, the private, <strong>and</strong> the civil society sector into decision-making <strong>and</strong><br />

to establish unconventional coalitions to initiate change. Regarded from a more academic<br />

perspective, participation can be both a means to strengthen democracy, grassroots democracy<br />

in particular, <strong>and</strong> an ends, as it may be the output of democratisation processes [T<strong>and</strong>on<br />

2008 in Ledwith/Springett 2010].<br />

In contrast to participation, local action evolves from the community level <strong>and</strong> is thus<br />

dem<strong>and</strong> driven. <strong>Local</strong> action initiates from the bottom-up <strong>and</strong> encompasses an entity of<br />

self-help activities <strong>and</strong> self-organisation, which aim to solve local issues where there is lack<br />

of governmental interest or capacity to act.<br />

Sherry R. Arnstein developed possibly the most famous theoretical conceptualisation of<br />

participation in the late nineteen-sixties (1969) in order to classify citizen participation in the<br />

United States of America <strong>and</strong> other developed countries. Arnstein’s Ladder of Citizen <strong>Participation</strong><br />

distinguishes between real citizen participation (citizen power), which involves the<br />

re-distribution of power from the power-holders to the powerless, <strong>and</strong> forms of tokenism <strong>and</strong><br />

non-participation. Thus, Arnstein’s Ladder describes eight steps of citizen participation in<br />

formal planning <strong>and</strong> decision-making processes, which are grouped into the three categories<br />

mentioned above [Figure 1 •] [Arnstein 1969].<br />

As a response to Arnstein’s work, Marisa Guaraldo Choguill [1996] educed her own Ladder<br />

of Community <strong>Participation</strong> for Underdeveloped Countries in the mid-nineteen-nineties,<br />

which takes into account the limited resources <strong>and</strong> capacities of governments to address<br />

the entirety of local development issues. However, Guaraldo Choguill considered community<br />

participation not “just … a means to enable the people” to satisfy their basic needs in the<br />


CASABLANCA: <strong>Local</strong> action for peri-urban tourism takes place in this l<strong>and</strong>scape. [Born]

Juliane Br<strong>and</strong>t, Natacha Crozet, Ahmed Chahed<br />

Urban Agriculture in Urban<br />

Development: Methods of<br />

Awareness-raising <strong>and</strong> Knowledge<br />

Transfer (Casablanca, Morocco)<br />

Urban Agriculture as an Integrative Factor of Climateoptimised<br />

Urban Development<br />

The Urban Context: <strong>Local</strong> Conditions<br />

Casablanca, currently the largest <strong>and</strong> most populated urban region in Morocco, has grown<br />

within a century from a small settlement of 20,000 inhabitants to a metropolis that is<br />

estimated to have 5.1 million residents by 2030. 22% of the national urban population lives in<br />

Casablanca. 60% of industry in Morocco is concentrated in this agglomeration. The city faces<br />

many different challenges—including considerable spatial <strong>and</strong> population growth, fragmented<br />

spaces, an increasing divide between rich <strong>and</strong> poor, a lack of adequate housing, inadequate<br />

environmental <strong>and</strong> living st<strong>and</strong>ards, <strong>and</strong> difficulties maintaining technical infrastructure—as<br />

well as the challenges posed by climate change <strong>and</strong> limited resources.<br />

In 1907 the city covered a small area of only 50 ha. In 1997 the Greater Casablanca region<br />

was created, comprising 121,412 ha <strong>and</strong> eight prefectures. Previously rural communities with<br />

agricultural areas have been <strong>and</strong> are still being urbanised, which consumes valuable open<br />

space. As a result of the current development processes, which are specific to megacities,<br />

urban agriculture (UA) as a spatial dimension can present new hybrid <strong>and</strong> climate-sensitive<br />

forms of interaction between rural <strong>and</strong> urban space. An underlying hypothesis of this project<br />

is that such reciprocal urban–rural linkages contain the potential for a qualified coexistence<br />

that can be the basis for forming sustainable, climate-optimised, multi-functional, open<br />

spatial structures, which can serve as productive l<strong>and</strong>scapes that, in turn, make a long-term<br />

contribution to the sustainability of cities <strong>and</strong> the quality of inhabitants’ lives. It is to be assumed<br />

that UA will only be able to coexist in the long term <strong>and</strong> in a qualitatively meaningful<br />

manner with other, economically stronger forms of l<strong>and</strong> utilisation when synergies between<br />

urban <strong>and</strong> agricultural uses arise.<br />

Within a period of eight years (2005–2013) the inter- <strong>and</strong> trans-disciplinary research<br />

project Urban Agriculture as an Integrative Factor of Climate-Optimised Urban Development,<br />

Casablanca/Morocco (UAC) focused on four different challenges represented by four research<br />

questions:<br />

1) To what extent can urban agriculture play a significant role in adaptation to climate-change<br />

consequences, in climate protection, <strong>and</strong> in energy efficiency, which are<br />

amongst Morocco’s greatest economic <strong>and</strong> ecological challenges?<br />


Nevertheless, one of the main results of the project <strong>and</strong> especially of the support of the INDH<br />

is that through this official funding organisation, the authorities now recognise the women’s<br />

activity. While it is still not officially formal, the support of a national organisation is a first<br />

step towards a legalisation of their selling activity.<br />

Participatory Approach <strong>and</strong> Methods to Implement Urban<br />

Agriculture Practices in an Informal Settlement<br />

Initial Situation<br />

Poverty drives many people to leave the countryside <strong>and</strong> migrate to Casablanca, whereas it<br />

drives others to leave Casablanca because they cannot bear the rising costs in the quickly<br />

growing city. Looking for affordable housing, most of the migrants settle down in informal<br />

settlements close to the city, like Ouled Ahmed. This village, with 2300 inhabitants <strong>and</strong><br />

traditional infrastructure—for example, a hammam (public bath) <strong>and</strong> mosque—was identified<br />

as an appropriate location for the pilot project Urban Agriculture <strong>and</strong> Informal Settlement (UA<br />

+ Informal Settlement).<br />

The majority of the inhabitants are illiterate. Furthermore, many young people stop<br />

attending school early without graduating. Instead, they set out in search of jobs in Casablanca.<br />

The existing social networks are based on kinship, friendship, <strong>and</strong> peer groups. The lack<br />

of governmental support, interventions, <strong>and</strong> activities creates a need for dwellers to care for<br />

themselves in order to solve the most pressing problems. Thus, they initiate associations in<br />

order to improve the village’s infrastructure. Despite their efforts, many deficiencies remain.<br />

For example, an adequate sewage infrastructure is needed, especially to avoid flooding of<br />

streets, dwellings, <strong>and</strong> public institutions like the primary school; flooding risks are not only<br />

caused by heavy rainfall but also by insufficient draining of the hammam’s wastewater.<br />

Waste disposal is not available. Additionally, theft, v<strong>and</strong>alism, <strong>and</strong> a lack of appropriate<br />

farml<strong>and</strong> hinder urban gardening activities.<br />

Objectives of the Activities<br />

Within a pilot project on urban agriculture integrated into informal settlements (UA +<br />

Informal Settlement), the goal was to explore, demonstrate, <strong>and</strong> apply small-scale urban<br />

agriculture, including affordable access to water to irrigate green spaces. Furthermore, it was<br />

intended to find out whether such activities could contribute to improving the livelihood of<br />

the dwellers.<br />

Methods to Implement Urban Agriculture Practice in Informal Settlements<br />

To create a participative process, it was important to start with integrating the training of<br />

locals to disseminate knowledge into the development <strong>and</strong> implementation of activities<br />

<strong>and</strong> not to start with a fixed set of urban agricultural measures. The Moroccan <strong>and</strong> German<br />

Project partners considered the bottom-up approach with participative action to be both<br />

appropriate <strong>and</strong> necessary for acting under such informal conditions. What is needed is the<br />

awareness <strong>and</strong> enthusiasm of local actors who involve themselves in small-scale urban agri-<br />


Fig. 5<br />

Fig. 6<br />

(left) Fermented chili: New processed products of the association (pilot project 3) [UAC Project]<br />

(right) School garden (pilot project 2) [UAC Project]<br />

culture in the settlement. The intention was to make inhabitants aware, to involve them, <strong>and</strong><br />

to awake their creativity in order to invent suitable forms of micro-gardening <strong>and</strong> to empower<br />

them to initiate processes even after the end of the project.<br />

After an intense process of consultation with the Moroccan colleagues, the informal<br />

settlement of Ouled Ahmed was deemed advantageous to serve the pilot project goals. The<br />

inhabitants of this settlement had already formed a network of associations to successfully<br />

realise “public” tasks, such as the construction of a road or the support for the school<br />

building. Moreover, our Moroccan partners had personal contacts to local stakeholders. In the<br />

beginning a pilot project committee was formed. German <strong>and</strong> Moroccan researchers came<br />

together to initiate <strong>and</strong> assist the implementation process. Several meetings with members<br />

of the associations <strong>and</strong> the schoolteachers led to the idea of a school garden where pupils can<br />

be trained in urban gardening <strong>and</strong> take this knowledge into their households; in this sense<br />

they act as multipliers of knowledge in their families <strong>and</strong> neighbourhoods. The meetings were<br />

organised by the Moroccan partners in co-operation with the Union of Associations in Ouled<br />

Ahmed <strong>and</strong> took place in the recently built primary school. Thus, it was possible to meet<br />

many stakeholders, members of the associations, the school staff, <strong>and</strong> interested inhabitants.<br />

This approach—a basic local action—generated many further steps.<br />

The idea of the school garden was supported by all local actors. The garden itself was<br />

planned <strong>and</strong> installed under the guidance of a teacher who recognised the necessity of such<br />

an action to improve the learning conditions for the children [Figure 6 •]. Further, the president<br />

of the Union of Associations of Ouled Ahmed proposed involving the local women, who rarely<br />

leave the village, in the pilot project. He provided a plot of l<strong>and</strong> near the school to create the<br />

solidarity farm, where women can be trained in urban agriculture <strong>and</strong> use the acquired knowledge<br />

to improve their livelihood. The training was organised by the local NGO THM, which organises<br />

the pilot project UA + Healthy Food Production in the UAC project <strong>and</strong> is experienced<br />

in working with illiterate people [Figure 7 •].<br />

Furthermore the local actors asked the pilot project committee for a solution to stop<br />

the permanent flooding in the school garden <strong>and</strong> the nearby solidarity farm. A constructed<br />

wetl<strong>and</strong> was proposed as low-cost technology for treating the hammam’s wastewater for<br />

irrigation purposes; it would serve as a practical demonstration, which could be further adopted<br />

<strong>and</strong> disseminated. The constructed wetl<strong>and</strong> was installed <strong>and</strong> is maintained by the local<br />

actors with the supervision of German <strong>and</strong> Austrian experts, who met the hammam’s owner,<br />


GAUTENG: Proper housing is one of the big challenges in many parts of Gauteng. [Zehner]

Bertine Stelzer, Bernd Heins<br />

Community <strong>Participation</strong> for Energyefficient<br />

<strong>and</strong> Sustainable Housing<br />

(Ilitha, South Africa)<br />

Introduction<br />

Since the apartheid regime’s collapse in 1994, low-cost housing in South Africa has remained<br />

one of the most important topics on the political agenda of the African National Congress<br />

(ANC). Rapid economic progress <strong>and</strong> the abolishment of migration control have resulted in<br />

steady population growth in urban centres like Johannesburg [Guy et alii 2013]. Fuelled by the<br />

promise of employment <strong>and</strong> a better life, poor <strong>and</strong> rural populations within South Africa, as<br />

well as workers from neighbouring countries, are moving into South African cities. In order<br />

to meet the increasing dem<strong>and</strong> for affordable housing for the poor, in 1994 the government<br />

introduced an ambitious housing programme, aimed at providing free <strong>and</strong> appropriate shelter<br />

for those who cannot afford to buy a house [ANC 1994].<br />

While this Reconstruction <strong>and</strong> Development Programme (RDP) delivered many buildings,<br />

many of them lacked basic st<strong>and</strong>ards of quality, leading to the rapid decay of new housing<br />

structures. Although South Africa has introduced a series of quality <strong>and</strong> energy-efficiency<br />

building st<strong>and</strong>ards, only recently have these st<strong>and</strong>ards become m<strong>and</strong>atory for RDP housing<br />

developments 1 . However, the large-scale st<strong>and</strong>ardised housing approach <strong>and</strong> the financial<br />

constraints of government funds have created a low-cost housing industry, in which the<br />

market is dominated by the mass implementation of mostly unified, inflexible, low-quality,<br />

low-cost houses with only minimum features for infrastructure <strong>and</strong> sanitation.<br />

Fig. 1<br />

Informal housing in Alex<strong>and</strong>ra, Johannesburg 2012 [Stelzer]<br />


2009]. At the Centre for Scientific <strong>and</strong> Industrial Research (CSIR) in Johannesburg, we gained<br />

insight into the thermal characteristics of different materials commonly used for low-cost<br />

housing construction, including brick, adobes, fired brick, <strong>and</strong> cement blocks. Also, we could<br />

examine roof tests, different types of wall insulation, <strong>and</strong> construction techniques with the<br />

aim of studying their impact on insulation <strong>and</strong> energy performance. During meetings with<br />

construction specialists <strong>and</strong> researchers at the University of Johannesburg, we discussed<br />

different locally available <strong>and</strong> recyclable building materials that could contribute to alternative<br />

low-cost building construction. Based on what we learned, INEP developed an initial<br />

SLH-Technical Concept [INEP 2012]. The technical concept compares <strong>and</strong> assesses locally available<br />

material options <strong>and</strong> their thermal characteristics to internationally available technologies<br />

with the objective of highlighting differences <strong>and</strong> material potentials. Another field visit<br />

in 2009 aimed at exploring different urban <strong>and</strong> rural project sites of st<strong>and</strong>ard low-cost settlements<br />

throughout provinces in South Africa. Among these examples was an energy-efficient,<br />

low-cost settlement project located in the township of Atlantis, close to Cape Town [Ndzana<br />

2009]. Work sessions with the South African EnerKey project partner PEER Africa, a local<br />

organisation that conducts sustainable housing projects, confirmed our emphasis on an integrated<br />

housing approach, which not only accounts for the basic necessities for a decent living<br />

(shelter, water, electricity), but which also incorporates a social dimension. They identified<br />

acceptability, accessibility, education, <strong>and</strong> financing as the most crucial social components for<br />

sustainable low-cost housing in South Africa. Further, four model houses at the University of<br />

Witwaters<strong>and</strong> were visited, which demonstrated the impact of passive solar energy <strong>and</strong> other<br />

sustainable development interventions including waterless toilets, solar water heating, <strong>and</strong><br />

energy-efficient lighting [Ndzana 2009].<br />

Moderated Brainstorming Session<br />

In May 2009, preliminary brainstorming sessions were held in East London, Ilitha, <strong>and</strong><br />

Stutterheim in order to develop a framework <strong>and</strong> topics for a local workshop in Ilitha [Hoffmann-Dally<br />

2009]. Participants in the brainstorming sessions included the project coordinator<br />

in Ilitha, other representatives from the church communities in Ilitha <strong>and</strong> Stutterheim, social<br />

workers <strong>and</strong> representatives from NGOs <strong>and</strong> civil organisations, as well as researchers from<br />

the universities of Cape Town <strong>and</strong> Stellenbosch. During the brainstorming session, the group<br />

emphasised the need to address the issue of housing <strong>and</strong> HIV/AIDS in the workshop. In order<br />

to learn more about the needs of people affected by the disease <strong>and</strong> their housing situation,<br />

a survey about HIV/AIDS perceptions in the community of Ilitha was prepared. The survey<br />

aimed at obtaining the views <strong>and</strong> feelings of the general public towards the following topics:<br />

· How they define their level of HIV/AIDS awareness<br />

· How ready they are to speak about HIV/AIDS<br />

· How they feel about the establishment of an energy-efficient house that would address<br />

HIV/AIDS issues<br />

Youth representatives of the church community in Ilitha conducted the survey from 19–28<br />

July 2009. In total, thirty-eight people participated in the survey, with balanced male <strong>and</strong><br />

female representation <strong>and</strong> within an age range of nineteen to sixty-nine. A majority of participants<br />

acknowledged HIV/AIDS as a problem in Ilitha, expressed interest in supporting the<br />

church to help people with HIV/AIDS, <strong>and</strong> answered affirmatively to the question of whether<br />

they would like the quality of life in Ilitha to be improved [Hoffmann-Dally 2009].<br />


Tab. 1<br />

Scorecard for sustainable low-cost housing: Ilitha community workshop, July 2009 [INEP 2010]<br />

Energy supply/consumption<br />

Water management/sanitation<br />

Materials/resource management<br />

Health<br />

Solid-waste management<br />

Construction <strong>and</strong> maintenance<br />

Environmental management<br />

Poverty education <strong>and</strong> social well-being, HIV/AIDS prevention<br />

• • • • •<br />

• • • •<br />

• • • •<br />

• •<br />

•<br />

•<br />

•<br />

•<br />

Workshop<br />

At the end of July 2009, a multi-day workshop was organised in East London by INEP in<br />

collaboration with the Ilitha project coordinator with the purpose of developing <strong>and</strong> planning<br />

the housing project. The workshop was held under the title Ideas <strong>and</strong> Strategies for a<br />

Better Livelihood in Ilitha. The first workshop was centred on an intensive brainstorming<br />

exercise with fifteen church members <strong>and</strong> local residents present at the workshop. The<br />

brainstorming session’s questions focused on housing challenges <strong>and</strong> aspirations of the<br />

community with respect to quality, affordability, construction, energy, <strong>and</strong> health. Next,<br />

the workshop aimed at discussing the HIV/AIDS situation in Ilitha. Ideas were brainstormed<br />

concerning how a sustainable housing project can address HIV/AIDS <strong>and</strong> other<br />

diseases <strong>and</strong> health problems. During the course of the workshop INEP developed a simple<br />

scorecard that listed the key concerns <strong>and</strong> ideas identified by residents in Ilitha. These<br />

included energy access, water access, <strong>and</strong> a lack of infrastructure <strong>and</strong> social development<br />

opportunities. The scorecard allowed the participants of the workshop to vote on the<br />

most important issues that they wanted to address within the housing project. A stable<br />

renewable energy supply, as well as material <strong>and</strong> resource options, was chosen as the<br />

most important.<br />

In an open dialogue during the workshop with South African housing researchers,<br />

participants could raise questions <strong>and</strong> suggest answers about how the scorecard priorities<br />

can be achieved. This included discussions on possible construction materials <strong>and</strong><br />

other concepts introduced in the initial SLH-Code. The open dialogue session helped the<br />

participants to link their scorecard priorities to the material <strong>and</strong> construction options for<br />

the model-house development in Ilitha. The dialogue process supported the idea of using<br />

high-insulating materials to reduce energy dem<strong>and</strong> for heating <strong>and</strong> cooling. Also, the<br />

community embraced the use of renewable energy sources for electricity generation, in<br />

order to keep operation costs for the house low. Community members further pointed<br />

out that the look <strong>and</strong> shape of the model house should be similar to other residential<br />

houses in the community in order to find acceptance among other community members.<br />

At the end of the workshop, an agreement was made between the Ilitha church<br />

community <strong>and</strong> INEP to construct a residential st<strong>and</strong>-alone model house based on a<br />

s<strong>and</strong>wich-panel construction.<br />


Initially, these activities created a sense of ownership <strong>and</strong> empowerment in the community<br />

members involved in the construction. After three days the house was built <strong>and</strong> could be<br />

opened to the public with a community celebration.<br />

“And the way … the house is constructed, it’s unbelievable. I mean, it is a 62-m² house.<br />

That was an eye opener to all of us. I would have never thought this could be done <strong>and</strong> to end<br />

up with a product that is so nice.” 7<br />

The model house introduces basic energy-efficient features, such as an improved wall <strong>and</strong><br />

roof insulation through the s<strong>and</strong>wich panels, as well as a rooftop overlap that provides shade<br />

to windows during sunny hours. One side of the house with a large window front faces north,<br />

which allows for a lot of daylight but little heating during intensive sun hours. The inside<br />

structure of the house can be changed with the help of modular wall elements. This allows<br />

community members to set up different room structures <strong>and</strong> facilitate various uses of the<br />

house, for example, for workshops, childcare activities, or community meetings. An additional<br />

room was integrated for either added sanitary installations or as an equipment room. Further,<br />

the house structure supports the installation of a future rooftop solar-energy system,<br />

which could supply a kitchen <strong>and</strong> multi-media technology with electricity for workshops <strong>and</strong><br />

education sessions.<br />

“I would say we got more value than we thought. I mean the value that you will see<br />

in the house, it is nice, it is beautiful, it is warm. You cannot default that this is a quality<br />

st<strong>and</strong>ard house.” 7<br />

After its construction, residents in Ilitha were invited to visit the community house during<br />

different times of the day to experience the building <strong>and</strong> its inside climate. While there were<br />

mixed reactions to the building envelope <strong>and</strong> look of the house, most visitors reported their<br />

surprise at how “nice <strong>and</strong> cool” the house was inside. In a later interview with the project<br />

coordinator in Ilitha, he described his own impression of the house <strong>and</strong> stated:<br />

“I cannot believe how normal this house is <strong>and</strong> how well it corresponds to the needs of the<br />

people. For example, the heating of the house is much more advanced than the local structure.<br />

The only challenge is that the people here are not used to this infrastructure.” 7<br />

Ever since its construction, the population in Ilitha have been highly accepting of the new<br />

community house. The community’s constant usage <strong>and</strong> maintenance of the house reflects<br />

this acceptance. The church community uses the space to take care of children during church<br />

services. Also, the community offered its first sanitary health <strong>and</strong> HIV/AIDS education training<br />

at the community house during 2010.<br />

Ilitha is making a constant effort to convince visitors <strong>and</strong> politicians of the value of the<br />

house. In order to further promote alternative building approaches for low-cost, low-energy<br />

housing, the community often opens the house to the local government, NGOs, <strong>and</strong> businesses<br />

for inspection <strong>and</strong> field trips. Most recently, the community has invested in the installation<br />

of a kitchen in order to be able to host longer workshops <strong>and</strong> meetings at the house. In<br />

2013 INEP supported the installation of a home solar-power system.<br />


Fig. 6 (left) Ilitha church members <strong>and</strong> the new photovoltaic system on the community house [INEP 2013]<br />

Fig. 7 (right) Women taking care of children at the community house during church service [INEP 2010]<br />

Conclusion <strong>and</strong> Recommendations<br />

Challenges <strong>and</strong> Opportunities of the Community <strong>Participation</strong> Approach in Ilitha<br />

The concept of participatory design in the project process kept the overall level of community<br />

involvement in Ilitha high. The local population’s ideas <strong>and</strong> priorities directly impacted the<br />

planning <strong>and</strong> construction of the sustainable model house for the community. With reference<br />

to Choguill’s [1996] ladder of community involvement, measures <strong>and</strong> methods used for community<br />

engagement in Ilitha provided a basis for conciliation, consultation, <strong>and</strong> finally also<br />

empowerment of the community. Empowerment was reflected most strongly in the wish for<br />

<strong>and</strong> eventually the implementation of a community house instead of a residential housing<br />

unit. The partnership approach, which divided responsibilities <strong>and</strong> tasks during implementation,<br />

resulted in a strong sense of responsibility <strong>and</strong> ownership in the community towards the<br />

house during <strong>and</strong> after its construction. The regular use of the house <strong>and</strong> feedback from the<br />

church community proves the local population’s acceptance <strong>and</strong> trust concerning the house’s<br />

quality, energy performance, <strong>and</strong> functionality.<br />

The high level of participatory decision-making power also challenged the project’s timeframe<br />

<strong>and</strong> available resources. The decision of the Ilitha community to change the building<br />

permission application to a community house after agreed deadlines for decision-making<br />

was the most impactful example of their decision-making power. Therefore, timely communication<br />

between project partners was the most challenging part of community participation<br />

within the whole project. While communication <strong>and</strong> the exchange of ideas between the<br />

German <strong>and</strong> South African project partners were generally strong during face-to-face meetings,<br />

it was difficult to maintain the intensity of exchange during periods when there were no<br />

opportunities for face-to face meetings. Reasons for the slowdown of communication could<br />

have been rooted in the fluctuating accessibility of local representatives via email <strong>and</strong> other<br />

communication tools.<br />

While the representative from Ilitha is a well-known, established church-community member<br />

<strong>and</strong> strongly facilitated the church community’s interest, engagement, <strong>and</strong> trust in the<br />

project, he simultaneously represented several organisations <strong>and</strong> his church community within<br />

the Eastern Cape region. The multitude of his responsibilities often collided with the pressing<br />


Fig. 2<br />

Final energy consumption by sector in Gauteng 2007 [Tomaschek et alii]<br />

workshop agendas during the project period because these buildings are in the government’s<br />

immediate sphere of influence. In addition, the energy performance of public buildings, such<br />

as office buildings, is a first indicator of whether a government takes its own goals seriously.<br />

Here, the spectrum of possible interventions includes complex, cost-intensive investments in<br />

the building envelope, as well as training or low-cost behaviour-influencing measures.<br />

For decades Gauteng’s government neglected to improve the energy performance of its<br />

building stock. There were two core reasons: South African energy prices have been <strong>and</strong> still<br />

are low compared to international markets, <strong>and</strong> the maintenance of public buildings has not<br />

been identified as a high political priority. However, since energy prices have increased <strong>and</strong><br />

maintenance has not been improved, the government’s total expenditure for energy has<br />

increased significantly. At the same time, the lack of maintenance in many public buildings<br />

has led to a poor-quality working environment. In some cases, employees have to shiver in<br />

winter <strong>and</strong> sweat in summer due to broken heating systems, ineffective electric heaters,<br />

or non-functioning air-conditioning systems. Also, in many buildings only a few central<br />

light-switches exist, which causes lights to remain on all day.<br />

Finally, awareness for this situation was raised among governmental officials. The retro -<br />

fitting of public buildings <strong>and</strong> the sensitising of staff to energy issues are now concerns. However,<br />

if Gauteng Province wants to claim strategic leadership in energy <strong>and</strong> climate-change<br />

issues, then it needs more than rhetoric. Energy-efficiency interventions in public buildings<br />

is a starting point, although the government’s share in the Gauteng Province’s total energy<br />

consumption is 1%, which is almost negligible compared to energy-intensive users [Figure 2 •].<br />

Energy efficiency <strong>and</strong> energy saving in public buildings symbolise good governance <strong>and</strong> have<br />

to be seen as a valuable example.<br />

Provincial targets for the public sector defined in the Gauteng Integrated Energy Strategy<br />

include an energy-efficiency improvement in the electricity supply of 13% by 2014 <strong>and</strong> 25%<br />

by 2025. These targets can be partially easily achieved by advocating low-cost <strong>and</strong> no-cost<br />

technical <strong>and</strong> behavioural changes. Changing behaviour is quite simple: mobilise employees<br />

to switch off lights when not needed, open curtains to use natural light when ever possible,<br />

<strong>and</strong> leave doors open when rooms are overheated instead of turning on the air conditioning,<br />

for example. Furthermore, some cost-effective technical interventions that are easy to<br />

implement include replacing light bulbs <strong>and</strong> inefficient ballasts, 7 improving the placement<br />

of switches, <strong>and</strong> using bright colours for walls <strong>and</strong> ceilings. Beyond these low-hanging fruits,<br />

further technical potential can be difficult to implement; this includes measures such as the<br />

installation of control systems; the introduction of alternative heating <strong>and</strong> hot water sys-<br />


tems, energy-efficient ventilation, <strong>and</strong> air-conditioning systems; <strong>and</strong> improvements of the<br />

building envelope through thermal insulation. The latter needs a higher financial investment<br />

<strong>and</strong> also stronger coordination <strong>and</strong> co-operation among relevant stakeholders within the<br />

provincial government. 8<br />

The case study below, carried out within the EnerKey project by IER, 9 shows the energy-<strong>and</strong><br />

cost-saving potential of one of the highest energy consumers within Gauteng’s public<br />

building stock, the Chris Hani Baragwanath Hospital in Soweto, Johannesburg [Box A •].<br />

Best-practise Example Chris Hani Baragwanath Hospital<br />

The Chris Hani Baragwanath Hospital is the world’s largest hospital. It has approximately<br />

3,200 beds <strong>and</strong> 6,760 staff members. It functions as an academic hospital, attached<br />

to the University of the Witwatersr<strong>and</strong>. 10 As a result of the hospital’s size, it is a large<br />

consumer of energy with a complex energy-supply structure.<br />

Preliminary results assume an annual final energy consumption of approximately 456<br />

TJ or roughly 10% of the final energy consumed in public buildings in Gauteng Province.<br />

Process heat <strong>and</strong> lighting are the most important applications, using two thirds of the<br />

final energy consumed by the hospital [Figure 3 •]. Coal is a key energy carrier to generate<br />

steam <strong>and</strong> electricity, which results in high greenhouse gas emissions [Eskom 2011]. In<br />

order to improve energy performance <strong>and</strong> reduce greenhouse gas emissions, well-founded<br />

energy planning is necessary. A retrofit of the lighting system, which would include<br />

replacing the existing 25-watt fluorescent lights with LEDs in corridors, could reduce the<br />

final energy consumption by 19 TJ. This would result in an annual saving of 0.6 million<br />

R<strong>and</strong>. Also it could be feasible to undertake a lighting retrofit in offices <strong>and</strong> patient<br />

rooms <strong>and</strong> save an additional of 37 TJ. However, this measure would not be economically<br />

viable due to less daily hours of light-use.<br />

These results are based on an initial study, which gathered data for the development<br />

of a comprehensive assessment tool based on the TIMES model. 11 By applying this<br />

model, it is possible to determine robust, least-cost measures with the aim of reducing<br />

the final energy consumption, greenhouse gas emissions, <strong>and</strong> dependency on imported<br />

energy for the Chris Hani Baragwanath Hospital.<br />

Fig. 3<br />

Final energy consumption by end-use in the Chris Hani Baragwanath Hospital [Taiwo]<br />


Sabine Schröder<br />

A Citizens’ Exhibition as a<br />

Communicative-participative<br />

Approach in Hashtgerd New Town<br />

(Iran)<br />

Introduction<br />

This paper discusses the communicative-aesthetic method of a citizens’ exhibition <strong>and</strong><br />

its adaptation to the Iranian context; this project was carried out in the framework of the<br />

German-Iranian research project Young Cities. The research project Young Cities—Developing<br />

Energy-efficient Urban Fabric in the Tehran-Karaj Region focused on developing <strong>and</strong> applying<br />

energy-efficient planning <strong>and</strong> management concepts, as well as developing solutions for<br />

building <strong>and</strong> infrastructure. The project’s main aim was to reduce CO 2<br />

emissions, but also<br />

to conserve natural resources like water <strong>and</strong> soil. Furthermore, the project sought to find<br />

planning <strong>and</strong> building solutions <strong>and</strong> methodologies to adapt to climate change. The project’s<br />

main locational emphasis was the new town of Hashtgerd as a case study, which lies in the<br />

growth corridor to the west of the emerging megacity of Tehran.<br />

The Islamic Republic of Iran has experienced a massive population growth during the last<br />

few decades. Its population almost doubled from 33.7 million in 1976 to 60 million in 1996. Since<br />

then the population has grown to more than 75 million in 2011. This development occurred<br />

alongside a rapid urbanisation process, which follows the global trend of urbanisation. In 2011,<br />

71.4% of Iran’s population lived in urban areas [Statistical Center of Iran 2011]. Throughout this<br />

period the megacity of Tehran experienced drastic growth <strong>and</strong> has grown in all directions along<br />

traffic arteries [Madanipour 2005]. Like many other countries all over the world, Iran counteracted<br />

this development with the strategy of building so-called new towns on the periphery of urban<br />

agglomerations to relieve the rapid urban growth. The goal of establishing new towns was to<br />

create better <strong>and</strong> healthier living environments than bursting megacities, while simultaneously<br />

counteracting their uncontrollable growth [Madanipour 2005]. However, this approach has not only<br />

had positive results. Negative consequences include the loss of green, natural areas, intensified<br />

social segregation, <strong>and</strong> a slow development in many new towns towards the status of a multi-functional,<br />

independent city. In many cases, the new cities initially lack necessary infrastructure<br />

<strong>and</strong> sufficient public transportation, as well as jobs [Ghalehnoee /Diab 2005].<br />

Hashtgerd New Town is, measured by its geographical size, the largest of the new urban<br />

settlements. The planning of the new town began in 1990 <strong>and</strong> was intended to relieve the<br />

quickly growing capital of Tehran, as well as the city of Karaj, west of Tehran. It was placed<br />

north of the already existing town of Old Hashtgerd <strong>and</strong> circa 30 km west of Karaj. Although<br />

the city was initially planned for 500,000 residents, it has only an estimated population of<br />

approximately 20,000 people today. Hashtgerd New Town has not yet met the expectations<br />


Fig. 1<br />

Impressions of Hashtgerd New Town: Shopping street in the first building phase, half-built neighbourhood<br />

in building phase four, construction of Mehr housing, main street [Nasrollahi]<br />

put on it, due to the lack of jobs, shopping facilities, cultural offers, <strong>and</strong> other infrastructure.<br />

Most of the residents of Hashtgerd New Town do not work within the new town, but<br />

commute to Hashtgerd Old Town, Karaj, or Tehran [Schröder et alii 2013]. The commute to other<br />

cities for work <strong>and</strong> social, cultural, <strong>and</strong> shopping purposes causes a considerable consumption<br />

of energy for transportation. This is mainly carried out with private cars due to the lack <strong>and</strong><br />

inefficiency of public transport.<br />

As Iran has some of the largest oil <strong>and</strong> natural gas resources in the world, those are the<br />

country’s main sources of energy, while the renewable energy supply is negligible [Ministry<br />

of Environment 2009]. The extensive fossil resources <strong>and</strong> increasing energy consumption have<br />

made Iran one of the largest CO 2<br />

emitters in the world with CO 2<br />

emissions rising steadily in<br />

the last few decades, with the exception of the nineteen-eighties due to the Iran-Iraq war<br />

[Marl<strong>and</strong>/Boden/Andres 2012]. Furthermore, the high subsidisation of energy until only a few<br />

years ago led to distorted energy prices <strong>and</strong> reduced the motivation to save energy.<br />

Therefore, the project focused on the development <strong>and</strong> application of energy-efficient<br />

planning <strong>and</strong> management concepts <strong>and</strong> energy-efficient building <strong>and</strong> infrastructure solutions<br />

with the aim of reducing CO 2<br />

emissions. Specifically, the project focused on developing<br />

an integrated planning framework <strong>and</strong> detailed plans for a 35-ha mixed-use residential area<br />

as a pilot project, the Shahre Javan Community, in the south of Hashtgerd New Town; it was<br />

planned for approximately 8,000 inhabitants. The planning framework <strong>and</strong> the plans integrate<br />

energy-efficient <strong>and</strong> resource-saving methodologies <strong>and</strong> utilise a design that minimises<br />

technical complexity <strong>and</strong> costs <strong>and</strong> builds on the regional traditional knowledge of ener-<br />


Fig. 4<br />

Fig. 5<br />

(above) Posters of the citizens’ exhibition in Hashtgerd New Town [nexus Institute Berlin]<br />

(below) Opening of the citizens’ exhibition [Quitzow]<br />

of holding focus group discussions, <strong>and</strong> an NGO partner was found to facilitate the focus group<br />

discussion in Hashtgerd New Town, it was ultimately not possible to obtain the necessary official<br />

permission for the focus group discussions from the responsible superior authority, which<br />

was a prerequisite for conducting them. Therefore, yet another path of conducting discussions<br />

on the plans <strong>and</strong> concepts of the project for mobility had to be found. It became apparent that<br />

the administrative authorities viewed with less scepticism the idea of discussing the concepts<br />

with experts rather than with citizens of Hashtgerd New Town.<br />


Therefore, qualitative interviews were held with experts in urban <strong>and</strong> transportation<br />

planning from Tehran <strong>and</strong> Hashtgerd New Town in fall 2012 in order to obtain feedback on<br />

the mobility concepts of the Young Cities project. The results were evaluated <strong>and</strong> served as<br />

preparation for an expert workshop, which was held in March 2013. In this Expert Workshop<br />

on Innovative Transportation Planning for Iran’s Urban Agglomerations with Special Focus on<br />

the Results of the German-Iranian Young Cities Project, the planning concepts of the Young<br />

Cities project for Hashtgerd New Town were again discussed with experts from the fields of<br />

urban <strong>and</strong> transportation planning, from Hashtgerd Municipality, Hashtgerd City Council,<br />

<strong>and</strong> Tehran Traffic Organization. At this expert workshop, the citizens’ exhibition, which had<br />

been revised <strong>and</strong> extended since its last display, was also displayed to give the experts an<br />

impression of the viewpoints of the citizens of Hashtgerd New Town as an impetus for their<br />

discussion. Furthermore, at an international conference on transport in Tehran shortly after<br />

the expert workshop, a presentation on participative approaches in transport planning was<br />

held by a nexus Institute researcher. This presentation was received with great interest by<br />

the audience, <strong>and</strong> the audience perceived that it is especially important to consider cultural<br />

aspects within planning concepts through participative approaches.<br />

Conclusion<br />

The implementation of participative approaches within the Young Cities project had to be<br />

pursued under quite difficult circumstances in an environment that was not favourable to<br />

participative practices. On the one h<strong>and</strong>, that was due to the lack of participation practices <strong>and</strong><br />

traditions in Iran, which caused much scepticism regarding participative approaches. On the<br />

other h<strong>and</strong>, the implementation of participative approaches was seen as important but not the<br />

main goal within the project itself. <strong>Participation</strong> was one of many work packages of the project,<br />

<strong>and</strong> was defined as a supporting dimension to the main dimensions of building <strong>and</strong> infrastructure<br />

planning. However, especially in contexts that are highly formalised <strong>and</strong> regularised like the<br />

Iranian one, the support of the partners is especially important for the success of participative<br />

approaches <strong>and</strong> needs a lot of trust building. While the inhabitants of Hashtgerd New Town<br />

were willing to participate in the interviews, give information, <strong>and</strong> express their opinion, the<br />

obstacles for implementing participatory approaches were found on the side of administration.<br />

Generally, it must be said that the effects of a citizens’ exhibition <strong>and</strong> the activation of<br />

stakeholders may normally not directly be determined. It is not to be expected, although possible<br />

in exceptional cases, that individuals or groups will directly be stimulated to start some kind of<br />

visible activity after visiting the citizens’ exhibition; it is also not the method’s main purpose.<br />

Activation is a process <strong>and</strong> can best be realised by offering many of these <strong>and</strong> similar activating<br />

events or instruments. However, the citizens’ exhibition offers the opportunity to illustrate for<br />

the public the opinions, attitudes, <strong>and</strong> knowledge of the involved actors <strong>and</strong> thus start a process<br />

of dialogue <strong>and</strong> opinion formation. As mentioned above, the interviews with citizens of Hashtgerd<br />

New Town showed that energy-consumption behaviour <strong>and</strong> the motivation to save energy<br />

are closely linked to the state of urban infrastructure <strong>and</strong> buildings. The citizens’ exhibition<br />

promised to be a good opportunity to use inhabitants’ voices to bring into the public’s awareness<br />

this connection <strong>and</strong> the need for change regarding the living conditions in Hashtgerd New Town.<br />

The local opening of the citizens’ exhibition can at least partly be considered a success in<br />

the sense that—despite the fact that the partners initially did not consider interviews to be<br />


Tarnaka, Tarnaka Consumer Council, Tarnaka Times Committee, Child Labour Committee,<br />

Police-Maithri (Telugu for ‘friendship’) & Security Cell, Watchmen Training, Games & Sports<br />

Cell, Education, Library & Cultural Cell, Legal Cell, Technical Quality Committee of Works in<br />

Tarnaka, Telephone, TV Cable & Internet Cell, Water & Drainage Committee. These are only<br />

a sampling of the multitude of actors, topics, interests, <strong>and</strong> forums that are, in some way,<br />

orchestrated by SCOTRWA.<br />

Yet what does this organisational structure mean for the chance of building up a community<br />

radio in <strong>and</strong> for Tarnaka? Are all these actors already the basis—as consumers, producers,<br />

sponsors, <strong>and</strong> advertisers—of the community radio’s broadcasting programme? Also, is<br />

the organisational setup of SCOTRWA robust enough not only to run <strong>and</strong> coordinate these<br />

already existing associations <strong>and</strong> committees but also now another, new <strong>and</strong> perhaps even<br />

more challenging <strong>and</strong> laborious project? In order to answer these questions, we must analyse<br />

the character of the organisation, its sustainability after the introduction of the community<br />

radio tool, <strong>and</strong> the specific case in Tarnaka.<br />

Community Radio as a Communication Tool in India<br />

FM Radio has staged a comeback in India’s households <strong>and</strong> automobiles. In our context,<br />

the main purpose of setting up a community radio is to enable <strong>and</strong> empower local communities<br />

to use <strong>and</strong> run information <strong>and</strong> communication media that can support social,<br />

economic, <strong>and</strong> cultural community developments. This participatory grassroots communication<br />

tool empowers local communities to voice their problems <strong>and</strong> needs; therefore, it<br />

enables them to participate in decision-making processes. The audience becomes part of<br />

the radio programme through their participation in all aspects—management, fundraising,<br />

<strong>and</strong> programme production.<br />

UNESCO <strong>and</strong> Louie Tabing define community radio as “operated in the community, for<br />

the community, about the community <strong>and</strong> by the community” [Tabing 2002, 9]. Up until now,<br />

community radio has been a rather rural phenomenon. After the pirate radio movement in<br />

Europe in the nineteen-sixties, especially in the UK, France, <strong>and</strong> Italy, the idea of community<br />

radio spread in Africa during the nineties, where it was used for development <strong>and</strong> empowerment<br />

purposes. The movement’s dispersion in Asia was a bit delayed but has recently gained<br />

strength. With a wide range of goals from community development to communication, from<br />

exchange to the spread of information, a community radio tradition can even be found in<br />

Australia <strong>and</strong> North America [Pavarala/Malik 2007].<br />

By the end of 2006, after a decade-long struggle of the country’s community-radio<br />

movement, India’s government announced a new community-radio policy [Pavarala/Malik 2007],<br />

which was the motivation for an increasing number of community radio projects that have<br />

been initiated in India.<br />

However, of course a community radio programme is not the answer to all problems as<br />

it—like other tools of social empowerment—has limitations <strong>and</strong> poses important questions,<br />

such as that of inclusion <strong>and</strong> exclusion in the citizenry [Bailur 2012]. Nonetheless, the experiences<br />

of other community radio stations in India show that this medium has great potential<br />

for empowering, educating, <strong>and</strong> entertaining people [Aleaz 2010, Walker 2009, Pavarala 2003].<br />

In the case of a community radio station of Adivasis in central India, the medium seems to<br />

have the intended effect of strengthening the community <strong>and</strong> giving a voice to marginalised<br />


Fig. 2<br />

Fig. 3<br />

(left) In the SCOTRWA office [N. Fuhrmann]<br />

(right) “Bol Hyderabad”, the community radio at Hyderabad Central University [Bonaker]<br />

people, especially women [Walker 2009]. Similarly, due to programmes of a community radio<br />

station in a village in Jharkh<strong>and</strong>, community members demonstrate an increased awareness<br />

of diseases, appropriate treatments, <strong>and</strong> precautions. Villagers even report that they see a<br />

correlation between the programme <strong>and</strong> an improvement of their well-being, for example,<br />

due to less alcohol consumption [Pavarala 2003].<br />

The Tarnaka Community Radio Initiative<br />

The 2006 statutory change served as a trigger for the Tarnaka initiative, too. The Tarnaka<br />

community radio—for which the licence is still pending—intends to serve the whole public<br />

<strong>and</strong> all residents as a communication platform for announcing, sharing, <strong>and</strong> discussing<br />

issues of public interest that focus on environmental awareness <strong>and</strong> sustainable solutions<br />

to the challenge of climate change in a wider sense. For Tarnaka’s Residents Welfare Associations<br />

(RWAs) the radio will offer a platform for problem-solving through social dialogue,<br />

invitations to meetings, festivities <strong>and</strong> other events, et cetera. The aim of the community<br />

radio is to build on existing community structures <strong>and</strong> strengthen, as well as complement,<br />

them through the joint project. The fact that the community members are themselves<br />

responsible for raising funds, purchasing equipment, <strong>and</strong> creating the programme should<br />

enhance their commitment.<br />

A wide range of groups <strong>and</strong> their specific issues will be targeted in the programmes. The<br />

main target audiences identified so far are senior citizens, working women <strong>and</strong> housewives,<br />

children <strong>and</strong> youth, job seekers <strong>and</strong> employers, <strong>and</strong> RWAs. Beyond those defined groups,<br />

the community radio shall serve the whole public <strong>and</strong> all residents as a communication<br />

platform for announcing, sharing, <strong>and</strong> discussing issues of public interest that focus on<br />

environmental awareness <strong>and</strong> sustainable solutions to climate-change challenges in a<br />

broader sense.<br />

The community radio group was formed in an initial workshop in 2010. As required by<br />

the Ministry of Information <strong>and</strong> Broadcasting’s (MIB’s) guidelines for the application for a<br />

community radio licence, the community was polled with MIB survey questions in the next<br />

step. This survey, which covered 1,000 households, assessed a range of information about the<br />


Fig. 4<br />

Many different kinds of users <strong>and</strong> uses compete for the little available space [Kuttler]<br />

<strong>Local</strong> <strong>Action</strong>: Steps Towards Participatory Planning<br />

The intervention should reactivate <strong>and</strong> widen the existing debate about how to deal with<br />

the scarcity of space <strong>and</strong> especially the role of traffic <strong>and</strong> transportation in Begum Bazaar.<br />

By putting the participants into the position of local experts, the project team sought<br />

to enrich the debate with new perspectives <strong>and</strong> stimulating solutions. The intervention<br />

should have a mediating <strong>and</strong> activating character. In other words: the project team wanted<br />

to stay as neutral as possible towards the involved actors <strong>and</strong> their st<strong>and</strong>points. The intervention<br />

process should basically function as a communication platform open to all actors.<br />

However, despite the articulated neutrality towards the actors, we intended to intervene<br />

into the area’s existing structures of power in order to push back the dominant discourse<br />

about traffic <strong>and</strong> parking in the area. 5 Thus we particularly aimed at involving groups of<br />

actors that formerly had no voice in the discussion. 6<br />

As the public event should focus on the significance <strong>and</strong> characteristics of street space<br />

<strong>and</strong> the conflicts <strong>and</strong> negotiations around it, we wanted the event to take place in the<br />

street itself. This decision was also driven by our desire to design the process to be as open<br />

<strong>and</strong> inclusive as possible; we considered an event in the street to be more visible <strong>and</strong> accessible<br />

than it may be in an enclosed function hall. We assumed that, depending on the type<br />

of location (for example, public building or community hall), a certain part of the population<br />

might always feel inhibited or unwelcomed in such a setting. By conducting an event in the<br />

middle of this busy commercial area, we also wanted to point out that the street is always<br />

a sphere of interaction <strong>and</strong> debate, whether we regard it as “public space” or not.<br />


Based on these early considerations the project team envisioned an intervention in two<br />

phases: First, a communication process with individuals or small groups of actors was organised,<br />

which was then followed by a public event in street space that gathered the perspectives<br />

<strong>and</strong> summarised the results.<br />

In the first phase of the intervention we intended to learn about all possible perspectives<br />

on the conflicting uses of street spaces through (qualitative) interviews. Therefore we<br />

decided to select the interviewees from occupational groups or groups of activities: Business<br />

owners, street vendors, residents, rickshaw drivers, lorry drivers, waste pickers, <strong>and</strong> others.<br />

The information we gathered from these actors should provide the input material for the<br />

public event. The conversations <strong>and</strong> discussions with the actors did not only aim at underst<strong>and</strong>ing<br />

the problems <strong>and</strong> collecting solutions; the communication process should also<br />

create an atmosphere of respect, reliability, <strong>and</strong> mutual trust between the local actors <strong>and</strong><br />

the project team, thereby establishing the necessary ambiance <strong>and</strong> support for a public event<br />

taking place in the market area.<br />

The second phase should comprise the event itself. Within the scope of this event the<br />

participants who took part in the first phase should get the opportunity to articulate their<br />

concerns to a larger audience. The different <strong>and</strong> sometimes conflicting perspectives should be<br />

discussed among the participants <strong>and</strong> other actors from Begum Bazaar, as well as representatives<br />

of the city authorities, NGOs, <strong>and</strong> CSOs. By bringing together the various stakeholders<br />

<strong>and</strong> their viewpoints, we wanted to create awareness <strong>and</strong> a deeper underst<strong>and</strong>ing of the fact<br />

that spatial conflicts cannot be solved by simple solutions imposed from above; instead,<br />

the multidimensional character of these conflicts should be recognised. Thus, the aims <strong>and</strong><br />

objectives of the event were as follows:<br />

· To raise awareness for perspectives of others <strong>and</strong> interdependencies between actors<br />

· To create <strong>and</strong> disseminate knowledge among local actors to support common local claims<br />

towards the city authorities<br />

· To create coherence across social barriers by addressing a topic that does not interfere with<br />

politics of caste <strong>and</strong> religion<br />

· To foster the freedom of public speech<br />

· To unite people physically from different backgrounds in a situation beyond their daily<br />

working <strong>and</strong> living relationships<br />

According to the criteria set above, the project team decided to conduct a citizens’ exhibition<br />

as a public event. A citizens’ exhibition presents local people’s views <strong>and</strong> attitudes in the form<br />

of excerpts from interviews in a public exhibition, accompanied by photographs of the participants<br />

<strong>and</strong> their living <strong>and</strong> working environment. The presentation of the excerpts on a poster<br />

allows for condensing the argumentation given by a participant <strong>and</strong> making it comprehensible<br />

for the visitors. The exhibition can contribute to a stronger identification of the participants<br />

with their own st<strong>and</strong>points, while at the same time increases underst<strong>and</strong>ing of others’ viewpoints.<br />

The major strength of the approach is the aesthetic <strong>and</strong> emotional power of pictures in<br />

combination with the relevant quotations [Schophaus/Dienel 2003]. Along with pictures <strong>and</strong> the<br />

excerpts of the interview, personal attributes such as name, occupation, <strong>and</strong> place of origin are<br />

stated on the poster. Thus the participant approaches the visitor in a direct <strong>and</strong> personal way.<br />

On the posters we wanted to represent the perspectives of different actors in Begum Bazaar<br />

on conflicts that are related to the street space. Each poster should represent the viewpoints<br />

of one person [Figure 8 <strong>and</strong> Figure 9 •]. The communication process <strong>and</strong> the exhibition<br />

were not intended to be a representative survey that gave a complete picture of every group<br />


Fig. 11<br />

Fig. 12<br />

Fig. 13<br />

Fig. 14<br />

(above left) The audience waits for the guests of honour to arrive [Zimmermann]<br />

(above right) Tobias Kuttler of the project team inaugurates the exhibition [Zimmermann]<br />

(below left) Posters in Telugu <strong>and</strong> Hindi [Zimmermann]<br />

(below right) Visitors write down their feedback on the exhibition [Zimmermann]<br />

kirana shop (small retail shop) owners association, also present on the dais, did not deny<br />

that this practice is prevalent <strong>and</strong> causes inconveniences, but emphasised that there are<br />

also many other causes of traffic jams, for example, street vendors, parking vehicles, <strong>and</strong> the<br />

poor condition of the street pavement. Persons from the audience started to interfere in the<br />

discussion, one climbing the stage <strong>and</strong> grabbing the microphone. He <strong>and</strong> others—who turned<br />

out to be shopkeepers from surrounding businesses—accused both who had spoken before as<br />

liars <strong>and</strong> tricksters.<br />

Although the project team was prepared for discussion, as it was indeed our intention to<br />

activate the discussion, unfortunately it could not be adequately moderated when it turned<br />

emotional. The discussion was first held in English, but then abruptly switched to Telugu <strong>and</strong><br />

Hindi when it became heated. Translation was needed first, thus the possibility of moderating<br />

the discussion was lost.<br />

Clarifying talks after the ceremony confirmed what has been indicated in several conversations<br />

during the communication process: that the controversy about the right to use street<br />

space for the respective purposes, which had been ongoing for years, had resulted in deep<br />

animosities between local politicians, business owners, <strong>and</strong> street vendors. The conflict, of<br />

course, could not be solved during the inauguration <strong>and</strong> in the two days of exhibition. However,<br />

it was made more transparent to the inhabitants of Begum Bazaar.<br />


Achievements <strong>and</strong> What We Have Learnt<br />

The communication process <strong>and</strong> the final event—the exhibition—were perceived positively by<br />

the participants. Some of them adopted a reserved <strong>and</strong> almost shy conduct at the inauguration<br />

ceremony <strong>and</strong> were reluctant to climb the platform. Nevertheless, when the guests<br />

of honour h<strong>and</strong>ed over the mementos, they expressed their happiness <strong>and</strong> pride, which they<br />

repeated in personal conversations after the event. After the official opening they proudly<br />

showed their posters to friends <strong>and</strong> relatives. Concluding from these experiences we consider<br />

the collaboration a good experience <strong>and</strong> a personal success for every participant.<br />

The guests <strong>and</strong> visitors expressed their feedback in conversations <strong>and</strong> also in a book<br />

provided for commentaries. This feedback was very, sometimes overwhelmingly, positive<br />

towards the exhibition <strong>and</strong> the whole communication process. The emotional discussions<br />

among the guests <strong>and</strong> with the project team showed how deeply the public is concerned<br />

about the topics that were covered in the exhibition. Several persons expressed their wish to<br />

have such a participation process in their part of the city, <strong>and</strong> at the same time lamented the<br />

inability or unwillingness of the authorities to take up the initiative by themselves.<br />

Could our goals be achieved by this approach? A review of the methodology reveals that<br />

the instrument of the citizens’ exhibition in combination with an intensive communication<br />

process was effective to achieve most of our goals. With the opening ceremony <strong>and</strong> the<br />

discussions during the exhibition, the already-existing debate has been reactivated <strong>and</strong> new<br />

awareness has been created. The communication process <strong>and</strong> the statements in form of the<br />

posters embraced new actors <strong>and</strong> perspectives that enriched these discussions. A considerable<br />

number of people visited the exhibition, around 200 in two days. The groups of visitors<br />

were heterogeneous; among them were goods-vehicles drivers, rickshaw drivers, waste<br />

pickers, <strong>and</strong> employees, many of whom normally have difficulties accessing public events<br />

because of their socioeconomic status <strong>and</strong> position in the caste hierarchy. Also many interview<br />

partners who did not want their opinions published on posters visited the exhibition. It<br />

shows that the intensive communication process <strong>and</strong> the efforts in creating an atmosphere<br />

of respect <strong>and</strong> trust had been necessary <strong>and</strong> fertile. The decision to conduct the event in open<br />

space <strong>and</strong> design it “barrier free” was supportive of achieving a heterogeneous mix of visitors.<br />

Thanks to the audio version of the exhibition text on an MP3-player, illiterate individuals <strong>and</strong><br />

persons who were impaired in their mobility <strong>and</strong> thus could not climb the stage were able to<br />

experience the exhibition. However, the majority of bypassing pedestrians on the street did<br />

not seem to feel drawn to the exhibition.<br />

Furthermore, many external guests visited the exhibition, representatives of various<br />

NGOs, civil society organisations, students, <strong>and</strong> other supporters <strong>and</strong> concerned citizens.<br />

Staff of the local press was also present <strong>and</strong> most local Telugu <strong>and</strong> Hindi newspapers, as well<br />

as one English newspaper, covered the event in the following days.<br />

The project team’s emphasis on neutrality was maintained during the exhibition: whenever<br />

asked for our own opinions, we referred to the statements <strong>and</strong> proposed solutions given<br />

by the participants on the posters. While interacting with the visitors we encouraged them<br />

to compare their own viewpoints with those presented on the posters, thereby encouraging<br />

them to critically self-reflect.<br />

In conclusion, some important aspects of the goals could not be achieved. During the<br />

communication process we realised that specific groups of actors were difficult to reach by<br />

approaching them on the street, in shops, or offices—for example, labourers of the shops <strong>and</strong><br />


Fig. 3<br />

The different levels that affect CBA [Schinkel]<br />

National Programmes on<br />

Climate Change<br />

Adaptation & Mitigation<br />

Integration of<br />

Bottom-Up<br />

Approaches<br />

Inclusive<br />

Urban & Rural<br />

Planning<br />

Capacity<br />

Building<br />

Policy<br />

Dialogue<br />

Scietific<br />

Results<br />

Advocacy<br />

Civil Society Organisations<br />

Physical Adaptation &<br />

Resilient Livelihoods<br />

Community <strong>Action</strong> Plan<br />

CBA<br />

<strong>Local</strong> Adaptive Capacity<br />

Mobilisation<br />

Special Target<br />

Programmes<br />

Facilitation<br />

Awareness<br />

Raising<br />

Strengthening<br />

of <strong>Local</strong><br />

Institutions<br />

Researchers & Experts<br />

Technical<br />

Support<br />

Community<br />

<strong>Local</strong> Government<br />

Institutional<br />

Support<br />

Financial<br />

Incentives<br />

Support<br />

Supportive<br />

Policies<br />

Policy Framework<br />

areas, the application of small-scale protection <strong>and</strong> adaptation measures that are immediately<br />

affordable, <strong>and</strong> the development of warning systems <strong>and</strong> evacuation plans [Schinkel<br />

et alii 2011]. Moreover, a recovery strategy helps to organise mutual self-help activities that<br />

support the re-establishment of community life after a disaster.<br />

While communities develop their own measures <strong>and</strong> strategies, their efforts can be significantly<br />

supported <strong>and</strong> guided by external actors, such as researchers, experts, practitioners,<br />

civil society organisations, <strong>and</strong> local government agencies. The expertise of these different<br />

actors should be utilized according to the communities’ requirements <strong>and</strong> the project foci.<br />

Most importantly, as CBA fosters community-led initiatives, external actors have to partner<br />

with communities <strong>and</strong> the other actors involved: at local level, they act as facilitators who<br />

respect the local community’s self-determination; at the same time they are “change agents”<br />

who engage in advocacy, foster policy dialogue, <strong>and</strong> support the integration of CBA into formal,<br />

top-down planning procedures.<br />

Researchers <strong>and</strong> scientists are important partners in CBA initiatives, as they provide<br />

scientific input, such as long-term predictions for future climate trends, which can support<br />

raising awareness among the community <strong>and</strong> the other actors, <strong>and</strong> which may influence<br />


the development of adaptation strategies. Experts <strong>and</strong> practitioners, such as community<br />

architects or builders, may provide technical support <strong>and</strong> advice during the planning <strong>and</strong> implementation<br />

phases of physical measures <strong>and</strong> technical solutions. The engagement of these<br />

kinds of experts will help minimise the risk of mal-adaptation <strong>and</strong> avoid the development of<br />

resource-erosive response strategies, which prove to be unsustainable in the long term [Reid<br />

et alii 2009, Brooks/Adger 2005, Reid et alii 2010, Ahmad 2010].<br />

Another important group of actors are civil society organisations that directly support <strong>and</strong><br />

guide community processes during all stages of CBA. The capacities of civil society organisations<br />

are manifold: they may act as community mobilisers <strong>and</strong> workshop moderators; they<br />

may support the development of community action plans, their implementation, monitoring,<br />

<strong>and</strong> evaluation. Civil society organisations may also contribute as mediators between all<br />

involved stakeholders. They may sensitise policymakers to local-level concerns <strong>and</strong> promote<br />

the incorporation of locally adaptive capacities into policies <strong>and</strong> large-scale adaptation plans<br />

<strong>and</strong> projects. Additionally, civil society organisations may “translate” public policy to communities<br />

<strong>and</strong> clarify their meaning [Iati 2008].<br />

The third group of external actors important for CBA are local government agencies<br />

<strong>and</strong> planning departments. In CBA projects, they can provide institutional support <strong>and</strong><br />

information on planned future developments that may have an impact on the community<br />

<strong>and</strong> their living environment. Moreover, local government agencies should consider how<br />

to integrate locally adaptive capacity <strong>and</strong> CBA initiatives into larger-scale development<br />

plans, projects, <strong>and</strong> policies.<br />

Implementing successful <strong>and</strong> sustainable CBA activities also depends on an enabling policy<br />

environment that fosters bottom-up approaches to planning <strong>and</strong> climate-change adaptation.<br />

CBA activities need to be linked to top-down planning procedures <strong>and</strong> project <strong>and</strong> policy<br />

development; they require incentives, guidance, <strong>and</strong> institutional support.<br />

The Importance of <strong>Local</strong> <strong>Action</strong> <strong>and</strong> <strong>Participation</strong> in the<br />

Context of Vietnam<br />

Historical Roots<br />

In Vietnam, participation <strong>and</strong> local action as discussed in this book are relatively new approaches,<br />

which have proceeded rather hesitantly during the past two decades. Before Doi<br />

Moi, the politics of renovation, the government of Vietnam regulated nearly every aspect<br />

of people’s lives: “policy makers <strong>and</strong> the government at all levels were assigned the task of<br />

thinking for the people, thinking in place of the people <strong>and</strong> acting for the people” [Thai 2001, 2].<br />

People were organised in mass organisations of the Vietnamese Communist Party, which left<br />

little space for individual initiatives. In the course of Doi Moi, when subsidies for social services<br />

were reduced, the Vietnamese people were asked to (financially) contribute to education,<br />

housing construction, <strong>and</strong> upgrading <strong>and</strong> to actively participate in development projects, in<br />

participatory research, <strong>and</strong> resettlement planning [Bolay/Thai 1999, Thai 2001].<br />

Public participation was officially stimulated <strong>and</strong> regulated by Decree No. 29/1998/<br />

ND–CP concerning “Regulations for Implementing Democracy at the Commune Level” in<br />

1998; that was replaced by Decree No. 79/2003/ND-CP on “The Exercise of Democracy in the<br />

Communes”, the so-called “Grassroots Democracy Decree” in 2003 [Socialist Republic of Vietnam<br />


ADDIS ABABA: Waste collector on a dumpsite [Born]

Daniela Bleck<br />

Addis Ababa—Participatory<br />

Development of Carrying Devices for<br />

Recyclable Material Collectors<br />

Context<br />

Point of Departure<br />

Waste management is one challenge emerging megacities in developing countries <strong>and</strong> countries<br />

in transition face. Solid waste disposed in streets <strong>and</strong> streams, as well as in open dumpsites,<br />

causes environmental pollution, greenhouse gas emissions, <strong>and</strong> public health concerns.<br />

Space for final disposal is often limited. Addis Ababa is a fast-growing city <strong>and</strong> often called<br />

the diplomatic capital of Africa, hosting the African Union, the headquarters of the UN<br />

Economic Commission, <strong>and</strong> a large number of international organisations. Despite rapid modernisation<br />

with many road <strong>and</strong> building construction activities, the solid-waste management<br />

system is still insufficient. In addition, unemployment <strong>and</strong> poverty are increasing problems.<br />

Scope of the IGNIS Project<br />

The research project IGNIS: Income Generation <strong>and</strong> Climate Protection by Valorising Municipal<br />

Solid Wastes in Emerging <strong>Megacities</strong> in a Sustainable Way—Exemplarily for the City of Addis<br />

Ababa, Ethiopia was funded by the German Ministry of Education <strong>and</strong> Research (BMBF)<br />

within the research programme Research for Sustainable Development of the <strong>Megacities</strong> of<br />

Tomorrow—Energy- <strong>and</strong> Climate-Efficient Structures in Urban Growth Centres. The project<br />

was carried out by a bi-national consortium consisting of the Association for the Promotion<br />

of Socially <strong>and</strong> Environmentally Appropriate Technology (AT Association), the University of<br />

Stuttgart, the Institute for <strong>Future</strong> Energy Systems (IZES), the Federal Institute for Occupational<br />

Safety <strong>and</strong> Health (BAuA), ENDA-Ethiopia, Addis Ababa University, <strong>and</strong> the Addis<br />

Ababa Environmental Protection Authority (Addis Ababa EPA) between June 2008 <strong>and</strong> May<br />

2013 under coordination of the AT Association.<br />

The IGNIS project strived to develop a new concept for the improved management of municipal<br />

solid waste in order to protect the local environment while generating new workplaces,<br />

increasing general welfare, <strong>and</strong> reducing greenhouse gas emissions.<br />

Within IGNIS a coherent database on waste quantity <strong>and</strong> quality, socio-economy, <strong>and</strong> l<strong>and</strong><br />

use was established. Solid waste–management pilot projects were introduced <strong>and</strong> scientifically<br />

analysed. These pilot projects targeted waste collection, composting, biogas production,<br />

soil erosion prevention, charcoal production, <strong>and</strong> paper recycling. They were supposed to contribute<br />

to sustainable waste management <strong>and</strong> to generate income opportunities for groups<br />

of youth <strong>and</strong> women or other people who were interested in starting a business.<br />


Fig. 5<br />

Prototype version 1a (left) <strong>and</strong> 1b (middle <strong>and</strong> right) [Bleck]<br />

Second Design Meeting<br />

The second design workshop took place in April 2010. As the korales had not found any material<br />

that they considered appropriate for their backpack, we had to make a suggestion. We<br />

proposed plastic straps formerly used for tying bulk merch<strong>and</strong>ise. The idea was discussed <strong>and</strong><br />

decided upon. During the following weeks an informal craftsman produced a first prototype<br />

based on our specifications.<br />

First Field Test<br />

Testing the first prototype [1a in Figure 5 •], we found out that it was difficult to carry when<br />

filled <strong>and</strong> that it required major modifications. The second version [1b in Figure 5 •] met<br />

expectations <strong>and</strong> was introduced to a field-testing period wherein all three korales used the<br />

backpack during their daily work, <strong>and</strong> were followed at a distance by IGNIS team members<br />

who observed the working procedures from a scientific perspective, <strong>and</strong> also observed the<br />

reaction of the population.<br />

Third Design Meeting<br />

After field-testing, we held a third design workshop to exchange experiences in January 2011.<br />

According to the korales, the backpack could improve their working conditions <strong>and</strong> they would<br />

consider buying it themselves. They had received various positive, as well as mocking, comments<br />

from the population but expected that people would get accustomed to the sight after<br />

a while. Further adjustments were discussed <strong>and</strong> implemented in the subsequent weeks.<br />

During the workshop we had had the impression that the korales felt obliged to demonstrate<br />

a positive attitude towards the equipment <strong>and</strong> to comment according to what they had<br />

considered were our expectations despite our encouragement to express their honest opinion.<br />

Moreover, the korales had shown reluctance to develop their own ideas <strong>and</strong> had expected us<br />

to present solutions.<br />


Second Field Test: Surprising Results<br />

In February 2011 the korales tested the adjusted backpack in the field. This time we decided to let<br />

a student not involved in the IGNIS project join the korales in hope to get more realistic feedback.<br />

After this testing session the korales indicated that they were reluctant to use the new backpack.<br />

They considered the material too heavy <strong>and</strong> the h<strong>and</strong>ling too different from their habitual<br />

work. Exposure to the scrutiny of the population was obviously a higher concern than expressed<br />

before. When the student asked for suggestions to solve these problems, they repeated their<br />

request for solutions to be found by us, the IGNIS team.<br />

Revision of Pilot Project Strategy<br />

At this point of the proceedings, we had to acknowledge that the korales of the first pilot project<br />

group had been rather reticent during the entire design process. We were still convinced<br />

that the korales had to feel a sense of ownership to adopt the equipment <strong>and</strong> that this<br />

feeling could only be evoked by active participation in its development. Since the first pilot<br />

project group did not show the required proactive attitude, we revised the project strategy.<br />

In two meetings, we critically discussed potential constraints preventing the korales from<br />

participating. Our questions were as follows:<br />

Was a change really desired? What was the real motivation of the korales to engage in<br />

the project (or not)? Were the physical burdens maybe the least of their pressing problems?<br />

Why were the korales not convinced enough to participate proactively? Was it a question of<br />

mentality, expectations, or our chosen approach?<br />

Taking these thoughts into consideration, we elaborated a new pilot project strategy <strong>and</strong><br />

consulted an Ethiopian moderator of participatory processes to obtain an external professional<br />

perspective on our approach. As a result, we decided to increase the size of the pilot<br />

project group, assuming that a higher variety of personalities <strong>and</strong> a higher korales–IGNIS team<br />

member ratio would give the korales more security <strong>and</strong> enable them to share their opinions<br />

more openly during the workshops. Potential pilot project group members had to be absolutely<br />

certain about their proactive role in the pilot project. As a means of assembling a new pilot<br />

project group, we decided on an awareness-raising workshop on work-related problems.<br />

With the new pilot project group we followed the same approach as before, a sequence<br />

of design workshops <strong>and</strong> testing periods [Figure 2 •]. Contrary to the work with the first pilot<br />

project group, the first design workshop was facilitated by an external moderator to start a<br />

brainstorming process that was unbiased by our previous experiences. We, the IGNIS team,<br />

decided to remove ourselves even more from the negotiations. We invested in more design<br />

workshops <strong>and</strong> a larger number of prototype versions to give the korales the opportunity to<br />

find all design deficits themselves <strong>and</strong> come up with solutions. Our role was to ask the relevant<br />

questions to guide the process.<br />

Awareness-raising <strong>and</strong> Group Assembly Workshop<br />

Our main workshop goals were to find out if the korales really felt the need to improve their<br />

occupational health situation or if other work-related problems had higher priorities, to raise<br />

awareness of occupational safety, <strong>and</strong> to assess <strong>and</strong> overcome any constraints hindering the<br />

individuals in proactive participation.<br />


CASABLANCA: To convince farmers in Mediouna not to sell their fields for urban extensions is a challenge. [Born]

Ulrike Schinkel, Angela Jain, Sabine Schröder<br />

Findings <strong>and</strong> Lessons Learnt<br />

In this chapter, we summarise the findings by returning to the three guiding questions initially<br />

raised. The first general question is: how can participatory approaches <strong>and</strong> local action contribute<br />

to sustainable development, climate-change adaptation, <strong>and</strong> its mitigation? The second<br />

more detailed question is related to the individual contributions presented in this book: what<br />

are the success factors, limitations, obstacles, <strong>and</strong> institutional barriers of the different development<br />

approaches <strong>and</strong> research activities identified? The third question then asks: what<br />

kinds of tools <strong>and</strong> approaches are suitable to activate the potential of participation <strong>and</strong> local<br />

action, to guide <strong>and</strong> strengthen local initiatives, <strong>and</strong> to overcome institutional barriers?<br />

Potentials of Participatory Approaches <strong>and</strong> <strong>Local</strong> <strong>Action</strong><br />

<strong>Local</strong> Information, Capacities, <strong>and</strong> Resources: Through their experiences <strong>and</strong> day-to-day<br />

observations, communities are experts regarding their local environmental conditions, <strong>and</strong><br />

they can retrospectively monitor climate <strong>and</strong> environmental changes over time quite well.<br />

Moreover, communities can provide local information that is not otherwise accessible <strong>and</strong> give<br />

valuable insight into their local lived reality. These experience-based assessments have the<br />

potential to supplement often lacking data <strong>and</strong> to enhance the quality of computer-based<br />

research on climate change. Furthermore, communities, even though they might belong to a<br />

low- or even the lowest-income group, have motivation, capacities, <strong>and</strong> resources available<br />

to improve their own living conditions if they see a realistic chance to do so. As proven by the<br />

pilot projects <strong>and</strong> research activities presented in this book, local communities have the ability<br />

to make collective decisions as seen in the community consultation process initiated in Gauteng,<br />

to participate in design processes, fostered by the IGNIS project in Addis Ababa, <strong>and</strong> to<br />

implement community-based adaptation initiatives as proven by the model project in HCMC.<br />

Sustainability in Project Design <strong>and</strong> Implementation: <strong>Local</strong> partners, such as administrations,<br />

policymakers, civil society organisations, researchers, <strong>and</strong> communities are valuable<br />

partners in the design of development projects <strong>and</strong> research initiatives. Still, all of these local<br />

partners have clear priorities. If a research or development project does not meet these priorities,<br />

but binds their capacities <strong>and</strong> resources—<strong>and</strong> time is also a valuable resource—it is likely<br />

to be unwanted, unneeded, <strong>and</strong> ultimately not sustainable.<br />

But where climate change, as an example, has a strong impact on people’s lives <strong>and</strong><br />

livelihoods, adaptation <strong>and</strong> mitigation can become top priorities. This is especially true if the<br />

connection between the rather abstract issue of climate change in general <strong>and</strong> its concrete<br />

impacts on their everyday lives at local level is understood by the people or can otherwise<br />

be adequately communicated to them. Still, where poor communities are not (yet) directly<br />

affected by climate-change impacts, other issues, such as income generation <strong>and</strong> poverty<br />

alleviation, might be of a much higher priority. With regard to mitigation <strong>and</strong> energy efficiency,<br />

people belonging to middle- <strong>and</strong> higher-income groups, as well as actors from the<br />


<strong>and</strong> projects that are going to start. Moreover, launching ceremonies may help to make the voice<br />

of marginalised groups heard <strong>and</strong> to activate individuals <strong>and</strong> groups reluctant to participate.<br />

Those events can bring representatives of different stakeholder groups together—for example,<br />

local people, their associations, <strong>and</strong> the municipal government—<strong>and</strong> foster awareness-raising,<br />

formal commitment, <strong>and</strong> the exchange of experiences.<br />

Community Consultation Workshops (Ilitha, Gauteng)<br />

Community consultation workshops were organised within the scope of the EnerKey project<br />

in Ilitha, Gauteng, in order to identify the local community’s priorities regarding the design<br />

<strong>and</strong> construction of an energy-efficient community house. Community consultation workshops<br />

are viable <strong>and</strong> useful tools when the rough project design is pre-determined by donors<br />

or researchers. Here, the leeway for the community in decision-making is limited <strong>and</strong> there is<br />

little flexibility if the community does not react as expected.<br />

Community Radio (Hyderabad)<br />

A community radio is a fabulous tool to exchange information <strong>and</strong> to mobilise citizens to<br />

show engagement for their own living environment. The example from Hyderabad has shown<br />

that the implementation of such a pilot project is strongly dependent on the approval of<br />

decision-makers. It therefore shows the necessity of thinking through alternative solutions.<br />

In the end, the success is even more dependent on creating a long-term perspective for a<br />

self-managed <strong>and</strong> self-financed organisation or action group.<br />

CBA—Community-based Adaptation—<strong>and</strong> <strong>Action</strong> Planning (HCMC)<br />

CBA is an approach to enable local communities to develop strategies for climate-change<br />

adaptation they can implement themselves based on their own resources <strong>and</strong> capacities, as<br />

seen in the HCMC model project. While communities are the core actors at local level, the approach<br />

itself requires attention from external actors who facilitate those local processes. The<br />

government should provide support through policies <strong>and</strong> favourable structures or, in the absence<br />

of political will, at least tolerate CBA activities at community level. Thus, CBA requires<br />

long-term engagement; a short-term pilot project may only act as a trigger for replication<br />

projects <strong>and</strong> for raising awareness among governments <strong>and</strong> policymakers.<br />

Training <strong>and</strong> Skill Enhancement (Casablanca)<br />

For groups who live or work at the edge of society, trainings <strong>and</strong> other related measures can<br />

help to improve job opportunities, job security, <strong>and</strong> self-confidence. The Casablanca case<br />

study explained different capacity-building measures, which focused on the thematic fields<br />

of urban agriculture, healthy food production, <strong>and</strong> peri-urban tourism. The training helped<br />

jobless <strong>and</strong> un-trained farmers, as well as saleswomen, enhance their skills <strong>and</strong> their organisational<br />

capacities <strong>and</strong> improve their own situation through networking activities.<br />



IN BRIEF<br />

On the following pages all nine participating cities of the research programme on <strong>Future</strong> <strong>Megacities</strong><br />

are presented. They were funded between 2008–2013. Details are collected about the context <strong>and</strong><br />

challenges for the projects, their objectives, <strong>and</strong> approaches. A short overview of the most important<br />

outcomes <strong>and</strong> solutions is provided. More information on these solutions can be found in the<br />

Products <strong>and</strong> Tools Data Base at www.future-megacities.org.<br />

• Urumqi<br />

Casablanca • Tehran-Karaj •<br />

• Hefei<br />

Hyderabad •<br />

Addis Ababa •<br />

• Ho Chi Minh City<br />

Lima •<br />

Gauteng •<br />

Featured in this volume:<br />

Adaptation Planning in Ho Chi Minh City (Vietnam)<br />

Energy <strong>and</strong> Climate Protection in Gauteng (South Africa)<br />

New Town Development in Tehran-Karaj Region (Iran)<br />

Urban Agriculture in Casablanca (Morocco)<br />

Solid Waste Management in Addis Ababa (Ethiopia)<br />

Governance for Sustainability in Hyderabad (India)<br />

Featured in other volumes:<br />

Transportation Management in Hefei (China)<br />

Water Management in Lima (Peru)<br />

Resource Efficiency in Urumqi (China)

Authors<br />

Daniela Bleck worked as scientific associate at the Federal Institute<br />

for Occupational Safety <strong>and</strong> Health Germany towards<br />

developing sustainable solutions to increase occupational<br />

safety at waste management workplaces in Addis Ababa,<br />

Ethiopia. Her special interest is to combine environmental<br />

<strong>and</strong> occupational safety with increased process efficiency.<br />

Alva Bonaker has an M.A. degree in South Asian Area<br />

Studies. She studied in Berlin, Delhi, <strong>and</strong> London with a<br />

focus on contemporary social developments <strong>and</strong> challenges.<br />

From 2010 to 2013 she concentrated on the South Indian<br />

metropolis Hyderabad as part of the nexus team within<br />

the BMBF-funded project “Sustainable Hyderbad” <strong>and</strong> the<br />

FES-funded project “Governance <strong>and</strong> <strong>Participation</strong> in the<br />

Telangana Region with Focus on <strong>Future</strong> Scenarios for <strong>Local</strong><br />

Irrigation Management”. Her focus areas included rural-urban<br />

linkages in the region, local resource management, <strong>and</strong> local<br />

capacity building in the planning process of the community<br />

radio pilot project.<br />

Juliane Br<strong>and</strong>t works as a scientific assistant at the Department<br />

of L<strong>and</strong>scape Architecture, Technische Universität<br />

Berlin. She studied geography in Greifs wald with a focus on<br />

urbanization <strong>and</strong> planning. Since August 2012 she has done<br />

the project management in the research project Urban Agriculture<br />

as an Integrative Factor of Climate-Optimised Urban<br />

Development, Casablanca/Morocco (UAC). The project is part<br />

of the <strong>Future</strong> <strong>Megacities</strong> Research Programme funded by the<br />

German Ministry of Education <strong>and</strong> Research (BMBF). Within<br />

the research project she wrote her diploma thesis, “Urban-rural<br />

linkages in Casablanca”.<br />

Ahmed Amine Chahed is a scientific assistant at the<br />

Centre for Scientific Continuing Education <strong>and</strong> Co-operation<br />

(ZWEK)/Co-operation <strong>and</strong> Consulting for Environmental<br />

Questions (kubus) of the University of Technology, Berlin. He<br />

studied energy <strong>and</strong> process technology at the same university.<br />

Since April 2011, he has worked for the “urban agriculture<br />

Casablanca” project with a focus on the coordination of the<br />

pilot project 3 “urban agriculture <strong>and</strong> informal settlement”<br />

<strong>and</strong> decentralized low-cost wastewater treatment systems<br />

for micro-gardening.<br />

Natacha Crozet is a scientific assistant at the Department of<br />

Communication <strong>and</strong> Extension in the Agricultural Sector of<br />

the Hohenheim University, Stuttgart. She studied agricultural<br />

sciences in Lyon with a specialization in organic farming.<br />

Since November 2009, she has worked for the “urban agriculture<br />

Casablanca” project with a focus on the coordination of<br />

the pilot project 3 “urban agriculture <strong>and</strong> peri-urban tourism”.<br />

Simultaneously she completed her PhD (defended in December<br />

2013) entitled “Integrating peri-urban small-scale farmers<br />

into urban-rural dynamics <strong>and</strong> regional planning: A case study<br />

of the Oued el Maleh valley outside of Casablanca”.<br />

Raban Daniel Fuhrmann works since 1997 as researcher<br />

<strong>and</strong> lecturer, consultant <strong>and</strong> facilitator in developing new<br />

governance <strong>and</strong> organizational development techniques <strong>and</strong><br />

applying them to improve social <strong>and</strong> political innovations.<br />

He studied economics, politics, sociology <strong>and</strong> philosophy at<br />

the Universities of Heidelberg <strong>and</strong> Konstanz <strong>and</strong> got his Dr.<br />

rer pol. at the University of Witten/Herdecke on “Prozedurale<br />

Politik”. He researched at the Universities of Leipzig,<br />

Bielefeld <strong>and</strong> Boston, developing a procedural theory for<br />

tools of governance, organizational development <strong>and</strong> public<br />

participation. At the TU Berlin he also consulted entrepreneurial<br />

teams.<br />

Bernd Heins is the Scientific Director of the International<br />

Institute for Sustainable Energy Management, Policy, Risk<br />

<strong>and</strong> Social Innovation (INEP). He developed the Sustainable<br />

Life House concept <strong>and</strong> the SLH-Code. As a board member<br />

of the German Society of the Club of Rome, former director<br />

for environmental protection at the Industrial Union “IG<br />

Chemie-Papier-Keramik” <strong>and</strong> as associate professor at<br />

University of Oldenburg <strong>and</strong> University of Clausthal, Bernd<br />

Heins brings into his work a wealth of professional experience<br />

<strong>and</strong> knowledge on local <strong>and</strong> international sustainable<br />

development.<br />

Angela Jain studied environmental <strong>and</strong> urban planning <strong>and</strong><br />

attained her PhD in 2004 from Humboldt University, Berlin.<br />

In 2005 she joined the nexus Institute for Co-operation<br />

Management <strong>and</strong> Interdisciplinary Research as head of Unit<br />

Infrastructure <strong>and</strong> Society. From 2006 to 2013 she managed<br />

the work package communication <strong>and</strong> participation strategies<br />

of the international project Climate <strong>and</strong> Energy in a Complex<br />

Transition Process towards Sustainable Hyderabad, funded<br />

by the German Federal Ministry BMBF. Her areas of expertise<br />

include the following: sustainable city development in<br />

emerging countries, citizens’ participation, climate change<br />

awareness, <strong>and</strong> local governance.<br />

Email: jain@nexusinstitut.de<br />

Michael Knoll has an education as “Industriekauf mann”<br />

(Industrial Management Assistant) with several years of<br />

experience in industry. Michael studied political science at the<br />

Universities at Frankfurt/Main <strong>and</strong> Berlin. He was a research<br />

assistant at SOEP (Socio Economic Panel) at the German<br />

Institute for Economic Research (DIW). Since 1989 he is<br />

researcher <strong>and</strong> co-ordinator of the Energy, Climate Protection,<br />

<strong>and</strong> Air Pollution Control Unit at IZT – Institute for <strong>Future</strong>s<br />

Studies <strong>and</strong> Technology Assessment, Berlin. Michael has ex-<br />


tensive experience in the fields of energy <strong>and</strong> transformation<br />

processes, as well as technology assessment, futures studies,<br />

<strong>and</strong> evaluation.<br />

Email: m.knoll@izt.de<br />

Tobias Kuttler holds a degree in geography <strong>and</strong> european ethnology<br />

(HU Berlin), <strong>and</strong> is a master’s student in urban <strong>and</strong> regional<br />

planning (TU Berlin). His focus is on social <strong>and</strong> cultural<br />

aspects of sustainable urban development <strong>and</strong> participatory<br />

approaches to urban planning. He has completed study <strong>and</strong><br />

research visits to Spain, the United States, India, <strong>and</strong> Korea.<br />

His master’s thesis elaborates how negotiations about access<br />

to street space in Indian cities can be conceptualized as social<br />

practices of urban commoning. The results shall contribute to<br />

a better underst<strong>and</strong>ing of the challenges to governance <strong>and</strong><br />

spatial planning in growing megacities of South Asia.<br />

Bertine Stelzer (M.A. Sustainability Economics <strong>and</strong> Management)<br />

is a research fellow at the Institute for Sustainable<br />

Energy Management, Policy, Risk <strong>and</strong> Social Innovation<br />

(INEP). Since 2011 she has coordinated the implementation<br />

<strong>and</strong> adaptation of the African Sustainable Housing Code<br />

within the EnerKey Project for INEP. Bertine has been working<br />

in the field of sustainability <strong>and</strong> renewable energy for the<br />

last 4 years, focusing in her research on social implications of<br />

renewable energy implementation on a community scale.<br />

Johannes Rupp has worked in the EnerKey project on stakeholder<br />

integration <strong>and</strong> socio-economic drivers at the Institute<br />

for <strong>Future</strong>s Studies <strong>and</strong> Technology Assessment (IZT), Berlin.<br />

Since February 2013 he works at the Institute for Ecological<br />

Economy Research (IOEW) in Berlin. Johannes gained first<br />

working experiences in two environmental consulting companies,<br />

dealing with sustainable local <strong>and</strong> regional development<br />

<strong>and</strong> municipal energy management. His research focus<br />

comprises local <strong>and</strong> regional energy <strong>and</strong> climate protection<br />

concepts, including acceptance <strong>and</strong> participation for sustainable<br />

energy <strong>and</strong> climate-friendly solutions, both on a national<br />

<strong>and</strong> international level.<br />

Email: johannes.rupp@ioew.de<br />

Ulrike Schinkel is a researcher <strong>and</strong> lecturer affiliated with<br />

the Br<strong>and</strong>enburg University of Technology Cottbus-Senftenberg.<br />

Based on her background in architecture <strong>and</strong> urban<br />

planning, she has developed research interests in incremental<br />

strategy development, bottom-up planning processes,<br />

as well as people-centred development approaches in<br />

socialist <strong>and</strong> post-socialist countries. Within the <strong>Future</strong><br />

<strong>Megacities</strong> research programme, she was integrated into the<br />

Megacity Research Project TP Ho Chi Minh <strong>and</strong> responsible<br />

for the field of urban regeneration <strong>and</strong> community-based<br />

adaptation.<br />

Sabine Schröder is a Dipl.-Geographer from Hum boldt University<br />

of Berlin <strong>and</strong> is working as a scientific associate at the<br />

nexus Institute for Co-operation Management <strong>and</strong> Interdisciplinary<br />

Research in Berlin. She is engaged in different<br />

national <strong>and</strong> international research projects focusing on<br />

participation <strong>and</strong> participative processes in the fields of urban<br />

development, mobility, sustainability, <strong>and</strong> climate change<br />

including the moderation <strong>and</strong> facilitation of participative<br />

processes.<br />


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