Handbook for Improving the Living Conditions of Roma Module 1 Suggestions for Program Managers Module 2 Practice and Advisory Notes for National-Level Authorities Module 3 Good Practice Notes and Tools for Local Actors Handbook for Improving the Living Conditions of Roma Disclaimer: This volume is a product of the staff of the International Bank for Reconstruction and Development/The World Bank. The findings, interpretations, and conclusions expressed in this paper do not necessarily reflect the views of the executive directors of the World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The information and views set out in this report are those of the authors and do not necessarily reflect the official opinion of the European Commission. The European Commission is not responsible for the accuracy of the data included in this report. 3 Good Practice Notes ....................................................................................................................144 Good Practice Note 1: Engaging Local Communities ....................................................................................................................... 144 Table of Contents Good Practice Note 2: Planning Resettlement .................................................................................................................................. 150 Good Practice Note 3: Participatory Monitoring and Evaluation .............................................................................................. 156 ACKNOWLEDGEMENTS ......................................................................................................................................................................................................... 6 Good Practice Note 4: Formalizing Real Property Rights ............................................................................................................. 164 ABBREVIATIONS .......................................................................................................................................................................................................................... 8 INTRODUCTION .......................................................................................................................................................................................................................... 10 Global Case Studies: Lessons from interventions for improving the living conditions of marginalized communities ...................................................... 169 Module 1: Suggestions for Program Managers .................................................... 14 Table of Contents ..................................................................................................................................................................................................................................... 170 Key Consideration Points for Overseeing the Implementation of Project-Funding Programs ....................................... 16 Introduction .................................................................................................................................................................................................................................................... 172 Case Studies ..................................................................................................................................... 178 Module 2: Practice and Advisory Notes for National-Level Authorities .... 30 References ......................................................................................................................................... 212 INTRODUCTION TO THE MODULE ............................................................................................................................................................................................................ 32 Step A - Designing the Call for Proposals ......................................................................... 34 Project Briefs: Reviews of 36 Projects Improving Roma Living Key Guiding Principles for Enhancing the Effectiveness of Programs in Improving Roma Living Conditions ....... 34 Conditions in Bulgaria, Czech Republic, France, Hungary, Italy, Romania, Potential Interventions to be Funded by Programs ........................................................................................................................... 46 Slovak Republic, Spain, and the United Kingdom ..........................................................169 Practice and Advisory Note on Community Outreach ..................................................................................................................... 52 Table of Contents .................................................................................................................................................................................................................................... 220 Step B - Supporting Project Development and Management ................................... 56 Synthesis Summary ....................................................................................................................................... 222 Practice and Advisory Note to Help Local Communities Develop and Implement Projects ........................................... 56 Practice and Advisory Note to Help Local Actors Identify Disadvantaged Areas .............................................................. 60 Project Briefs ................................................................................................................................... 236 Step C - Selecting Projects ....................................................................................................... 66 Possible Project Selection Criteria for Enhancing Project Impacts on Roma Inclusion ................................................... 66 Discussion Note on Addressing Spatial Segregation of Roma ..................................................................................................... 70 Step D - Monitoring Project Implementation .................................................................... 76 Practice and Advisory Note on Monitoring and Evaluation ........................................................................................................... 76 Practice and Advisory Note for Monitoring Project Aspects that Cannot be Measured by Results Indicators ....... 84 Practice and Advisory Note for Facilitating Peer Learning and Exchange of Good Practices ...................................... 88 Module 3: Good Practice Notes and Tools for Local Actors ........................ 92 INTRODUCTION TO THE MODULE ............................................................................................................................................................................................................ 94 Tools for Preparing Integrated Interventions ................................................................... 96 Diagnostic Questionnaire for Community Needs Assessment .................................................................................................... 96 Table of Potential Place-Based Intervention Options .................................................................................................................... 112 Diagnostic Tool for Assessing Project Sustainability ................................................................................................................... 136 4 5 Acknowledgements This work was conducted in joint partnership between the World Bank and the European Commission (Directorate General for Regional and Urban Policy and Directorate General for Employment, Social Affairs, and Inclusion), which also jointly funded the activity. It was prepared under the technical supervision of Elisabeth Huybens with overall guidance from Mamta Murthi, Ismail Radwan, and Katarina Mathernova. This product was prepared by a core team comprising Kosuke Anan (Task Team Leader), Paula Restrepo Cadavid, Mariana Orloff, Antonia Doncheva, Gabrielle Gunneberg, Camille Bourguignon, and Mihai Magheru. Enrica Chiozza, Dominique Be, and Alexandros Tsolakis of the European Commission were extensively involved throughout the course of work. Jessica Gallegos, Sandor Karacsony, Yarissa L. Sommer, Ashna Mathema, and Kathryn Owens contributed to the writing of Global Case Studies. Rebecca Chamberlain-Creanga and Sophia Georgieva led the preparation of the Project Briefs and the Synthesis Summary. Dora Petkova, Jakob Hurrle, Stepan Ripka, Reka Kenesei, Balazs Kadar, Nora Teller, Elena Galliano, Maria Faraone, Florin Botonogou, and Richard Filcak conducted field research and analysis. The team received inputs from Eva-Maria Szavuj of the European Commission, Christian Bodewig, Rob Swinkels, Claudia Rokx, Plamen Danchev, Dan Owen, Marcel Ionescu-Heroiu, Sebastian Burduja, Angela Khaminwa, Jorge Villegas, Mika Torhonen, Kathrine Kelm, and Elena Correa. Pietro Vulpiani of the National Office Against Racial Discrimination, Italy, and Ádám Kullmann of Making the Most of EU Funds for Roma, Open Society Foundations also contributed. Kenneth Simler, Valerie Morrica, Daria Goldstein, Dorota Kowalska, and Regina Nesiama also provided support. Lauri Scherer edited the text and George Maier worked on the graphic design. Victoria Bruce-Goga, Gohar Gregorian, Monica Ion, and Nikolinka Ivanova provided administrative support. This product also benefitted from constructive comments and feedback from peer reviewers: Ellen Hamilton, Joost de Laat, and Maria Beatriz Orlando. Joint comments were also provided by Making the Most of the EU Fund for the Roma and Habitat for Humanity International. The team is grateful for the information, logistical support for field work, inputs, and feedback provided by all local stakeholders, including but not limited to colleagues from: Ministry of Regional Development (OP Regional Development), Bulgaria; Programming and Planning Department, Ministry of Labor and Social Policy (OP Human Resources Development), Bulgaria; Dupnitza Municipality; Association Amala, Bulgaria; Vidin Municipality; Association Organization Drom; Devnya municipality; ADRA Bulgaria; Kyustendil Municipality; Association Largo, Bulgaria; Municipality of Brno-Stred, IQ Roma Servis, DROM (NGO); Property management company of Brno-Stred; Kostka Community Centre, Krasna Lipa; Ester o.s.; Centrom, Ostrava; Vzájemné soužití, Ostrava; Czech Ministry for Regional Development; People in Need Olomouc (NGO); Salvation Army Prerov (NGO); Agency for Social Inclusion, Czech Republic; Local Authorities of Blanquefort and Orly, France; Managing Authority for Operational Program Regional Development, National Development Agency, Hungary; South Transdanubian Regional Development Agency, Hungary; Kaposvár City Development Company, Hungary; Kecskemét City Management Development Company, Hungary; Family Protection Department of Municipality of Kecskemét, Hungary; Apartment Department of Municipality of Kecskemét, Hungary; Hungarian Maltese Charity Service, Housing Department of Municipality of Győr, Hungary; Győr Project Company, Hungary; RÉV VIII, Budapest, Hungary; ESZA Nonprofit Kft, Hungary; Nyíregyháza Municipality, Hungary; Department of Urban Development, Ministry of Interior, Hungary; Department of Urban Development, Sátoraljaújhely Municipality, Hungary; NORDA, Hungary; Department of Urban Development, Kazincbarcika Municipality, Hungary; North Great Plain Regional Development Agency, Hungary; Metropolitan Research Institute, Hungary; Local Authorities of Naples and Turin, Italy, Romanian Social Development Fund; Local Authorities of Baltesti, Cluj, Dor Marunt, Nusfalau, Romania; Local Authorities of Nitra nad Ipl’om, Spissky Hrhov, Ulic, and Vyborna, Slovak Republic; Fundacion Secretariado Gitano, Spain; Local Authorities of Madrid, Pamplona, and Segovia, Spain; Govanhill Housing Association; Police Scotland; The Space, Govanhill; Roma Net Scotland; Kent County Council; Glasgow City Council; Agencia de Cooperacion e Inversion de Medellín y el Area Metropolitana (ACI) & Elemental; and Jamaica Social Investment Fund. 6 7 Abbreviations AzRIP-2 Azerbaijan Second Rural Investment Project CESAR Complementing EU Support for Agricultural Restructuring Project CfP call for proposals CLLD community-led local development CPTED Crime Prevention through Environmental Design CSO civil society organization EAFRD European Agricultural Fund for Rural Development EC European Commission ERDF European Regional Development Fund ESF European Social Fund ESI Funds European Structural and Investment Funds EU European Union GRM grievance redress mechanisms ICT information and communication technology ITI integrated territorial investments LAG local action group LDS Local Development Strategy LIS Local Integration Strategy for one or more urban marginalized areas MA Managing Authority M&E monitoring and evaluation NGO nongovernmental organization NRIS National Roma Integration Strategies O&M operation and maintenance OECD Organisation for Economic Co-operation and Development OP operational program OSCE Organization of Security and Cooperation in Europe PARSP Post-Accession Rural Support Project PAT project assistance team PM participatory monitoring RAP resettlement action plan SMART specific, measurable, attributable, relevant/realistic, time-bound TDC technical design company TVET technical and vocational education and training USAID U.S. Agency for International Development WWC What Works Clearinghouse 8 9 to find formal employment. In addition, if disadvantaged Roma children are not in good health, it will affect their growth, ability to learn, and school performance. Inadequate housing conditions might also lead to bad health, disrupt learning, and prohibit productivity and finding employment. In turn, insufficient income can impede families from Introduction maintaining good housing conditions, accessing preventive health care, and providing an environment in which their children may learn. Second, poor outcomes in any of the four areas above often result from multiple issues, which need to be addressed A disproportionately large number of Roma1 in Europe today face deep poverty, social exclusion, and poor living together to have a positive impact. For example, building a new health care facility in a neighborhood by itself is unlikely conditions. Improving these is critical to achieving the targets of the Europe 2020 Strategy, the European Union’s to improve the health status of neighborhood residents if other factors affecting their health are not addressed. Not 10-year growth strategy, which aims to reduce poverty, social exclusion, early school leaving, and increase school only might more health care providers be needed, but these might need to be suitably trained in providing health attainment and employment by 2020. The EU Framework for National Roma Integration Strategies (NRIS) up to care in the context of disadvantaged groups, including Roma. In addition, families in the neighborhoods might need 20202 calls on the European Commission and the member states to mobilize existing EU strategies and instruments to be informed about the availability and benefits of using the new facility’s health services if they are to access it. in the cause of securing the socioeconomic inclusion of Roma and invites the member states to make sufficient use Social workers or health mediators may also be needed to facilitate communication between the service providers of EU and national funding to address Roma needs. and users to increase the quality and uptake of services. Similar to the outcomes, different needs and impediments usually interfere with each other and mutually reinforce the disadvantages of a marginalized community, requiring The implementation and success of the NRIS will very much depend on an effective and sufficient allocation of interventions to address them holistically. national resources. EU funding alone can certainly not solve the situation of Roma, but the Commission calls on member states to make efficient use of the funds. The European Structural and Investment (ESI) Funds, principally the Third, poor outcomes in the four areas often share common causes. By addressing the common causes, interventions European Social Fund (ESF), the European Regional Development Fund (ERDF), and the European Agricultural Fund for might be able to kill two birds with one stone—efficiently improving more than one outcome. For instance, renovating Rural Development (EAFRD) generally constitute the EU’s main instruments for supporting member states’ efforts to roads and providing public transport services to improve a neighborhood’s connectivity to a nearby town center improve the lives of vulnerable people, including the Roma. These funds will be invested in shared management by the simultaneously improves the neighborhood’s access to education, health care, and employment opportunities. European Commission and the member states and regions through operational programs (OPs) that cover a seven- year period between 2014 and 2020. Based on the priorities established in the OPs, the management authorities Fourth, increasing the effectiveness and sustainability of an intervention may require complementary interventions. invest these funds for projects mainly on the basis of calls for proposals (CfPs). The Council of the European Union, For example, the institutional capacity of project actors may need to be strengthened to ensure that a newly built through a recommendation on effective Roma integration measures,3 calls on the involvement of local authorities and multipurpose community center be maintained and operated in the future. civil society organizations (CSOs) in developing, implementing, and monitoring national strategies through operations cofinanced by the ESI Funds. In other words, the multifaceted and mutually interactive nature of the issues is such that single-focused interventions are unlikely to yield a positive return. Only the joint return of a combination of interventions that addresses a set of In this context, this handbook was prepared to help prepare and implement effective interventions for improving the critically linked issues is likely to be positive. living conditions of disadvantaged Roma at the local level, using European, national, or local funds. While there are legal texts—such as (1) Regulations of the European Parliament and of the Council, which lay down the general provisions Integrated approaches can increase the effectiveness, efficiency, and sustainability of interventions because they on the EU funds; (2) country position papers that outline the analysis of the main challenges and funding priorities create synergies and provide multipronged solutions to complex, interconnected problems faced by disadvantaged relevant for the ESI funds; and (3) Guidance on European Structural and Investment Funds 2014–2020—which Roma communities. An integrated approach involves consolidating multiple actions that jointly address a combination consist of a series of guidelines and templates for operationalizing the EU policies and regulations, this handbook of impediments to achieving a development objective in a sustainable manner. It can be achieved at different levels should be treated as a nonbinding reference source. It shares hands-on, practical knowledge, techniques, and tools and in different forms, depending on the context of objectives pursued and the impediments addressed, including for enhancing the quality of interventions. The handbook intends to provide global insights, experience, and ideas to by: (1) combining interventions across various dimensions/sectors/themes (for example, combining housing and broaden the range of interventions and actions considered by stakeholders, and also to inspire further innovations. health interventions to improve child health); (2) combining hard (physical) and soft (service provision) measures (for example, combining the physical construction of a community center with the training of social workers who run This handbook focuses on the four critical areas of Roma inclusion as identified by the EU Framework for National youth programs at the center). Impacts of investments in social infrastructure would be increased by investing in the Roma Integration Strategies, which are access to (1) housing (including basic services); (2) employment; (3) education; capacity of the service providers who operate it. For example, service providers might require training to effectively and (4) health care. It argues that these four areas need to be addressed in an integrated way, rather than by a use the new infrastructure or technology to its full potential. Increasing providers’ cultural competency could also sector-by-sector silo approach, and for a number of reasons. enhance their ability to better understand and serve Roma. Similarly, efforts to increase the quality and efficiency of services could be enhanced by improving the associated infrastructure; (3) combining various measures to address supply-side impediments (for example, lack of health care providers) and demand-side challenges (for example, lack First, each of the four areas influences the other; addressing only one area might not lead to effective or sustainable of awareness by service users) to achieve an intended outcome; or (4) sharing common resources to implement results. For example, if disadvantaged Roma do not receive sufficient education, it will be more difficult for them multiple interventions or activities (for example, the same social worker can help disadvantaged Roma access various social services while also serving as a bridge between disadvantaged Roma communities, public officials, and non- 1 For the purpose of this handbook, the term “Roma” refers to groups of people who broadly share similar cultural characteristics, such as Roma communities by closing the communication gap and fostering mutual awareness and understanding). Romanichals, Sinti, Travellers, Kalé, Gens du voyage, and so on, whether sedentary or not. 2 An EU Framework for National Roma Integration Strategies up to 2020, COM (2011) 173 final, COMMUNICATION FROM THE COMMISSION The integrated approach needs to be tailored to the local context, because disadvantaged Roma communities are TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE heterogeneous, face different impediments, and have diverse needs. For example, in some communities, unfavorable REGIONS (The European Parliament resolution of 9 March 2011). health conditions may be attributable to the lack of health care facilities or providers, while in other communities, it 3 Council recommendation on effective Roma integration measures in the member states, adopted by the EMPLOYMENT, SOCIAL POLICY, could be due to the lack of hygiene or sanitary systems. In other communities, it could be due to unhealthy lifestyle HEALTH and CONSUMER AFFAIRS Council meeting at Brussels, on 9 and 10 December 2013. or lack of information. In other words, locally tailored, integrated approaches are key to addressing the diverse and multifaceted needs and impediments faced by disadvantaged Roma communities. 10 11 This handbook aims to enhance the quality of local-level, place-based interventions, in light of the importance of a The tools and advice provided in the handbook can be applied in the context of integrated territorial investments locally-contextualized integrated approach, and bearing in mind the call-for-proposal based project funding nature (ITIs)4 and community-led local development (CLLD)5, which are introduced by the European Commission in the of the main EU funding schemes, which generally select and fund projects that are prepared and implemented by 2014–2020 programming cycle. The policies and institutional arrangements for implementing ITIs and CLLDs provide local actors at the community level. The handbook provides tools and advice for facilitating integrated interventions an enabling environment for the application of many of the tools and advice found in the handbook, and the handbook customized at the community level to address a specific combination of needs and impediments in a community. can also support the implementation of ITIs and CLLDs in return. Nonetheless, these tools and advice are meant to be It does not discuss national or regional-level policy measures or programmatic interventions, which are usually not applied broadly to local-level interventions in general, including those that do not necessarily involve ITIs and CLLDs. subjects of call-for-proposal based project funding. Nevertheless, national and regional-level policy and program interventions are also critical for addressing the living conditions of disadvantaged communities, and it is important The handbook consists of three modules, each of which addresses a different audience: to align local-level interventions with these national and regional ones to maximize impacts. These may include national and regional level regulations, policies, and sectorwide programs, among others. Module 1 It is also important to note that this handbook touches upon limited types of employment/education/health Is intended to help the managers of project-funding programs (including the program managers of the interventions because it focuses on place-based integrated interventions, and the review of interventions conducted European Commission, who oversee the implementation of OPs) in ensuring more effective use of program in preparation of this handbook mainly focused on interventions consisting of both hard and soft measures that were funds, including ESI Funds for Roma inclusion purposes. implemented at the community level by local actors. Additional reviews of national and regional-level interventions that could be integrated with or adapted to local-level interventions, as well as of other local-level interventions that did not have hard measures, could be conducted in the future to build upon this handbook. The conceptual framework of the handbook is illustrated in the figure below. Module 2 Aims to help the national-level authorities (including, but not limited to the managing authorities [MAs] Conceptual Framework of the Handbook of OPs) that prepare the CfPs, select projects, and monitor them. The module provides advice on promoting, selecting, and assisting local-level projects that address Roma living conditions. Intermediate bodies are 4 Critical Areas Community Specific another target audience of this module. of Roma Inclusion Needs and Impediments Different combination of needs and impediments affect the outcomes in the four areas in each Module 3 Education community, which needs to be addressed in an Provides practical tools and good practice notes for local actors (including local-level project implementers such integrated manner as local authorities and CSOs) that prepare and implement projects for improving the living conditions of Roma. Physical/ Non-physical/ Spatial Needs Immaterial Needs Employment The handbook is accompanied by two supplemental pieces of work: Basic services Civil documents Safe location Tenure security Housing Access & connectivity Capacity of service providers Global Case Studies, Health Spatial integration Awareness and capacity of which presents 17 case studies from around the world to illustrate innovative and successful approaches to Shelter (housing) community members improving the living conditions of marginalized groups; this document provides examples of good practices and The four areas Income measures presented in the handbook. Etc. mutually influence Etc. each other Project Briefs, which provide key information about selected 35 projects improving Roma living conditions in Bulgaria, the Czech Levels of Intervention Republic, France, Hungary, Italy, Romania, the Slovak Republic, Spain, and the United Kingdom. These briefs were prepared on the basis of field research conducted by World Bank researchers, which assessed good practices and Interventions that address the above needs and impediments take place at different levels common challenges in the preparation, approval, and implementation of integrated projects. National-level regulations and policies Not all projects included in the briefs were entirely successful; the notes focus on highlighting the key innovations and Sector-wide approaches/programs lessons that can be drawn from the projects. Regional-level policies and programs Local-level, place based interventions (Focus of the handbook) 4 AnITI is an instrument introduced by the European Commission to allow member states to implement OPs in a crosscutting way and to draw Etc. on funding from several priority axes of one or more OPs to ensure the implementation of an integrated strategy for a specific territory. 5 CLLD is an approach to involving citizens at the local level in developing responses to social, environmental, and economic challenges. 12 13 Module 1 Suggestions for Program Managers Suggestions for Program Managers 2. Enable customization of activities to specific local needs; 3. Allow interventions to address bottlenecks for both service providers and users; Key Consideration Points and 4. Ensure interventions come with a clear exit strategy for sustainability. for Overseeing the These guiding points can be made possible by applying an integrated approach through the participation of local communities. Implementation of 1. Focus on interventions that target poor and disadvantaged Roma Project-Funding Programs Not all Roma are poor or disadvantaged So the project funds reach the maximum number of poor and disadvantaged Roma who experience social exclusion and poor living conditions, projects should target poor and/or disadvantaged Roma, rather than Roma in general. Past projects, such as those pertaining to social housing, sometimes Module 1 targeted relatively better off Roma who were more likely able to afford rent and utilities; the poorest and most disadvantaged Roma were not targeted. Such initiatives leave behind the most I. Purpose disadvantaged Roma and could further marginalize them. In targeting poor and disadvantaged Roma, it is also important to follow the principle of explicit but not exclusive targeting of Roma, so that non- Roma who face similar disadvantages will not be excluded from the interventions. These targeting principles will not only ensure that the program funds reach the groups that need them the most, but This note constitutes the only piece of the module. It aims to help managers of project-funding programs who also prevents negative perceptions about the interventions, which could stigmatize Roma as unfair oversee the implementation of project-funding programs, including those of European Structural and Investment beneficiaries of public resources. Some key types of disadvantaged communities are described in the (ESI) Funds. In order to help improve the living conditions of disadvantaged Roma through the use of available box below. funds, including ESI Funds, this note provides points of reference as to what needs to be included or avoided, what needs to be considered, and how the selection criteria for the call for proposals (CfPs) can be made Roma-sensitive. Key Common Types of Disadvantaged Communities While not exhaustive, the following typology describes the key types of disadvantaged areas where poor and II. Guiding Points for Programming disadvantaged Roma generally live. Project Funds Urban, low-quality blocks of flats or former workers’ colonies Sometimes referred to as “ghetto”7 by both their inhabitants and other locals, these low-quality housing facilities were built during the socialist regime for the workers of large enterprises. Most often these buildings are Four key guiding points. Besides the widely referred to 10 Common Basic Principles on Roma Inclusion6, concentrated in one or two low-quality blocks of flats. Main problems include massive overcrowding, which puts which are applicable to successful design and implementation of actions to support Roma inclusion in general, this serious pressure on the block installations, and overdue payments for utilities (electricity, water, sewage, and note suggests four additional guiding points for ensuring increased and sustained results of interventions to be garbage collection). Usually these apartments include only one small room that is overcrowded by numerous funded. Interventions would have enhanced results on the Roma agenda by applying the following guiding points: families with many children. Common spaces and installations—for example, electricity, sewerage, water, and so forth—are often damaged. Utility supply infrastructure is often very limited. In some cases, a hydrant may be the 1. Focus on interventions that target poor and disadvantaged Roma, rather than single source of water for the whole neighborhood. These communities are characterized by helplessness, which Roma in general; is accentuated by the constant shame of living in an infamously poor area and associated with a strong feeling of being belittled and experiencing discrimination. Urban, slum areas 6 These were presented at the European Platform for Roma Inclusion in 2009 and endorsed by the Council of Ministers in charge of Social These slum areas are often found in old neighborhoods on the outskirts of towns and cities with very poor Affairs. They comprise: 1) constructive, pragmatic, and nondiscriminatory policies; 2) explicit but not exclusive targeting; 3) intercultural approach; 4) aiming for the mainstream; 5) awareness of the gender dimension; 6) transfer of evidence-based policies; 7) use of EU communities that include Roma and non-Roma. These have grown larger since 1990. In addition to low-quality instruments; 8) involvement of regional and local authorities; 9) involvement of civil society; and 10) active participation of Roma. For more see “The 10 Common Basic Principles on Roma Inclusion.” Council of Europe. http://www.coe.int/t/dg4/youth/Source/Resources/ 7 Thisreport does not subscribe to the use of the term “ghetto.” The term has been used to match the locally used terminology and to Documents/2011_10_Common_Basic_Principles_Roma_Inclusion.pdf distinguish it from social housing. 16 17 housing, many additional improvised shelters have been put together over time, either in the courtyards of the 2. Enable customization of activities to specific local needs Suggestions for Program Managers old houses or on public areas. These shelters are typically made of plastic and paperboard, with some wooden framing. Houses and shelters are very small, but accommodate large families with many children. Not all urban Disadvantaged Roma communities face a variety of issues, and interventions must slums consist of such old neighborhoods. Some were developed in the early 1990s by locals who lost their be locally customized to best address each community’s specific priority needs. apartments due to overdue debts to utility providers. Some slums have virtually no infrastructure; others, for Funding to priorities and measures should be made available on a flexible and customizable basis, example, have just one tap that supplies water for the entire area. In other areas the infrastructure is developed instead of prescribing one-size-fits-all solutions across a country or a region. While common overall along the main street but is not available in the rest of the area (not even electricity). As a result, many such objectives and strategies can be shared across a country or a region, each community should be areas are insanitary and highly exposed to natural hazards such as heavy rain or flooding. Informality (lack of given flexibility as to “how” to pursue them. Uniformly obliging specific types of investments is not property and land documents) is common, and slum residents claim they are highly exposed to the discretionary recommended, since it risks making interventions less relevant and cost-effective. A successful actions of powerful gang leaders in the area. While some slums can be peaceful and quiet, particularly in the old intervention in one community may not necessarily be suited for another. Even the same types of neighborhoods, others can be unsafe. needs in two different communities may require different solutions and approaches, because each community might experience different challenges or impediments. Various interventions could be Urban, modernized social housing integrated to best address a community’s needs and impediments, depending on their nature. CfPs Modern social housing units were often developed through integrated projects, which combined large investments should be structured around specific objectives, rather than interventions, and be open enough to in new buildings with infrastructure and a series of social interventions. Areas of modernized social housing fund a range of suitable actions that best fit the circumstances of local communities. A range of are well endowed with infrastructure and utility services (sometimes better than the rest of the urban areas) project activities or investment options can still be presented as ideas (instead of prescribed as but accommodate poor people in difficult social situations that are eligible for these houses. Paying for utilities requirements) to inspire suitable actions that best fit the needs of local communities. remains a considerable challenge for many poor residents. The monthly bill for just one utility (usually electricity) is often larger than a family’s income, and the situation is unsustainable for many residents who cannot afford Module 1 to live and maintain the house. Modernized social housing can also deepen segregation when it is located outside 3. Allow interventions to address bottlenecks for both of the city, away from where the residents have lived and grown up. It is also exposed to many natural hazards. service providers and users Urban, dilapidated buildings in historical city areas The concept of “if we build it, they will come” is seldom reality. Old individual houses in some historical city areas were nationalized and assigned to families during the socialist Building infrastructure or extending services might not automatically result in an increase in utilization. period. Some, especially those in a very poor condition, were also illegally occupied by homeless people after Service users’ (demand-side) bottlenecks, such as those related to users’ awareness, affordability, 1990. These are old neighborhoods where inhabitants have lived for more than 30 years. Except for the fact capacity constraints, opportunity costs, social norms, and risks (safety, dignity, reputational, and that these communities are located in urban central areas, their living conditions to a large extent resemble so on) need to be assessed and addressed. Many disadvantaged Roma communities are highly those in the slum areas. Because the location of such houses is highly attractive for investors and the houses impoverished, and merely providing new infrastructure or services will not necessarily result in their have a high market potential, the former owners (or their inheritors) or local authorities often try to recuperate utilization. If people are not aware of a service’s benefits, or if it is too costly to access, they will not these properties, sometimes by evicting the occupants. Some people are allowed to stay in ruined buildings be able to utilize it. Moreover, even when a service is free, people may decide not to access it if the but are not given identity papers as tenants of that address (residential address), given that the building was transactions or opportunity costs (for example, transport, lost time for income generation and family administratively registered as “destroyed.” This means that the resident cannot get a job, has no right to medical care) are considered too high. Fear of being mistreated by service providers or associated exposure care or social benefits, and so on. to humiliation could also discourage them from accessing a service. The design of any project must therefore be accompanied by the question, “If we build it, will they come?” Funding needs to be made Rural and periurban informal settlements available to allow projects not only to improve the quality and coverage of infrastructure and services, but also to remove service users’ (demand-side) constraints to access. Informal settlements in rural and periurban areas usually constitute relatively smaller communities of 20–30 households. These informal settlements have often grown out of traditional settlements in the nearby public land, with the formation and growth of new families. The houses typically have 1–2 rooms and are of relatively poor structural quality, made with adobe, wood, and tin sheets. Sanitation is extremely poor; many households might 4. Ensure that interventions come with a clear exit strategy for share a single pit latrine. Similarly, there might be a shared well for water. These areas are mostly occupied by sustainability younger and larger families. Typically, young adults are unemployed and live on informal economy activities (such as metal/garbage collection) or work as a day laborer. These settlements could be very isolated and have limited A project’s impacts or results should not disappear with its completion or the end access to social services and markets. of funding. Funding and institutional arrangements for operation and maintenance of project activities should Rural, traditional settlements continue beyond the project’s conclusion. Financial resources and adequate administrative capacity There are old settlements in rural areas, where Roma families have lived for decades, and sometimes over and governance structure need to be in place for local services and facilities to be managed by local generations. Generally, houses located in these rural traditional settlements are of relatively decent quality, but actors and accessed by community members. Projects could include a component to build in these some constitute dilapidated structures. Infrastructure (water, sanitation, electricity) in these settlements may be capacities and make them self-sustaining. Otherwise, local communities will become dependent very minimal or nonexistent. During the socialist regime, residents were mainly employed by local cooperatives or on the project (and EU financing), and risk losing the gains achieved by the project when it ends. national enterprises in nearby towns, many of which disappeared after 1990. Access to the job market is limited Financial sustainability does not imply that maintaining the improvements in the future cannot rely in many of these settlements, and many families practice semi-subsistence agriculture. Limited income typically on continued subsidies, such as from central government programs or local budgets. For example, comes from the informal economy in a nearby town, day labor in the agriculture sector, and social assistance. many disadvantaged people may continue to require safety net support to pay for services they 18 19 access in the short to medium term. An exit strategy may consist of ensuring the availability and helping to improve the format of interventions, while also increasing the uptake of interventions by Roma. While Suggestions for Program Managers allocation of such financial resources. Examples of activities that can enhance the sustainability of the policies and institutional arrangements for implementing the community-led local development (CLLD) interventions are presented in Section II of this note. Sustainability needs to be considered when may require and provide an enabling environment for promoting and facilitating community participation, it selecting the projects, and funding should be made available for projects to design activities that will is recommended that local-level projects feature community participation in general, even when they are not ensure sustainability. funded through CLLD. Reflecting these four guiding points requires an integrated approach Encourage authorities in member states to provide sufficient support and An integrated approach involves the consolidation of multiple actions that jointly address a combination expert assistance to local actors to develop and implement projects of impediments to sustainably achieving a development objective.8 For interventions to achieve intended Local actors, especially in marginalized communities, often lack sufficient technical capacity to collectively outcomes, the bottlenecks hindering access to quality living conditions, both on the supply and demand translate their priority needs into projects. Although local actors know their needs best, they require substantial sides (service providers and users), will need to be comprehensively addressed. Only addressing some of the assistance to prepare project proposals to apply for ESI Funds and to implement the projects once approved. bottlenecks will result in inefficient use of resources. Integrated approaches can increase the effectiveness, For example, many local authorities cannot form a team of experts who can specify or verify a project’s efficiency, and sustainability of interventions, because they create synergies and provide multipronged technical details or develop procurement documents, including the terms of reference. Local authorities have solutions to the complex, interconnected problems that disadvantaged Roma communities face. Impacts of often been heavily burdened by the complex administrative procedures involved with the implementation of social infrastructure investments could be increased by bolstering the capacity of the service providers. For these funds. A national level support body could be created to provide technical assistance to local actors in example, service providers might require training to effectively use new infrastructure or technology to its preparing and implementing projects to be funded with ESI money. In concrete terms, the support body could full potential. Increasing providers’ cultural competency could also enhance their ability to better understand provide mentoring and “hand-holding” assistance to local actors to develop and implement projects through Module 1 and serve disadvantaged Roma. Similarly, efforts to increase the quality and efficiency of services could (1) community outreach; (2) identifying top priority needs through participatory methods; (3) rapid capacity be enhanced by improving the associated infrastructure. Funding must be made available to accommodate enhancement of local actors; (4) converting priority needs into investment plans in the form of technical interventions comprising such multisectoral activities. The integrated territorial investment (ITI), as defined project documents; (5) pricing out these investment plans, including recurrent operational and maintenance by the ESI Funds regulation, aims to provide flexibility for member states to implement operational programs costs; (6) assistance in preparing a project proposal and applying for ESIF funding; and (7) providing in a crosscutting way and draw on funding from several priority axes of one or more operational programs to implementation support (for example, procurement, supervision) and training (for example, financial literacy, facilitate the implementation of an integrated strategy for a specific territory. Although it represents one way grievance mechanisms, monitoring and evaluation (M&E), and so on). The support body could be established to do this, alternative ways need to be reserved to fund multisectoral activities for priority axes of OPs that in various forms, depending on the context of the member state. One option is to incorporate it as part of a do not participate in the ITI arrangements. project-funding program. In the case of ESI Funds, it could be included as part of an operational program (for example, as part of the budget allocated for the OP’s technical assistance). Alternatively, an existing body with the capacity to support local-level interventions could be mobilized (funded either by the state budget Promote local community involvement in project management and design or ESI Funds) to assist local actors in accessing the ESI Funds. Subject to the context of the member state, programs, and the CfP, this type of assistance can possibly be mobilized specifically for a CfP. In such a case, Application of the above guiding points can be reinforced by promoting local community (including local authorities, the CfP should clearly state the types of assistance available and how interested communities can access it. civil society, Roma, and non-Roma populations) involvement in project preparation and implementation. Participation of the beneficiary group is essential to the success of integrated interventions because local community members know what is needed, why it is needed, what the bottlenecks are, what can be done, III. Cross-cutting activities what is affordable and can be maintained, and what opportunities exist. Participation increases a project’s ownership and relevance; it identifies stakeholders’ priorities and their ability to maintain/operate. In addition, empowering disadvantaged Roma communities also contributes to their social inclusion. The participation of non-Roma communities is also critical to gain their support, avoid the stigmatization of Roma, and to foster that could/should be integrated interaction and cooperation between Roma and non-Roma on the basis of mutual interest. It would be ideal for CfPs to encourage partnerships between local authorities and CSOs that have a track record of trustful relationships with disadvantaged Roma communities. CSOs often play an important role in reaching out and to individual interventions engaging disadvantaged Roma communities, since underlying mistrust towards authorities often prevents disadvantaged Roma from actively participating in the process. In the same vein, Roma mediators and community social workers can also facilitate the identification, planning, and implementation of community- Support interventions that address root causes and sustainability issues level interventions. They can serve to close the communication gap between local actors and the Roma, thereby In line with the three guiding points presented in Section I, interventions need to be customized to meet local needs by integrating activities that address both supply- and demand-side bottlenecks (both service providers’ and users’ bottlenecks) and ensure sustainability. Besides the common interventions that improve 8 Integrationcan be achieved at different levels and in different forms, depending on the context of objectives pursued and the impediments infrastructure (community roads, sewerage, wastewater treatment plants, water, community centers, schools, addressed, including by: (1) combining interventions across various dimensions/sectors/themes (e.g., combining housing and health clinics, and so on) or provide social services (through training and deploying social workers, health mediators, interventions to improve child health); (2) combining hard and soft measures (e.g., combining physical construction of a community teaching assistants, mentors, trainers, and so on), other activities need to address the root causes of Roma center with the training of social workers who run youth programs at the center); (3) combining various measures to address supply- exclusion and/or to increase the sustainability of a project’s impacts. Even when an intervention targets side impediments (e.g., lack of health care providers) and demand-side challenges (e.g., lack of awareness by service users) to achieve an particular sectors such as employment, education, or health, depending on the local context, its projects need intended outcome; and (4) sharing common resources to implement multiple interventions or activities (e.g., the same social worker can to be accompanied by activities that address some of the issues listed below. CfPs should be designed to help the Roma to access various social services while also serving as a bridge between Roma communities, public officials, and non-Roma communities by closing the communication gap and fostering mutual awareness and understanding). accommodate such activities. 20 21 Awareness Active citizenship Suggestions for Program Managers Raise awareness about a particular service’s or practice’s availability and benefits through (1) public Facilitate the population’s engagement in project activities to increase their ownership of it and awareness campaigns; and (2) outreach activities by social workers and mediators; to demand service providers’ accountability. Activities that foster active citizenship, such as the organization of community groups and outreach activities by social workers, could be funded. The increased engagement of parents in school activities through parents’ associations, for example, can Affordability both increase the educational performance of their children and serve to empower parents to take Increase the local population’s ability to pay for services and infrastructure by reducing the costs of part in community life. Social workers and mediators can also take a significant role in helping the initial investments, operation, and maintenance, and by helping to increase the population’s income, local community voice their demands. when possible. Some available options include: (1) involving local labor in project activities, such as in infrastructure upgrading, which not only creates temporary job opportunities but also develops skills IV. Other Issues and Challenges for future employment; and (2) training the local population to operate and manage future projects. Additionally, interventions could be accompanied by employment-specific interventions such as vocational training, job search assistance, apprenticeship facilitation, and second chance education. Organizational capacity 1. Non-Segregation and Desegregation Increase the local population’s capacity to collectively manage and sustain a project’s results by Fund both desegregation and nonsegregation projects. (1) supporting the formation and running of service users’ associations/committees (for example, Spatial or residential segregation9 is a key self-perpetuating feature of Roma marginalization in legal and facilitation support for formation of associations); and (2) providing training to users’ Module 1 many communities. Spatial segregation often perpetuates marginalization by creating disadvantages, associations or committees (for example, training on accounting, basic financial literacy, decision- such as inferior access to basic services and economic opportunities. The ERDF regulation 2007– making procedures, and so on). 2013 prohibited interventions that led to increased concentration or further physical isolation of marginalized groups10. This concept of nonsegregation—which means to avoid creating new segregation Transactions and opportunity costs or reinforcing existing segregation—is not explicitly stated in the regulations for the 2014–2020 programming cycle but is still a good practice, and programs should not fund interventions that lead Reduce the transactions and opportunity costs of accessing infrastructure or services by (1) providing to or perpetuate segregation. affordable means of transportation; (2) providing mobile services (bringing services closer to families, such as mobile clinics); and (3) clustering services (for example, combining early childhood education Nonsegregation is different from desegregation, which means to undo segregation. with vocational training/life-long education for parents). Interventions aimed at improving the living conditions of disadvantaged Roma could be designed on a nonsegregation basis to avoid further segregation; yet pursuing spatial desegregation would Risks (safety, dignity, reputational, and so on) require a different set of interventions. For example, a basic community service—such as garbage Reduce safety concerns and alleviate fears of losing dignity and reputation by (1) providing affordable collection—can be extended to a spatially segregated neighborhood on a nonsegregation basis, but transportation services after dark; (2) financing and training social workers and mediators to ensure does not involve spatial desegregation. For this reason, programs should be open to funding both proper treatment of all service recipients, such as by providing cultural competency training; and (3) desegregation projects directly aimed at undoing segregation, as well as nonsegregation projects including gender-specific services. People might not access new infrastructure or services if they have aimed at improving the living conditions in segregated neighborhoods. In this context, it is important safety concerns, or fear compromising their dignity or reputation in the process of accessing them. to note that social housing interventions (as opposed to interventions that improve existing houses) in segregated areas, especially those that involve the construction of additional (social) housing blocks, could reinforce or enlarge segregation (therefore neither desegregating or nonsegregating), if not Civil documentation accompanied by countermeasures. The enlargement of a segregated population could be mitigated, Complement investments in the extension of services or infrastructure with activities to register (1) for example, by simultaneously helping some families from the neighborhood move into nonsegregated personal identities; and (2) property rights where possible, in order to ensure that the investments areas, instead of adding social housing to accommodate them all in the segregated area. In addition, benefit targeted groups, especially in informal settings. The lack of civil documents, such as personal interventions (such as mentoring services by community social workers, employment services, and identification or formal residence certification, often hampers access to basic social services like mediation services) that do not directly address spatial desegregation could still contribute to spatial education, waste collection, water, or social assistance programs. desegregation in the long run by creating enabling conditions for disadvantaged Roma to integrate to mainstream society on their own in the future. The ability and opportunity of disadvantaged Roma from a segregated neighborhood to take part in society could also be increased by enhancing Social integration connectivity (public transportation and roads) and increasing access to services via neighborhood Incorporate components in the project design that foster reconciliation, mutual understanding, trust, upgrading, which makes the segregated neighborhood an integral part of a broader community and adaptation/tolerance to diversity. For example, collaborative activities, such as those that require responsibilities to be shared in the maintenance of a community facility, could be included in the project design. Projects could also include organization of recreational activities and campaigns 9 Thisdiscussion focuses on the spatial or residential segregation of Roma, in which Roma and non-Roma are physically separated in different against discrimination. Historic grievances or mistrust between the Roma and non-Roma might neighborhoods. It is different from segregation in service provision, such as in classrooms and health care. While spatial segregation could hinder the community from collectively or efficiently benefitting from a project. often be a key source of segregation in service provision, it is not always the cause, and desegregation in service provision (e.g., school desegregation) may not necessarily require residential desegregation. 10Regulation (EU) No 437/2010 of the European Parliament and of the Council of 19 May 2010, amending Regulation (EC) No 1080/2006 (Article 7) on the European Regional Development Fund as regards the eligibility of housing interventions in favour of marginalized communities. 22 23 (an example from Medellín, Colombia is found in Global Case Studies). More discussion on spatial 4. Building on existing programs Suggestions for Program Managers segregation is found in the Discussion Note on Addressing Spatial Segregation of Roma in Module 2 of this handbook. Building on existing government programs can be an effective way to improve a project’s sustainability. Service providers often face additional challenges in operating in marginalized communities. These 2. Resettlement include high maintenance and operation costs, and low-cost recovery rates. These challenges pose disincentives for (and sometimes even prohibit) service providers and public utility companies to Resettlement needs to be planned with caution. continue to serve these areas, especially once projects (for example, those funded with ESI monies) Some interventions, including those that do not address desegregation, entail resettlement—moving cease to pay for their services. Such risks could be reduced by building on existing programs that people from their current locations (such as slums on the outskirts of a city). Resettlement needs have proven sustainable in the absence of ESI Funds. Moreover, utilizing existing programs is cost- to be planned and executed carefully. Interventions should avoid resettling people into an area where effective, since it allows resources and expertise to be shared. Experience shows it is easier to ensure they could be further concentrated or segregated; also, vulnerable groups have different preferences the efficient and continuous provision of services in education, health, and day care when they are as to where and how they want to be resettled. While many Roma families prefer to live in mixed already integrated into the municipality, state, or province’s regular social service provision system. neighborhoods, there are also Roma families that do not feel comfortable living next to non-Roma Certain CfPs could be made in partnership/coordination with existing national or regional programs to neighbors in the immediate future, partially out of fear of being mistreated by the latter. Therefore, promote interventions that build on them. This would require an alignment of CfPs and local projects careful planning and adequate social work is needed to help both Roma families and non-Roma to national-level sectorwide strategies and policies. Vice versa, such an initiative could contribute to neighbors prepare for and adjust to the change. They often prefer to relocate in a way and a pace mainstreaming the Roma inclusion agenda in national-level policies and strategies. with which they feel comfortable.11 If inappropriately planned or executed, resettlement could trigger social, economic, and cultural adversities worse than those it is intended to prevent. For example, Module 1 relocation could disrupt Roma livelihoods by impeding their access to existing social networks and sources of income. In addition, if they are moved to apartments in a neighborhood where they cannot 5. Institutional framework pay utilities and rents, or where they cannot find employment, they cannot stay and might need to The institutional framework for managing the selection and supervision of projects to move out again, to another marginalized neighborhood. Resettlement therefore needs to be planned carefully with holistic measures that can mitigate negative impacts and facilitate adjustment to be funded under the CfPs needs to be assessed to determine whether it is conducive the new environment. Such mitigation and adaptation measures usually require more time and to implementing projects at the local level. resources.12 Depending on the actual needs of the target community, there could be more cost- Questions to be asked include: efficient measures to address the challenges faced by disadvantaged communities. In cases where (a) Strategic acquisition and recommendations. Are the competencies and responsibilities of key parties resettlement is considered to generate positive and sustainable impacts efficiently, or is necessary involved in Roma inclusion efforts clear and consistent? Are the competencies spelled out in the CfPs for environmental reasons, or to prevent the impact of natural disasters, it should follow globally consistent with the national regulations, the NRIS, the country-specific recommendations, and so on? The established principles, based on consultation and community agreement. It is important for the coordination between different ministries and MAs is imperative, especially to enable measures and CfPs to CfP to provide a framework of measures that mitigate the negative impacts of resettlement, land allow integrated interventions. acquisition, and/or restrictions of access to natural resources on Roma. Suggested good practices to be incorporated in such a framework are presented in Good Practice Note 2: Planning Resettlement (b) Administrative capacity. Is the capacity of responsible key parties adequate and sufficient to manage in Module 3 of this handbook. interventions (for example, preparation, implementation, monitoring) to be funded under the call for proposal? Do the organizations involved have adequately trained staff that can handle the responsibilities concerning Roma-focused objectives? Are there concrete measures (for example, support body) to support local actors with limited planning and implementation resources to formulate proposals? 3. Striking a balance between prioritization and integration (c) Financial resources and funding allocations. Are budgets adequate to manage and administer the Integration is more than just combining a series of interventions. program? Are sufficient resources allocated to address capacity needs of local communities to plan and While CfPs need to remain flexible enough to allow customized integration of interventions at local implement projects? Are there ways to provide financial support to local actors to prepare and initiate levels, lack of priority or focus could result in incoherent and fragmented interventions. In an effort projects? Developing a project and applying for funding usually requires prior investments by applicants. to tackle multiple challenges faced by communities, projects could end up being a mere catch-all There have been reports of CSOs going bankrupt or nearly bankrupt as a result of unsuccessfully applying compilation of parallel activities that address diverse challenges without coordination or synergies. for funds, or even when successful, as a result of serious delays in getting project expenditures reimbursed. This can lead to inefficient use of available resources without systematic or strategic prioritization (d) Inclusion of marginalized communities. Does the CfP propose concrete measures to ensure targeting of interventions. Diversification without coherence could potentially compromise the quality of of the most vulnerable communities? (What are the methods to identify target communities? Are there projects, as this also diverts resources and technical expertise required in project implementation. It criteria and sufficient data to identify them?) Does the CfP propose a mechanism to ensure and/or promote is therefore essential that CfPs have a well-defined set of objectives and priorities. Projects, in turn, Roma participation in project formulation and implementation? Does it provide a framework for consultation could be customized at the local level and incorporate a variety of interventions aimed at achieving processes and grievance redress mechanisms (GRMs) to be applied by projects? Does it respect the Code those objectives and priorities. For example, street lights to ensure safe passage, a community child of Good Conduct adopted by the Council and the European Parliament in the framework of the ESI Funds care facility and services, and vocational training for adults could be provided together to facilitate regulations? employment of women. 11 Such was the case in Turin, Italy, for example. 12 For example, the IRIS Subsidized Rental Housing Project in Madrid, which involved a comprehensive package of resettlement and livelihood activities, costs over €24,000 per individual. 24 25 6. Objectives and the results chain (h) Are the Roma-related challenges and lessons from the previous period of CfP taken into account and Suggestions for Program Managers adequately reflected in the proposed CfP? For the programs to explicitly address Roma inclusion, it is essential for Roma-related (i) What are the potential environmental impacts that could be caused by Roma-focused interventions funded objectives to make clear reference to the NRIS objectives. by the CfP? Are mitigation measures proposed? In line with the thematic ex ante conditions established by the of EU funding regulations, programs (j) To what extent do environmental issues and/or cumulative impact affect the implementation of Roma- and investments have to contain measures and tools that are in line with the NRIS, the Commission’s focused interventions under the CfP? position papers, and the country-specific recommendations. Measures to be funded under the programs and interventions need to be aligned with these objectives following the logics of a results (k) To what extent might the CfP involve involuntary resettlement, land acquisition, and/or restrictions of access chain. Points to be assessed include the following:13 to natural resources of Roma? Are specific measures and procedures stated in the CfP to mitigate their negative impacts on Roma? (a) Does the CfP clearly define the Roma-focused objectives, priority axes, measures, and targets? For example, does it indicate how it will contribute to the objectives and targets of the NRIS? (b) Is the rationale behind the Roma-related objective/targets logically explained? (Are they based on analysis of the current Roma situation?) (c) Does the CfP form a logical results chain to achieve the stated Roma-related or Roma-specific objectives/ V. Options for Mainstreaming Roma targets? (d) Is the objective/target realistic/feasible? Do the budgets allocated/programmed for specific priority axes and Inclusion in the Selection Criteria measures justify the feasibility of achieving Roma-related objectives/targets? Module 1 Incorporate a Roma-lens into the selection criteria 7. Monitoring and evaluation arrangements Roma inclusion could be mainstreamed by including some of the following criteria in the project selection process (for example, bonus points can be given to projects that meet these criteria): Monitoring and evaluating the progress and impacts of Roma-focused interventions require their monitoring and evaluation (M&E) arrangements to reflect Roma-specific M&E needs. It is important that the M&E arrangements be designed to enable the assessment of the effectiveness 1 and efficiency of Roma-focused interventions in achieving the pursued objectives. The readiness of the M&E arrangements could be assessed by reviewing the following: Project relevance (a) Does the CfP’s M&E framework include Roma-focused indicators that are SMART (specific, measureable, The project contributes to achieving the specific Roma-focused objectives of the program, priority, attributable, relevant, and time-bound)? and measure (key intervention area) for which the CfP is launched. The project contributes to (b) Are information/data sources clarified, and are they available and accessible? improving the living conditions of Roma. (c) Are responsibilities, staffing, and budgets for monitoring clearly defined and reserved? The project contributes to the Roma-focused objectives of the program: (state the objective here—if (d) Does the CfP propose concrete measures to verify results on the ground? (For example, is there a way to make more than one objective is pertinent to the CfP, add extra rows below) sure the projects intended to benefit disadvantaged Roma are doing so as initially proposed?) 1.1 Roma-focused indicator: 8. Risks to achieving Roma-focused objectives It will be valuable to assess whether the CfPs have identified any particular risks The project contributes to Roma-focused objectives of the measure/key intervention area: (state to implementing Roma-focused interventions and proposed realistic and adequate the objective here—if more than one objective is pertinent to the CfP, add extra rows below) 1.2 measures to mitigate them. Risk assessment of the CfP could involve asking the following questions, among others: Roma-focused indicator: (e) Are there any groups actively opposing the Roma-focused objectives defined in the CfP? Could they potentially hamper the CfP’s implementation? (f) To what extent does the CfP incorporate or rely on untested or unfamiliar technologies or processes that The project contributes to the objective of the NRIS: (state the objective here—if more than one target Roma? objective is pertinent to the CfP, add extra rows below) 1.3 (g) To what extent could the design and implementation of the CfP possibly generate (or exacerbate existing) Roma-focused indicator: conflict or violence involving Roma? 13 These need to be assessed within the results framework of corresponding funds. 26 27 Suggestions for Program Managers 2 Adherence to principles, regulations, and standards 4 Impact feasibility The project adheres to pertinent principles, regulations, and standards. The outputs of the project are likely to generate the intended impacts on Roma. The project does not lead to or is accompanied by increased concentration of marginalized groups, The project’s target beneficiaries (including Roma) are aware of the project activities, understand 2.1 4.1 their objectives and benefits, and are willing to access/utilize the project’s outputs (e.g., infrastructure, including Roma. social services). 2.2 The project does not lead to further physical isolation of marginalized groups (including Roma) in The project’s target beneficiaries (including Roma) will have the economic capacity to afford the cost terms of increased distance from other rural or urban communities or new physical barriers. 4.2 of accessing/utilizing the project’s outputs (e.g., infrastructure, social services), including costs of transport, lost time for income generation, and family care. 2.3 The project explicitly, but not exclusively, targets disadvantaged Roma. The project’s target beneficiaries (including Roma) are eligible to access/utilize the project’s outputs 4.3 (e.g., basic infrastructure, social services). For example, the target beneficiaries have the civic documents, such as personal identification cards and property rights documentation, required to 2.4 The project was developed in consultation with both Roma and non-Roma members of the community. connect to or access services—if not, the project includes activities to provide these documents. 4.4 The project will be implemented by or in partnership with trustworthy organizations that have a Module 1 track record of successful relationships with the local community (including the Roma). 5 Project sustainability 3 Project design The project’s benefits are sustained beyond its conclusion. The project is adequately designed to achieve its proposed objectives, with sensitivity to Roma- specific issues. The project comprises effective, realistic activities and uses resources efficiently The applicant ensures that the target beneficiaries (including Roma) have ownership of the project, 5.1 to generate proposed results/achieve proposed objectives (taking into account both positive and through their involvement in its development, implementation, and monitoring. negative impacts). 3.1 The project includes Roma-specific indicators or targets. 6 Social impact The project targets poor and marginalized segments of the municipality or community, and ensures The project includes activities that specifically address the challenges faced by Roma (the project 6.1 that the poorest and most vulnerable people are not excluded from its benefits (the project does not 3.2 has considered or analyzed specific challenges14 faced by Roma, which are reflected in the design of widen the inequality in the municipality or community). project activities). The applicant applies a nondiscrimination policy to the project, and there are mechanisms for ensuring The project includes activities to avoid or mitigate its specific adverse impacts on Roma (the project equality of opportunity within public procurement contracts. (The applicant identifies aspects/risks 6.2 related to discrimination in the context of the project and has specific mechanisms to address these 3.3 has considered or analyzed its potential adverse impacts on Roma, which are reflected in the design of project activities). potential issues.) The project contributes to the social integration of marginalized and excluded groups of the The project involves target beneficiaries (including Roma) in project implementation, in order to municipality or community through activities that require interactions and cooperation between 3.4 increase their ownership of the project. 6.3 mainstream (e.g., non-Roma) and minority (e.g., Roma) groups. (The project has activities designed to empower marginalized groups to engage in civic activities, or foster mutual understanding, trust, and acceptance of diversity among community members.) 3.5 The project includes (disaggregated) indicators to monitor its specific results/impacts on Roma. The project does not generate involuntary resettlement of people, including Roma. If resettlement is 6.4 unavoidable, the project includes measures to mitigate its negative impacts on affected people and ensures that the affected people improve, or at least restore, their living conditions. The project has a public feedback mechanism (or a GRM), which enables stakeholders (including 6.5 Roma) to file complaints, concerns, and questions about the project, and lays out clear procedures 13 14 For These example, need to fear be of within by assessed mistreatment theservice resultsproviders, framework associated of corresponding to humiliation, and other concerns of safety, dignity, or reputation exposurefunds. for handling them. might hamper Roma from accessing services and benefitting from the project. 28 29 Module 2 Practice and Advisory Notes for National-Level Authorities Step D Monitoring Project Implementation Practice and Advisory Notes for National-Level Authorities Monitoring project implementation is an essential function of national-level authorities for providing adequate oversight to the projects they fund and to take corrective actions on underperforming projects. In addition to monitoring the performance of ongoing Introduction to the Module projects, national-level authorities can collect and share the knowledge and lessons learned from ongoing projects with local actors in order to improve the quality of projects The aim of this module is to provide helpful advice to national-level authorities in the EU member states and programs’ overall results. The three notes in this section aims to help national-level in managing and coordinating project funding programs, including the Operational Programs (OPs) of the authorities (1) set up an M&E framework to effectively monitor projects’ performance; European Structural and Investment Funds (ESI Funds). (2) monitor some important elements and issues that cannot be monitored through The advice is provided in ten notes, organized and sequenced in accordance with the four key steps involved indicators; and (3) facilitate peer learning and exchange of best practice activities. in the implementation of typical project funding programs: Step A—designing the call for proposals; Step B— supporting project development and management; Step C—selecting projects; and Step D—monitoring project This module may also be relevant to intermediate bodies that are often implementation. designated by the Managing Authorities in the case of ESI Funds to facilitate the communications with, and the provision of support to, the project implementation bodies at the local level. Step A Designing the Call for Proposals The table below serves as a map for the module’s arrangement. It lists the steps and activities in the sequential order of a typical program, starting from designing the CfP, and ending with M&E. Three notes aim to help national-level authorities design CfPs that are sensitive and conducive to addressing the diversity of needs and challenges faced by Roma. Specifically, Tools and Good Practice Notes for National-Level Authorities they provide guidance on (1) the types of interventions that could possibly be funded; (2) key principles for enhancing the effectiveness of projects funded under CfPs; and Material Purpose (3) consulting and communicating with local actors to increase the relevance and uptake of the CfPs. Step A Designing the Call for Proposals Key Guiding Principles for Enhancing the Effectiveness of Provide key guiding principles for addressing Roma living Programs in Improving Roma Living Conditions conditions. Step B Supporting Project Development Identify types of integrated actions that address Roma living Module 2 Potential Interventions to be Funded by Programs conditions that could be financed by programs. and Management Practice and Advisory Note on Community Outreach Reach out to local, community-level actors to inform them of funding opportunities provided by CfPs. Many local actors, especially marginalized ones, lack technical capacity to plan and Step B Supporting Project Development and Management manage projects, and require substantial assistance to prepare project proposals to apply to funds, including the ESI Funds, and to implement the projects once approved. Providing Practice and Advisory Note to Help Local Communities Help local actors prepare and implement projects. training is often not enough to enable local actors15 to plan and implement projects on Develop and Implement Projects their own. The three practice and advisory notes for this step propose ways to help local Practice and Advisory Note to Help Local Actors Identify Provide assistance to local actors in identifying and targeting actors target, develop, and implement the projects to be funded under CfPs. Disadvantaged Areas disadvantaged areas. Step C Selecting Projects Step C Selecting Projects Possible Project Selection Criteria for Enhancing Assess the soundness of proposed project activities that Project Impacts on Roma Inclusion address Roma living conditions. Discussion Note on Addressing Understand the nonsegregation principle and assess the quality In order to ensure effective use of program funds, projects need to be funded selectively, Spatial Segregation of Roma of projects that address spatial segregation of Roma. and project selection criteria play a crucial role in screening projects that merit funding. At the same time, selection criteria should not end up rejecting relevant and effective Step D Monitoring Project Implementation projects; excessively rigid and rigorous criteria can often backfire and shut out potentially effective projects. Two notes included in this section aim to assist national-level authorities Monitor how projects funded by the OPs are contributing to Practice and Advisory Note on Monitoring and Evaluation improving Roma living conditions. (1) set effective and pragmatic criteria by which to select projects that improve the living conditions of disadvantaged Roma; and (2) understand the nonsegregation principle and Practice and Advisory Note for Monitoring Project Aspects Monitor important elements and issues that may affect the assess the projects that address spatial segregation of Roma. that Cannot be Measured by Results Indicators impact and success of projects that cannot be monitored with indicators. 15 For Practice and Advisory Note for Facilitating Peer Learning Coordinate/facilitate knowledge exchange and learning the purpose of this handbook, the term “local actors” is used to refer to local-level actors involved in the preparation and implementation among project implementation bodies. and Exchange of Good Practices of projects, including local authorities, nongovernmental organizations, cooperatives, associations, committees, and other partner entities. 32 33 1. Focus on interventions that target poor and disadvantaged Roma, rather than Step A Key Guiding Principles for Enhancing Roma in general; Designing the Call Improving Roma Living Conditions the Effectiveness of Programs in 2. Enable customization of activities to specific local needs; for Proposals 3. Allow interventions to address bottlenecks for both service providers and users; and 4. Ensure interventions come with a clear exit strategy for sustainability. These guiding points can be made possible by applying an integrated approach through the Key Guiding Principles for participation of local communities. Enhancing the Effectiveness 1. Focus on interventions that target poor and disadvantaged Roma Call for Proposals Designing the Not all Roma are poor or disadvantaged of Programs in Improving So the project funds reach the maximum number of poor and disadvantaged Roma who experience social exclusion and poor living conditions, projects should target poor and/or disadvantaged Roma, rather than Roma in general. Past projects, such as those pertaining to social housing, sometimes Roma Living Conditions targeted relatively better off Roma who were more likely able to afford rent and utilities; the Step A poorest and most disadvantaged Roma were not targeted. Such initiatives leave behind the most disadvantaged Roma and could further marginalize them. In targeting poor and disadvantaged Roma, it is also important to follow the principle of explicit but not exclusive targeting of Roma, so that non- Roma who face similar disadvantages will not be excluded from the interventions. These targeting principles will not only ensure that the program funds reach the groups that need them the most, but I. Purpose Practice and Advisory Notes for National-Level Authorities also prevents negative perceptions about the interventions, which could stigmatize Roma as unfair beneficiaries of public resources. Some key types of disadvantaged communities are described in the box below. This note aims to help national-level authorities enhance the effectiveness of programs that address Roma living conditions by suggesting key points and guiding principles to consider. This note is intended to provide points of Key Common Types of Disadvantaged Communities reference as to what should be avoided, what should be considered, and what activities must be included in projects that are funded. While not exhaustive, the following typology describes the key types of disadvantaged areas where poor and disadvantaged Roma generally live. Urban, low-quality blocks of flats or former workers’ colonies Sometimes referred to as “ghetto”17 by both their inhabitants and other locals, these low-quality housing facilities II. Guiding Points for Projects to be were built during the socialist regime for the workers of large enterprises. Most often these buildings are concentrated in one or two low-quality blocks of flats. Main problems include massive overcrowding, which puts Funded by the Programs serious pressure on the block installations, and overdue payments for utilities (electricity, water, sewage, and garbage collection). Usually these apartments include only one small room that is overcrowded by numerous families with many children. Common spaces and installations—for example, electricity, sewerage, water, and so Four key guiding points. Besides the widely referred to 10 Common Basic Principles on Roma Inclusion16, forth—are often damaged. Utility supply infrastructure is often very limited. In some cases, a hydrant may be the which are applicable to successful design and implementation of actions to support Roma inclusion in general, this single source of water for the whole neighborhood. These communities are characterized by helplessness, which note suggests four additional guiding points for ensuring increased and sustained results of interventions to be is accentuated by the constant shame of living in an infamously poor area and associated with a strong feeling funded. Calls for proposals can be designed to promote and allow the projects to incorporate the following guiding of being belittled and experiencing discrimination. points: Urban, slum areas Module 2 16 These were presented at the European Platform for Roma Inclusion in 2009 and endorsed by the Council of Ministers in charge of Social These slum areas are often found in old neighborhoods on the outskirts of towns and cities with very poor Affairs. They comprise: (1) constructive, pragmatic, and nondiscriminatory policies; (2) explicit but not exclusive targeting; (3) intercultural communities that include Roma and non-Roma. These have grown larger since 1990. In addition to low-quality approach; (4) aiming for the mainstream; (5) awareness of the gender dimension; (6) transfer of evidence-based policies; (7) use of EU instruments; (8) involvement of regional and local authorities; (9) involvement of civil society; and (10) active participation of Roma. For more see “The 10 Common Basic Principles on Roma Inclusion.” Council of Europe. http://www.coe.int/t/dg4/youth/Source/Resources/ 17 Thisreport does not subscribe to the use of the term “ghetto.” The term has been used to match the locally used terminology and to Documents/2011_10_Common_Basic_Principles_Roma_Inclusion.pdf distinguish it from social housing. 34 35 housing, many additional improvised shelters have been put together over time, either in the courtyards of the 2. Enable customization of activities to specific local needs Key Guiding Principles for Enhancing old houses or on public areas. These shelters are typically made of plastic and paperboard, with some wooden Disadvantaged Roma communities face a variety of issues, and interventions must Improving Roma Living Conditions framing. Houses and shelters are very small, but accommodate large families with many children. Not all urban the Effectiveness of Programs in slums consist of such old neighborhoods. Some were developed in the early 1990s by locals who lost their be locally customized to best address each community’s specific priority needs. apartments due to overdue debts to utility providers. Some slums have virtually no infrastructure; others, for Funding to priorities and measures should be made available on a flexible and customizable basis, example, have just one tap that supplies water for the entire area. In other areas the infrastructure is developed instead of prescribing one-size-fits-all solutions across a country or a region. While common overall along the main street but is not available in the rest of the area (not even electricity). As a result, many such objectives and strategies can be shared across a country or a region, each community should be areas are insanitary and highly exposed to natural hazards such as heavy rain or flooding. Informality (lack of given flexibility as to “how” to pursue them. Uniformly obliging specific types of investments is not property and land documents) is common, and slum residents claim they are highly exposed to the discretionary recommended, since it risks making interventions less relevant and cost-effective. A successful actions of powerful gang leaders in the area. While some slums can be peaceful and quiet, particularly in the old intervention in one community may not necessarily be suited for another. Even the same types of neighborhoods, others can be unsafe. needs in two different communities may require different solutions and approaches, because each community might experience different challenges or impediments. Various interventions could be Urban, modernized social housing integrated to best address a community’s needs and impediments, depending on their nature. CfPs Modern social housing units were often developed through integrated projects, which combined large investments should be structured around specific objectives, rather than interventions, and be open enough to Call for Proposals in new buildings with infrastructure and a series of social interventions. Areas of modernized social housing fund a range of suitable actions that best fit the circumstances of local communities. A range of Designing the are well endowed with infrastructure and utility services (sometimes better than the rest of the urban areas) project activities or investment options can still be presented as ideas (instead of prescribed as but accommodate poor people in difficult social situations that are eligible for these houses. Paying for utilities requirements) to inspire suitable actions that best fit the needs of local communities. remains a considerable challenge for many poor residents. The monthly bill for just one utility (usually electricity) is often larger than a family’s income, and the situation is unsustainable for many residents who cannot afford to live and maintain the house. Modernized social housing can also deepen segregation when it is located outside 3. Allow interventions to address bottlenecks for both Step A of the city, away from where the residents have lived and grown up. It is also exposed to many natural hazards. service providers and users Urban, dilapidated buildings in historical city areas The concept of “if we build it, they will come” is seldom reality. Old individual houses in some historical city areas were nationalized and assigned to families during the socialist Building infrastructure or extending services might not automatically result in an increase in utilization. period. Some, especially those in a very poor condition, were also illegally occupied by homeless people after Service users’ (demand-side) bottlenecks, such as those related to users’ awareness, affordability, 1990. These are old neighborhoods where inhabitants have lived for more than 30 years. Except for the fact Practice and Advisory Notes for National-Level Authorities capacity constraints, opportunity costs, social norms, and risks (safety, dignity, reputational, and that these communities are located in urban central areas, their living conditions to a large extent resemble so on) need to be assessed and addressed. Many disadvantaged Roma communities are highly those in the slum areas. Because the location of such houses is highly attractive for investors and the houses impoverished, and merely providing new infrastructure or services will not necessarily result in their have a high market potential, the former owners (or their inheritors) or local authorities often try to recuperate utilization. If people are not aware of a service’s benefits, or if it is too costly to access, they will not these properties, sometimes by evicting the occupants. Some people are allowed to stay in ruined buildings be able to utilize it. Moreover, even when a service is free, people may decide not to access it if the but are not given identity papers as tenants of that address (residential address), given that the building was transactions or opportunity costs (for example, transport, lost time for income generation and family administratively registered as “destroyed.” This means that the resident cannot get a job, has no right to medical care) are considered too high. Fear of being mistreated by service providers or associated exposure care or social benefits, and so on. to humiliation could also discourage them from accessing a service. The design of any project must therefore be accompanied by the question, “If we build it, will they come?” Funding needs to be made Rural and periurban informal settlements available to allow projects not only to improve the quality and coverage of infrastructure and services, but also to remove service users’ (demand-side) constraints to access. Informal settlements in rural and periurban areas usually constitute relatively smaller communities of 20–30 households. These informal settlements have often grown out of traditional settlements in the nearby public land, with the formation and growth of new families. The houses typically have 1–2 rooms and are of relatively poor structural quality, made with adobe, wood, and tin sheets. Sanitation is extremely poor; many households might 4. Ensure that interventions come with a clear exit strategy for share a single pit latrine. Similarly, there might be a shared well for water. These areas are mostly occupied by sustainability younger and larger families. Typically, young adults are unemployed and live on informal economy activities (such as metal/ garbage collection) or work as a day laborer. These settlements could be very isolated and have limited A project’s impacts or results should not disappear with its completion or the end access to social services and markets. of funding. Funding and institutional arrangements for operation and maintenance of project activities should Rural, traditional settlements continue beyond the project’s conclusion. Financial resources and adequate administrative capacity There are old settlements in rural areas, where Roma families have lived for decades, and sometimes over and governance structure need to be in place for local services and facilities to be managed by local generations. Generally, houses located in these rural traditional settlements are of relatively decent quality, but actors and accessed by community members. Projects could include a component to build in these some constitute dilapidated structures. Infrastructure (water, sanitation, electricity) in these settlements may be capacities and make them self-sustaining. Otherwise, local communities will become dependent Module 2 very minimal or nonexistent. During the socialist regime, residents were mainly employed by local cooperatives or on the project (and EU financing), and risk losing the gains achieved by the project when it ends. national enterprises in nearby towns, many of which disappeared after 1990. Access to the job market is limited Financial sustainability does not imply that maintaining the improvements in the future cannot rely in many of these settlements, and many families practice semi-subsistence agriculture. Limited income typically on continued subsidies, such as from central government programs or local budgets. For example, comes from the informal economy in a nearby town, day labor in the agriculture sector, and social assistance. many disadvantaged people may continue to require safety net support to pay for services they 36 37 access in the short to medium term. An exit strategy may consist of ensuring the availability and community social workers can also facilitate the identification, planning, and implementation of community- Key Guiding Principles for Enhancing allocation of such financial resources. Examples of activities that can enhance the sustainability of level interventions. They can serve to close the communication gap between local actors and the Roma, thereby Improving Roma Living Conditions interventions are presented in Section II of this note. Sustainability needs to be considered when helping to improve the format of interventions, while also increasing the uptake of interventions by Roma. While the Effectiveness of Programs in selecting the projects, and funding should be made available for projects to design activities that will the policies and institutional arrangements for implementing the community-led local development (CLLD) ensure sustainability. may require and provide an enabling environment for promoting and facilitating community participation, it is recommended that local-level projects feature community participation in general, even when they are not funded through CLLD. Under CLLD, it is highly recommended that community involvement be promoted beyond their participation in the local action groups that formulate local development strategies, and support their Reflecting these four guiding points requires an integrated approach involvement in the preparation and implementation of projects that realize the strategies. An integrated approach involves the consolidation of multiple actions that jointly address a combination of impediments to sustainably achieving a development objective.18 For interventions to achieve intended outcomes, the bottlenecks hindering access to quality living conditions, both on the supply and demand sides (service providers and users), will need to be comprehensively addressed. Only addressing some of the Provide sufficient support and expert assistance to local actors to bottlenecks will result in inefficient use of resources. Integrated approaches can increase the effectiveness, develop and implement projects efficiency, and sustainability of interventions, because they create synergies and provide multipronged Call for Proposals Local actors, especially in marginalized communities, often lack sufficient technical capacity to collectively solutions to the complex, interconnected problems that disadvantaged Roma communities face. Impacts of translate their priority needs into projects. Although local actors know their needs best, they require substantial Designing the social infrastructure investments could be increased by bolstering the capacity of the service providers. For assistance to prepare project proposals to apply for ESI Funds and to implement the projects once approved. example, service providers might require training to effectively use new infrastructure or technology to its For example, many local authorities cannot form a team of experts who can specify or verify a project’s full potential. Increasing providers’ cultural competency could also enhance their ability to better understand technical details or develop procurement documents, including the terms of reference. Local authorities have and serve disadvantaged Roma. Similarly, efforts to increase the quality and efficiency of services could often been heavily burdened by the complex administrative procedures involved with the implementation of be enhanced by improving the associated infrastructure. Funding must be made available to accommodate these funds. A national level support body could be created to provide technical assistance to local actors in Step A interventions comprising such multisectoral activities. The integrated territorial investment (ITI), as defined preparing and implementing projects to be funded with ESI money. In concrete terms, the support body could by the ESI Funds regulation, aims to provide flexibility for member states to implement operational programs provide mentoring and “hand-holding” assistance to local actors to develop and implement projects through in a crosscutting way and draw on funding from several priority axes of one or more operational programs to (1) community outreach; (2) identifying top priority needs through participatory methods; (3) rapid capacity facilitate the implementation of an integrated strategy for a specific territory. Although it represents one way enhancement of local actors; (4) converting priority needs into investment plans in the form of technical to do this, alternative ways need to be reserved to fund multisectoral activities for priority axes of OPs that project documents; (5) pricing out these investment plans, including recurrent operational and maintenance do not participate in the ITI arrangements. Practice and Advisory Notes for National-Level Authorities costs; (6) assistance in preparing a project proposal and applying for ESIF funding; and (7) providing implementation support (for example, procurement, supervision) and training (for example, financial literacy, grievance mechanisms, monitoring and evaluation (M&E), and so on). The support body could be established Promote local community involvement in project management and design in various forms, depending on the context of the member state. One option is to incorporate it as part of a project-funding program. In the case of ESI Funds, it could be included as part of an operational program (for Application of the above guiding points can be reinforced by promoting local community (including local authorities, example, as part of the budget allocated for the OP’s technical assistance). Alternatively, an existing body civil society, Roma, and non-Roma populations) involvement in project preparation and implementation. with the capacity to support local-level interventions could be mobilized (funded either by the state budget Participation of the beneficiary group is essential to the success of integrated interventions because local or ESI Funds) to assist local actors in accessing the ESI Funds. Subject to the context of the member state, community members know what is needed, why it is needed, what the bottlenecks are, what can be done, programs, and the CfP, this type of assistance can possibly be mobilized specifically for a CfP. In such a case, what is affordable and can be maintained, and what opportunities exist. Participation increases a project’s the CfP should clearly state the types of assistance available and how interested communities can access it. ownership and relevance; it identifies stakeholders’ priorities and their ability to maintain/operate. In addition, empowering disadvantaged Roma communities also contributes to their social inclusion. The participation of non-Roma communities is also critical to gain their support, avoid the stigmatization of Roma, and to foster interaction and cooperation between Roma and non-Roma on the basis of mutual interest. It would be ideal III. Cross-cutting activities for CfPs to encourage partnerships between local authorities and CSOs that have a track record of trustful relationships with disadvantaged Roma communities. CSOs often play an important role in reaching out and engaging disadvantaged Roma communities, since underlying mistrust towards authorities often prevents disadvantaged Roma from actively participating in the process. The level of community involvement needs to that could/should be integrated be considered in selecting the projects to be funded under the programs, and funding should be made available to allow projects to involve community members in their implementation. In the same vein, Roma mediators and to individual interventions 18 Integrationcan be achieved at different levels and in different forms, depending on the context of objectives pursued and the impediments Support interventions that address root causes and sustainability issues addressed, including by: (1) combining interventions across various dimensions/sectors/themes (e.g., combining housing and health Module 2 interventions to improve child health); (2) combining hard and soft measures (e.g., combining physical construction of a community In line with the three guiding points presented in Section I, interventions need to be customized to meet center with the training of social workers who run youth programs at the center); (3) combining various measures to address supply- local needs by integrating activities that address both supply- and demand-side bottlenecks (both service side impediments (e.g., lack of health care providers) and demand-side challenges (e.g., lack of awareness by service users) to achieve an providers’ and users’ bottlenecks) and ensure sustainability. Besides the common interventions that improve intended outcome; and (4) sharing common resources to implement multiple interventions or activities (e.g., the same social worker can infrastructure (community roads, sewerage, wastewater treatment plants, water, community centers, schools, help the Roma to access various social services while also serving as a bridge between Roma communities, public officials, and non-Roma clinics, and so on) or provide social services (through training and deploying social workers, health mediators, communities by closing the communication gap and fostering mutual awareness and understanding). teaching assistants, mentors, trainers, and so on), other activities need to address the root causes of Roma 38 39 exclusion and/or to increase the sustainability of a project’s impacts. Even when an intervention targets the project design. Projects could also include organization of recreational activities and campaigns Key Guiding Principles for Enhancing particular sectors such as employment, education, or health, depending on the local context, its projects need against discrimination. Historic grievances or mistrust between the Roma and non-Roma might hinder Improving Roma Living Conditions to be accompanied by activities that address some of the issues listed below. CfPs should be designed to the community from collectively or efficiently benefitting from a project. the Effectiveness of Programs in accommodate such activities. Active citizenship Awareness Facilitate the population’s engagement in project activities to increase their ownership of it and Raise awareness about a particular service’s or practice’s availability and benefits through (1) public to demand service providers’ accountability. Activities that foster active citizenship, such as the awareness campaigns; and (2) outreach activities by social workers and mediators; organization of community groups and outreach activities by social workers, could be funded. The increased engagement of parents in school activities through parents’ associations, for example, can both increase the educational performance of their children and serve to empower parents to take part Affordability in community life. Social workers and mediators can also take a significant role in helping the local Increase the local population’s ability to pay for services and infrastructure by reducing the costs of community voice their demands. initial investments, operation, and maintenance, and by helping to increase the population’s income, when possible. Some available options include: (1) involving local labor in project activities, such as in Call for Proposals infrastructure upgrading, which not only creates temporary job opportunities but also develops skills Designing the IV. Other Issues and Challenges for future employment; and (2) training the local population to operate and manage future projects. Additionally, interventions could be accompanied by employment-specific interventions such as vocational training, job search assistance, apprenticeship facilitation, and second chance education. Organizational capacity 1. Non-Segregation and Desegregation Step A Increase the local population’s capacity to collectively manage and sustain a project’s results by Fund both desegregation and nonsegregation projects (1) supporting the formation and running of service users’ associations/committees (for example, Spatial or residential segregation19 is a key self-perpetuating feature of Roma marginalization in many legal and facilitation support for formation of associations); and (2) providing training to users’ communities. Spatial segregation often perpetuates marginalization by creating disadvantages, such associations or committees (for example, training on accounting, basic financial literacy, decision- as inferior access to basic services and economic opportunities. The ERDF regulation 2007–2013 making procedures, and so on). prohibited interventions that led to increased concentration or further physical isolation of marginalized Practice and Advisory Notes for National-Level Authorities groups20. This concept of nonsegregation—which means to avoid creating new segregation or reinforcing Transactions and opportunity costs existing segregation—is not explicitly stated in the regulations for the 2014–2020 programming cycle but is still a good practice, and programs should not fund interventions that lead to or perpetuate Reduce the transactions and opportunity costs of accessing infrastructure or services by (1) providing segregation. affordable means of transportation; (2) providing mobile services (bringing services closer to families, such as mobile clinics); and (3) clustering services (for example, combining early childhood education Nonsegregation is different from desegregation, which means to undo segregation with vocational training/life-long education for parents). Interventions aimed at improving the living conditions of disadvantaged Roma could be designed on a nonsegregation basis to avoid further segregation; yet pursuing spatial desegregation would require a Risks (safety, dignity, reputational, and so on) different set of interventions. For example, a basic community service—such as garbage collection— Reduce safety concerns and alleviate fears of losing dignity and reputation by (1) providing affordable can be extended to a spatially segregated neighborhood on a nonsegregation basis, but does not transportation services after dark; (2) financing and training social workers and mediators to ensure involve spatial desegregation. For this reason, programs should be open to funding both desegregation proper treatment of all service recipients, such as by providing cultural competency training; and (3) projects directly aimed at undoing segregation, as well as nonsegregation projects aimed at improving including gender-specific services. People might not access new infrastructure or services if they have the living conditions in segregated neighborhoods. In this context, it is important to note that social safety concerns, or fear compromising their dignity or reputation in the process of accessing them. housing interventions (as opposed to interventions that improve existing houses) in segregated areas, especially those that involve the construction of additional (social) housing blocks, could reinforce or enlarge segregation (therefore neither desegregating or nonsegregating), if not accompanied by Civil documentation countermeasures. The enlargement of a segregated population could be mitigated, for example, by Complement investments in the extension of services or infrastructure with activities to register (1) simultaneously helping some families from the neighborhood move into nonsegregated areas, instead of personal identities; and (2) property rights where possible, in order to ensure that the investments adding social housing to accommodate them all in the segregated area. In addition, interventions (such benefit targeted groups, especially in informal settings. The lack of civil documents, such as personal as mentoring services by community social workers, employment services, and mediation services) identification or formal residence certification, often hampers access to basic social services like that do not directly address spatial desegregation could still contribute to spatial desegregation in the education, waste collection, water, or social assistance programs. long run by creating enabling conditions for disadvantaged Roma to integrate to mainstream society Module 2 Social integration 19 Thisdiscussion focuses on the spatial or residential segregation of Roma, in which Roma and non-Roma are physically separated in different neighborhoods. It is different from segregation in service provision, such as in classrooms and health care. While spatial segregation could Incorporate components in the project design that foster reconciliation, mutual understanding, often be a key source of segregation in service provision, it is not always the cause, and desegregation in service provision (e.g., school trust, and adaptation/tolerance to diversity. For example, collaborative activities, such as those that desegregation) may not necessarily require residential desegregation. require responsibilities to be shared in the maintenance of a community facility, could be included in 20 Regulation (EU) No 437/2010 of the European Parliament and of the Council of 19 May 2010, amending Regulation (EC) No 1080/2006 (Article 7) on the European Regional Development Fund as regards the eligibility of housing interventions in favour of marginalized communities. 40 41 on their own in the future. The ability and opportunity of disadvantaged Roma from a segregated care facility and services, and vocational training for adults could be provided together to facilitate Key Guiding Principles for Enhancing neighborhood to take part in society could also be increased by enhancing connectivity (public employment of women. Improving Roma Living Conditions transportation and roads) and increasing access to services via neighborhood upgrading, which makes the Effectiveness of Programs in the segregated neighborhood an integral part of a broader community (an example from Medellín, Colombia is found in Global Case Studies). More discussion on spatial segregation is found in the Discussion Note on Addressing Spatial Segregation of Roma in Module 2 of this handbook. 4. Building on existing programs Building on existing government programs can be an effective way to improve a project’s sustainability 2. Resettlement Service providers often face additional challenges in operating in marginalized communities. These include high maintenance and operation costs, and low-cost recovery rates. These challenges pose Resettlement needs to be planned with caution disincentives for (and sometimes even prohibit) service providers and public utility companies to continue Some interventions, including those that do not address desegregation, entail resettlement—moving to serve these areas, especially once projects (for example, those funded with ESI monies) cease to people from their current locations (such as slums on the outskirts of a city). Resettlement needs pay for their services. Such risks could be reduced by building on existing programs that have proven to be planned and executed carefully. Interventions should avoid resettling people into an area where sustainable in the absence of ESI Funds. Moreover, utilizing existing programs is cost-effective, since it Call for Proposals they could be further concentrated or segregated; also, vulnerable groups have different preferences allows resources and expertise to be shared. Experience shows it is easier to ensure the efficient and Designing the as to where and how they want to be resettled. While many Roma families prefer to live in mixed continuous provision of services in education, health, and day care when they are already integrated into neighborhoods, there are also Roma families that do not feel comfortable living next to non-Roma the municipality, state, or province’s regular social service provision system. Certain CfPs could be made neighbors in the immediate future, partially out of fear of being mistreated by the latter. Therefore, in partnership/coordination with existing national or regional programs to promote interventions that careful planning and adequate social work is needed to help both Roma families and non-Roma build on them. This would require an alignment of CfPs and local projects to national-level sectorwide neighbors prepare for and adjust to the change. They often prefer to relocate in a way and a pace strategies and policies. Vice versa, such an initiative could contribute to mainstreaming the Roma with which they feel comfortable.21 If inappropriately planned or executed, resettlement could trigger inclusion agenda in national-level policies and strategies. Step A social, economic, and cultural adversities worse than those it is intended to prevent. For example, relocation could disrupt Roma livelihoods by impeding their access to existing social networks and sources of income. In addition, if they are moved to apartments in a neighborhood where they cannot pay utilities and rents, or where they cannot find employment, they cannot stay and might need to 5. Institutional framework move out again, to another marginalized neighborhood. Resettlement therefore needs to be planned The institutional framework needs to be conducive to managing and administering the carefully with holistic measures that can mitigate negative impacts and facilitate adjustment to Practice and Advisory Notes for National-Level Authorities the new environment. Such mitigation and adaptation measures usually require more time and programs. resources.22 Depending on the actual needs of the target community, there could be more cost- Questions to be asked include: efficient measures to address the challenges faced by disadvantaged communities. In cases where (a) Strategic acquisition and recommendations. Are the competencies and responsibilities of key parties resettlement is considered to generate positive and sustainable impacts efficiently, or is necessary involved in Roma inclusion efforts clear and consistent? Are the competencies spelled out in the CfPs consistent for environmental reasons, or to prevent the impact of natural disasters, it should follow globally with the national regulations, the NRIS, the country-specific recommendations, and so on? The coordination established principles, based on consultation and community agreement. It is important for the between different ministries and MAs is imperative, especially to enable measures and CfPs to allow integrated CfP to provide a framework of measures that mitigate the negative impacts of resettlement, land interventions. acquisition, and/or restrictions of access to natural resources on Roma. Suggested good practices to be incorporated in such a framework are presented in Good Practice Note 2: Planning Resettlement (b) Administrative capacity. Is the capacity of responsible key parties adequate and sufficient to manage in Module 3 of this handbook. interventions (for example, preparation, implementation, monitoring) to be funded under the call for proposal? Do the organizations involved have adequately trained staff that can handle the responsibilities concerning Roma-focused objectives? Are there concrete measures (for example, support body) to support local actors with limited planning and implementation resources to formulate proposals? 3. Striking a balance between prioritization and integration (c) Financial resources and funding allocations. Are there ways to provide financial support to local actors to Integration is more than just combining a series of interventions prepare and initiate projects? Developing a project and applying for funding usually requires prior investments by applicants. There have been reports of CSOs going bankrupt or nearly bankrupt as a result of unsuccessfully While CfPs need to remain flexible enough to allow customized integration of interventions at local applying for funds, or even when successful, as a result of serious delays in getting project expenditures levels, lack of priority or focus could result in incoherent and fragmented interventions. In an effort reimbursed. to tackle multiple challenges faced by communities, projects could end up being a mere catch-all compilation of parallel activities that address diverse challenges without coordination or synergies. (d) Inclusion of marginalized communities. Does the CfP propose concrete measures to ensure targeting of This can lead to inefficient use of available resources without systematic or strategic prioritization the most vulnerable communities? (What are the methods to identify target communities? Are there criteria of interventions. Diversification without coherence could potentially compromise the quality of and sufficient data to identify them?) Does the CfP propose a mechanism to ensure and/or promote Roma projects, as this also diverts resources and technical expertise required in project implementation. It participation in project formulation and implementation? Does it provide a framework for consultation processes is therefore essential that CfPs have a well-defined set of objectives and priorities. Projects, in turn, and grievance redress mechanisms (GRMs) to be applied by projects? Does it respect the Code of Good Conduct Module 2 could be customized at the local level and incorporate a variety of interventions aimed at achieving adopted by the Council and the European Parliament in the framework of the ESI Funds regulations? those objectives and priorities. For example, street lights to ensure safe passage, a community child 21 Such was the case in Turin, Italy, for example. 22 For example, the IRIS Subsidized Rental Housing Project in Madrid, which involved a comprehensive package of resettlement and livelihood activities, costs over €24,000 per individual. 42 43 6. Objectives and the results chain V. Options for Mainstreaming Key Guiding Principles for Enhancing If a call for proposals is explicitly (but not exclusively) aimed at addressing Roma inclusion, Improving Roma Living Conditions Roma Inclusion in the CfPs the Effectiveness of Programs in it is essential that it make clear reference to the programs’ Roma-specific objectives In line with the thematic ex ante conditions established by the EU funding regulations, programs and investments have to contain measures and tools that are in line with the NRIS, the Commission’s position papers, and the country-specific recommendations. Measures to be funded under the Apply Roma-sensitive questions across CfPs programs and interventions need to be aligned with these objectives following the logics of a results chain. Points to be assessed include the following:23 Roma inclusion could be mainstreamed in CfPs by systematically collecting and analyzing information concerning: (a) Does the CfP clearly define the Roma-focused objectives, priority axes, measures, and targets? For example, does it indicate how it will contribute to the objectives and targets of the NRIS? 1. Analysis (b) Is the rationale behind the Roma-related objective/targets logically explained? (Are they based on analysis of the current Roma situation?) (a) Does the CfP identify and analyze Roma issues relevant to its objectives or components? Has it analyzed whether the CfP affects Roma differently from the rest of population? Has it analyzed whether Roma would Call for Proposals (c) Does the CfP form a logical results chain to achieve the stated Roma-related or Roma-specific objectives/ face specific challenges in benefiting from the CfP and how their benefits could be increased? Designing the targets? (b) Does the CfP reflect the results of consultations with Roma, nongovernmental organizations (NGOs), or line (d) Is the objective/target realistic/feasible? Do the budgets allocated/programmed for specific priority axes and ministries that focus on this group? measures justify the feasibility of achieving Roma-related objectives/targets? 2. Actions Step A 7. Risks to achieving Roma-focused objectives (a) Does the CfP include specific or targeted actions that address the needs of the Roma? (b) Does the CfP include interventions that are expected to narrow existing disparities between Roma and non- It will be valuable for the CfPs to identify any particular risks to implementing Roma- Roma? focused interventions and proposed realistic and adequate measures to mitigate c) Does the CfP include specific or targeted actions to increase the benefits of the project to the Roma? them Practice and Advisory Notes for National-Level Authorities Risk assessment of the CfP could involve asking the following questions, among others: 3. M&E (a) Are there any groups actively opposing the Roma-focused objectives defined in the CfP? Could they potentially hamper the CfP’s implementation? (a) Does the CfP include indicators in the results framework disaggregated by ethnicity? (b) To what extent does the CfP incorporate or rely on untested or unfamiliar technologies or processes that (b) Does the CfP propose an evaluation, which will analyze Roma-specific impacts of the CfP? target Roma? (c) To what extent could the design and implementation of the CfP possibly generate (or exacerbate existing) conflict or violence involving Roma? Asking these questions would enhance the design of CfPs and increase project benefits to Roma (d) Are the Roma-related challenges and lessons from the previous period of CfP taken into account and adequately reflected in the proposed CfP? Once the CfPs have been launched and the projects are selected, the projects with Roma-specific objectives, (e) What are the potential environmental impacts that could be caused by Roma-focused interventions funded measures, or indicators could be flagged and relevant data collected and monitored at the aggregate level by the CfP? Are mitigation measures proposed? (for example, for the entire CfP). In practical terms, project proposal forms can include these questions to be (f) To what extent do environmental issues and/or cumulative impact affect the implementation of Roma- provided by applicants, and depending on the context and objectives of the call, the selection committee could focused interventions under the CfP? prioritize proposals that are Roma-informed (that have considered the above questions), and possibly provide extra resources to those that require or propose additional measures to protect or assist Roma. (g) To what extent might the CfP involve involuntary resettlement, land acquisition, and/or restrictions of access to natural resources of Roma? Are specific measures and procedures stated in the CfP to mitigate their negative impacts on Roma? Module 2 23 These need to be assessed within the results framework of corresponding funds. 44 45 Potential Interventions to be Funded by Programs This note focuses on the types of interventions that can be managed and implemented at the local level, and Potential Interventions does not include national- or regional-level policy measures or programmatic interventions, which are usually not subjects of a CfP-based funding of ESI Funds. Nevertheless, local interventions should generally be aligned to be Funded by Programs with national- or regional-level strategies and programs to maximize impact and results. For example, some of the local-level interventions listed in the note might require complementary interventions at the national or regional level. Certain CfPs could be made in partnership/coordination with existing national or regional programs to promote interventions that build on them. This would require CfPs to be aligned to sectorwide strategies and policies at the national level. I. Purpose Call for Proposals Designing the This note aims to inform the national-level authorities about the types of interventions that may be funded IV. Potential Interventions that May be Funded through programs to improve Roma living conditions. This handbook classifies the local challenges and impediments faced by the disadvantaged Roma in accessing housing, employment, education, and health care into 10 general types of needs that cut across the four crucial Step A areas. In other words, a combination of local gaps in some of the 10 general needs results in hampering the Roma’s access to adequate housing, employment, education and health care. For example, the combination of II. Context the lack of basic services (such as a sewage system), social service providers (health care providers), and Roma’s limited awareness and information (such as knowledge of healthy lifestyle) can be the main impediments to good health in a disadvantaged Roma community. The potential interventions and activities are classified by Disadvantaged Roma communities face a variety of issues, and interventions for Roma Practice and Advisory Notes for National-Level Authorities these 10 general needs (see the Diagnostic Questionnaire for Community Needs Assessment and the Table of inclusion must be locally customized to best address each community’s specific priority Potential Place-Based Intervention Options in Module 3 of this handbook for more information about the needs needs and interventions). Funding to priorities and measures should be made available on a flexible and customizable basis, instead of prescribing one-size-fits-all solutions across a country or a region. While common overall objectives and strategies can be shared across a country or a region, each community should be given flexibility as to “how” to pursue them. Uniformly obliging specific types of investments is not recommended, since it risks making interventions less relevant and cost-effective. A successful intervention in one community may not necessarily be suited for another. Even the same types of needs in two different communities may require different solutions and approaches, because each community might experience different challenges or impediments. Various interventions could be integrated to best address a community’s needs and impediments, depending on their nature. CfPs should be structured around specific objectives, rather than interventions, and be open enough to fund a range of suitable actions that best fit the circumstances of local communities. A range of project activities or investment options can still be presented as ideas (instead of prescribed as requirements) to inspire suitable actions that best fit the needs of local communities. This note intends to showcase a line of available actions and interventions that could comprise integrated projects. III. Applicability Module 2 National-level authorities can consult the lists of potential interventions in the next section to ensure that the CfPs allow funding of essential interventions and activities required to improve Roma living conditions. The types of interventions presented in this note are generally relevant and applicable to the four crucial areas of Roma integration as identified in the EU Framework for NRIS up to 2020: access to housing, employment, education, and health care. 46 47 Options for Potential, Place-Based Interventions that Can be Applied at the Needs Intervention Variants/Activities Options Community Level to be Funded by Programs Potential Interventions Physical/spatial needs Needs Intervention Variants/Activities Spatial integration Options Additional rental housing in mixed-income neighborhoods. Physical segregation from the rest of the population leads to Subsidized rentals (and rental allowances) in mixed-income Physical/spatial needs negative neighborhood effects, Desegregation neighborhoods. preventing community members Disadvantaged communities can also be integrated through Access to basic community from accessing employment Rural/semi-rural neighborhood upgrading (expansion of basic improved neighborhood connectivity (see above). services and quality services. Call for Proposals services to neighborhoods—investment in decentralized sanitation Provision of accessible and systems, electricity, and improvement of water supply networks Designing the reliable supply of water, and/or expanding solid waste collection using community Improving existing housing structures Neighborhood Housing electricity, sanitation, and collection points). upgrading improvements Technical assistance to improve or expand housing waste collection are needed for Urban neighborhood upgrading (expansion of basic services children to grow and develop, Financial/material assistance to improve or expand housing through centralized solutions—existing municipal services are and for people to stay healthy, expanded to cover the neighborhood). fit, and productive. Adequate housing Increasing housing supply Step A Access to safe housing Incremental housing Basic services and simple environmental design interventions such structures that provide Assisted self-construction as street lighting, public telephones, and improved street layout. sufficient space, safety, hygiene, Municipal property management Community crime mapping and diagnostics. and protection from the New housing construction elements is needed for children Additional Situational prevention interventions using Crime Prevention Housing construction (public housing) to grow and develop and for housing Practice and Advisory Notes for National-Level Authorities through Environmental Design (CPTED) principles. people to stay healthy, fit, and Making existing housing units available to the community - Public safety productive. brokering supply and demand Mediation and conflict resolution programs that serve to build programs confidence among rivals and establish community codes of Subsidized rental housing for crime conducts, among others. Densification through social housing schemes and violence Safe location prevention Social prevention programs that address the causes of crime and Increasing housing supply violence. These can include long-term parenting skills programs Additional rental housing Violent environments, risks of and early childhood education programs and cultural programs; Subsidized rentals natural disasters, hazardous job training programs with at-risk adolescents, before and after materials, and/or lack of school programs, programs to prevent domestic and gender-based clean and safe public spaces violence and educational programs in conflict resolution. can prevent community members from accessing adequate housing, employment, Relocating households to safe areas and/or transforming some education, or health services. of these areas to other land uses—such as linear parks—to avoid households from returning or other household from settling in. Resettlement (Provision of housing and basic services after relocation may be and livelihood restoration pursued through the activities presented for addressing adequate Nonphysical/immaterial needs housing and access to basic community needs mentioned above.) Livelihood restoration (skills training, employment service, life skills Civil documents training). People in the community do not Rehabilitating access roads. have necessary civil documents Accessible and well Improving (such as birth certificates or connected communities neighborhood Improvements in the coverage and reliability of public identification cards) to access connectivity transportation. social services or make formal Accessible roads, reliable public Civil registration facilitation and assistance transactions. These documents Civil registration transportation, and school are often required to verify Module 2 and health care facilities are Registration subsidies Construction, rehabilitation, extension, or improvement of eligibility for accessing public necessary to connect the Social permanent social infrastructure (e.g., schools, health care facilities, and social services. Residential community to jobs, social infrastructure community centers). address is often a requirement services (e.g., education, health upgrading Upgrading equipment for mobile social service units (e.g., mobile for accessing social services care), markets, and other health units). and for voter registration. opportunities. 48 49 Needs Intervention Variants/Activities Needs Intervention Variants/Activities Options Options Nonphysical/immaterial needs Nonphysical/immaterial needs to be Funded by Programs Potential Interventions Training to increase (cognitive and noncognitive) skills and Tenure security Inventories of land ownership employability of the unemployed. Land is a source of food Development of information campaigns and mechanisms for Life skills curriculum on motivation (self-esteem, interpersonal and shelter, the basis for public consultation relations, life fulfillment), life at work, social skills, and job search Training social, cultural, and religious Formal verification of field, legal, and administrative schemes (skills technical and vocational education and training (TVET) to increase practices, and a central factor Land procedures for transfer enhancement the employability of the unemployed. in economic growth. The regularization/ Extensive public communication to ensure benefits and costs programs) livelihoods of many, particularly Mentorships, internships/apprenticeship, or job trial opportunities titling of titling are well understood to provide work experience. the poor, are based on secure registration and equitable access to land Titling program Call for Proposals schemes Skills, information, Training and technical assistance to increase both the skills and and resources. Formalization of Land surveys knowledge of entrepreneurs to create and run businesses (such as awareness, and capacity of Designing the land and property rights is also Register and cadaster searches in obtaining licenses, accounting, marketing). community members a basic requirement of access Verification of occupancy information and provision of to credit. technical assistance to eligible beneficiaries Individuals in marginalized Employment counseling communities often cannot exit a cycle of poverty and Mentoring exclusion because they lack Job search assistance Teachers’ training: supplemental teacher training in the areas of Employment Step A the skills and information (including provision of information on vacancies) interactive didactics, intercultural education, inclusive education, needed to participate in the services friendly school approaches and practices, and on Roma history, labor market or to access social (job search Assistance with job applications language, and culture. services and opportunities. assistance) (e.g., curriculum vitae and interviews) Social service Often, marginalized people providers’ training Health care providers’ training: supplemental training to increase Liaison service between employers and prospective Roma their knowledge, respect, and understanding of Roma health do not access certain social employees by reaching out to both potential employers and the services because they do not Practice and Advisory Notes for National-Level Authorities patients. local Roma community have sufficient awareness Social service providers’ training: courses on diversity and Parent school and information about such sensitivity to minorities, as well as practical training to promote services’ value and availability. respect for Roma minorities. Counseling Parenting education with high emphasis on parent-child Capacity of social service School mediators Parental communication providers and equal Roma mediators involvement treatment Health mediators Parent support groups promotion Social service providers need to Creation of opportunism for Roma parents to participate in daily be trained to adequately provide Community social workers school activities (they may be engaged in supporting the teacher services in the context of Community in preparing activities, or supervising children during activities), or Counselors disadvantaged groups, including social workers educational activities for children led by parents Roma. Social service providers Mentors may not treat disadvantaged Awareness raising events or materials to inform disadvantaged groups equally. Additional activities or learning materials to make the learning Roma about healthy lifestyle, risky behaviors, and the importance experiences of Roma children more culturally relevant and Awareness of availability of social services. Such information can be provided meaningful to their family and community life. raising and life as part of a broader life skills education. skills education Education Afterschool assistance to help children complete homework or Roma mediators mentioned above can also be mobilized to support catch up with the curriculum. effectively communicate with Roma and increase their awareness (including and knowledge. Afterschool recreation activities like sports, music, and arts extracurricular through which social and life skills can be nurtured. activities) Small loans to help homeowners improve their housing or local Mentorship, and counseling Finance Microfinance small businesses make start-up investments (e.g., facility, Introduction of learning materials to help enhance appreciation of People with limited resources equipment, raw materials, and other inputs). Roma culture and identity. are often denied access to credit and loans, preventing Scholarship programs for secondary and tertiary education. These Module 2 Involvement of local population in civil works. them from improving housing, can be provided on the hybrid, means-tested (needs-based) and starting a business, accessing merit-based method for vulnerable/disadvantaged people who Public Training and hiring of local population in the operation/ Scholarships education, or receiving health meet certain performance standards. employment maintenance of new infrastructure/social programs. care. Scholarships for higher education covering tuition and/or Creation of a social enterprise. allowances for living expenses. 50 51 IV. Key Actions Practice and Advisory Note Practice and Advisory Note 1. Consultation with communities on Community Outreach It is valuable to consult with communities before preparing the CfP—a process in which topics pertaining on Community Outreach to future CfPs can be discussed with a wide range of stakeholders. Consultation with communities helps make CfPs more relevant and responsive to people’s reality and needs. The consultation can also identify the communication needs (communities’ common concerns and questions related to future CfPs) and inform the development of communication materials and activities. The objective of the consultation is to (1) tap the knowledge of stakeholders such as CSOs working in the area/s or on the issue/s the CfPs will target; (2) give voice to the vulnerable and potentially excluded groups in the formulation of future CfPs, and encourage their application once the calls are launched; (3) encourage transparency and public understanding in the future I. Purpose Call for Proposals CfPs; and (4) set the foundation for broad-based participation in ensuing the design and implementation of Designing the projects once CfPs are launched. This note aims to help the national-level authorities and intermediate bodies effectively reach out to local- Consultation also provides an opportunity for authorities to identify potential obstacles to effective community level stakeholders, such as local authorities and civil society organizations (CSOs), and inform them of funding outreach in the future. Common obstacles include (1) lack of knowledge of the size, strength, spread, and opportunities—call for proposals (CfPs), including those provided by EU funds, and promote the submission of capacity of CSOs among the target communities; (2) differences and conflicts within the target community proposals by targeted communities. This is expected to increase the submission of more relevant proposals by or between the target community and the local/national government; (3) lack of knowledge of language or Step A disadvantaged communities. literacy constraints in the target communities; and (4) lack of conviction for the outreach activity or future project among staff of authorities or others involved in the community outreach effort. It is advisable for the consultation to be made with a range of stakeholders and communities, including local authorities, community members (including disadvantaged groups and neighborhoods), and CSOs. The types of II. Context Practice and Advisory Notes for National-Level Authorities topics to be discussed and information to be collected include the following: (a) common issues and priority needs; (b) earlier experiences of development interventions in the communities, including their negative and It is important that targeted communities be made aware of CfPs. Even when a CfP is intended to address positive results and outcomes; certain issues or development goals, and targets communities that confront those issues and goals, if the (c) specific vulnerable groups such as children, youth, the unemployed, illiterates, and people with communities are unaware of the opportunities provided under the CfP, they are unable to respond to the call disabilities that need special attention; and benefit from the available funding. Often, local authorities and CSOs are eligible to submit proposals and apply for funding on behalf of communities; therefore, it is important for not only the local authorities, but also (d) specific types of communities, or groups within communities, that have special communication needs; community members and CSOs to be informed of the CfP. It is especially important for them to know what (e) common and specific concerns or questions held by different types of stakeholders about the CfP; can be funded, who can apply (the eligibility criteria), how they can apply, the deadline, what are application (f) potential sources of misperceptions or misinterpretations of the planned CfP; requirements, and what support (technical assistance) can be provided by whom in preparing the proposals. (g) feedback on the funding procedures from previous CfPs, as applicable (to improve the process). This information will increase the interest of disadvantaged communities in applying for EU funding, who would otherwise not even consider submitting proposals. Moreover, the authorities can also reach out to communities before the launch of the CfP and hold consultations to seek information, advice, and opinion for designing it. 2. Communication with communities Eligible communities confronting the issues addressed by CfPs that could greatly benefit from ESI Funds often do not submit proposals. A number of information gaps lead to this opportunity loss, including: (1) lack of awareness of the CfP; (2) lack of interest (not knowing the benefits of receiving project financing under III. Applicability the CfP); and (3) pessimism (that is, people do not believe the community is eligible, do not think the proposal will be accepted, or do not believe the community can manage a project). The following are some actions the authorities can take to address these gaps: This note summarizes key actions that national-level authorities can take to effectively consult local communities before developing the CfP, and to communicate with local communities about the CfPs. (a) Prepare communication materials. Module 2 In addition to the CfP, prepare accessible, easy-to-understand, communication materials to make the call widely known. Key to the success of information dissemination is a clear understanding of language and literacy levels of the target population. The communication materials need to be targeted not only to local authorities, but also to community members (including disadvantaged groups and neighborhoods) and CSOs, so they can either demand the local authority to submit a proposal or prepare a proposal on 52 53 their own. The communication materials could be brochures, flyers, and posters, and include basic information such as: 1) objective and areas of focus Practice and Advisory Note 2) eligible applicants (clearly indicate who, besides local authorities, can apply) on Community Outreach 3) key application requirements 4) application deadline 5) where the call for proposal can be found/accessed (e.g., web address) 6) what kind of technical assistance can be provided and how it can be sought 7) contact information for where questions can be answered Since the details of the application requirements, processes, and selection criteria can be voluminous and are fully explained in the CfPs themselves, the communication materials can be limited to key Call for Proposals essential information that addresses the information gaps that impede communities from accessing Designing the the CfP. (b) Use different channels of communication. Besides circulating communication materials to the local authorities and posting them at visible Step A and accessible places, depending on the availability of resources, information about the CfP can be publicized through the following channels: 1) TV advertisements 2) Radio advertisements 3) Newspaper and magazine advertisements Practice and Advisory Notes for National-Level Authorities 4) Social networks (Facebook, Twitter) 5) Campaign caravans 6) Deployment of project development support teams to communities (if they exist) (c) Establish a help desk (hotline). The complexity of application processes and requirements often require additional clarifications and advice to applicants. Unavailability of such additional information can preclude especially disadvantaged communities (that lack technical capacity) from developing and submitting proposals in an appropriate manner; therefore, creation of a help desk, where applicants can seek clarification and guidance, is recommended. The help desk can be a physical office, a telephone hotline, an email address, or an Internet portal. Questions can be logged to create a frequently asked questions page, or inform the formulation of future CfPs. It would need to accommodate minority languages spoken in the communities. Adequate staffing of the help desk—one that is highly motivated to reach successful outreach results—is crucial to the successful implementation of this kind of support function. Module 2 54 55 III. Applicability Step B Supporting Project Develop and Implement Projects Practice and Advisory Note to Development and The types of assistance presented in this note could be provided to communities in various forms, depending Help Local Communities on the context in the member state. One option is to incorporate technical assistance (or establish a technical Management assistance body) as part of an OP, using ESI Fund resources (for example, as part of the budget allocated for the OP’s technical assistance). For example, a pool of experts with commonly required skills and expertise could be organized at the national or regional level, from which experts can be deployed to communities as needed. Alternatively, existing (organizations of) experts could be mobilized (funded either by the state budget or ESI Funds) to assist local actors in accessing monies. In addition to local authorities, support and training Practice and Advisory Note could be provided to other stakeholders involved in the development and implementation of projects, including CSOs and target beneficiaries (for example, users associations). to Help Local Communities Supporting Project If a project is going to be implemented through community-led local development (CLLD), it is highly Step B Development and recommended that the support be given not only to the local action groups (LAGs) that formulate local Management development strategies (usually at a municipality level), but at a more local level to assist local actors in the Develop and Implement preparation and implementation of projects that realize the strategies. Projects 24 IV. Types of Assistance A variety of assistance is required at different junctures of the project cycle. Assistance may be provided to I. Purpose Practice and Advisory Notes for National-Level Authorities local actors in the following areas at relevant stages of the project cycle: Project Stage Variants/Activities This note aims to propose ways and methods through which local communities can be assisted in developing and implementing projects, including those funded by ESI Funds. (a) Sensitization—community outreach, advocacy, and awareness-raising. 1. Need identification and (b) Local initiative identification—targeting disadvantaged areas, selecting top priority prioritization needs by participatory methods. (c) Community mobilization—organization and capacity enhancement of LAGs and community contributions, if applicable. II. Context (a) Preparing investment plans—technical project documents and project proposals such as feasibility studies or technical designs, environmental standards, as well as implementation monitoring and sustainability plans. (b) Pricing out the prepared investment plans, including recurrent O&M costs to the 2. Planning and application community—comparing technical and costing feasibility of alternatives. Local actors including local authorities and civil society organizations (CSOs), especially marginalized ones, often lack technical capacity to plan and manage projects. Although local actors know their needs and opportunities (c) Support in applying for public funding, including ESI Funds—preparing applications, best, they require substantial assistance to prepare project proposals to apply to ESI Funds and to implement facilitating partnerships between communities, financial institutions, private actors, etc. the projects once approved. Providing training is often not enough to enable communities to plan and implement (a) Training in project management aspects—financial literacy (accounting concepts, projects on their own. The required level and mix of skills and knowledge usually cannot be fully developed within financial reporting, cash management, budgeting), planning and management, auditing, the time frame of ESI Funds, nor can be housed or maintained by local actors with their limited financial resources. public consultations, grievance mechanisms, M&E. Therefore, by systematically and widely providing technical assistance to local actors, national-level authorities can 3. Implementation (b) Ongoing technical support—procurement, supervision of technical aspects of expect to: (1) increase the number of projects, especially in marginalized communities; (2) enhance the quality of projects by experts (architects, engineers, disaster risk management specialists, etc.) projects; and (3) facilitate their timely implementation in compliance with relevant regulations. Module 2 (c) Funds management assistance (a) Facilitation of information flows—including collected data on pre-approved indicators and knowledge exchange activities. 24 This note draws on World Bank experience with CDD projects. Binswanger-Mkhize, Hans P., Jacomina P. de Regt, and Stephen Spector, eds. 4. M&E 2010. “Local and Community Driven Development: Moving to Scale in Theory and Practice.” World Bank. https://openknowledge.worldbank. (b) Provision of routine technical audits org/bitstream/handle/10986/2418/533000PUB0comm1B1Official0Use0Only1.pdf?sequence=1. 56 57 V. Examples Develop and Implement Projects Practice and Advisory Note to Help Local Communities The following case studies (also found in the supplemental piece to this handbook, Global Case Studies) illustrate how the technical assistance was provided to local communities: Azerbaijan’s Second Rural Investment Project (AZRIP-2: Case Study 1) This project provided support and expertise to communities through two mechanisms: project assistance teams (PATs) and technical design companies (TDCs). Supporting Project PATs provided support throughout the subproject cycle via: Step B Development and (1) sensitization; Management (2) local initiative identification; (3) community mobilization; (4) preparation of investment plans with the help of TDCs; and (5) implementation stages. TDCs contributed technical expertise at relevant junctures of the projects. For example, they assisted with: Practice and Advisory Notes for National-Level Authorities (1) preparing preliminary project designs, including feasibility studies; (2) pricing out these plans; and (3) providing routine technical audits and implementation support to communities. Poland’s Post-Accession Rural Support Project (PARSP: Case Study 14) The social inclusion component of this project provided for the recruitment of 27 regional consultants. The consultants provided technical assistance and new ideas, and compiled reports to monitor the progress of the component. They were embedded in the local government offices they were assisting, but also acted as liaisons between the local authorities, regional social policy personnel, and project implementation units. The project impact evaluation found that their contribution acted as an outside spark that helped energize the existing actors. Module 2 58 59 at the local level and via on the ground verification. The national-level authorities and intermediate bodies could use the analysis results to (1) reach out to localities with disadvantaged communities to promote preparation of projects to be supported; and (2) at the project selection stage, check whether project plans proposed by Practice and Advisory Note to local actors target or include disadvantaged communities. It is not recommended to use the results of analysis Practice and Advisory Note Help Local Actors Identify for budget allocation purposes. In other words, the distribution of funds, including ESI Funds, should not be determined solely on the basis of these analyses’ findings, as they might not fully illustrate some aspects of Disadvantaged Areas disadvantages to Help Local Actors Identify Disadvantaged Areas 25 IV. Good Practice 1. Define disadvantaged areas with a common set of criteria Supporting Project Step B Development and There are different types of disadvantaged settlements. Some areas might be disadvantaged in terms of Management housing conditions, while others might be disadvantaged in terms of access to employment or social services I. Purpose (for example, access to education or health). Criteria can be established to define and classify these different types of disadvantages, and available sublocality level data, such as that of census, can be used to identify disadvantaged neighborhoods. For example, data related to employment rates can be used to identify areas This note presents examples of methods through which national-level authorities and intermediate bodies disadvantaged in employment, while a combination of data related to school enrollment and completion rates, can support local actors in identifying disadvantaged areas or neighborhoods within their communities. By as well as health status, can be used to identify areas disadvantaged in social services or human capital. identifying the specific areas that particularly require improvements in living conditions, the national-level When an area is facing multiple disadvantages (for example, in three or more areas), the area can be defined authorities and intermediate bodies can proactively guide local actors in preparing projects for disadvantaged as marginalized. To locate pockets of disadvantaged areas at the sublocality level, data analysis needs to be areas. conducted at the lowest spatial level. In many member states, the most recent population and housing census enables such an analysis—that is, at the level of small geographical units. The lowest spatial level in the census Practice and Advisory Notes for National-Level Authorities is the census sector, or enumeration area. It typically covers around 200 households. II. Context The below box summarizes how disadvantaged settlements were identified and classified by a pilot exercise in Romania.26 Residents’ living conditions often vary significantly within a municipality or a locality, and projects need to target areas that are most disadvantaged and in need of interventions; often times, projects end up only Sample Typology of Disadvantaged Settlements in Romania benefitting more organized and influential areas of a locality that are not necessarily in most need of a project. It is good practice to identify disadvantaged groups and areas and proactively reach out to them. Moreover, Based on literature review and assessment of available data, it was deemed that practical and measurable there are many disadvantaged Roma settlements in relatively wealthy regions and municipalities—there are criteria for defining different types of disadvantaged or marginalized urban areas in Romania were: (1) human pockets of poverty that can be overlooked. They often consist of socially isolated, poor areas within cities capital (referring to education, health, and family size); (2) employment, and (3) housing quality. and towns that are not always well reflected in average poverty statistics at the local or county level. They frequently have segregated schools that only poor children attend, and poor families live in impoverished blocks The three criteria were linked to the following seven indicators for which data exist in the 2011 population and of flats or slums marked by fear and petty crime. This note aims to help locate those areas. housing census. Sample Indicators Criteria/dimension Key indicators III. Applicability Proportion of population between 15 and 64 years old that completed only 8 grades of school or less National-level authorities or intermediate bodies would likely have the adequate capacity and resources to Proportion of persons with disabilities, chronic diseases, or other health conditions that implement the good practices presented in this note. They should, however, consult local actors to verify the Human capital make their daily activities difficult. Module 2 results of analysis. It is important to keep in mind that the census-based method will never be perfect. When Proportion of children (0–17 years old) in total population identifying disadvantaged areas, it is important that additional information be collected from key informants 24 26 World Bank. 2014. “The Atlas of Urban Marginalized Areas in Romania.” World Bank, Washington, DC. Criteria and typology may not exactly This note draws on World Bank. 2014. “The Atlas of Urban Marginalized Areas in Romania.” World Bank, Washington, DC. apply to other countries. 60 61 It is important to note that sublocality data needs to be interpreted with caution, since marginalized communities Employment Proportion of persons aged 15–64 years in neither formal employment or school are not always entirely concentrated in one census sector, and community characteristics thus cannot always be analyzed at the census sector level. The figures below show a few typical examples of this situation. This Proportion of dwellings not connected to electricity Practice and Advisory Note to includes Example 1, in which a large community covers several census sectors. Example 2 depicts a situation in Housing Proportion of overcrowded dwellings (<15.33 square meters per person) Help Local Actors Identify which a community covers parts of two or more census sectors. Example 3 shows a situation in which a small Insecure tenure: proportion of households that do not own the dwelling community sits inside a census sector. Example 4 shows a community that is located at the city boundaries, Disadvantaged Areas partly within the city’s built-up territory and partly outside it (these could, for instance, include improvised Source: NIS, Population and Housing Census 2011. shelters situated near garbage dump sites). The census data might not be well suited to identify the situation in this last example. Residents in such areas might not have been well covered in the census, and those who By measuring the above indicators at the level of census sectors, sublocality areas were classified using the typology shown in the table below; three types of areas each face one main disadvantage, while one type of area is disadvantaged in all three were covered are likely to be allocated to a range of existing census sectors in the proximity. Hence, it is not areas, which is referred to as “marginalized areas.” Common definitions and characteristics of these disadvantaged areas are possible to identify or reconstitute such a community using the data aggregated at the census sector level. summarized after the table. Sample Typology of Disadvantaged Areas in Romania Examples of interaction in territory between census sectors and actual communities. Supporting Project Step B Development and Criteria Example 3 Example 4 Management Low Low formal Poor HUMAN CAPITAL EMPLOYMENT HOUSING Example 1 Example 2 1. Areas of disadvantaged in housing Varies NO YES 2. Areas of disadvantaged in employment NO YES Varies Built-up area 3. Areas of disadvantaged in human capital YES Varies NO Outside built-up area 4. Marginalized areas YES YES YES Note: Cells illustrate built-up territory divided in enumeration areas, while shapes show actual communities. Practice and Advisory Notes for National-Level Authorities 5. Non-disadvantaged areas NO NO NO Note: While in theory more combinations of the criteria would be possible, the literature and the qualitative field work concluded that only some of these theoretical combinations are typically found in urban Romania. 2. Create poverty maps of disadvantaged areas Once the data is processed and verified locally, the disadvantaged areas can be drawn on city maps. The two Type 1. Areas disadvantaged in housing (first row in the table). samples presented below illustrate how such maps can be created. The first type of disadvantaged urban area concerns neighborhoods where a significant part of residents suffer from Sample Map 1: Slobozia 27 inadequate housing , even if many of them have some form of formal employment. The level of education of inhabitants varies. These include parts of towns that are poorly endowed with housing infrastructure, and includes old neighborhoods of houses situated at the town/city periphery, with poor provision of utility services and without modern roads. County: Ialomița Marginalized area reported by the local authority City: Slobozia (estimated number of inhabitants) Type 2. An area disadvantaged in employment (second row in the table). Typology of urban areas 170 Is by definition a census sector with a relatively high concentration of residents that do not have a human capital deficit but 200 do not find work in the formal sector, irrespective of their housing conditions (the quality of housing varies and does not define the area). In the case of Romania, this refers to areas that had a high concentration of large and medium scale industries Non-disadvantaged area during the Communist era. Area disadvantaged on housing Area disadvantaged on employment Type 3. An area disadvantaged in human capital (third row in the table). Area disadvantaged on human capital Include people with low levels of formal education with varying levels of employment, but who have fair housing conditions typical for the urban areas of Romania. These are areas inhabited by people who tend to be unskilled and are employed in Marginalized area agriculture, construction, or other—often informal—activities. The level of formal employment in these areas is usually low, but Area with institutions or with less than 50 persons unlike the areas disadvantaged in employment (above), this is caused by the human capital deficit. 0 500 1,000 1,500 Meters No data (shapefile with no data) Module 2 Type 4. Urban marginalized areas (fourth row in the table). Are the severely deprived areas that accumulate low human capital with low formal employment and inadequate housing. The map of Slobozia shows the spatial location of urban marginalized areas and different types of “disadvantaged” areas, according to data from the 2011 population and housing census (colored areas). 27 According to the Office of the High Commissioner for Human Rights. 1991. GENERAL COMMENT 4: The right to adequate housing. (Art. 11 The red circles indicate the marginalized areas reported by the mayor’s offices. (1) of the Covenant) (Sixth session). 62 63 Sample Map 2: Baia Mare Practice and Advisory Note to County: Maramureș City: Baia Mare Help Local Actors Identify Typology of urban areas Disadvantaged Areas Marginalized area reported by the local authority (estimated number of inhabitants) 37 - 131 132 - 351 352 - 670 Supporting Project Step B Development and Management Data source: NIS, Population and Housing Census (2011) and data reported by Baia Mare municipality Shapefiles source: Baia Mare municipality Cartography: ESRI, ArcGIS 10.1 0 500 1,000 1,500 Meters The map of Baia Mare shows the spatial location Non-disadvantaged area of urban marginalized areas and different types Area disadvantaged on housing of “disadvantaged” areas according to data from the 2011 population and housing census (colored Area disadvantaged on employment Practice and Advisory Notes for National-Level Authorities areas) and the data obtained from the mayor’s Area disadvantaged on human capital offices on urban marginalized areas (red circles). Marginalized area Area with institutions or with less than 50 persons No data (shapefile with no data) Similar maps can be used as powerful tools to encourage and guide local actors to prepare projects that target disadvantaged areas. It is recommended that the maps be monitored and consulted regularly, to allow national-level authorities and intermediate bodies to have updated knowledge of disadvantaged neighborhoods. This would also enable the application of the principle of “explicit but not exclusive” targeting of Roma. V. Additional Resources World Bank. 2014. “Integrated Intervention Tool: Integration Strategies for Urban Poor Areas and Disadvantaged Communities.” World Bank, Washington, DC. World Bank. 2014. “The Atlas of Urban Marginalized Areas in Romania.” World Bank, Washington, DC. Module 2 64 65 At the same time, selection criteria should not end up rejecting relevant and effective projects; excessively Step C Possible Project Selection Criteria rigid and rigorous criteria can often backfire by shutting out potentially effective projects. Criteria should be for Enhancing Project Impacts kept flexible enough to allow innovation and customized integration of interventions at local levels. Selecting Projects The criteria can be designed to either increase the quality of projects that are directly aimed at improving Roma living conditions, or to enhance the impacts of any projects regarding Roma by mainstreaming Roma- sensitivity. on Roma Inclusion Possible Project Selection III. Applicability Criteria for Enhancing Step C Selecting Projects The following tables provide examples of project selection criteria to be applied to calls for proposals (CfPs). These criteria can be used either for the CfPs that are focused on disadvantaged Roma communities or Project Impacts on Roma to those that do not necessarily or explicitly focus on disadvantaged Roma communities; the criteria can be used to mainstream Roma-sensitivity across CfPs in general. These criteria can be applied to project selection after ineligible projects have already been screened out through administrative conformity checks. Inclusion The tables could be adapted to the context of each CfP by adding, removing, or customizing criteria. While some criteria are minimum conditions that need to be met by all projects (or by all projects that focus on disadvantaged Roma communities), others could be applied on a scoring basis: points can be given to a project for each criterion it meets, and the points can be aggregated at the end of the exercise to give an overall score to the project. The overall score can be used as a proxy for the project’s quality, and projects I. Purpose can be selected either on a comparative basis (selecting projects with highest scores) or on a qualification basis (selecting all projects that score above a minimum threshold score). Each criterion could have a different Practice and Advisory Notes for National-Level Authorities weight depending on the priority of the CfP. For each criterion, points can also be given in full or parts (for example, 10 points for fully meeting a criterion and 5 points for partially meeting a criterion). This note aims to assist the national-level authorities and intermediate bodies in setting effective and pragmatic criteria to select and fund projects that will improve Roma living conditions. It will help reflect Roma-related priorities and issues (and Key Guiding Principles for Enhancing the Effectiveness of Programs in Improving Roma Living Conditions of this handbook) in the project selection criteria, while keeping the criteria clear, fair, consistent, and transparent, enabling the selection of projects that are relevant, effective, efficient, and feasible. IV. Sample Selection Criteria 1 Project relevance II. Context The project contributes to achieving the specific Roma-focused objectives of the program, priority, and measure (key intervention area) for which the CfP is launched. The project contributes to improving the living conditions of Roma. The project contributes to the Roma-focused objectives of the program: (state the objective here—if more than In order to ensure effective use of funds, including ESI Funds, toward achieving the objectives of programs, one objective is pertinent to the CfP, add extra rows below) 1.1 priorities and measures, and other key national and sectoral strategies and plans, including the NRIS, projects need to be funded selectively. Project selection criteria therefore play a crucial role in screening projects that Roma-focused indicator: merit funding. In particular, criteria can be designed to ensure the following aspects: The project contributes to Roma-focused objectives of the measure/key intervention area: (state the objective Relevance - projects contribute to the implementation of national and sectoral strategies and policies 1.2 here—if more than one objective is pertinent to the CfP, add extra rows below) (proposed results of projects contribute to the objectives of strategies and policies); Roma-focused indicator: Module 2 Adherence - projects adhere to pertinent principles/regulations/standards; Effectiveness - projects comprise effective and realistic activities to generate proposed results/achieve The project contributes to the objective of the NRIS: (state the objective here—if more than one objective is proposed objectives (taking into account both positive and negative impacts); pertinent to the CfP, add extra rows below) 1.3 Efficiency - projects use resources efficiently to achieve the proposed results; Roma-focused indicator: Sustainability - projects’ benefits are sustained beyond their conclusion. 66 67 2 5 Possible Project Selection Criteria Adherence to principles, regulations, and standards Project sustainability for Enhancing Project Impacts The project adheres to pertinent principles, regulations, and standards. The project’s benefits are sustained beyond its conclusion. 2.1 The project does not lead to or is accompanied by increased concentration of marginalized groups, including Roma. The applicant ensures that the target beneficiaries (including Roma) have ownership of the project, through their 5.1 on Roma Inclusion involvement in its development, implementation, and monitoring. The project does not lead to further physical isolation of marginalized groups (including Roma) in terms of 2.2 increased distance from other rural or urban communities or new physical barriers. 2.3 The project explicitly, but not exclusively, targets disadvantaged Roma. 2.4 The project was developed in consultation with both Roma and non-Roma members of the community. 6 Social impact Step C Selecting Projects The project targets poor and marginalized segments of the municipality or community, and ensures that the poorest 6.1 3 and most vulnerable people are not excluded from its benefits (the project does not widen the inequality in the Project design municipality or community). The project is adequately designed to achieve its proposed objectives, with sensitivity to Roma- The applicant applies a nondiscrimination policy to the project, and there are mechanisms for ensuring equality of specific issues. The project comprises effective, realistic activities and uses resources efficiently 6.2 opportunity within public procurement contracts. (The applicant identifies aspects/risks related to discrimination in the context of the project and has specific mechanisms to address these potential issues.) to generate proposed results/achieve proposed objectives (taking into account both positive and negative impacts). The project contributes to the social integration of marginalized and excluded groups of the municipality or community 6.3 through activities that require interactions and cooperation between mainstream (e.g., non-Roma) and minority (e.g., 3.1 The project includes Roma-specific indicators or targets. Roma) groups. (The project has activities designed to empower marginalized groups to engage in civic activities, or foster mutual understanding, trust, and acceptance of diversity among community members.) The project includes activities that specifically address the challenges faced by Roma (the project has considered 3.2 or analyzed specific challenges28 faced by Roma, which are reflected in the design of project activities). The project does not generate involuntary resettlement of people, including Roma. If resettlement is unavoidable, the 6.4 project includes measures to mitigate its negative impacts on affected people and ensures that the affected people Practice and Advisory Notes for National-Level Authorities The project includes activities to avoid or mitigate its specific adverse impacts on Roma (the project has considered improve, or at least restore, their living conditions. 3.3 or analyzed its potential adverse impacts on Roma, which are reflected in the design of project activities). The project has a public feedback mechanism (or a grievance redress mechanism—GRM), which enables stakeholders The project involves target beneficiaries (including Roma) in project implementation, in order to increase their 6.5 (including Roma) to file complaints, concerns, and questions about the project, and lays out clear procedures for 3.4 ownership of the project. handling them. 3.5 The project includes (disaggregated) indicators to monitor its specific results/impacts on Roma. 4 Impact feasibility The outputs of the project are likely to generate the intended impacts on Roma. 4.1 The project’s target beneficiaries (including Roma) are aware of the project activities, understand their objectives and benefits, and are willing to access/utilize the project’s outputs (e.g., infrastructure, social services). V. Additional Resources The project’s target beneficiaries (including Roma) will have the economic capacity to afford the cost of accessing/ 4.2 utilizing the project’s outputs (e.g., infrastructure, social services), including costs of transport, lost time for income generation, and family care. World Bank. 2014. “Identification of Project Selection Models for the Regional Operational Program, 2014– 2020.” World Bank, Washington, DC. The project’s target beneficiaries (including Roma) are eligible to access/utilize the project’s outputs (e.g., basic 4.3 infrastructure, social services). For example, the target beneficiaries have the civic documents, such as personal identification cards and property rights documentation, required to connect to or access services—if not, the project includes activities to provide these documents. Module 2 4.4 The project will be implemented by or in partnership with trustworthy organizations that have a track record of successful relationships with the local community (including the Roma). 28 Forexample, fear of being mistreated by service providers, associated exposure to humiliation, and other concerns about safety, dignity, or reputation might discourage Roma from accessing services and benefitting from the project. 68 69 Spatial or residential segregation often perpetuates marginalization by creating disadvantages, such as inferior access to basic infrastructure, social services, and economic opportunities. Often, segregated neighborhoods continue Discussion Note on Addressing Spatial Segregation of Roma to expand, as new generations of young adults stay in the community and form new families, which grow. Many cannot find opportunities to take part in broader social and economic life outside the segregated neighborhoods, and Discussion Note on Addressing segregation is passed on from one generation to the next. Some projects aimed at improving Roma living conditions can also lead to further segregation. For example, projects that resettle Roma families from an informal settlement in precarious conditions, to an area with a new social housing complex built to accommodate Roma families only, could Spatial Segregation of Roma improve their housing but result in further concentration and physical isolation from the rest of society. Such projects usually hurt Roma families in the long run, and even the benefits from the housing conditions cannot be sustained if the segregation hampers the family’s ability and opportunity to take part in broader economic and social activity. Key Messages The ERDF regulation for the 2007–2013 programming cycle29 prohibited interventions Step C Selecting Projects that led to increased concentration or further physical isolation of marginalized groups Desegregation and nonsegregation are different While this concept is not explicitly stated in the ERDF provision for the 2014–2020 programming cycle30, it is still Programs should be open to funding desegregation projects as well as nonsegregation projects in good practice for the interventions to adhere to the principle of nonsegregation, and programs should not fund segregated neighborhoods interventions that lead to or perpetuate segregation. At the same time, nonsegregation and desegregation are different, and there are many nonsegregation interventions that do not directly involve spatial desegregation of Projects should avoid generating increased concentration or further physical isolation of deprived Roma yet still have positive impacts on their living conditions. There are interventions that can increase the ability or Roma communities opportunity of disadvantaged Roma to integrate with broader society in the long run, without physically desegregating them immediately. In other words, programs should be open to funding both desegregation and nonsegregation Effective and sustainable spatial desegregation of Roma requires more than just physically moving projects in segregated neighborhoods. people (Roma or non-Roma) to form mixed, integrated neighborhoods In this context, this note aims to (1) clarify the difference between nonsegregation and desegregation; (2) explain the elements and aspects of effective desegregation interventions; and (3) present how projects can still have positive and sustainable impacts on Roma living conditions without involving immediate physical desegregation actions. Practice and Advisory Notes for National-Level Authorities I. Purpose of the Note III. Discussion In order to facilitate the selection of effective Roma inclusion interventions by the national-level authorities of project- 1. Difference between desegregation and nonsegregation funding programs, this note aims to discuss the following: Desegregation means to undo segregation. It is an action or process that ends the existing separation of two (1) the difference between desegregation and nonsegregation groups (for example, Roma and non-Roma). For example, if disadvantaged Roma are confined to live in (2) key elements and aspects of effective and sustainable spatial desegregation measures an isolated neighborhood with limited interaction or communication with non-Roma, desegregation could mean making the Roma live among non-Roma neighbors or making Roma children study in the same school (3) nonsegregation interventions that can indirectly contribute to desegregation of Roma in the long run with non-Roma children. The former involves spatial desegregation while the latter involves desegregation of service provision. Spatial desegregation can take place at the neighborhood and household levels. The This note focuses on spatial or residential segregation of Roma, in which Roma and non-Roma are physically separated former aims to desegregate the entire neighborhood, while the latter aims to help families move into in different neighborhoods. It is different from segregation in service provision, such as in classrooms and health care, integrated neighborhoods on a household basis. The latter approach counters the growth of segregated which is not the subject of this note. While spatial segregation could often be a key source of segregation in service neighborhoods. provision, it is not always the cause of service segregation, and desegregation in service provision (for example, school desegregation) may not necessarily require residential desegregation. Avoidable service segregation should not be justified or continued on the basis of spatial desegregation. 29Regulation (EU) No. 437/2010 of the European Parliament and of the Council of 19 May 2010, amending Regulation (EC) No. 1080/2006 (Article 7) on the European Regional Development Fund as regards the eligibility of housing interventions in favour of marginalized communities. 30For the 2014–2020 programming period, the ERDF regulation states as a goal “(9) promoting social inclusion, combating poverty and any Module 2 II. Context discrimination, by (a) investing in health and social infrastructure which contributes to national, regional and local development, reducing inequalities in terms of health status, promoting social inclusion through improved access to social, cultural and recreational services and the transition from institutional to community-based services; (b) providing support for physical, economic and social regeneration of deprived communities in urban and rural areas […]” Regulation (EU) No. 1301/2013 of the European Parliament and of the Council of 17 December Spatial segregation is a key self-perpetuating feature of Roma marginalization in many 2013 on the European Regional Development Fund and on specific provisions concerning the investment for growth and jobs goal and repealing regulation (EC) No. 1080/2006. communities 70 71 NONsegregation means to avoid creation of new segregation or reinforcement of existing segregation. support it. Awareness raising and consultation are thus essential to keep stakeholders informed, It is an approach to implementing an intervention without leading to increased concentration provide feedback, contribute, and have ownership of the process. In addition, Roma families have Discussion Note on Addressing Spatial Segregation of Roma or further physical isolation of Roma. For example, basic services such as garbage collection can different preferences regarding where and how they want to be resettled. While many Roma families be extended to a segregated neighborhood on a nonsegregation basis (without increasing the prefer to live in mixed neighborhoods, there are also families that do not feel comfortable or ready to concentration of Roma or physically isolating them further). live next to non-Roma neighbors in the immediate future, partially out of fear of being mistreated by the latter. They usually prefer to integrate voluntarily at a pace at which they feel comfortable (such Programs must be open to funding both desegregation and nonsegregation projects was the case in Project Brief 23, Italy). More detailed information and good practices on stakeholder Interventions intended to improve the living conditions of disadvantaged Roma could be designed on a consultation are discussed in Module 3 in Good Practice Note 1: Engaging Local Communities. nonsegregation basis to avoid further segregation; yet pursuing spatial desegregation would require a (b) Preserving supportive social networks - a resettled Roma family risks losing the positive social ties to different set of interventions. For example, a basic community service—such as garbage collection—can be other Roma families it enjoyed in its old neighborhood. Social networks often serve as a safety net in extended to a spatially segregated neighborhood on a nonsegregation basis, but does not involve spatial difficult times through mutual help and support. Many Roma families work with and mutually support desegregation. For this reason, programs should be open to funding both desegregation projects directly extended families and friends; losing access to these relationships could increase their vulnerability aimed at undoing segregation, as well as nonsegregation projects aimed at improving the living conditions to shocks such as loss of income or health problems. Therefore, it is important for desegregation Step C Selecting Projects in segregated neighborhoods. In this context, it is important to note that social housing interventions (as measures to avoid disrupting such networks. Often times, enabling better access to mainstream opposed to interventions that improve existing houses or basic services) in segregated areas, especially those social support services can at least partially replace such networks’ roles, but interventions should that involve the construction of additional (social) housing blocks, could reinforce or enlarge segregation still include actions to create and restore positive social ties in the new community. Interventions (therefore neither desegregating or nonsegregating), if not accompanied by countermeasures. It will should also consider the possibility that tensions might exist between various Roma groups; simply therefore be important for these interventions to be accompanied by counter segregation measures. For creating a blended community of different Roma and non-Roma residents might not work. example, further enlargement of the segregated population could be mitigated by simultaneously helping (c) Enhancing cultural competency and combatting discrimination - decades of segregation may have some families from the neighborhood move into nonsegregated areas, instead of adding social housing to hindered interaction and communication between Roma and non-Roma, making mutual understanding accommodate them all in the segregated area. In addition, interventions (such as mentoring services by between the groups difficult. Different customs, perceptions, and circumstances may lead each group community social workers, employment services, and mediation services) that do not directly address to behave differently, which could make it difficult for the other group to understand or accept. Such spatial desegregation could still contribute to spatial desegregation in the long run by creating enabling differences could lead to misunderstandings, mistrust, and mutual disapproval, fueling tensions and conditions for disadvantaged Roma to integrate into mainstream society on their own in the future. conflicts between different groups. These perceptions and attitudes could also result in discrimination. It is important to increase both groups’ capacity to understand and respect their differences through 2. Key elements and aspects of desegregation measures interaction, training, and awareness activities. In addition, when a Roma or a non-Roma is moved to Practice and Advisory Notes for National-Level Authorities a new neighborhood, they need to be familiarized with the new community’s rules and accepted codes Desegregation is not an end goal, but a means to remove barriers to accessing services, markets, of conduct. Activities that facilitate and promote interaction or cooperation between Roma and non- and spaces by a marginalized group, thereby enhancing its members’ ability and opportunity to take Roma can also play an instrumental role in fostering mutual understanding and respect between the part in society. Effective and sustainable desegregation of Roma requires more than just physically moving two groups. Increasing the general appreciation for Roma cultures can also boost their self-esteem people (Roma or non-Roma) to form mixed, integrated neighborhoods. Spatial segregation of Roma could and empower them to take a more affirmative and active role in social and economic life. be perpetuated or repeated, if the mechanisms that cause segregation are not addressed. (d) Mediating conflicts and communication gaps - a mediation service should be provided to help resolve Measures for spatial desegregation involve actions in short, mid, and long terms. If a segregated 31 or ease conflicts or tensions that arise from groups’ differences in customs, codes of conduct, Roma community or the surrounding non-Roma society is not prepared and assisted to live next to each perceptions, and values (for example, between Roma and non-Roma, and between different Roma other, they will likely have difficulty adapting to the change, which could negatively impact communities and groups). Mediators and social workers can also serve as a bridge between disadvantaged Roma and fail to achieve desegregation’s intended objectives. For example, relocation could disrupt Roma livelihoods public officials or service providers; they can improve their communication and enhance both the by impeding their access to existing social networks and sources of income. While good practices for quality and uptake of social services. Roma health mediators are a good example throughout the implementing resettlement are discussed in Good Practice Note 2: Planning Resettlement, in Module 3, the region.32 following list presents key elements and aspects that need to be considered when undertaking desegregation (e) Restoring or improving income-generation activities - if desegregation requires resettling Roma from projects. Incorporating these elements requires an integrated approach that combines both hard and soft a segregated neighborhood to a nonsegregated one, Roma families would be required to find new actions across different sectors over the course of interventions. Some may require a long and expensive sources of income. Often, housing and other living costs are higher in nonsegregated neighborhoods, process. The Moving to Opportunity for Fair Housing case study from the U.S. offers empirical evidence and Roma will need to earn more than they did in their old neighborhood, where they likely relied on on the limitations of resettlement-only desegregation. For an example of a comprehensive desegregation readily available resources in the neighborhood such as cultivable land, water (from a river or lake), intervention, refer to Project Brief 32, Spain. the forest, or in extreme cases, landfills—none of these may be available in the new neighborhood. (a) Awareness raising and consultation - it is important for both Roma and non-Roma stakeholders Moreover, the types of skills and knowledge they used to make a living in the segregated neighborhood who will be involved in the desegregation process to be informed about it before it begins. might not be suited to the types of livelihood and income-generation opportunities in the new Knowing the objectives, processes, and expected impacts of desegregation will increase neighborhood. Assistance would be therefore required to help resettled Roma gain adequate skills to their understanding of and support for the intervention. Ignorance often generates concerns, adapt to new livelihood options and employment opportunities. It could include vocational training, Module 2 uncertainty, and suspicion, which can fuel resistance to the process. Desegregation will not noncognitive skills employment training, and job search assistance (for an example of resettlement succeed if stakeholders do not understand its benefits, are disinterested in it, and fail to with income-restoration activities, refer to Case Study 16, Brazil). 31SeeKocze, Angela, Adam Kullmann, Agota Scharle, Orsolya Szendrey, Nora Teller, and Viola Zentai. 2014. “Programming the Structural Funds for Roma Inclusion in 2014–20: Making the Most of EU Funds for Roma (MtM) program.” Open Society Foundations, Budapest, 32 Moreinformation about their success can be found in Schaaf, Marta. 2011. “Roma Health Mediators: Successes and Challenges.” the Open Hungary. http://www.opensocietyfoundations.org/sites/default/files/programming-structural-funds-roma-inclusion-20140422.pdf. Society Foundations, New York. http://www.opensocietyfoundations.org/sites/default/files/roma-health-mediators-20111022.pdf Also see the intranet of the EC 72 73 (f) Improving connectivity - while spatial desegregation is generally associated with resettling segregated people into mixed neighborhoods, depending on the context of the community, Discussion Note on Addressing Spatial Segregation of Roma segregation may be addressed by enhancing the segregated neighborhood’s connectivity to a broader community (improving public transportation and roads, removing physical barriers), increasing access to basic services via neighborhood upgrading (for example, water, sewerage, and electricity) and thereby making the neighborhood an integral part of the wider community. Depending on the context of the community, tailored upgrading of services might be a more efficient and feasible solution to improving the connectivity and living conditions of disadvantaged Roma than resettling them to a different neighborhood. 3. Nonsegregation interventions that can indirectly contribute to spatial desegregation of Roma in the long run Step C Selecting Projects Projects that do not include direct or immediate spatial desegregation measures could still contribute to spatial desegregation in the long run by creating enabling conditions Interventions in the following areas, for example, can contribute to spatial desegregation by increasing Roma’s capacity or opportunity to integrate with broader society on their own in the future. (a) Housing - by creating a safe, healthy living environment, more Roma children can grow, develop, learn, and become productive adults, increasing their possibility to find employment, which will lead to further social and economic integration. Due to the scale of the problem, often housing of Roma families has to be improved in segregated neighborhoods. (b) Social services - by improving nutrition, hygiene, health care, education, and other social services, Roma can become healthier, more productive, and better able to participate in broader economic and social life. The coverage and quality of health care, as well as sanitary conditions, can be improved in segregated neighborhoods without spatial desegregation Practice and Advisory Notes for National-Level Authorities measures, but on a nonsegregation basis. While segregated Roma-only schools tend to have lower endowments (for example, inferior quality of teaching facilities and equipment) and lower quality education compared to integrated schools, and segregated schools are prohibited in many member states, there are interventions—such as those involving Roma school mediators or Roma parents—that can increase the educational achievements of Roma children when desegregation is not possible. School mediators are also important when Roma children are placed in integrated (desegregated) schools to assist both Roma and non-Roma peers and their families; it is worth noting that a major reason why Roma children drop out of school is the mistreatment and humiliation they receive from non-Roma classmates.33 (c) Civil documents - lack of personal identification and residential address often denies a person access to basic infrastructure, social services, and credit. By facilitating the issuance of these key civil documents, Roma’s access to key social services and markets could be improved, which would in turn enhance their living conditions, abilities, and opportunities. More detailed information and good practices on formalization of real property rights is discussed in Good Practice Note 4: Formalizing Real Property Rights in Module 3 of this handbook. Module 2 33Foran example of school mediators in integrated schools, refer to the following case from Hódmezővásárhely, Hungary: Making the Most of EU Funds (MtM). 2013. “Mayors Making the Most of EU Funds for Roma Inclusion (MERI): A Handbook of Good Practices for Roma Inclusion.” Open Society Foundations, Budapest, Hungary. www.logincee.org/file/25991/library. 74 75 for conducting impact evaluations of selected projects, which can inform the formulation of and improvements Step D Monitoring Project to future policies and programs. on Monitoring and Evaluation Practice and Advisory Note Implementation II. Applicability The proposed inclusion indicators can be introduced by national-level authorities in the calls for proposals (CfPs) and applied to projects that are funded under the calls. Depending on the type of core indicator and the context of the CfP, a common indicator may either be applied to projects that have a Roma-specific focus or universally to any project, including those without a Roma-specific focus. In practice, the use of common Roma indicators could be made mandatory when an indicator is relevant to a project’s design (when a project is not Monitoring Project intended or expected to affect an indicator, for example, it is not necessary to track that indicator for the Step D Implementation Practice and Advisory Note project). For this purpose, national-level authorities and intermediate bodies can identify the relevant common indicators to the project and require project implementers to report on these. For example, a project aimed at increasing the quality of education to disadvantaged Roma students should include common Roma indicators linked to this objective. It is also important to make sure that specific budget is dedicated under the project to on Monitoring and Evaluation cover the required M&E activities. The application of these indicators will not only help national-level authorities aggregate program-level results on Roma living conditions, but also help identify and share project information with other authorities and between local-level project implementers. Key Messages Practice and Advisory Notes for National-Level Authorities This note proposes common Roma inclusion indicators across the four critical areas of Roma integration identified by the EU Framework for National Roma Integration Strategies (NRIS): III. Common Roma Inclusion Indicators access to education, employment, health care and housing (including basic services). The common Roma inclusion indicators allow aggregation of results at a regional or national level— The following table presents a proposed set of common Roma inclusion indicators that can be used to monitor they are useful to assess the overall portfolio impact on certain objectives/goals. how well programs are achieving Roma inclusion in the four crucial areas of Roma integration identified by the NRIS: access to (1) education, (2) employment, (3) health care, and (4) housing (including basic services). The Individual projects can complement the common Roma inclusion indicators with project-specific common indicators are also aligned to the objectives and key measures included in the Council Recommendation indicators depending on the project design and local context. on Effective Integration Measures in the Member States. In addition to the indicators for the four critical areas, general Roma-sensitive indicators are also included. It is important to note that many of these indicators only National-level authorities can fund and organize rigorous impact evaluations for certain innovative measure output level results, as opposed to outcome level results, since they are intended to aggregate and or pilot projects. Findings of impact evaluations can help shape future projects and policies. measure results that are attributable to projects. In most cases, project implementers would need to collect data on these indicators at the outset of their projects to establish a baseline against which achievements can be measured. National-level authorities can adapt these indicators to national definitions, standards, and sector-specific performance instruments. For instance, some countries have established specific learning assessment tests that can be used to track a I. Purpose project’s achievement in improving educational outcomes. In addition to the common Roma inclusion indicators, projects may introduce custom indicators to track a project’s specific contribution to the improvement of Roma living conditions. In doing this, it is still important This note provides guidance to national-level authorities and intermediate bodies on monitoring how effectively to clarify the indicator’s link to higher level (global) Roma inclusion objectives. In principle, the M&E framework programs improve Roma living conditions. It aims to help authorities track how projects funded by the programs should include indicators on outputs, outcomes, and impacts (results). For example, it should be able to measure contribute to the global objectives of Roma inclusion. It is intended to help measure programs’ contribution to how the skills or health status of disadvantaged Roma are increased (results), not just how many schools or Roma inclusion at the national or regional level, aggregating the results of both projects that explicitly focus Module 2 clinics are built (outputs). Good indicators also follow the SMART principles: they should be specific, measurable, on disadvantaged Roma and those that do not. More specifically, the note proposes a potential set of common Roma inclusion indicators to track the Roma- related results attributable to programs, in the framework of the policy measures included in the Council 34Council recommendation on effective Roma integration measures in the member states, adopted by the EMPLOYMENT, SOCIAL POLICY, Recommendation on Effective Integration Measures in the Member States.34 The note also provides guidance HEALTH and CONSUMER AFFAIRS Council meeting at Brussels, on 9 and 10 December 2013. 76 77 attributable, relevant/realistic, and time-bound. It is important that the data needed to monitor all indicators is readily available at realistic costs, and sufficient funds are allocated to periodically compile Objective/Recommended Measures Proposed Common Roma Inclusion Indicators on Monitoring and Evaluation and process them. Detailed guidance for local project implementers on designing the project-level M&E (Council Recommendations) Practice and Advisory Note framework is provided in Good Practice Note 3: Participatory Monitoring and Evaluation in Module 3 of this handbook. Education In both cases, monitoring Roma integration interventions “should be done while fully respecting the principle Use inclusive and tailor-made teaching Number of Roma children/families receiving education support (as a result of subsidiarity and the Member States’ primary responsibility in this area, taking into account the fact and learning methods, including of project interventions). that data collection on ethnic grounds can be a sensitive issue and acknowledging that Member States learning support for struggling learners should choose their own monitoring methods, including appropriate methods for any data collection, and and measures to fight illiteracy, and Increase in the average scores in the standardized education achievement possible indicator” as stated in the Council recommendation. promoting the availability and use of tests in project area (to be adapted by member states). extracurricular activities. It is important to verify results on the ground, since some project activities require closer attention beyond Monitoring Project results indicators to ensure completion of intended results. For example, even when indicators suggest that Increase in the number of Roma parents involved in school activities in Step D Implementation the intended outputs, such as the proposed length of roads or sewage systems has been generated, these project area (as a result of project interventions) might not be connected to the part of the neighborhood where disadvantaged Roma reside. Given the Encourage greater parental involvement Number of teachers that have completed additional training (for existence of discriminatory practices against Roma, which in many cases are subtle and not necessarily and improve teacher training, where effectively teaching disadvantaged children) in the project area (as a result illegal, sufficient resources need to be incorporated in the OP to enable verification of results on the relevant. of project interventions). ground. For more guidance on monitoring project implementation beyond tracking results indicators, please Number of teachers who received cultural competency training (as a result refer to Practice and Advisory Note for Monitoring Project Aspects that Cannot be Measured by Results of project interventions). Indicators in this handbook. Widen access to second chance education and adult learning, and provide support for the transition between educational levels Number of Roma adults receiving vocational training (as a result of project and support for the acquisition of skills interventions). that are adapted to the needs of the labor Objective/Recommended Measures Proposed Common Roma Inclusion Indicators market. Practice and Advisory Notes for National-Level Authorities (Council Recommendations) Education Increase in the number of Roma students in project areas enrolled in Employment Eliminate school segregation. integrated schools (as a result of project interventions). Number of adult Roma who have received training or support for first Reduction in the % of Roma children in project areas attending special Support first work experience, vocational work experience (as a result of project interventions). needs schools (as a result of project interventions). [At the aggregate training, on-the-job training, lifelong Put an end to inappropriate placement of learning, and skills development. Number of adult Roma who have obtained a certificate or license (as a level, the reduction in average % can be monitored, since the reduction Roma students in special needs schools. result of project interventions). in cumulative % will be difficult to monitor.] Reduction in the % of Roma children who drop out of preschool/ Number of Roma who received technical support for self-employment or Reduce early school leaving throughout primary/secondary/vocational school in project areas (as a result of entrepreneurship (as a result of project interventions). all levels of education, including at project interventions). Support self-employment and Number of adult Roma who have access to credit (as a result of project secondary level and vocational training. [At the aggregate level, the reduction in average % can be monitored, entrepreneurship. intervention). since the reduction in cumulative % will be difficult to monitor.] Number of new businesses created by Roma (as a result of project Increase in the Roma secondary, vocational completion rate (%) in interventions). Encourage Roma participation in and project areas (as a result of project interventions). [At the aggregate completion of secondary and tertiary Provide equal access to mainstream public level, the increase in average % can be monitored, since the increase in education. employment services, alongside services to cumulative % will be difficult to monitor.] Number of Roma receiving services from public employment offices (as a support individual job seekers, focusing on result of project interventions). Increase in the number of Roma children in project areas attending personalized guidance and individual action Increase the access to, and quality of, preschool (as a result of project interventions). planning and, where appropriate, promoting Number of Roma employed in the public sector (as a result of project early childhood education and care, employment opportunities within the civil interventions). Number of additional classrooms built or rehabilitated at the preschool including targeted support, as necessary. Module 2 level resulting from project interventions (serving Roma neighborhoods). service. Consider the needs of individual pupils Number of Roma children/families receiving additional education Reduction in the % of Roma who claim to have been discriminated in the and address those accordingly, in close support (as a result of project interventions). Eliminate barriers, including discrimination, labor market in project area. [At the aggregate level, the reduction in cooperation with their families. to entering or reentering the labor market. average % can be monitored, since the reduction in cumulative % will be difficult to monitor.] 78 79 Objective/Recommended Measures Proposed Common Roma Inclusion Indicators Objective/Recommended Measures Proposed Common Roma Inclusion Indicators on Monitoring and Evaluation (Council Recommendations) (Council Recommendations) Practice and Advisory Note Health HOUSING Number of health personnel (serving in Roma communities) receiving Number of halting sites for nonsedentary Roma provided by the project. cultural competency training (as a result of project interventions). Provide halting sites for nonsedentary Number of Roma accessing halting sites (as a result of project Roma, in proportion to local needs. Number of Roma supported by health mediators (as a result of project interventions) Remove barriers to make the health interventions). care system accessible to the general Number of health facilities constructed, renovated, and/or equipped in Number of Roma benefited by newly created (water/gas/electricity) population. Roma neighborhoods (as a result of project interventions). infrastructure (as a result of project interventions). Number of people (Roma) provided with access to improved water sources Monitoring Project Number of Roma who obtained social security insurance under the project. documentation that enables them to access health services (as a result Step D Implementation of project interventions). Ensure access to public utilities (such Number of people (Roma) provided with access to improved sanitation as water, electricity, and gas) and under the project. Increase in the number of Roma with access to a basic package of infrastructure for housing in compliance Number of people (Roma) provided with access to all-season roads within health, nutrition, or reproductive health services in project area (as a with national legal requirements. a 500 meter range under the project. result of project interventions). Number of people (Roma) provided with access to regular solid waste Number (or increase in %) of pregnant Roma women in project area collection under the project. Improve access to medical checkups, receiving prenatal care (as a result of project interventions). Number of people (Roma) provided with access to electricity by household prenatal and postnatal care and connection under the project. Number (or increase in %) of Roma births (deliveries) attended by skilled family planning, as well as sexual and health personnel (as a result of project interventions). reproductive health care, generally Target population (Roma) with property use or ownership rights recorded provided by national health care services. Number of pregnant/lactating (Roma) women, adolescent girls, and/or (number). children under age five reached by basic nutrition services (as a result 37 Improve security of tenure. of project interventions). Land parcels with (Roma) use or ownership rights recorded (number). Practice and Advisory Notes for National-Level Authorities [At the aggregate level, the increase in average % can be monitored, Target land area with (Roma) use or ownership rights recorded (ha). since the increase in cumulative % will be difficult to monitor.] Other General Roma-sensitive Indicators Improve access to free vaccination Direct project beneficiaries (number), of which Roma comprise (percentage). programs targeting children and, in Number of Roma children immunized (as a result of project particular, groups most at risk and/ [the number of Roma beneficiaries can be derived at the aggregate level] interventions). or those living in marginalized and/or remote areas. Vulnerable and marginalized people in the project area that are aware of project investments (percentage) [At the aggregate level, the average % can be monitored, since the cumulative % will be difficult to monitor.] Number of Roma that have been reached as a part of awareness Representatives in community-based decision-making and management structures that are Roma (percentage) campaigns. [At the aggregate level, the average % can be monitored, since the cumulative % will be difficult to monitor.] Promote awareness of health and health % of Roma in the project area that have basic knowledge of healthy care issues. lifestyle (use a set of proxy questions to assess the level of knowledge). Roma population who participate in project consultations and decision-making forums (number/percentage) [At the aggregate level, the average % can be monitored, since the cumulative % will be difficult to monitor.] Intended (Roma) beneficiaries that are aware of project information and project-supported investments (number/ percentage) Housing Grievances (by Roma) registered related to delivery of project benefits that are actually addressed (number) Eliminate any spatial segregation and Increase in the number of Roma that live in mixed neighborhoods (as a (Roma-focused) subprojects or investments for which arrangements for community engagement in post-project promote desegregation. result of project interventions). sustainability and/or operations and maintenance are established (number) Module 2 (Roma) beneficiaries that feel project investments reflected their needs (number/percentage) Promote nondiscriminatory access to Number of additional Roma families lodged in social housing (as a social housing. result of project interventions). (Roma) beneficiaries who have left the project (discontinued project membership) (number) 37 This objective was not included in the list of Council recommendations but is an important aspect of integrated interventions. 80 81 Council recommendation on effective Roma integration measures in the member states, adopted by the IV. Impact Evaluation of Selected Projects EMPLOYMENT, SOCIAL POLICY, HEALTH and CONSUMER AFFAIRS Council meeting at Brussels, on 9 and 10 on Monitoring and Evaluation December 2013. Practice and Advisory Note In addition to monitoring the results indicators, which only track the progress and results of projects, impact evaluation is an important exercise for assessing the effectiveness of projects or interventions, which is especially useful when policy and project innovation is underway. It would be valuable for the national-level authorities to set aside sufficient resources to conduct impact evaluation on innovative interventions on Roma inclusion, since many new interventions are still being implemented on a trial-and-error basis and their effectiveness has not been verified. Impact evaluation is instrumental in demonstrating an intervention’s effectiveness and mobilizing future support and funding. It brings transparency and evidence into the design and implementation of future policies. The evidence can also serve to persuade skeptical policy makers about an intervention’s effectiveness and value. Monitoring Project Step D Implementation Impact evaluation is different from other types of evaluations, such as descriptive or normative ones. While descriptive evaluation only describes what has happened before, during, and after a project, and normative evaluation only compares actual results against expected/target results, impact evaluation examines the causal relationship between an intervention and the measured results. In other words, impact evaluation intends to answer one question: what is the impact (or causal effect) of a project in an outcome of interest? Impact evaluation looks for the changes in an outcome that are directly attributable to the project or program. This is done not only by comparing indicators before and after an intervention, but also with counterfactuals, or information about what would have happened if the intervention had not taken place. This is usually done via experimental designs, which measure and compare changes in the outcomes in both a treatment group (where the project has taken place) and a control group (where the project has not taken place). Often, the changes in an outcome are attributable to many factors external to a project, such as the national economic growth, occurrence of natural disasters, or presence of other projects. Therefore, by comparing the degree of Practice and Advisory Notes for National-Level Authorities changes in both control and similar treatment groups, one can derive the outcome’s attribution to the project. It is important to identify a treatment group that is very similar to the control group, in order to deduct the outcome’s attribution to the project. The highly technical nature of impact evaluation usually implies high costs that are not affordable by project implementers. While it is not necessary or cost-effective to conduct impact evaluation on every project, it is recommended that national-level authorities undertake impact evaluations on a selective basis on innovative and pilot projects. More information on how and when to conduct impact evaluations can be found in Impact Evaluation in Practice, linked below. V. Additional Resources Gertler, Paul J., Sebastian Martinez, Patrick Premand, Laura B. Rawlings, and Christel M. J. Vermeersch. 2011. “Impact Evaluation in Practice.” World Bank, Washington, DC. http://siteresources.worldbank.org/ EXTHDOFFICE/Resources/5485726-1295455628620/Impact_Evaluation_in_Practice.pdf Field, Erica, and Michael Kramer. 2006. “Impact Evaluation for Slum Upgrading Interventions.” Doing Impact Evaluation no. 3. Poverty Reduction and Economic Management, World Bank, Washington, DC. http://siteresources.worldbank.org/INTISPMA/Resources/383704-1146752240884/Doing_ie_series_03.pdf Module 2 Bamberger, Michael, and Angeli Kirk, eds. 2009. “Making Smart Policy: Using Impact Evaluation for Policy Making: Case Studies on Evaluations that Influenced Policy.” Doing Impact Evaluation no. 14. Poverty Reduction and Economic Management, World Bank, Washington, DC. http://siteresources.worldbank.org/INTISPMA/Resources/383704-1146752240884/Doing_ie_series_14.pdf 82 83 Monitoring Project Aspects that Cannot be Measured by Results Indicators Practice and Advisory Note for III. Applicability Practice and Advisory Note The authority should pay attention to the immeasurable aspects of projects mentioned in this note in for Monitoring Project Aspects undertaking its monitoring and oversight functions during implementation (after it has approved the projects). that Cannot be Measured by IV. Aspects to be Monitored, Beyond Indicators Monitoring Project Results Indicators Step D Implementation 1. Targeting Marginalized groups and neighborhoods usually only comprise a part of a municipality or community where a project will be implemented. Less disadvantaged segments of the community who are more vocal or influential could end Key Messages up benefiting disproportionately from resources and outputs, despite the fact that an approved project was meant to target disadvantaged groups. For example, a project intended to increase the connectivity of a marginalized Some project aspects cannot be monitored by merely tracking results indicators. neighborhood by building an access road could not achieve the objective, even when a road is constructed, if the road is not connected to the marginalized neighborhood and only serves the municipality’s less marginalized areas. It is During project implementation, deviations from the initial proposal in (1) the target area or group; therefore essential to ensure that project activities are implemented with a focus on the intended target groups and (2) the status of other complementary interventions and actions on which the achievement of the neighborhoods. project is dependent; and (3) the level of support from the beneficiaries and local authorities could put the achievement of the project objectives at risk. 2. Integration Practice and Advisory Notes for National-Level Authorities On-the-ground verification of outputs is essential to ensuring that targeted groups are actually benefiting. Often, local authorities are required to have a local development strategy. In some member states, municipalities are even required to have such a strategy to be eligible for funding by certain programs or under certain calls for A public feedback mechanism can also be introduced to allow project stakeholders to report the proposals (CfPs). Many local development strategies take an integrated approach and entail multiple interventions status, concerns, and questions about their projects directly to national-level authorities. to achieve their objectives. Sometimes, local authorities implement local development strategies through various projects, funded by different sources; a project that is funded through the ESI Funds might only implement part of the strategy, and achieving the project’s end objective could be highly dependent on the implementation of other projects. If other projects are not implemented as initially expected (postponed or cancelled), the project may become futile. It might generate no positive impact at all, or only benefit less disadvantaged groups in the community. It is important for the national-level authorities and intermediate bodies to keep track of the status of interventions and I. Purpose activities on which the success of the project is dependent, and be ready to swiftly take corrective actions, including restructuring, postponement, or cancellation of the project itself. This note aims to familiarize national-level authorities with some important elements and issues that need to be 3. Ownership monitored beyond simple tracking of the monitoring indicators. Even when a project has progressed as planned, if beneficiaries cease to support it, or if the changes in the priorities of local authorities lead to insufficient allocation of resources for future operation and maintenance of the project outputs, it is likely to become unsustainable. Possible risks to continued ownership of the project by local actors include (1) discrepancies in the initial expectations of beneficiaries and the actual outputs of the projects; (2) tensions II. Context between beneficiaries and non-beneficiaries; and (3) changes in a community’s political leadership. It would not be an effective use funds to invest in a project that is no longer supported by beneficiaries or disowned by the implementation body (for example, the local authority) responsible for sustaining its results. Swift action would be Projects might be disbursing funds as planned, be on track in terms of procuring inputs and generating outputs, required by the competent authorities and intermediate bodies to either promote local ownership of the project or Module 2 and available indicators could suggest they are on course to achieve the intended project objectives. Still, the revise its funding. projects could still fail to achieve the objectives or intended outcomes if some other important aspects are not in place. It will be important for authorities to track these immeasurable aspects of project implementation so as to provide adequate oversight and correct the course of projects that could otherwise fail to achieve their objectives. 84 85 Monitoring Project Aspects that Cannot be Measured by Results Indicators Practice and Advisory Note for V. Possible Methods for Monitoring The above aspects could be monitored by directly collecting and verifying information on the ground or through a public feedback mechanism. 1. Site visits The authority can visit project sites to inspect the situation on the ground. Depending on the availability of resources, the authority can conduct site visits on its own or contract these out to external auditors. Site visits would typically Monitoring Project comprise the following activities: Step D Implementation (a) verification of the project’s physical progress; (b) validation of the project’s integrity to its stated objectives; (c) interviews with local stakeholders, such as project implementers (local authorities or CSOs managing the implementation), targeted beneficiaries, and other project partners to collect information about the status of other complementary activities, political support, and community ownership of the project. 2. Public feedback mechanism Authorities can establish a national-level mechanism that allows project stakeholders (direct project beneficiaries, CSOs, service providers, and members of the wider community) to provide direct feedback on the projects funded by their programs. Stakeholders can submit grievances or alert the authorities to issues affecting project implementation Practice and Advisory Notes for National-Level Authorities via telephone hotline or Internet portal. Such a mechanism would also increase the accountability and transparency of local project implementers. The authority can also use information collected through the feedback mechanism to schedule site visits to assess the real situation on the ground. Module 2 86 87 Practice and Advisory Note for Facilitating Peer Learning and III. Applicability Exchange of Good Practices Practice and Advisory Note for The good practices presented in this note can be built (and budgeted) into project-funding programs or call for Facilitating Peer Learning and proposals (CfPs), and implemented by the competent authorities to help increase communities’ knowledge and capacity to develop and implement more effective projects. Exchange of Good Practices IV. Good Practices Monitoring Project Step D Implementation Key Messages 1. Community of practice Project implementers would benefit from forming a regional or national-level community of practice where they can Peer learning and exchange help communities share lessons about what works, what does not work, regularly consult with each other when addressing technical or administrative issues. A platform can be created to and what can be improved. facilitate the formation and day-to-day functioning of such a community of practice. A unit or team in the authority Peer learning and exchange facilitate mutual help, guidance, and collaboration between could be established to play the secretariat function for the platform. The secretariat can be run by the staff of communities and inspire innovations. the authority, or contracted out. The platform can be in the form of an Internet portal, where practitioners can interact online to exchange their information. The secretariat would facilitate the portal’s operation and can also National-level authorities and intermediate bodies can facilitate peer learning and exchange help match the supply and demand of information (practitioners who have questions about certain topics can be activities by creating and hosting platforms and sponsoring exchange events. linked with other practitioners who might have corresponding answers or information). The secretariat can also invite experts and informants from outside the community to help broaden the perspectives of the community and explore Practice and Advisory Notes for National-Level Authorities alternative ideas and techniques. In order to keep the community of practice active and useful, the secretariat could initiate periodic activities or events that prompt members to meet or interact on- or offline. The community of practice can also be employed on an individual basis—allowing practitioners to communicate and collaborate on a bilateral basis. These networks would enable lasting relationships between the various actors involved in planning and I. Purpose implementing interventions and make knowledge sharing more fluid and possibly less expensive. This note aims to inform national-level authorities on good practices for facilitating peer learning and exchange of 2. Database of effective interventions and good practices best practice activities among communities implementing projects through different funding resources, including ESI A compilation of effective interventions and best practices can be stored in a database and made readily available Funds. to the public. If an authority is conducting impact evaluations of some of projects it is funding, the evidence on “what works” can also be posted in the database. A successful example of such a database is found on the What Works Clearinghouse (WWC) (http://ies.ed.gov/ncee/wwc) created by the U.S. Department of Education’s Institute of Education Sciences. II. Context 3. Conferences/workshops Integrated projects are multisectoral, complex interventions that require robust capacities and expertise Authorities can facilitate exchange and peer learning by organizing conferences or workshops at regional or municipal throughout and beyond the project cycle—from preparation to implementation, to operation and maintenance. levels. Enabling communities to learn directly from each other would allow them to benefit from practical lessons Many local actors (including local authorities and other parties involved in the project cycle) do not have learned from their peers, discuss challenges and solutions encountered during implementation, and benefit from the experience with such projects or funding mechanisms. Program rules and policies add further layers of expertise of individuals who may have skills and training not available in every community. It also provides a great complexity to project implementation. In such cases, knowledge exchanges with the local actors of other opportunity for the participants to make face-to-face acquaintance with their counterparts from other communities communities that have implemented similar interventions would offer a valuable source of practical knowledge and build a network that can be used for peer support and collaboration in the future. and best practices. Peer-learning activities are useful for sharing lessons about what works, what does not work, Module 2 and what can be improved. By establishing channels of communication and exchange between communities, Besides facilitating peer learning and exchanges, conferences and workshops offer other benefits to project they can also consult or advise each other when faced with unforeseen challenges and risks. In addition, implementers. They provide a great opportunity to disseminate useful information, not only between local actors peer learning and exchange usually induce collaboration and inspire innovations. Therefore, by facilitating peer from different communities, but also between national-level authorities and local actors. Presenting a project in a learning and exchange, authorities can improve projects’ effectiveness, efficiency, and sustainability, for better conference or a workshop also nurtures a sense of pride by the project implementers and the community implementing overall results. the project, which helps promote higher commitment and support. 88 89 Practice and Advisory Note for Facilitating Peer Learning and 4. Study tours Exchange of Good Practices Study tours would benefit those communities that have had limited experience with community-led projects by allowing them to learn directly from peers who are further along with their interventions. Visits by local authorities and project staff to other communities implementing projects have several benefits: (1) it inspires the preparation and implementation of new projects—there is nothing more convincing than witnessing a successful project that is achieving results; and (2) it facilitates the understanding of other successful projects—visitors can directly observe the key ingredients of success—what is in place, what is being done, and how these activities are undertaken. Monitoring Project Step D Implementation Practice and Advisory Notes for National-Level Authorities Module 2 90 91 Module 3 Good Practice Notes and Tools for Local Actors 38 38 Project implementers include local authorities and civil society organizations (CSOs). 93 Good Practice Notes and Tools for Local Actors Tools and Good Practice Notes for Project Implementation Bodies Introduction to the Module Project Stage Material Purpose The aim of this module is to provide local-level actors (which include local authorities and CSOs) with tools Tools and advice to develop and implement projects aimed at improving the living conditions of disadvantaged Roma communities. Assess priority needs of the community pertaining to the Diagnostic Questionnaire for four crucial areas of Roma inclusion: housing, employment, Community Needs Assessment Disadvantaged Roma communities throughout the European Union member states face different challenges to education, and health care improving their living conditions and combating marginalization. A successful intervention in one community Planning Table of Potential Place-Based may not necessarily be suited for another. Even the same types of needs in two different communities may Identify intervention options to address different priority needs Intervention Options require different solutions and approaches. For instance, children in two communities might have trouble accessing good quality schools, but in one community this might be due to the far distance to the existing Identify and address risks to the sustainability of project Diagnostic Tool for Assessing school while in another, it might be due to the student’s lack of personal identification. Customization of impacts, including capacity gaps, affordability, and Project Sustainability projects to local context is thus essential to adequately and efficiently address a community’s needs. community participation With this in mind, this module provides tools and guidance to help local actors address the unique needs and Good Practice Notes challenges of each of their communities. More specifically, the module provides three tools to help local actors Planning, Effectively engage local communities throughout the project in the project preparation phase to (1) identify the target community’s priority needs; (2) explore possible 1: Engaging Local Communities cycle in order to increase projects’ relevance, ownership, interventions that can be included in the project to address the priority needs; and (3) identify and address implementation effectiveness, and sustainability the project’s sustainability risks. Take effective actions and procedures to mitigate negative Module 3 Planning 2: Planning Resettlement social and economic impacts and increase positive benefits of These tools are complemented by four good practice notes intended to increase projects’ effectiveness and resettlement sustainability. The notes explain why and how to effectively (1) involve community members; (2) develop a resettlement plan when needed; (3) monitor and evaluate project progress and outputs through participatory Planning, means; and (4) formalize real property rights. The practical guidance suggested in the notes is expected 3: Participatory Monitoring and Set up M&E plans with a focus on participatory M&E to implementation, to enhance projects’ positive impacts and sustainability while mitigating negative impacts. On first glance, Evaluation increase the accountability and performance of projects M&E some notes may not appear relevant or important to project planners and managers; but we recommend at least reading the key messages listed at the top of each note, which highlight its relevance, importance, and Planning, Formalize Roma settlements and the real property rights of applicability. 4: Formalizing Real Property implementation their inhabitants for socioeconomic inclusion of marginalized Rights Roma The following table illustrates the tools and good practice notes included in this module. 94 95 should be designed not only by identifying needs but also by assessing impediments that constrain communities Tools for Preparing from accessing the needs, and designing interventions that can most effectively and efficiently address these. Community Needs Assessment Diagnostic Questionnaire for Integrated Interventions III. Applicability The Diagnostic Questionnaire for Community Needs Assessment is generally applicable to the preparation of local-level (place-based) strategies/plans and projects aimed at improving the living conditions of disadvantaged groups through integrated approaches. It is intended for use by local-level policy makers and project planners that are involved in preparing local development strategies/plans and projects. A precondition for utilizing the tool is to have a clear spatial definition of the area (or neighborhood) that will be targeted, since the tool analyzes community needs in a particular space (place-based). It is not intended or suitable for preparing Diagnostic Questionnaire national or regional-level interventions. Integrated Interventions This tool was designed for qualitative assessment, as opposed to quantitative assessment. It allows local Tools for Preparing actors to take stock of community needs and impediments based on their observation, perceptions, and for Community Needs understanding of the situation. The tool is not meant to define the existence of needs or impediments against a standard set of criteria or thresholds, and leaves it to local actors to determine what they consider to be acceptable (for example, reliability of water supply, accessibility at a reasonable cost and effort, and so on). Assessment This is a practical approach under circumstances in which reliable data is not available to measure quality or accessibility. When relevant data, criteria, and thresholds (including those based on international/national legislation or benchmarks) are readily available, however, local actors can use them to inform their assessment. This tool can be applied in the context of integrated territorial investments (ITIs)40 and the community-led local development (CLLD),41 but is meant to be applied broadly to local-level, place-based interventions in general, Good Practice Notes and Tools for Local Actors I. Purpose including those that do not necessarily involve ITIs and CLLDs. This tool helps identify and take inventory of a community’s main needs and impediments to be addressed by future projects. IV. Diagnostic Questionnaire A policy maker or project planner can lead the exercise of filling in the questionnaire. Depending on availability, II. Context it can be based on a combination of available information sources: (1) community data, such as census and other survey data on the community’s living conditions; (2) administrative data (service delivery data and logs); (3) local survey results; (4) results of social assessment (see Good Practice Note 2: Planning Resettlement); Disadvantaged Roma communities are heterogeneous and face different impediments to fulfilling their various and (5) consultations with community members through community meetings and interviews with key needs. The nature and level of disadvantages differ from one community to the next, and disadvantages may stakeholders, including service providers, community leaders, and CSOs (see Good Practice Note 1: Engaging be manifested in different outcomes.39 A specific need or outcome could be attributed to different causes or Local Communities). impediments, depending on the disadvantage. Different needs and impediments usually interfere with each It is especially important to involve stakeholders from the community, who know the community members and other and mutually reinforce a community’s disadvantages, requiring interventions to address them holistically. are generally respected by the community as a whole. Formal or informal leaders who have lived in the area for This means that interventions need to be integrated and customized to the context of each community to an extended period of time and have been involved in community affairs are the best candidates to answer address its specific combination of needs and impediments. these questions. Open community meetings can also be organized to discuss the questionnaire, or to validate In this context, it is critical to identify needs, assess their impediments, and prioritize intervention areas so the responses offered by key stakeholders. Experts in workshop facilitation, social workers, and community that projects can effectively address a community’s priority needs with the resources available. For instance, mediators can be mobilized to moderate such meetings. a community’s poor access to health services might be due to multiple impediments: existing health centers Module 3 are not easily accessible, community members lack personal identification, or existing health services are not tailored to meet the community’s specific cultural context (for example, language). In other words, projects 40 The ITI is an instrument introduced by the European Commission to allow member states to implement OPs in a cross-cutting way and to draw on funding from several priority axes of one or more OPs to ensure the implementation of an integrated strategy for a specific 39 This territory. tool focuses on the outcomes in the four crucial areas of Roma integration identified in the EU Framework for NRIS up to 2020: access 41CLLD is an approach to involving citizens at the local level in developing responses to social, environmental, and economic challenges. to housing, employment, education, and health care. 96 97 Instructions: 1. Go to the Housing column of the questionnaire, and go through the list of needs, one by one, from top to bottom. Tick (√) on all needs that apply to your community (stay only in the Housing column—DO Community Needs Assessment NOT work on the Employment, Education, or Health columns yet). The questionnaire might not provide Diagnostic Questionnaire for the full list of needs and impediments; those that are not found in the questionnaire can be manually entered in the “other” categories. The needs and impediments to be considered in this exercise should focus on local-level needs and impediments, rather than those of national or regional nature, since it is intended to inform the preparation of projects to be implemented at the community level. Nevertheless, such interventions should generally be aligned with national or regional-level strategies and programs to maximize impact and results. 2. Go back to the top of the Housing column. If you have ticked any of the physical/spatial needs in the column, also tick (√) the box in the first row of the column. This means that there are gaps in the “Housing” outcomes in the community. Integrated Interventions 3. Now go to the Employment column. Read the statements at the top of the column (in the outcomes gaps section, before the list of physical/spatial needs). If any of the statements apply to your Tools for Preparing community, tick (√) the box in the first row. This means that there are gaps in the “Employment” outcomes in the community. If none of the statements apply to your community, the community does not likely need to particularly focus on improving employment outcomes. 4. Next, go through the list of needs in the Employment column, one by one, from top to bottom. Tick (√) on all needs that apply to your community (stay only in the employment column—DO NOT work on Education or Health columns yet). Even if you did not tick (√) the box in the first row for Employment, you might still want to go through the list of needs to identify potential obstacles to achieving employment outcomes in the community. The exercise might also help you reconsider the assessment of gaps in the “Employment” outcomes. Good Practice Notes and Tools for Local Actors 5. Repeat steps 3 and 4 for the Education and Health columns. The same gaps/needs might not be applicable to all four areas (housing, employment, education, and health). For example, lack of water might be a major reason for bad health, but not necessarily an impediment for employment. In such a case, you can tick water for health, but you do not need to tick water for employment. At the end of the exercise, the diagnostic questionnaire will yield an inventory of community gaps and needs. The questionnaire is designed to help the project planner identify common needs or impediments that affect multiple aspects of the community’s living conditions (housing, employment, education, and health). Once the needs and impediments are identified, planners can use the Table of Potential Place-Based Intervention Options in this handbook to look for options of potential, place-based interventions that can be applied at the community level. While the list is not exhaustive, it could help planners consider and prioritize interventions to be included in future projects. A specific need can be fulfilled directly (such as by improving housing) or by filling other needs that impede the direct fulfillment of the need (such as improving access to finance/creating microcredit programs). It is very important to note that there are often various intervention options available to solve the same need; depending on the community’s situation, some options are more feasible, effective, and cost-efficient than others. The prioritization of gaps/needs, impediments, and interventions need to be made to account for many variables, such as their value and significance to the community members, feasibility, and cost-effectiveness— not all of which can be measured and compared mechanically. Hence, these tools should be used only as a Module 3 guide to help the policy makers and stakeholders consider and compare key aspects of communities’ needs and impediments. More tips on using this questionnaire for assessing the synergies and trade-offs between priority needs and interventions are provided in the instructions for the Table of Potential Place-Based Intervention Options. The Diagnostic Tool for Assessing Project Sustainability of the handbook can also be used to design integrated projects. 98 99 Diagnostic Questionnaire for Community Needs Assessment Community Needs Assessment Diagnostic Questionnaire for Housing Employment Education Health Outcome gaps in Tick the box if the statement below Tick the box if any of the statements Tick the box if any of the statements Tick the box if any of the statements the four crucial applies to the community below apply to the community below apply to the community below apply to the community areas of Roma integration→ People DO NOT have access to any of the Job seekers and inactive people DO Children DO NOT receive adequate early People suffer from bad health and do not have below physical/spatial needs: NOT have access to employment childcare required to support their growth, regular health check-ups. that pays sufficient wages to development, and preparation to start school. maintain a socially acceptable People DO NOT access/receive adequate quality of life. Children are NOT enrolled in or attending health care,** including preventive care, public Integrated Interventions preschool,* primary, or secondary school (low health information, and ambulatory care Self-employment DOES NOT enrollment rates, high absenteeism, high from primary care physicians, specialized Tools for Preparing provide adequate means of dropout rates). health care services from (secondary and generating sufficient income from tertiary) medical specialists and other health selling goods or providing services People DO NOT receive higher, vocational, or professionals. to customers and clients. life-long education. The quality of education they receive is NOT adequate (e.g., manifested in low test scores, high repetition rates). Good Practice Notes and Tools for Local Actors The needs include the following: This is mainly due to gaps in This is mainly due to gaps in access to: This is mainly due to gaps in access to: access to: Physical/Spatial Needs Access to basic (If public water supply does not (If public water supply does not (If public water supply does not exist) (If public water supply does not exist) community exist) Drinking water of good exist) Drinking water of good Drinking water of good quality, at a Drinking water of good quality, at a quality, at a reasonable cost and quality, at a reasonable cost and reasonable cost and effort to stay healthy, reasonable cost and effort to stay healthy. services effort. effort to stay healthy, productive, grow, and be ready to attend school. and ready to work. (If public water supply exists) (If public water supply exists) (If public water supply exists) Reliable (If public water supply exists) Reliable Reliable drinking water supply Reliable drinking water supply drinking water supply services of good drinking water supply services of good services of good quality. services of good quality to stay quality to stay healthy, grow, and be ready quality to stay healthy. healthy, productive, and ready to to attend school. work. Safe*** excreta disposal system Safe*** excreta disposal system Safe*** excreta disposal system Safe*** excreta disposal system either in the form of a private (latrine) to stay healthy, productive, (latrine) to stay healthy, grow, and be (latrine) to maintain good hygiene and Module 3 toilet or public toilet shared with a and ready to work. ready to attend school. stay healthy. reasonable number of people. 100 101 Diagnostic Questionnaire for Community Needs Assessment Outcome gaps in Housing Employment Education Health Community Needs Assessment the four crucial Diagnostic Questionnaire for areas of Roma integration→ Physical/Spatial Needs (Continued from previous page) Access to basic Electricity, at a reasonable cost and Electricity, at a reasonable Electricity, at a reasonable cost and Electricity, at a reasonable cost and community provided in a reliable manner. cost and provided in a reliable provided in a reliable manner, that can provided in a reliable manner, that can be manner, that can be used to be used to provide care for children and used to keep good hygiene and health. services stay informed, communicate, and lighting for studying (e.g., doing homework, Integrated Interventions increase productivity by connecting preparing for exams). both domestic and professional appliances. Tools for Preparing Reliable heating system that heats Reliable heating system to stay Reliable heating system to stay Reliable heating system that keeps the the housing unit at a reasonable healthy, productive, and ready to healthy, grow, and be ready to attend house warm during the winter without cost during the winter and without work during the winter. school during the winter. posing health hazards (smoke from open posing any health hazards (such as wood burning). open wood burning). Reliable waste collection that does Reliable waste collection to Reliable waste collection to stay clean, Reliable waste collection to maintain not allow garbage to accumulate. stay clean, presentable, healthy, presentable, healthy, and ready to attend good hygiene and health. Good Practice Notes and Tools for Local Actors productive, and ready to work. school. Other: Other: Other: Other: Safe location Public safety (free from crimes such Public safety (free from crimes Public safety (free from crimes such Public safety (free from crimes such and spaces as thefts, assaults, other forms of such as thefts, assaults, and other as thefts, assaults, and other forms of as thefts, assaults, and other forms of violence). forms of violence) to commute to violence) to commute to school without violence) to access health care providers work, market, or attract businesses fear. without fear. (customers). Clean and safe public spaces Clean and safe public spaces that Clean and safe public spaces that are that are sufficiently lit and can be are conducive to developing children’s conducive to people staying active and enjoyed by all community members. noncognitive skills (socialization, self- maintaining a healthy lifestyle. esteem, motivation, etc.) and enhance their potential to grow and learn. Protection from Natural disasters Protection from man-made hazards (floods, landslides...) or man-made (e.g., toxic waste, contaminated air, hazards (toxic waste…), or is not water, soil, etc.) that are harmful to located in dangerous right-of-ways health. Module 3 such as railway, highway, power line and airport. Other: Other: Other: Other: 102 103 Diagnostic Questionnaire for Community Needs Assessment Outcome gaps in Housing Employment Education Health Community Needs Assessment the four crucial Diagnostic Questionnaire for areas of Roma integration→ Physical/Spatial Needs (Continued from previous page) Access and Existence of markets, employment Child care facility in good physical School infrastructure (e.g., nursery, Health care facility in good physical connection to locations, and social service conditions within commutable kindergarten, primary school, secondary conditions adequately equipped and facilities (e.g., schools and health distance for children of working school) in good physical conditions (with supplied to provide primary health care social services, care facilities) within accessible parents. access to basic services, safety, hygiene, (such as preventive and ambulatory markets, Integrated Interventions distance. etc.) within commutable distance with care) within accessible distance. and other Employment service center and/or sufficient space to serve all children of opportunities Tools for Preparing vocational training center within school attending age in the community; commutable distance. has the means (e.g., computers and Internet) to access distance learning courses. Access roads and pathways Access roads and pathways Access roads and pathways that Access roads and pathways that accessible to people’s homes that enable people to reach jobs, enable students to reach school enable people to reach health care throughout the year. markets, employment service center, throughout the year. facilities or health professionals to reach and/or vocational training center people throughout the year. throughout the year. Good Practice Notes and Tools for Local Actors Reliable public transportation at Reliable public transportation at Reliable public transportation at an Reliable public transportation at an an affordable cost. an affordable cost, to commute to affordable cost to commute to school affordable cost to commute to health jobs, markets, employment service (mainly offering higher, vocational, and care facilities (mainly secondary and center, and/or vocational training lifelong education). Prospective students tertiary care). center. cannot commute to schools where higher or lifelong education is offered, due to prohibitive distance or lack of transport. Other: Other: Other: Other: Spatial Integration of the community to Integration of the community to Integration of the community to wider Integration of the community to wider integration the wider society (without physical wider society (without physical society (without physical or geographic society (without physical or geographic Module 3 or geographic barriers segregating or geographic barriers spatially barriers leading to school segregation). barriers leading to segregation of health the community). segregating the community care services). members from the employment market). 104 105 Diagnostic Questionnaire for Community Needs Assessment Outcome gaps in Housing Employment Education Health Community Needs Assessment the four crucial Diagnostic Questionnaire for areas of Roma integration→ Physical/Spatial Needs (Continued from previous page) Adequate Housing units with sufficient space Sufficient housing space to Sufficient housing space to study (e.g., do Sufficient housing space to adequately housing (e.g., 3 persons or less per habitable adequately rest and be ready to homework, prepare for exams). rest and stay healthy. room or one household in a unit— work. structures should be assessed in relative terms Integrated Interventions to the general population). Houses with enough insulation, Houses with enough insulation, Houses with enough insulation, protection Houses with enough insulation, Tools for Preparing protection from extreme protection from extreme temperatures from extreme temperatures (hot or cold) or protection from extreme temperatures temperatures (hot or cold), or with (hot or cold) or with enough with enough ventilation to study (hot or cold) or with enough ventilation enough ventilation. ventilation, to stay healthy, rest (e.g., do homework, prepare for exams). to stay clean and healthy. sufficiently, and be ready to work. Houses made of permanent materials, in apartment or houses in good physical conditions without need of major repairs and/or at risk Good Practice Notes and Tools for Local Actors of collapsing. Other: Other: Other: Other: Nonphysical/Immaterial Needs Civil documents Civil documents (such as birth Civil documents (such as birth Civil documents (such as birth certificates Civil documents (such as birth certificates certificates) required for property certificates and residential and residential addresses) required for and residential addresses) required for rights registration, or renting or addresses) required for accessing enrolling children in school. accessing social assistance programs or buying a house. formal or public employment. receiving health care from public health care facilities. Tenure Formal property or possession security rights (including formal permission) to reside in their dwellings that protect against arbitrary evictions. Registered lands that protect Registered lands that allow people people against arbitrary evictions to use their land for productive and allow them to use their land for purposes (when possible). Module 3 productive purposes (when possible). Other: Other: Other: Other: 106 107 Diagnostic Questionnaire for Community Needs Assessment Outcome gaps in Housing Employment Education Health Community Needs Assessment the four crucial Diagnostic Questionnaire for areas of Roma integration→ Nonphysical/Immaterial Needs (Continued from previous page) Capacity of Sufficient number of employment Sufficient number of teachers that Sufficient number of health care social service service providers and vocational have been trained to adequately teach providers that have been trained to training instructors that have students of disadvantaged backgrounds adequately provide health care in a providers been trained to adequately provide including Roma, to serve all students in suitable manner in the context of Integrated Interventions services in a suitable manner in the the community. disadvantaged groups including Roma, in context of disadvantaged groups, the community. Public health messages Teaching relevant to learning needs Tools for Preparing including Roma. reach the community. (including language barriers—the primary language of education is not the same as the language commonly spoken in the Roma households, and children have difficulties understanding the teachers). Courses relevant to learning needs (schools that offer education or training relevant to the labor market and facilitate Good Practice Notes and Tools for Local Actors transition from education to work). Other: Other: Other: Other: Equal Equal opportunities for Equal opportunities for Equal treatment of Roma and non- Equal treatment of Roma and treatment disadvantaged groups like Roma to disadvantaged groups like Roma Roma children within and between non-Roma by health care providers, access the housing market, without to compete for job openings. The schools, without segregation or other without segregation or other forms of discrimination from renting or existence of employer discrimination forms of exclusion of Roma students discriminatory treatment. buying a house. often limits the availability of jobs from standard education. for Roma. Other: Other: Other: Other: Module 3 Skills, Awareness and information about the Awareness of people to seek health care information, value and availability of education. (availability and importance of services). awareness, and capacity 108 109 Diagnostic Questionnaire for Community Needs Assessment Outcome gaps in Housing Employment Education Health Community Needs Assessment the four crucial Diagnostic Questionnaire for areas of Roma integration→ Nonphysical/Immaterial Needs (Continued from previous page) Skills, Social network/information to Parents’ involvement to provide adequate Information and knowledge about information, find job opportunities; skills or care to children in early years. Families healthy lifestyle and preventive practices. awareness, and work experience required to meet do not have sufficient time, resources, or capacity the needs of the labor market knowledge to provide adequate nutrition, Integrated Interventions (employers and customers); basic health care, protection from danger, entrepreneurship skills and age-appropriate play, preschool education, Tools for Preparing knowledge to create and run micro, and adult care conducive to children’s small- and medium-sized enterprises. growth and development. Capacity of families to keep their children in school. Lack of economic resources to pay for school related expenses (e.g., activity fees, transportation, food, clothes, materials, etc.) or lack of time and knowledge to help with children’s learning or lack of information about how education affects Good Practice Notes and Tools for Local Actors job prospects later in life, often leading to early dropouts. Insufficient family income also leads children to miss or leave school (to help with family income or domestic responsibilities). Other: Other: Other: Other: Income Financial resources for buying or Financial resources for startup Financial resources for pursuing Financial resources to cover medical improving housing. investments and capital upgrading secondary and higher education. expenses (people do not have the money (e.g., facility, equipment, raw to visit a health care provider to buy and materials, and other inputs). Lack take the prescribed medication/therapy). of access to business development loans and credit hinder creation of new enterprises. Other: Other: Other: Other: Module 3 * Preschool includes nursery school and kindergarten. ** These include reproductive health care (including pre-, ante-, and postnatal care) and infant and child health care (including periodical check-ups and vaccinations). *** Safe considered as directly connected to public sewer, septic tank or ventilated improved pit latrine with slab. 110 111 This tool can be applied in the context of integrated territorial investments (ITIs)42 and the community-led local development (CLLD)43 . The policies and institutional arrangements of ITIs and CLLDs may provide an enabling environment for implementing the interventions in an integrated manner, and the tool itself can also Table of Potential Place-Based support the implementation of ITIs and CLLDs in return. Nonetheless, the tool is meant to be applied broadly Table of Potential Place-Based to local-level interventions in general, including those that do not necessarily involve ITIs and CLLDs. It is also important to note that this table includes limited types of employment/education/health interventions Intervention Options Intervention Options because it focuses on place-based integrated interventions, and the review of interventions conducted for the preparation of the table mainly focused on interventions consisting of both hard and soft measures that were implemented at the community level by local actors. There is a range of national or regional-level interventions that can either be integrated with local-level interventions or adapted for local-level implementation. There may also be many other local-level soft interventions that did not involve any hard measures, and are therefore not covered by this document. These interventions may be added to the table in the future as additional reviews on these soft interventions are conducted. I. Purpose Integrated Interventions Tools for Preparing The table provides a list of potential place-based interventions that can be applied at the local level to address IV. Table of Potential Place-Based the community needs/gap and impediments identified using the Diagnostic Questionnaire for Community Needs Assessment. Intervention Options II. Context Instructions: After identifying the needs/gaps and impediments of a community, project planners can refer to the table Good Practice Notes and Tools for Local Actors Many communities derive their project ideas from existing interventions they have seen or heard about, and to look for some existing and corresponding interventions. For this purpose, the table is structured in the often implement them without sufficiently considering their applicability to the community’s actual needs same format as the diagnostic questionnaire; the interventions are listed by the types of needs/gaps as and impediments. Such projects will not effectively address the needs or impediments of the community, and classified by the questionnaire. Each intervention is accompanied by references to sample case studies, most waste resources. Instead of merely copying and repeating a random intervention from another community, of which are attached to this handbook in the supplemental Global Case Studies, which provides more detailed disadvantaged communities will benefit from having a wider menu of interventions to choose from, in line with information about specific design features, elements, and good practices of the interventions. While the list is their actual priority needs. While not exhaustive, the attached table is intended to inspire communities to look not exhaustive, it is expected to help planners consider and prioritize interventions that match the needs and for interventions that are more relevant to their needs by describing different types of interventions that can impediments to be addressed in the community. be applied in different situations, with links to sample case studies. In considering the intervention options, it is critical to note that there are often various intervention options available to fulfill the same need or achieve a desired outcome; depending on the situation, some options are more feasible, effective, and cost-efficient than others. In addition, since disadvantaged communities generally suffer from a series of disadvantages—which cannot be addressed all at the same time when project funds III. Applicability are limited—local actors must often think about the trade-offs between focusing on different needs and choosing different intervention options. As explained by the Diagnostic Questionnaire for Community Needs Assessment, some needs and outcomes are interrelated and can be tackled together, while others are less The Table of Potential Place-Based Intervention Options can inform the preparation of local-level strategies/ related. By identifying and prioritizing the related needs and key sets of interventions that address those needs plans and projects aimed at improving the living conditions of disadvantaged groups. It is intended for use by together, projects can generate synergies and avoid being a Christmas tree of unrelated interventions. local-level policy makers and project planners who are involved in preparing such local development strategies/ Prioritization could be made in account of a number of key variables, such as the value and significance of a plans and projects. Depending on the nature of needs and impediments experienced by a community, various need or outcome to the community members, as well as an intervention’s feasibility and cost-effectiveness. interventions could be integrated to best address its specific combination of needs and impediments. The assessment of these trade-offs can be guided by asking the following questions, using the previous Communities are also encouraged to innovate and customize interventions in the local context. questionnaire, and the Table of Potential Place-Based Intervention Options. The table is not intended or suitable for preparation of national or regional-level interventions, as it does Module 3 not include national or regional-level policy measures or programmatic interventions. Nevertheless, local interventions should generally be aligned with national or regional-level strategies and programs to maximize impact and results. For example, some of the local-level, place-based interventions listed in the table might 42 The ITI is an instrument introduced by the European Commission to allow member states to implement OPs in a cross-cutting way and require complementary interventions at the national or regional level, which need to be taken into consideration to draw on funding from several priority axes of one or more OPs to ensure the implementation of an integrated strategy for a specific when assessing their feasibility. territory. 43CLLD is an approach to involving citizens at the local level in developing responses to the social, environmental, and economic challenges 112 113 1. What are the trade-offs and synergies between different needs identified? The diagnostic questionnaire (presented in the previous module) can be used to analyze how existing needs are related to each other and, given the resources available, which set of needs are most important to the community. The questionnaire is designed to allow identification of possible synergies Table of Potential Place-Based between different needs and sectors. For instance, improving access and quality of water supply services can simultaneously lead to an improvement of health and education outcomes. Intervention Options 2. What are the trade-offs between different interventions? (a) Sequencing. It is important to sequence the interventions correctly by asking what needs to be in place for each intervention to work (what should be implemented first). (b) Cost-effectiveness. When there is more than one intervention to achieving the same outcome, it is useful to compare the estimated cost-effectiveness (for the same amount of money, how much impact would each of the interventions generate). While cost- effectiveness varies by context, and it is very difficult to accurately estimate the impact of interventions, project planners may be able to refer to the impacts of similar Integrated Interventions interventions in the country/region or existing literature (impact evaluations, economic analyses) to compare expected cost-effectiveness. Tools for Preparing (c) Scale of beneficiaries. Along the same line, the estimated scale/coverage of beneficiaries can be compared between interventions, for the same amount of resources. While some interventions may have a greater impact per individual or household (and therefore are technically cost-effective) than other interventions, they may still be very expensive and can only be implemented with a small number of beneficiaries. (d) Low-hanging fruit. It is also useful to consider low-hanging fruit options that are easy to implement and can produce significant benefits in a short time period. Providing civil documentation (such as birth and residential certificates), for example, can eliminate barriers to accessing social services at a very low cost. On the contrary, providing Good Practice Notes and Tools for Local Actors social (rental) housing solutions to poor and unemployed households generally require— to be sustainable—costly subsidy programs and other complementary income support activities. Module 3 114 115 Options for Potential, Place-Based Interventions that Can be Applied at the Community Needs Assessment Diagnostic Questionnaire for Community Level 44 Community-level Need Applicability Key Project Examples Intervention Options Physical/Spatial Needs Integrated Interventions Tools for Preparing Access to basic community services Neighborhood upgrading Rural/semi-rural neighborhood upgrading Case Study 14, Poland Case Study 8, Romania This involves expanding basic services to the neighborhood and is generally Current situation: Case Study 10, Chile applicable in low density neighborhoods (rural) with poor access to services People in the community do not have access to or in areas where network extension is too costly and/or not possible(i.e. Case Study 1, Azerbaijan reliable water supply, a safe excreta disposal system, inexistent water network). reliable electricity, heating, waste collection or clean Project Brief 18, Hungary This type of project can involve investment in decentralized sanitation Project Brief 31, Slovak Republic and safe public spaces. systems, electricity, and improvement of water supply networks and/ Good Practice Notes and Tools for Local Actors or expanding solid waste collection using community collection points. Decentralized sanitation solutions have sometimes been applied and can involve improved pit latrines or septic tanks.* Good practices might include involving the community in carrying out or supervising works (see Good Practice Note 3: Participatory Monitoring and Evaluation). Note: as expanding basic services can create affordability issues, project planners should think of payment alternatives (such as subsidized tariff schemes and subsidized connection) and how they can be expanded to project beneficiaries. This type of project design can be complemented with activities aimed at providing adequate housing, improving tenure security, safety, and neighborhood connectivity and social services. *Attention needs to be paid to existing environmental conditions such as areas prone to flooding or with a high water table. Module 3 44 This table is partially informed by Kocze, Angela, Adam Kullmann, Agota Scharle, Orsolya Szendrey, Nora Teller, and Viola Zentai. 2014. “Programming the Structural Funds for Roma Inclusion in 2014–20: Making the Most of EU Funds for Roma (MtM) program.” Open Society Foundations, Budapest, Hungary. http://www.opensocietyfoundations.org/sites/default/files/programming-structural-funds-roma- inclusion-20140422.pdf 116 117 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Physical/Spatial Needs Access to basic community services Neighborhood upgrading Urban neighborhood upgrading Case Study 4, Honduras Case Study 7, Colombia This involves expanding basic services to the neighborhood and is generally Current situation: Case Study 12, Jamaica applicable in medium-high density neighborhoods (urban). Centralized People in the community do not have access to solutions—in which existing municipal services are expanded to cover Case Study 2, Colombia Integrated Interventions reliable water supply, a safe excreta disposal system, the neighborhood—are generally used. This means that project planners Case Study 3, Brazil reliable electricity, heating, waste collection or clean need to work closely with service providers. When existing neighborhood Tools for Preparing and safe public spaces. footprints become a challenge (e.g., not complying with regulations for Project Brief 8, Czech Republic streets/sidewalks), innovations must be implemented to adapt systems Project Brief 9, Czech Republic to the local context. Project Brief 21, Hungary Note: as expanding basic services can create affordability issues, project Project Brief 17, Hungary planners should think of payment alternatives available (subsidized tariff schemes and subsidized connection) and how they can be expanded to project beneficiaries. While many projects involve water and electricity connection subsidies, not all take into account tariff subsidies for low- income groups. This type of project design can be complemented with Good Practice Notes and Tools for Local Actors activities aimed at providing adequate housing, improving tenure security, safety, and neighborhood connectivity and social services. Safe location Public safety programs Public safety programs for crime and violence prevention Case Study 12, Jamaica Case Study 4, Honduras Applicable to communities with high crime rates and public safety threats Current situation: Case Study 5, South Africa (e.g., thefts, assaults, extortions, gender-based violence). International People in the community are exposed to violent experience has shown that urban upgrading, which improves physical Project Brief 9, Czech Republic environments, natural disasters of manmade living conditions in poor neighborhoods, can reduce levels of crime and hazards, and/or do not have clean and safe public violence. Basic services and simple environmental design interventions Project Brief 16, Hungary spaces that can be enjoyed by all community such as street lighting, public telephones, CCTVs, and improved street Project Brief 15, Hungary members. layout can create safer urban spaces and enhance community integration. Project Brief 20, Hungary Neighborhood watches can also be established. Project Brief 31, Slovak Republic These type of interventions can include: (1) community crime mapping and diagnostics, which serve as a base for crime and violence prevention interventions; (2) situational prevention interventions using CPTED principles; and (3) mediation and conflict resolution programs, which serve to build confidence among rivals and establish community codes of conducts, among others. These should be complemented by social prevention programs that address the causes of crime and violence. Module 3 These can include long-term parenting skills programs and early childhood education programs, and cultural programs; job training programs with at- risk adolescents, before and after school programs, programs to prevent domestic and gender-based violence, and educational programs in conflict resolution. 118 119 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Physical/Spatial Needs Safe location Resettlement and livelihood Relocation and livelihood restoration Case Study 2, Colombia restoration Case Study 6, Brazil When communities are located in disaster-prone areas (landslides, Current situation: Case Study 16, Brazil floods, earthquakes) or areas exposed to manmade hazards People in the community are exposed to violent (environmental) projects should aim to mitigate these risks. In many Case Study 11, Argentina Integrated Interventions environments, natural disasters of manmade cases, risk mitigation involves relocating households to safe areas hazards, and/or do not have clean and safe public and/or transforming some of these areas to other land uses—such as Project Brief 12, France Tools for Preparing spaces that can be enjoyed by all community linear parks—to avoid households from returning or other household Project Brief 32, Spain members. from settling in. However, relocating communities can disrupt households’ livelihoods and create income shocks that can be hard for vulnerable groups to absorb. For this reason, relocation has to be done carefully to preserve or improve livelihoods. The column to the right presents examples of relocation projects that are considered best practices. In addition, since relocation involves creating new housing solutions or making new housing solutions available, project planners can also refer to the Good Practice Notes and Tools for Local Actors design options mentioned above for adequate housing. Accessible and well connected Improving neighborhood Improving connectivity to existing markets and Case Study 1, Azerbaijan communities connectivity social services Case Study 4, Honduras Case Study 7, Colombia This type of intervention is applicable to communities having difficulty Current situation: accessing their homes or reaching existing market, employment Case Study 10, Chile People in the community have difficulty accessing locations, and social amenities. This could be due to poor access Case Study 6, Brazil their homes (due to poor roads or pathways), reaching roads or pathways, poor connection to public transportation, and/ Case Study 3, Brazil existing markets, employment locations, education or an unreliable public transportation system. Projects rehabilitating access roads and/or improving the coverage and reliability of public Case Study 5, South Africa centers, and health facilities, and/or, in urban areas, lack access to reliable public transportation at an transportation can be used to improve connectivity but should also Project Brief 8, Czech Republic take into account mobility patterns of the community to be able to affordable cost. Project Brief 18, Hungary respond to their specific needs. In all cases it is important to adapt transport infrastructure to existing occupation patterns and try— Project Brief 21, Hungary when possible—to avoid disrupting existing built up areas. Project Brief 31, Slovak Republic Module 3 120 121 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Physical/Spatial Needs Accessible and well connected Social infrastructure upgrading Bringing markets and social services to the neighborhood Case Study 7, Colombia communities While improving connectivity to existing markets and social amenities Project Brief 16, Hungary is important, on occasion there is a need to expand markets and Project Brief 18, Hungary Current situation: social amenities to reach vulnerable communities. In the case of Integrated Interventions Project Brief 15, Hungary People in the community have difficulty accessing social amenities, this can be done either through the development their homes (due to poor roads or pathways), reaching of temporary (mobile health units) or permanent infrastructure, Tools for Preparing existing markets, employment locations, education depending on population density and the frequency required for centers, and health facilities, and/or, in urban areas, service provision. lack access to reliable public transportation at an When the required school, health care, or other social infrastructure affordable cost. in the community is nonexistent, dilapidated, or too small, it can be built, rehabilitated, improved, or extended in order to provide adequate learning environment for every child in the community. In case a community is spatially segregated, neighborhood connectivity improvement (mentioned above), instead of infrastructure upgrading, may be a better option. Good Practice Notes and Tools for Local Actors Infrastructure upgrading might not be a practical option for increasing a community’s accessibility to higher and lifelong education or secondary and third health care. Not every community is expected to have them inside the community, and it may be more efficient to improve neighborhood connectivity to these facilities outside the community. Space for providing such services can also be created as part of a multiple-purpose community center where services related to employment, health, education, child care, and other counseling and recreational activities can be jointly provided. Alternatively, equipment can be upgraded for mobile social service units. It is essential to ensure that such investments in social infrastructure and equipment are accompanied by sufficient capacity of service providers to operate it. Spatial integration Desegregation This type of intervention is applicable when there is spatial segregation Case Study 9, U.S. at the neighborhood, settlement or microregional levels. The goal of these types of interventions is to mix deprived communities with non- Project Brief 10, Czech Republic Current situation: deprived social groups, by diversifying neighborhoods and dispersing Project Brief 32, Spain Roma communities are geographically segregated disadvantaged families across integrated parts of the urban fabric. Rental housing in mixed-income from the rest of the population, which leads to Module 3 Integrating disadvantaged communities can also be achieved via improved neighborhoods negative neighborhood effects such as the general neighborhood connectivity (see above). Project Brief 6, Czech Republic lack of access to quality services like education and Transitional housing (subsidized) health, and constrained employment opportunities. Project Brief 23, Italy 122 123 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Physical/Spatial Needs Adequate housing Housing improvements Housing improvements Technical and financial assistance to improve or expand housing When existing housing structures are considered reparable, the Current situation: Case Study 17, Mexico location is considered safe, and the community wishes to remain in Case Study 6, Brazil A significant number of housing units have either situ. Multiple design options are applicable for housing improvements with different levels of private, public, and community involvement. Housing improvement overcrowding conditions, are not well insulated or Integrated Interventions Project Brief 1, Bulgaria ventilated, or are in dilapidated conditions and in Projects with high community involvement might be more appropriate Project Brief 9, Czech Republic need of major repairs. to deliver tailored housing solutions but require considerable support Tools for Preparing in the form of technical assistance. When existing housing solutions Project Brief 8, Czech Republic do not allow solving overcrowding problems (i.e., multifamily buildings) Project Brief 15, Hungary housing improvement options might need to be combined with the Project Brief 20, Hungary construction of additional housing solutions (see below). This type Project Brief 21, Hungary of project design can be complemented with activities aimed at Project Brief 16, Hungary improving access to basic services, improving tenure security, safety, Project Brief 17, Hungary and neighborhood connectivity. Additional housing Constructing new housing units or increasing Incremental housing Good Practice Notes and Tools for Local Actors housing supply Case Study 10, Chile Assisted self-construction When there is shortage of housing supply (due to overcrowding or homelessness), or when existing housing structures are considered Case Study 11, Argentina beyond repair and/or the location is considered unsafe, projects aimed Municipal property management at providing adequate housing can focus on creating new housing units. Project Brief 5, Czech Republic When the location is considered unsafe, new housing units need to be constructed in a safe area and households will need to be relocated.* New housing construction New housing construction is possible with low or high involvement of the Project Brief 3, Bulgaria community. Self-built housing units allow customizing housing solutions Project Brief 12, France to household preferences but require considerable support in the form of Project Brief 13, France technical assistance. This type of project design can be complemented Housing construction (public housing) with activities aimed at improving access to basic services, improving Project Brief 4, Bulgaria tenure security, safety, and neighborhood connectivity. New housing supply for Roma (rentals) * Please refer to the resettlement and livelihood restoration section below Project Brief 2, Bulgaria for more resources on household relocation Making existing housing units available to the Subsidized rental housing community—brokering supply and demand Project Brief 32, Spain Case Study 9, U.S. When existing housing structures are considered beyond repair and/or Densification through social housing schemes the location is considered unsafe, projects aimed at providing adequate Case Study 2, Colombia housing can focus on making existing housing units available to the Roma population. Projects implementing this type of option generally involve Increasing housing supply some sort of subsidy (either to buy existing housing units or in the form Project Brief 10, Czech Republic Module 3 of rental vouchers). Project planners can built upon existing national social Additional rental housing housing programs—when available—to provide housing units to vulnerable Project Brief 6, Czech Republic groups. This type of project design can be complemented with activities Subsidized rentals aimed at improving access to basic services, improving tenure security, Project Brief 23, Italy safety, and neighborhood connectivity. 124 125 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Nonphysical/Immaterial Needs Civil documents Civil registration In the event a lack of civil registration, such as a birth certificate and Case Study 12, Jamaica residential address, is constraining community members’ eligibility to Current situation: access social services like schools, health care facilities, and credit, an intervention can be designed to facilitate and assist civil registration. People in the community do not have necessary civil If the cost of registration is an impediment, the intervention can also Integrated Interventions documents (such as birth certificates and residential be designed to subsidize the costs. addresses) to access social services or make formal Tools for Preparing transactions. Tenure security Land regularization/titling Land regularization/titling registration schemes Case Study 13, Romania registration schemes Case Study 2, Colombia Applicable in both rural and urban areas for communities having Current situation: insecure tenure. Land regularization interventions vary considerably Project Brief 21, Hungary Good Practice Notes and Tools for Local Actors People in the community do not have property depending on local regulations but generally include (1) inventories of Project Brief 29, Slovak Republic and/or land rights protecting them from arbitrary land ownership; and (2) a titling program. unlawful evictions. Inventories of land ownership generally involve cadastral audits that enable government agencies and partners to quantify the exact number of parcels eligible for titling and assess the requirements for transferring ownership of public lands. Key activities can include: development of information campaigns and mechanisms for public consultation, formal verification of field, legal and administrative procedures for transfer, and extensive public communication to ensure benefits and costs of titling are well understood. Titling programs typically involve four key activities: completion of land surveys, completion of register and cadaster searches, verification of occupancy information, and provision of technical assistance to eligible beneficiaries. When dealing with vulnerable communities, projects need to identify mechanisms to surpass existing barriers (lack of personal identification documents, illiteracy) to access property titles or regularize land. Module 3 126 127 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Nonphysical/Immaterial Needs Capacity of social service providers Social service provider training Teacher training Case Study 4, Honduras and equal treatment Case Study 8, Romania Working with children from disadvantaged sociocultural backgrounds requires a higher level of pedagogical preparation and knowledge of Project Brief 16, Hungary Current situation: inclusive teaching methods. In order to increase the quality of teaching Integrated Interventions There is an insufficient number of social service in a disadvantaged community, supplemental teacher training can be provided in the areas of interactive didactics, intercultural education, providers (e.g., teachers, health care professionals), inclusive education, friendly school approaches and practices, and on Tools for Preparing who have been trained to adequately provide services Roma history, language, and culture. in a suitable manner in the context of disadvantaged groups, including Roma. As a result, disadvantaged Health care provider training groups are not treated equally by social service In the area of health, supplemental training can offered to health care providers. providers to increase their knowledge, respect, and understanding of Roma health patients. Courses on diversity and sensitivity to minorities, as well as practical training, can be given to promote respect for Roma minorities. Good Practice Notes and Tools for Local Actors Roma Mediators School mediators Roma mediators Project Brief 23, Italy School mediators are effective in closing the communication gap between schools and Roma communities, and in bridging the relationship between the two actors. School mediators can play an important role in decreasing the number of school dropout and nonenrollment cases, improving school attainment and academic performance of Roma students, reducing absenteeism among students, combating the segregation of Roma students in classes and contributing to the desegregation of schools, improving the attitude of teachers towards the Roma, and promoting the overall development of the Roma communities outside their role in the field of education. In deploying school mediators, it is important to avoid relegating all activities related to Roma issues to them, which leads to a deeper disengagement of teachers from the Roma communities they serve. Health mediators Roma health mediators serve as a bridge between Roma communities and health care providers. For example, local health mediators can contribute to changing social norms that have discouraged the uptake of health services by addressing the social stigma associated with accessing counseling services, reproductive health services, or testing Module 3 for sexually transmitted infections. Health mediators can also enhance the knowledge and attitudes of health care providers and help reduce discriminatory behaviors and the use of abusive language. They can help physicians better understand Roma and enhance their ability to provide care through more effective interactions with patients. 128 129 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Nonphysical/Immaterial Needs (Continued from previous page) Capacity of social service providers Community social workers Community social workers Community social workers and equal treatment Case Study 3, Brazil Disadvantaged communities can benefit from on-the-ground presence of community social workers that actively interact with community Current situation: members and monitor their needs and issues on a day-to-day basis. Integrated Interventions There is an insufficient number of social service Community social workers, especially when permanently based in a community, can serve as an open channel of communication between providers (e.g., teachers, health care professionals), Tools for Preparing the community members, service providers, and local project planners. who have been trained to adequately provide services They can help enhance the provision of services and relevance of in a suitable manner in the context of disadvantaged interventions by facilitating the identification of needs, while also groups, including Roma. As a result, disadvantaged gathering the most current information on the conditions of existing groups are not treated equally by social service infrastructure, services, and development opportunities. Continued providers. and direct communication with community members, including local NGOs and government representatives, is also essential to monitoring project implementation, keeping track of project priorities and results, and introducing course-correction as necessary. When community Good Practice Notes and Tools for Local Actors social workers come from the communities they serve, not only does it facilitate the reflection of the knowledge and the context of the communities, but also enhances partnerships and communication through trusted relationships with community members they have built over the years. It is important to make sure that the community social workers have undergone required training. Education support (including In collaboration with schools, communities can introduce additional Case Study 8, Romania extracurricular activities) activities or learning materials to make the learning experiences of Roma children more culturally relevant and meaningful to their family Project Brief 23, Italy and community life. Additional activities and materials could include Project Brief 4, Bulgaria afterschool assistance to help children complete homework or catch up with afterschool recreation activities like sports, music, and arts, through which social and life skills can be nurtured. Learning materials can also be introduced to help enhance appreciation of Roma culture and identity. Public employment When a local project involves the creation of new jobs for operation or Case Study 2, Colombia the maintenance of social services or infrastructure it aims to improve, Case Study 14, Poland people from the local community can be simultaneously trained and Case Study 1, Azerbaijan hired to fill the new job openings. Besides creating additional jobs Case Study 3, Brazil for Roma, this can improve the interaction and quality of services Module 3 provided to Roma communities. Project Brief 21, Hungary Project Brief 29, Slovak Republic 130 131 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Nonphysical/Immaterial Needs Skills, information, awareness, and Training schemes (skills enhancement Training can be provided to increase the (cognitive and noncognitive) Case Study 4, Honduras capacity of community Members programs) skills and employability of the unemployed. Life skills curriculum on Case Study 11, Argentina motivation (self-esteem, interpersonal relations, life fulfillment), life at Case Study 7, Colombia work, social skills, and job search can also be included in the skills Case Study 2, Colombia Current situation: enhancements programs (such as TVET) to increase the employability Case Study 15, Dominican Republic Integrated Interventions People are not accessing certain social services of the unemployed. It can be complemented by mentorships, Case Study 17, Mexico because they do not have sufficient awareness and internships/apprenticeship, or job trial opportunities to provide them Case Study 14, Poland Tools for Preparing information about the value and availability of the with some work experience. Case Study 16, Brazil services. People do not have the skills, knowledge, or Training and technical assistance can also be provided to increase Case Study 1, Azerbaijan capacity to access markets and opportunities. both the skills and knowledge of entrepreneurs to create and run Case Study 3, Brazil businesses (such as in obtaining licenses, accounting, marketing). Project Brief 1, Bulgaria Project Brief 2, Bulgaria Project Brief 3, Bulgaria Project Brief 15, Hungary Project Brief 18, Hungary Good Practice Notes and Tools for Local Actors Project Brief 29, Slovak Republic Employment services (job search Comprehensive local employment services, including employment Case Study 4, Honduras assistance) counseling, mentoring, and job search assistance can be provided to Case Study 15, Dominican Republic job seekers, who may not have adequate information, networks, or job Case Study 5, South Africa search skills to find jobs. It can help improve the job search effort of job seekers by providing information on vacancies and by assisting Project Brief 12, France them with the preparation of job applications (e.g., curriculum vitae Project Brief 6, Czech Republic and interviews). Project Brief 18, Hungary Given that discrimination is often a barrier to employment prospects, Project Brief 3, Bulgaria the employment service can also serve as a liaison between employers Project Brief 32, Spain and prospective Roma employees by reaching out to both the potential Project Brief 15, Hungary employers and the local Roma community, so that information about employment opportunities and potential employees reach both employers and Roma job seekers. Module 3 132 133 Options for Potential, Place-Based Interventions that Can be Applied at the Community Level Community-level Community Needs Assessment Need Applicability Key Project Examples Diagnostic Questionnaire for Intervention Options Nonphysical/Immaterial Needs (Continued from previous page) Skills, information, awareness, and Parental involvement promotion Higher student performance is associated with the involvement of Case Study 8, Romania capacity of community Members parents in their daily activities. The support of parents in the first years of childhood development (preschool and primary education) Project Brief 1, Bulgaria has a significant impact on children’s future opportunities. Various Project Brief 2, Bulgaria Current situation: Project Brief 3, Bulgaria Integrated Interventions initiatives can be undertaken to increase parents’ involvement such People are not accessing certain social services as parent school, counseling, or direct assistance with different school Project Brief 23, Italy because they do not have sufficient awareness and Project Brief 4, Bulgaria Tools for Preparing activities. Parenting education can be provided with a high emphasis information about the value and availability of the on parent-child communication. Parents can also be engaged through services. People do not have the skills, knowledge, or parent support groups, creation of opportunism for Roma parents capacity to access markets and opportunities. to participate in daily school activities (they may be engaged in supporting the teacher in preparing activities, or supervising children during activities), or educational activities for children led by parents. In neighborhoods where the coverage of preschool service is insufficient, Roma mothers, besides professional teachers, can also be recruited and trained to develop learning activities with children below the age of 6. Good Practice Notes and Tools for Local Actors Awareness raising and life skills Awareness-raising events or materials can be prepared to inform Roma Case Study 13, Romania education about healthy lifestyles, risky behaviors, and the importance of accessing Case Study 12, Jamaica health care services, such as prenatal check-ups and vaccinations. Such Case Study 15, Dominican Republic information can be provided as part of a broader life skills education. Case Study 8, Romania The health mediators mentioned above can also be mobilized to Project Brief 6, Czech Republic effectively communicate with Roma and increase their awareness and Project Brief 3, Bulgaria knowledge related to healthy lifestyle and health care. Project Brief 32, Spain Project Brief 20, Hungary Income: Micro-finance A scheme can be developed to provide small loans to help homeowners Case Study 17, Mexico improve their housing or local small businesses to make start-up Case Study 11, Argentina Current situation: investments (e.g., facility, equipment, raw materials, and other inputs). Project Brief 2, Bulgaria People are unable to improve housing, start a business, access education, or receive health care, Scholarships Scholarship programs can be established at a local level for secondary due to lack of income/savings. and tertiary education. These can be provided on the hybrid, means- tested (needs-based) and merit-based method for vulnerable/ disadvantaged who meet certain performance standards. For tertiary education, scholarships can cover tuition and/or allowances for living expenses. Module 3 Employment services, public Aforementioned employment services, public employment, and skills See above. employment, and skills enhancement enhancement programs can also increase the income of targeted vulnerable groups in the communities. programs 134 135 Diagnostic Tool for Assessing Diagnostic Tool for Assessing IV. Tool Project Sustainability Project Sustainability The following table helps project planners assess potential sustainability risks of their projects in preparation. The project planner can simply review the status of the project against the list of questions provided in the table, which will help identify the existence of risks pertinent to the project. For each type of risk, the table provides options of potential risk-mediation activities that can be included as part of the project (these are just examples of available options, which should be considered on a nonprescription basis, and project planners should feel free to introduce other alternative options that they think better address the risks). I. Purpose The table also steers planners to the relevant tools included in this handbook that helps them design and implement the activities. Community social workers can play a key role both in applying this diagnostic tool Integrated Interventions and in implementing many of the potential risk-mediation activities presented, through active consultation and communication with community members. Tools for Preparing This diagnostic tool aims to help project planners identify potential risks that might affect the sustainability of their project impacts, and to plan activities to address the risks in order to enhance the sustainability of project impacts. II. Context Good Practice Notes and Tools for Local Actors The impacts or results of a project should not dissipate with its completion or end of national and EU funding. Often times, projects are designed without sufficient consideration of the operational arrangements and recurrent (operation and maintenance) costs beyond the life of the project, and thus results cannot be sustained. Projects need to be designed with a realistic exit strategy and activities that address the root causes of the issues. Without an exit strategy, local communities will become dependent on the project (and financing), and risk losing the gains achieved once the project ends. In addition, the design of any project must be accompanied by the question, “If we build it, will they come?” Addressing root causes means not only improving the quality and coverage of infrastructure and services, but also removing demand-side (users’) constraints to accessing them. Demand-side bottlenecks, such as those related to users’ awareness, affordability, capacity constraints, opportunity costs, social norms, and risks (safety, dignity, reputational, and so on) need to be assessed and addressed. Many disadvantaged Roma communities are highly impoverished, and merely providing new infrastructure or services will not necessarily result in their utilization. If people are not aware of a service’s benefits, or if it is too costly to access, they will not be able to utilize it. Moreover, even when a service itself is provided free of charge, people may decide not to access it if the transactions or opportunity costs (e.g., transport, lost time for income generation and family care) are considered too high. Fear of being mistreated by service providers or associated exposure to humiliation could also discourage them from accessing a service. III. Applicability Module 3 This diagnostic tool is generally applicable to local-level, place-based projects aimed at improving the living conditions of disadvantaged groups. It is intended for use during the project preparation phase to inform the design of the project. 136 137 Diagnostic Tool for Assessing Project Sustainability Diagnostic Tool for Assessing Project Sustainability Potential Risk-Mediation Relevant Risk Approach to Activities that Can be Tools in the Type Questions Answer Nature of Risk Addressing the Risk Incorporated in the Project Handbook Key Examples Good Practice Public awareness Is the target population aware of the If the answer is no, the project risks being Note 1: campaigns Integrated Interventions benefits of accessing the activities, Raise awareness of the benefits (a) public awareness campaigns Yes underutilized by the target population. Even if the Project Brief 2, Bulgaria 1 services, or facilities to be provided of accessing particular services, Engaging Local project succeeds in providing facilities and services Communities Project Brief 9, Tools for Preparing by the project? Do target people facilities, or practicing certain (b) outreach activities by available to the target population, the population Czech Republic know how the activities, services, or activities. No might end up not using them. (community) social workers and Project Brief 36, UK facilities could help them? mediators Lack of Awareness Outreach activities Project Brief 3, Bulgaria Raise awareness about the Project Brief 7, If the answer is no, the project risks not reaching the project (activities, purposes, (a) public awareness campaigns Czech Republic Is the target population aware Yes target population. If they do not know about it, they location, timing, costs, social and 2 of the project? Have they been Project Brief 9, cannot access it. It also risks lacking their support environmental implications) early Czech Republic informed of and understand the (b) public consultations (including and confidence. The target population might even in the project cycle and promote Good Practice Notes and Tools for Local Actors through community social activities to be implemented? No oppose or disrupt the implementation of activities out locals’ participation in the project workers) of suspicion or misunderstanding. through consultations. Public consultations Project Brief 35, UK Are other, nontarget populations Raise awareness about the (a) public awareness campaigns Yes If the answer is no, the project risks disruption or project (activities, purposes, Community social workers (e.g., non-Roma) in the project area 3 aware of the project? Have they been informed of and understand resistance by the nontarget population, who may not find the project beneficial or valuable to them. location, timing, costs, social and environmental implications) early (b) public consultations (including Case Study 3, Brazil No in the project cycle and promote through community social the activities to be implemented? workers) community participation. (a) involvement of local workforce N/A in project activities, such as in Project Brief 3, Bulgaria infrastructure upgrading, which Project Brief 4, Bulgaria not only creates temporary job Project Brief 31, Slovak opportunities but also develops Republic skills for future employment Low Affordability If the answer is no, the target population will not Increase local population’s Yes be able to access the services or facilities and ability to pay for services and (b) training the local target population Is the target population likely able Project Brief 19, Hungary 4 to pay for the services or facilities provided by the project? cannot benefit from the project. If the operators cannot collect sufficient user fees, the operation infrastructure by reducing the costs of initial investments, to be hired to operate and manage the service/facility in the future Project Brief 21, Hungary No of the service or facility may become economically operation and maintenance, unsustainable. and by helping to increase the (c) employment and income Project Brief 6, Czech population’s income. generation interventions, such as Republic vocational training, job search Project Brief 12, France Module 3 assistance, apprenticeship Project Brief 18, Hungary facilitation, and second chance Project Brief 32, Spain education. (d) assistance to accessing eligible Case Study 12, Jamaica social benefits 138 139 Diagnostic Tool for Assessing Project Sustainability Potential Risk-Mediation Relevant Risk Approach to Activities that Can be Tools in the Diagnostic Tool for Assessing Type Questions Answer Nature of Risk Addressing the Risk Incorporated in the Project Handbook Key Examples Project Sustainability Increase the capacity of the local (a) technical assistance for Practice and Case Study 1, Azerbaijan population to collectively manage forming and running service Advisory Note Case Study 14, Poland Inadequate Organizational Capacity and sustain project results users’ associations/committees to Help Local (services or facilities). Facilitate (e.g., provide legal support to Communities Project Brief 35, UK and Lack of Participation the engagement of the population establish an association or a Develop and If the facility or service provided If the answer is no, the target population will not be in project activities, which will committee) Implement by the project will be accessed able to coordinate the use of the service or facility, Yes increase their ownership of and  Projects by a group collectively, or need which could end up unequally benefitting certain users, demand for service providers’ (b) facilitation support for (Module 2) to be managed collectively (e.g., at the expense of others. It will also be difficult for Case Study 1, Azerbaijan 5 accountability. The increased formation of associations Integrated Interventions through a water users’ association them to make collective decisions or demands. If the No engagement of parents in school (with moderators/animators/ Case Study 14, Poland or neighbors’ association), does beneficiaries will be required to operate or maintain activities through parents’ mediators/social workers who the community have sufficient the service or facility on their own, the service system Tools for Preparing associations, for example, can help organize meetings and Project Brief 26, Romania organizational capacity to perform n/a or facility will risk breaking down without adequate both increase the educational make decisions) necessary actions collectively? administrative and management capacities. performance of their children and serve to empower parents to take (c) training users’ associations part in community life. Social Case Study 1, Azerbaijan or committees (e.g., training workers and mediators can also Case Study 14, Poland on accounting, basic financial take a big role in helping the local literacy, decision-making community voice their demands. Project Brief 23, Italy procedures) Good Practice Notes and Tools for Local Actors (a) providing affordable transportation N/A Case Study 7, Colombia (e.g., buses) to access the service or Project Brief 15, Hungary facility Project Brief 19, Hungary Will the target population be able to If the answer is no, the project risks not reaching the Project Brief 3, Bulgaria 6 Yes (b) providing mobile services (bringing High Transactions and Opportunity Costs safely reach the facility or service at target population. If they cannot physically reach the Increase the accessibility of the services closer to families, such as Project Brief 22, Italy a time and cost convenient to them? service or facility, or it feel it is not safe to get there, service or facility mobile clinics) Will they feel safe? No the uptake of the service or facility will be hampered. (c) introducing public safety measures Case Study 4, Honduras (e.g., street lights at night, Case Study 5, South Africa community patrols, CCTV cameras) Project Brief 34, Spain (a) adjusting operational hours to N/A Project Brief 16, meet the life patterns of the target Hungary population (extended hours or Will the target population have service) the time to access the facility or service that will be provided by the project? Do target populations need Yes If the answer is no, the target population might Make the service/facility available (b) clustering services to reduce Project Brief 19, to sacrifice their income generation prioritize other more urgent and critical activities to within a timeframe convenient to the combined time required in Hungary  7 or livelihood activities to access the service or facility? Will the services No their survival needs and decide not to use the facility or service. the target population. accessing services (e.g., combining early childhood education with be available during the time of the vocational training/lifelong Module 3 year/week/day convenient for the education for parents so that target population? the parents can receive training while their children receive early childhood education) 140 141 Diagnostic Tool for Assessing Project Sustainability Diagnostic Tool for Assessing Project Sustainability Potential Risk-Mediation Relevant Risk Approach to Activities that Can be Tools in the Type Questions Answer Nature of Risk Addressing the Risk Incorporated in the Project Handbook Key Examples Integrated Interventions High Transactions and (a) cultural competency training N/A Project Brief 16, Hungary Opportunity Costs Will the target population feel Project Brief 22, Italy for social service providers (e.g., Tools for Preparing comfortable accessing the service Project Brief 23, Italy Yes If the answer is no, the target population might fear teachers, health care providers, or facility? Will their dignity 8 Enhance the cultural sensitivity accessing the service or the facility and decide not to police officers) Project Brief 32, Spain and reputation be protected? of service providers. access it. (Mistreatment by service providers No (b) deploying social workers and Case Study 3, Brazil is a common reason for avoidance of some social services by Roma.) mediators Project Brief 2, Bulgaria Project Brief 33, Spain Does the target population have Case Study 13, Romania Documentation Good Practice Notes and Tools for Local Actors the necessary civil documents Facilitate the registration of (a) proactive support for issuance of Case Study 12, Jamaica Lack of Civil Lack of civil documents often hampers access to basic Good Practice (e.g., personal IDs, certifications Yes personal IDs and property rights personal IDs and property rights 9 social services like education, waste collection, water, Note 4: Project Brief 12, France of formal residence and property by targeted groups to ensure (e.g., certification of possession or social assistance programs, even when the services Formalizing Real Project Brief 13, France rights) to be eligible for accessing that investments benefit them, rights, when formal ownership No are physically available. Property Rights Project Brief 21, Hungary the services, facilities, or properties especially in informal settings. rights are not applicable)cameras) Project Brief 29, Slovak provided by the project? Republic Do beneficiaries of the project (a) incorporating collaborative N/A Intergroup grievances and belong to a homogenous group activities, such as those that Project Brief 2, Bulgaria Yes without a history of grievances or Historic grievances or mistrust between the Roma Foster reconciliation, mutual require sharing responsibilities in Project Brief 24, Romania 10 mistrust between groups? (Roma and non-Roma might hinder the community from understanding, trust, and maintaining a community facility. mistrusts and non-Roma residents often do collectively or efficiently benefiting from a project. adaptation/tolerance to diversity. No not interact regularly and mistrust (b) organizing recreational activities Project Brief 15, Hungary runs between the groups.) and campaigns against discrimination. Project Brief 17, Hungary Module 3 142 143 Engaging Local Communities Good Practice Notes Good Practice Note 1: project-related fraud and corruption); and (3) increases awareness and demand among community members to benefit from the project properly; by prompting beneficiaries to share their views and information, and by creating ownership over the project. Local community members’ participation is essential to the success of integrated interventions because they know what is needed, why it is needed, what the bottlenecks are, what can be done, what is affordable and can be maintained, and what opportunities exist. Participation increases Good Practice Note 1: the ownership and relevance of projects by identifying stakeholders’ priorities and their ability to maintain/ operate. It also contributes to the social inclusion of disadvantaged Roma communities through empowerment. Participation of non-Roma communities is also critical to avoid stigmatizing Roma, to foster interaction and Engaging Local Communities cooperation between Roma and non-Roma on the basis of mutual interest, and to gain non-Roma’s support of Good Practice Notes the project. Key Messages III. Applicability Engaging local communities through consultations and grievance redress mechanisms (GRMs) can Project managers should engage local community members in both the preparation and implementation of significantly improve development results. projects. The good practices presented in this note can be applied to a wide range of stakeholders from the community, including both direct and indirect project beneficiaries, as well as others who would be affected by Good Practice Notes and Tools for Local Actors Consultations with local communities are vital to ensuring the development of well-informed or interested in the project. projects that have good chances of being supported and implemented. They also encourage ownership in the community. During project implementation it is crucial to retain feedback channels with the local community or project beneficiary group. Establishing an effective GRM can ensure this ongoing feedback and project improvement loop between project implementation bodies and targeted local communities. IV. Good Practices 1. Community consultation The main goal of a consultation process is to identify and clarify interests at stake, with the ultimate aim of developing a well-informed strategy or project that has a good chance of being supported and implemented by the intended beneficiary target group. Community consultation is effective for seeking I. Purpose information, advice, and opinions from the community during the project preparation phase or in situations where certain specific information related to a project is needed. Consultations should also be considered as an occasion to share available information with stakeholders. This note aims to showcase some good practices of community engagement for ensuring strong Roma citizen involvement throughout the project cycle. It presents (1) consultation methods with intended Roma project Consultation processes can be carried out in various formats depending on the intended target group. beneficiaries and other stakeholders; and (2) step-by-step guidance for establishing an effective grievance It is often beneficial, from the perspective of achieving a successful project development and design, to redress mechanism (GRM). employ several consultation methods when engaging with different stakeholders such as the targeted project beneficiaries, experts on issues related to the project, and civil society and private sector partners that will be affected by project activities. Budget and time constraints can limit the options available and should be considered early on to enable the optimal use of resources for the consultation II. Context process. The following are some consultation methods and formats that can be applied at different stages of a project cycle. Module 3 Citizen engagement (including consultations, beneficiary feedback, and GRMs) can improve projects’ effectiveness. Successful citizen engagement in projects (1) enhances the targeting and design of development interventions; (2) increases the accountability and performance of project implementers (decreases risk of 144 145 Consultation Methods 2. Grievance Redress Mechanism During project implementation, it is crucial to retain feedback channels with the members of the local community. This can be achieved through the establishment of an effective GRM, an integral part of the project. A well-designed and implemented GRM can help project implementers enhance Format/Method Description Target Group Engaging Local Communities project efficiency by (1) generating public awareness about the project and its objectives; (2) deterring fraud and corruption; (3) mitigating project-related risks; (4) providing project staff with practical Good Practice Note 1: suggestions or feedback to allow them to be more accountable, transparent, and responsive to Public feedback A call for written comments related to the project can be made Intended Roma project beneficiaries; (5) assessing the effectiveness of internal organizational processes; and (6) increasing to the public. This community consultation method should have a beneficiaries and, when well-defined and reasonable time period for receiving comments. A suitable, other project stakeholder involvement in the projects. method for submitting comments, such as via email, social media, stakeholders such as Six core GRM principles that can be adapted to specific projects include: letters, or phone, should be clearly communicated and designed to neighboring (non-Roma) ensure easy accessibility. Synthesis of the comments and responses communities and local (a) Fairness - grievances are treated confidentially, assessed impartially, and handled should be made public, for example, by being posted weekly or authorities. transparently. biweekly in local and target group-accessible media and on and well- (b) Objectivity and independence - the GRM operates independently of all interested parties in known websites. order to guarantee fair, objective, and impartial treatment. Good Practice Notes (c) Simplicity and accessibility - procedures to file grievances and seek action should be simple enough that project beneficiaries can easily understand them. The GRM should be Interviews with Interviews can be conducted by phone or face-to-face to gather a Key informants or leaders accessible to all stakeholders, irrespective of the remoteness of the area in which sense of stakeholders’ perceptions on issues relevant to the project. in Roma civil society. multiple sources they live, the language they speak, and their level of education and income. (d) Responsiveness and efficiency - the GRM should be designed to be responsive to the needs of all complaints. Accordingly, staff that handle grievances should be trained to take Project A meeting or series of meetings organized for discussions on Intended project quick and effective action upon grievances and suggestions. particular topics relevant to the planned or ongoing project. beneficiaries and, when workshops Workshops can be designed in multiple ways depending on the suitable, other project (e) Speed and proportionality - all grievances, simple or complex, should be addressed and specific, desired outcome, such as brainstorming around a particular stakeholders such as resolved as quickly as possible. The action taken on the grievance or suggestion issue, analyzing past challenges and achievements related to project neighboring (non-Roma) should be swift, decisive, and correct. Good Practice Notes and Tools for Local Actors activities, envisioning a future scenario, or enhancing understanding communities and local (f) Participatory and social inclusion - all stakeholders, including the media, should be encouraged of project activities and expected project outcomes. authorities. to bring grievances and comments to the attention of project authorities. Special attention should be paid to making sure that poor people and marginalized groups are able to access the GRM. Community A large forum or community meeting is helpful for sharing The public and intended information with a large community group in a transparent manner. Roma project beneficiaries gathering/town The method needs careful preparation to keep the discussion focused and other stakeholders, hall meeting on the intended project related issue. A well-designed and clearly such as neighboring (non- communicated process is necessary to ensure that each participant Roma) communities and has the opportunity to comment during the consultation. local authorities. E-discussions Web-based discussions can complement other consultation methods. The public and intended They may be held through email lists, blogs, or on a website on which Roma project beneficiaries, comments in a specific document are posted. The advantages are other stakeholders and/or lower costs and the potential ability to reach a larger audience. The experts. disadvantage is potential limited Internet access and literacy of the target group. Thus, electronic means are best used as a tool to complement other consultation methods. Open Having a permanent, on-the-ground presence of community social The public and intended workers can facilitate daily communication between community Roma project beneficiaries communication members, social service providers, local authorities, and project and other stakeholders, Module 3 through actors. They can gather the most current information on the such as neighboring (non- community conditions of existing infrastructure, services, and development Roma) communities and social workers opportunities through active and constant dialogue with the local authorities. community members. 146 147 The fundamental steps for creating an effective GRM include: GRM Procedures Example Step Action Description Engaging Local Communities A proposed grievance redress procedure should be presented to and discussed with community members during project preparation. The GRM may be used by any persons affected by the project. At any point, the affected person is entitled to go to court to resolve the grievance. Good Practice Note 1: Step 1 Survey and adapt existing Most countries have formal governmental grievance redress systems that GRMs define responsibilities for grievance redress and resolution of conflicts between citizens and local authorities. Whenever possible, project implementers should Procedures: build the project GRM on these existing GRMs. 1. As soon as the project plan becomes clear, community members will be given clear and reliable information about the project, its impacts, and the proposed strategies for mitigating negative impacts. This information will be made easily accessible to the public at a visible and convenient location at no cost to community members and Step 2 Estimate the volume of It is important to estimate how many people are likely to use the project throughout the entire duration of the project. At the project sites, the grievance redress procedures and contact users and assess necessary GRM, in order to assess the resources—human, financial, and technological— number(s)/email address(es) for reporting complaints will be visibly posted. Good Practice Notes resources for GRM that need to be incorporated in the project design and budget. 2. At any stage of the process, project-affected persons can complain directly to the designated staff of the project- implementing unit. A designated phone number, email address, postal address, as well as a complaint box will be made available to the public for this purpose. Step 3 Develop standard operating An effective GRM, at a minimum, consists of a description of procedures 3. The project-implementing unit will make every effort to achieve an amicable settlement of all complaints/grievances procedures and flowcharts established to redress possible future grievances caused by a project. pertaining to the project, within three days of receiving the complaint. that codify how grievances Flowcharts are an effective way of illustrating how the grievance redress will be redressed during process will unfold within the project’s operating structures (an example 4. If this attempt fails, the project-implementing unit will convene a Grievance Redress Committee consisting of (a) the project sample of GRM procedures is found below). staff from the project-implementing unit (for example, local authorities, civil society organizations); (b) contractors/ service providers hired by the project to execute project activities; and (c) representatives from the community to hear the case and provide a response within two weeks of receiving the complaint. Step 4 Develop and publicize the The key to the overall success of GRMs is organizational commitment. 5. If the case is not resolved at the level of the Grievance Redress Committee, it may be submitted by either party to GRM principles The commitment can be made by declaring that the project implementers the national-level authority (such as MA) or to a court. Good Practice Notes and Tools for Local Actors embrace grievances as opportunities for improvement, and by publicizing the project’s GRM policy. An effective policy typically identifies a set of guidance principles, defines the scope and types of grievances to be addressed, describes performance standards, and spells out internal and external GRMs. Step 5 Assign grievance redress Project implementers need to be equipped with sufficient capacity to V. Additional Resources responsibilities and train implement the GRM. As needed, projects can include activities to train staff, staff to handle grievances and target community members if applicable, on how to handle grievances and why the GRM is important to the project success. Project beneficiaries For further guidance and specific tools related to public consultations and development of effective GRMs can also be trained to undertake grievance redress activities themselves implemented by the World Bank, consult the following literature: before the project’s start or during early implementation. Post, David, and Sanjay Agarwal. “How-To Notes—Feedback Matters: Designing Effective Grievance Redress Mechanisms for Bank-Financed Projects. Part 1: The Theory of Grievance Redress.” World Bank, Washington, DC. http://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2012/06/01/00042610 Step 6 Stimulate external Even the best-designed GRM cannot function effectively unless project 4_20120601162556/Rendered/PDF/692060ESW0P1250Effective0Governance.pdf demand for GRM through beneficiaries know of it and are aware of how it functions. Therefore, it is communication important to prepare communication materials about a GRM, its procedures, Post, David, and Sanjay Agarwal. “How-To Notes—Feedback Matters: Designing Effective Grievance the levels/officers to which different types of grievances should be addressed, Redress Mechanisms for Bank-Financed Projects. Part 2: The Practice of Grievance Redress.” World Bank, operating service standards, and other relevant information. At a minimum, Washington, DC. http://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2012/06/0 the grievance redress procedures and the contact number(s)/email address(es) for reporting complaints need to be visibly posted. This information needs to 1/000426104_20120601163112/Rendered/PDF/692060ESW0P1250Effective0Governance.pdf be made easily accessible to the public at a visible and convenient location World Bank. 2007. “Consultations with Civil Society: A Sourcebook.” World Bank, Washington, DC. http:// at no cost to them, and throughout the entire duration of the project. It is siteresources.worldbank.org/CSO/Resources/ConsultationsSourcebook_Feb2007.pdf also important to ensure that the information reaches the most vulnerable Module 3 project beneficiaries. World Bank. 2014. “Community Driven Development (CDD) Toolkit: Governance and Accountability Dimensions.” World Bank, Washington, DC. http://siteresources.worldbank.org/EXTCDD/Resources/430160-1398173497625/9544668-1398174764462/ Sec1_Community_Level_Tools.pdf 148 149 that aim to prevent the impact of natural disasters or other hazardous risks often require resettlement. Good Practice Note 2: Resettlement needs to be planned and executed carefully. Interventions should avoid resettling people into an area where they could be further concentrated or segregated; also, vulnerable groups have different preferences as to where and how they want to be resettled. While many Roma families prefer to live in mixed neighborhoods, Planning Resettlement Good Practice Note 2: Planning Resettlement there are also Roma families that do not feel comfortable living next to non-Roma neighbors in the immediate future, partially out of fear of being mistreated by the latter. Therefore, careful planning and adequate social work is needed to help both Roma families and non-Roma neighbors prepare for and adjust to the change. If inappropriately planned or executed, resettlement could trigger social, economic, and cultural adversities worse than those it is intended to prevent. For example, relocation could disrupt Roma livelihoods by impeding their access to existing social networks and sources of income. Such potentially negative consequences diminish the Key Messages project’s developmental impact. Conversely, proper resettlement planning can enhance developmental impact; approach resettlement as an opportunity to improve the economic and social well-being of affected people. Consider whether resettlement (not to be confused with spatial desegregation) is really needed, Good Practice Notes and explore alternative project designs and options that could avoid or minimize resettlement and For these reasons, it is important to assess whether resettlement is really needed. For example, if the purpose that could equally or more effectively achieve project objectives. of the project is to improve people’s accessibility to basic services, depending on the context of the location, bringing in services or improving people’s connectivity, such as public transportation, might be more cost- If resettlement is necessary, introduce measures to mitigate its negative social impacts and effective and feasible than moving people into a new neighborhood. If resettlement is truly needed to achieve ensure that affected people improve, or at least restore, their living conditions and have access to the project’s goal or is unavoidable, carefully plan measures to mitigate negative impacts and facilitate the adequate housing with security of tenure. reestablishment of affected people’s livelihoods, social networks, and adjustment to the new environment. Mere restoration of immediate livelihood is often not enough to protect affected people from induced impacts, such Land acquisition and resettlement, if not properly managed and documented, can lead to loss of as increased competition for resources and employment, inflation, and weakened social support networks. assets, disruption of livelihoods, loss of income, loss of social support networks, social tension, project delays, and costs overruns. Always fully compensate affected people for lost assets before taking the land and before any Good Practice Notes and Tools for Local Actors physical displacement and/or loss of assets occurs. III. Applicability If resettlement is necessary, approach it as an opportunity to improve affected people’s economic and social well-being, and explore options to increase resettlement benefits, including spatial These good practices are applicable to projects that entail physical or economic displacement. Physical desegregation. displacement refers to loss of shelter and assets that requires the affected people to move to another location. Economic displacement refers to loss of assets, income streams, or means of livelihood resulting from land Consult and involve affected people in the planning, implementation, and monitoring of acquisition or obstructed access to resources (for example, land, water, forest, landfills). Physical and economic resettlement processes to ensure that the mitigation of adverse effects as well as the benefits of displacement can be required for construction work (for example, if land is required to build new infrastructure); resettlement are appropriate and sustainable. or to prevent impacts of natural disasters. Although unnecessary and involuntary resettlement of people should be avoided at all costs, the good practices and techniques presented in this note can serve to mitigate the negative impacts of physical and economic displacement should it be necessary. If the project cannot take measures to maintain or improve the well-being of affected people, it might want to consider dropping the component/activity that results in the displacement. I. Purpose These techniques are applicable even in cases where people are not physically relocated to another dwelling; they can be used to mitigate the impacts when a project only involves loss of assets and livelihoods. Some of the approaches and techniques used in the resettlement contexts could also be generally relevant to any This note aims to help project planners and implementing bodies take effective action and create procedures intervention that is ultimately intended to improve people’s future livelihood and living conditions. to mitigate negative social and economic impacts and increase positive benefits of resettlement on affected people when a project involves relocation. The context of resettlement associated with spatial desegregation is different from those of other projects, since its primary objective is to improve the living conditions of the disadvantaged people to be resettled. The discussion of physical and economic displacement may not be fully relevant to such cases, as resettlements in such cases are intended to increase the access of affected people to better shelters and economic opportunities. Module 3 II. Context However, most of the good practices presented in this note can still be applied to increase the positive impact and sustainability of those resettlements. Projects that aim to improve the living conditions of Roma, including those that do not necessarily pursue desegregation, often entail resettlement—moving people from their current locations. For example, projects 150 151 IV. Good Practices of the project and internalize the associated actions and expenses in the project’s budget and implementation schedule. An effective RAP is usually comprised of the following components: 1. Assess whether the project requires resettlement and explore alternatives A compensation framework Early in the project design phase, assess whether the components and activities envisaged in the project entail This describes (1) the categories of expected losses; (2) eligibility criteria for compensation and assistance; physical or economic displacement. If it does, look for alternative designs or options that can avoid or minimize (3) methods used to value losses; (4) proposed types and levels of compensation to be paid (this can be Planning Resettlement Good Practice Note 2: displacement. summarized in a table that describe different types of entitlements for different types of losses); and (5) how and when compensation will be paid (compensation should take place prior to displacement). 2. Assess probable social impacts of resettlement A description of resettlement assistance and restoration of livelihood activities If resettlement is deemed necessary, identify all people who could be affected and examine the expected Resettlement can be approached as a development initiative to restore and improve livelihoods. If the project impacts on their incomes, assets, social structures, living conditions, and livelihoods. The impacts may result involves physical displacement, the RAP must describe how (1) the resettlement site will be selected and not only from loss of physical assets such as dwellings, other structures like farm buildings, agricultural land, prepared; (2) services and enterprises will be replaced; (3) livelihoods will be restored (different rehabilitation and trees, but also from loss of access to resources such as water, forest, and the break up of communities measures may be needed for different types of livelihoods: land-based, wage-based, and enterprise-based); (4) and social support networks. To the extent project preparation resources allow, the following six activities are Good Practice Notes cultural property will be treated; (5) vulnerable people will be specially assisted; and (6) the relocation schedule recommended to identify affected people, impacts, and necessary actions. and assistance. Mapping A detailed budget A map of the area in which people will be relocated from is a useful tool for identifying affected people The project must make a careful estimate of all costs of the RAP so these can be sufficiently budgeted for. and their assets. In case the budget turns out to be unfeasible, the component of the project that entails resettlement may be redesigned or removed. Census Basic information on affected people should be collected to identify their age, gender, occupation, and An implementation schedule special needs. The timing of compensation, relocation assistance, and livelihood restoration activities need to be aligned with Inventory the other activities planned under the project. Employment, agricultural, and scholastic cycles may need to be Good Practice Notes and Tools for Local Actors An inventory of assets that will be lost or affected as a result of resettlement can be made for each considered to avoid disruption of these cycles. affected household to estimate the scale of displacement. A description of organizational responsibilities Socioeconomic surveys and studies To ensure accountability, it is important to identify and define the roles and responsibilities of all organizations It is important to survey all income sources and estimate the expected income loss by resettlement. Low- that will be responsible for implementing the RAP. income households tend to have multiple sources of income, often combining wage labor, informal work, small-scale enterprise, agriculture, and social benefits. Information concerning structure, organization, A mechanism/channel for grievance redress and economic interdependences within the community should also be collected to identify households It is common for people affected by resettlement to have grievances. These often concern issues of compensation, that are most vulnerable to economic displacement. eligibility criteria, location of resettlement sites, and the quality of services and assistance provided at the sites. Analyzing data Procedures can be established to allow affected people to communicate complaints, questions, and concerns about the project and resolve them in a timely manner. It is good practice to provide affected people with a Data collected through the census, inventory, socioeconomic surveys, and studies can be analyzed to variety of means to contact project staff (such as telephone numbers, office locations, mailing addresses, email (1) define how compensation will be made on lost assets (establish valuation standards); (2) identify addresses, and so on) to log complaints or inquiries. potential options for restoring livelihoods and ways to improve affected people’s economic and social well-being; and (3) establish indicators and the baseline to monitor the impacts of resettlement. A framework for monitoring, evaluation, and reporting Consult with affected people An M&E framework can establish indicators and milestones to track the progress of RAP implementation and Analysis findings can be shared with affected people and used to engage them in informed and constructive assess the impacts of resettlement. It serves to verify that the planned measures are taken appropriately, the consultations to discuss and explore the strategy for resettlement and livelihood restoration, and the livelihoods of affected people are restored or improved, and to plan corrective measures in case of shortcomings. types of assistance that can be provided. It is critical to ensure that the entire resettlement process—from the planning to the closing stages—be fully documented so evidence exists that the objective of restoring livelihoods has been achieved. 3. Prepare a Resettlement Action Plan (RAP) as an integral part of the project Module 3 Once the probable social impacts of resettlement and the options and opportunities for restoring and improving livelihoods are identified, it is essential to make a resettlement action plan (RAP). The RAP lays out actions 4. Consult stakeholders widely and early that will ensure livelihoods are at least restored to levels prior to resettlement. It can be designed, budgeted, and A wide range of stakeholders might be affected and/or influence the processes and impacts of resettlement. These implemented as an integrated part of the project. One option is to treat resettlement as a specific component include people or groups that (1) are going to be resettled; (2) believe they are going to be resettled; (3) live in the resettlement site (host location); (4) believe they live in the resettlement site; and (5) any people or groups that 152 153 can shape or implement the project. Consultation is an essential part of both designing and implementing resettlement, as it helps keep stakeholders informed, provide feedback, and contribute to resettlement planning and implementation. The following are some good consultation practices: Enable free flow of information Information needs to be shared widely early in the project development via (1) preparation of information Planning Resettlement materials that are easily accessible and understandable (for example, a public notice board, leaflets and Good Practice Note 2: flyers, town courier, the Internet, door-to-door canvassing); (2) outreach to vulnerable groups who lack access to public media and information exchange. Promote participation of stakeholders Participation of stakeholders increases projects’ effectiveness and sustainability. It is valuable to involve stakeholders throughout the RAP planning and implementation and provide an opportunity for them to discuss (1) alternative options; (2) project impacts; (3) the resettlement strategy; (4) compensation rates, eligibility, and entitlements; (5) the choice of resettlement area and timing of relocation; (6) development opportunities and initiatives; (7) procedures for redressing grievances; and (8) M&E for informing and Good Practice Notes implementing corrective actions. More detailed information and good practices regarding stakeholder consultation are discussed in Good Practice Note 1: Engaging Local Communities. V. Additional Resources Good Practice Notes and Tools for Local Actors To further study the resettlement practices employed by the World Bank Group, more information can be found in the following literature: International Finance Corporation. 2002. “Handbook for Preparing a Resettlement Action Plan.” World Bank, Washington, DC. http://www.ifc.org/wps/wcm/connect/2d5d7b0048855517b584f76a6515bb18/Spanish_ RH.pdf?MOD=AJPERES&CACHEID=2d5d7b0048855517b584f76a6515bb18 World Bank. 2004. “Involuntary Resettlement Sourcebook: Planning and Implementation in Development Projects.” World Bank, Washington, DC. http://www-wds.worldbank.org/external/default/WDSContentServer/ WDSP/IB/2004/10/04/000012009_20041004165645/Rendered/PDF/301180v110PAPE1ettlement0source book.pdf Module 3 154 155 II. Context Participatory Monitoring and Evaluation Good Practice Note 3: M&E is essential to effective project management. Monitoring should not be considered as a mere reporting exercise that feeds information to the competent authority, intermediate body, or the European Commission, but as an internal project management activity that improves the performance of ongoing and future projects. Good Practice Note 3: Project monitoring provides critical information to assess (1) whether project resources (money, materials, Participatory Monitoring and staff) are being delivered and used in accordance with the approved budget and timetable; (2) whether the intended outputs (numbers of houses constructed, training courses given, patients treated, and so on) are being produced in a timely manner; and (3) whether there are any adjustments to be made to the project design. Evaluation Similarly, evaluations can generate valuable information for future extension or replication of a project by examining the extent to which the project has achieved its intended results (whether it increases in employment, school enrollment, and so on) and reviewing why the results are (or are not) achieved. Monitoring is a continuous process to assess project progress; it informs program implementation and Good Practice Notes Key Messages management decisions. Evaluations are periodic and are generally carried at discrete points. They are used to answer specific questions related to design, implementation, and results. Conventionally, M&E is conducted via a Monitoring and evaluation (M&E) is essential to effective project management. Monitoring should top-down approach in which project managers collect data and use it to report to funding agencies. Nonetheless, not be considered as a mere reporting exercise that feeds information to the national-level as in the case of project preparation and implementation, M&E can benefit from participatory approaches. authority or the European Commission, but as an internal project management activity that It permits more continuous, on-the-ground tracking of project results and leads to higher accountability and improves the performance of ongoing and future projects. ownership of projects at the community level. A bottom-up participatory monitoring approach empowers the community to demand higher project accountability by allowing the community to feed, read, and understand M&E can help identify project bottlenecks and result in necessary changes to project design. the monitoring information. It helps spot potential misuse of funds or other misbehavior. Additional benefits M&E can benefit from participatory approaches. It permits more continuous, on-the-ground from including the community in the design of the M&E plan include increasing understanding of how the tracking of project results and leads to higher accountability and ownership of projects at the project is expected to improve living conditions and how activities are linked to expected results. Good Practice Notes and Tools for Local Actors community level. Designing M&E plans with the end beneficiaries allows stakeholders—including the community—to III. Applicability understand how project activities are linked to specific outcomes and what intermediate outputs are produced and can be monitored. Indicators need to be carefully selected to monitor progress and outcomes using the SMART principles. When is participatory M&E a good idea? Communities are at the center of projects and are therefore in the best position to monitor some of the project’s interventions and provide feedback to project managers. This A good participatory M&E plan defines what should be monitored, when information should be is especially true in the case of dispersed interventions or when dealing with dispersed communities that are collected, who should be in charge of collecting the required information, and which actors should difficult for project managers to regularly reach (such as rural areas or those difficult to access). Participatory be informed. monitoring during project implementation yields best results when used to monitor low complexity activities that do not require a high level of technical expertise. The community can be involved in project M&E at various stages, including the design of the M&E plan, its implementation, and in project evaluation following completion. Project M&E cannot be based solely on community monitoring and should be combined with other approaches that involve other stakeholders (for example, service providers, project managers themselves, and funding agencies) and, as appropriate, third party actors that can offer an independent assessment of the project I. Purpose implementation and achievement of results. This note focuses on descriptive and normative evaluations, and not impact evaluation, since the authorities may be in the better position than local actors to conduct impact evaluation. Descriptive evaluation describes This note aims to provide basic information to local-level project planners for setting-up Monitoring and what has happened before, during, and after a project, and normative evaluation compares actual results Evaluation (M&E) plans, with a focus on participatory M&E. It helps project implementers design and undertake against expected/target results. Impact evaluation goes a step further and examines the causal relationship M&E through the project cycle, starting from project conception (identifying needs and priorities) to project between an intervention and the measured results. This is usually done via experimental designs, which measure Module 3 completion (evaluating project results) with active involvement of the community. Sample indicators across and compare results in both a treatment group (where the project has taken place) and a control group (where the four social inclusion areas—housing, education, health and employment—are also presented. the project has not taken place). Impact evaluation is highly technical and is often very costly. It might not be affordable nor is a priority for many communities. It is usually conducted on a selective basis, and mainly on pilot projects, in order to examine the effectiveness of new types of interventions. Communities proposing 156 157 innovative interventions might be able to seek support from the competent authority in funding and conducting Constructing the results chain together with the community can help manage their expectations and identify Participatory Monitoring and Evaluation impact evaluation. what can be reasonably achieved with the existing resources. In addition, it might help identify additional impediments that need to be resolved to achieve the intended project impacts. Good Practice Note 1: Engaging Local Communities explains how community members can be involved in the project identification and development processes. Even when the community members cannot be directly involved in its development, IV. Good Practices a proposed results chain can be shared and discussed with the community to validate its reasoning and feasibility. Good Practice Note 3: 1. Construction of a project results chain with the community involvement 2. Development of SMART indicators An M&E plan is needed to allow project managers and involved stakeholders to systematically track a project’s Once the results chain has been developed, the next step in the preparation of the M&E plan is to define the progress, demonstrate results on the ground, and assess whether changes to the project design are needed. The indicators for monitoring project progress and evaluating achievement of results. As previously explained, it design of an M&E plan starts from the project’s conception, and possibly even earlier, from the identification is important to clearly distinguish inputs, activities, outputs, and outcomes. While projects should focus on of community needs and priorities. Project formulation usually begins by identifying priority community needs achieving outcomes, monitoring inputs and outputs is still necessary to assess the implementation progress (see the Diagnostic Questionnaire for Community Needs Assessment) and defining interventions or activities and the efficient use of resources. to address them (see the Table of Potential Place-Based Intervention Options). This process considers the Good Practice Notes following questions: What are the objectives of the project? What results are sought? What immediate outputs Indicators need to be carefully formulated, using the SMART principles—specific, measurable, attributable, are needed to produce the intended results? What activities are required to generate these outputs? What relevant/realistic, and time-bound. It is important that the data needed to monitor the indicators are readily inputs do these activities require? This thought process is generally referred to as the results chain (see available at realistic costs, and that sufficient funds are allocated to periodically compile and process them. example below). Relevant indicators used by the World Bank that could serve as monitoring indicators (mostly at input, output, and outcome/results levels) include (adjusted to the Roma context): Impacts Long-term effects (higher level objectives to which the project contributes) (Results) Examples: improved household income, improved productivity, decreased incidence of disease Sample Indicators Outcomes Results or effects of outputs Good Practice Notes and Tools for Local Actors (Results) Examples: access to market increased, more students are enrolled in school, students learn Access to urban services and housing for the poor better in school, babies less susceptible to communicable diseases people (Roma) provided with access to improved water sources under the project (number) Products/services produced or provided people (Roma) provided with access to improved sanitation under the project (number) Outputs Examples: roads constructed, new classrooms built, teachers trained with enhanced teaching methods, babies immunized people (Roma) provided with access to all-season roads within a 500 meter range under the project (number) people (Roma) provided with access to regular solid waste collection under the project (number) What the project does Activities Examples: constructing roads, building new classrooms, training school teachers with people (Roma) provided with access to electricity under the project by household connections (number) enhanced teaching methods, health center providing immunizations Resources Education Inputs Examples: money, equipment, supplies, staff, technical expertise (Roma) preschool attendance rate (Roma) primary school completion rate number of additional qualified primary teachers resulting from project interventions (serving Roma communities; who For example, a project could aim to reduce unemployment among youth in a certain area by providing them received cultural competency training) with vocational training. The training is expected to make them more competitive in the job search and number of additional classrooms built or rehabilitated at the primary level resulting from project interventions (serving Roma unemployment among the beneficiaries should go down. The project’s inputs include financing to construct neighborhoods) a community center building where training will take place; trainers; and the project implementation team in system for learning assessment at the primary level (rating scale) charge of administering the program. The activities are the construction of the center and the provision of training courses. The outputs are the newly constructed center and the number of training courses offered. The outcome is the number of youth that complete and pass the course’s final exam. The impact is the Health beneficiaries’ rate of unemployment after the completing the course. people (Roma) with access to a basic package of health, nutrition, or reproductive health services (number) A good M&E framework focuses on outcomes (results), not only on outputs. Roma-focused objectives should aim health personnel (serving in Roma communities) receiving (cultural competency) training (number) Module 3 to improve their actual status or outcomes (results) beyond simply improving services or providing infrastructure. health facilities constructed, renovated, and/or equipped (in Roma neighborhoods) (number) For instance, the goal should be to increase Roma’s skills or health status, not just to build schools or clinics. (Roma) children immunized (number) Outcomes (results) could be to increase the utilization of preschool/early childhood education services by Roma, rather than to simply augment the number of available preschools. Such outcome/result-focused orientation pregnant (Roma) women receiving antenatal care during a visit to a health provider (number) will facilitate the formulation of project activities that are driven by objectives, not vice-versa. 158 159 Key steps for conducting PM include: Participatory Monitoring and Evaluation (Roma) births (deliveries) attended by skilled health personnel (number) pregnant/lactating (Roma) women, adolescent girls, and/or children under age five reached by basic nutrition services 1. Call a general meeting to ask who would be interested in participating in the monitoring exercise. It is (number) important to check if community members actually have the time for this activity. 2. Once the community decides who wishes to join, the facilitator meets with the group at a time convenient to them. Civil documents Good Practice Note 3: target population (Roma) with property use or ownership rights recorded (number) 3. The facilitator builds consensus on the purpose of the exercise, clarifies his/her role, expectations, and reviews the schedule. land parcels with (Roma) use or ownership rights recorded (number) target land area with (Roma) use or ownership rights recorded (ha) 4. Community members then identify the M&E questions they want answered related to the project activity. Questions come solely from the community; there are no predetermined questions or forms from the number of new personal identification documents issued (to Roma) facilitators. The group then brainstorms ways to collect the data and who should be responsible for data collection. Participation and civic engagement 5. Once the data is gathered, the group meets again to analyze it and reach consensus on findings, conclusions, Good Practice Notes (Roma) participants in consultation activities during project implementation (number) and recommendations. intended (Roma) beneficiaries that are aware of project information and project-supported investments (percentage) 6. The group then reports to the larger community and together they prepare a plan of action to improve grievances (by Roma) registered related to delivery of project benefits that are actually addressed (percentage) performance if needed. (Roma) community contributions to the total project cost (percentage) (Roma-focused) subprojects or investments for which arrangements for community engagement in post-project Source: Wong, Susan. 2004. “Indonesia Kecamatan Development Program: Building a Monitoring and Evaluation System for a Large- sustainability and/or operations and maintenance are established (percentage) Scale Community-Driven Development Program.” World Bank, Washington, DC. (Roma) beneficiaries that feel project investments reflected their needs (percentage) PM should be conducted at each stage of the project cycle. The key is to have straightforward forms and mechanisms and reports that are regularly updated and easy for the community to understand (an example Good Practice Notes and Tools for Local Actors of a streamlined monitoring form is provided below). Depending on the context of the programs or CfPs, local actors might be required to track certain common indicators established by national-level authorities. Form for Participatory Monitoring The M&E plan should also indicate (1) who will be responsible for gathering information; (2) the sources of information; (3) the format in which the information will be presented; (4) the periodicity of information Results Chain Indicators Status Now Target for the Period gathering; (5) who in the community will be informed of the progress; (6) the budget for the M&E; and (7) which funding source will be used to finance the information gathering (if necessary). Determining the timing Goal (impact): of monitoring is important, since outcomes and impacts often do not occur until sometime after project completion. Results (outcome): A participatory M&E plan needs to be defined through community involvement. Since a sizable part of the M&E activities will be in charge of the community, their input is key for a successful process. Outputs: Activities: 3. Participatory monitoring Participatory M&E is a system of collecting, recording, measuring, and analyzing information in a participatory way—and then communicating it and acting on it—to improve performance at the community level. It offers Primary responsibility at the community level rests with the project managers and/or neighborhood community many advantages, including holding community leaders and government institutions accountable; providing groups that are involved in project implementation. It may not always be possible, or desirable, for everyone ongoing feedback; sharing control of M&E activities; encouraging corrective actions; and facilitating dialogue at the community level to maintain records and analyze data. In this case, community members should select between citizens and project authorities. a person or a small group to take on this responsibility. However, all beneficiaries should have access to Participatory monitoring (PM) activities, when used effectively, can act as a valuable project management monitoring information, which should be shared periodically so that community members are fully informed mechanism and can also have a significant impact on results tracking and improving local governance. PM when decisions regarding project implementation are made. This can be done during regular meetings. Progress Module 3 should be viewed as a process whereby primary beneficiaries and stakeholders take the lead in tracking for the past period, such as the previous month, is discussed and decisions are made for the subsequent time progress toward, and the achievement of, self-selected results. Thus, it is distinct from consultative M&E, which period. While community volunteers associated with the project can run these regular meetings, a project staff generates information to be used by external actors. PM allows for continuous joint learning and reflection on member should also be present. Such a process ensures active involvement of all concerned in the review and goals and results. planning processes. 160 161 The periodicity of information gathering should be determined based on the characteristics of the project and Implementing a participatory evaluation—once project partners have decided what to evaluate, they Participatory Monitoring and Evaluation planned activities. Given that monitoring information is an accountability tool for the project, it is good practice must decide how to collect information. Some possible methods include using the monitoring data, to create transparent mechanisms (for example, use of information and communication technology [ICT] and repeating the baseline survey, or conducting focus groups discussions with participants and project staff. social media) to gather information. For example, community members can monitor progress or status by sending digital photographs taken with cellular or smart phones to a designated monitoring system, using a Sharing information and findings special application (program). The photos taken by these devices are usually stamped with georeference and With the general community and key stakeholders. time data, and help the project implementers analyze, verify, and respond to implementation issues quickly. Good Practice Note 3: When such devices are not readily available to community members, the project can engage local civil society organizations (CSOs) and community social workers who are equipped with the devices to collect and report V. Additional Resources information on behalf of and in close interaction with the community. In addition, in help people without access to computers, smartphones, or the Internet provide feedback, the platform could be complemented by other forms of feedback, such as a telephone-based interface. Additional information about the use of ICT is found in Good Practice Note 1: Engaging Local Communities, and Case Study 3 from Brazil. For further guidance and specific tools for monitoring and evaluation—including participatory M&E—more information can be found in the following literature: 4. Participatory evaluation Good Practice Notes Kaul Shah, Meera, Xoli M.V. Mahlalela, Sarah Degnan Kambou, and Melissa K. Adams. 2006. “Participatory Participatory evaluation refers to the evaluation process in which community members and project staff are Monitoring and Evaluation of Community- and Faith-Based Programs: A step-by-step guide for people who involved. Instead of having a team of outsiders visit the project to conduct the evaluation, the project partners want to make HIV and AIDS services and activities more effective in their community.” CORE Initiative. http:// themselves conduct it. If outsiders are involved, their role is limited to facilitation and technical resource. pdf.usaid.gov/pdf_docs/PNADB439.pdf In participatory evaluation, key decisions are made by the community members and project staff. These World Bank. 2014. “Community Driven Development (CDD) Toolkit: Governance and Accountability Dimensions.” include timing (when to conduct the evaluation); processes (indicators and analysis); and sharing, reporting, and World Bank, Washington, DC. http://www.worldbank.org/en/topic/communitydrivendevelopment/publication/ using the findings. Participatory evaluations are by nature more flexible than conventional ones. Conventional community-driven-development-toolkit-governance-and-accountability-dimensions evaluations are externally determined and are usually designed on the basis of information available in project documents. During a participatory evaluation, it is possible to go beyond the objectives stated in the project document and to include issues and indicators from people’s experience with the project. Sometimes there are issues that were not anticipated prior to project implementation. These can be determined during a Good Practice Notes and Tools for Local Actors participatory evaluation. Participatory evaluation is most effective when the project design and implementation have also been conducted in a participatory manner. Participatory design implies that community members jointly decided the project scope and activities and share the same vision regarding the project’s objectives and expected results. This ensures that community members have been involved from the beginning in deciding the indicators on which the project will be monitored and evaluated. Likewise, when it is time for the evaluation, community members should be clear about why and how the evaluation will be conducted. Very few projects, however, follow a complete participatory process. While it is possible to conduct a participatory evaluation even when project design and implementation have not followed a participatory process, this requires more time and must be planned differently. The process starts with a discussion among participating community and project staff about designing such an evaluation process. Participatory evaluation is the logical culmination of a participatory process. Just as involving communities was critical for designing an appropriate project, their involvement is critical for understanding the project’s effectiveness once it ends. This means not just involvement in terms of answering questions posed by outside evaluators, but involvement in designing the evaluation, including what questions to ask, and of whom. Key steps of a participatory evaluation include: Planning a participatory evaluation Good planning is central to the success of a participatory evaluation. The planning process begins with discussions among the project partners about when to conduct the participatory evaluation; how to Module 3 conduct it; who will participate in the process, and how; how the data will be analyzed; and how this analysis will be shared and used by project partners. Among other things, partners need to decide whether the indicators selected for the baseline will suffice for conducting the evaluation or whether additional indicators are necessary to capture the complete picture. 162 163 infrastructure, social services, and credits, generate uncertainties about the future of their assets, and restrain economic opportunities. There are two main types of informal households: (1) those in informal structures that do not meet building codes and cannot be considered dwellings regardless of land ownership; and (2) Formalizing Real Property Rights those in formal dwellings but without formal permission to be there (such as in cases in which there is no Good Practice Note 4: rental agreement—in some communities, Roma live in huge apartment buildings but are not legal tenants of these publicly owned apartments). The two types of informality create three main disadvantages for the residents. One disadvantage of both types of informality is the possibility of eviction. Both types also create Good Practice Note 4: Formalizing Real Property difficulties for registering residency. It also creates difficulties for accessing social protection benefits in many member states, as these are accessed by place of legal residency. A third disadvantage that is more relevant to households in informal infrastructure is that utilities will not provide services to such structures or to informal Rights settlements outside urban boundaries. Even when basic infrastructure (for example, water and sanitation, electricity) and social services (education and health care) are extended and improved to serve marginalized Roma neighborhoods, if they do not have formal property rights, they might not be able to access these services. Moreover, the lack of a formal residential address, which often stems from informality, could also deny their access to voting rights (eligibility to voting registration). Therefore, formalization of real property rights is Good Practice Notes a critical intervention required for ensuring marginalized Roma’s socioeconomic inclusion. Key Messages Lack of formal tenure rights could impede Roma’s socioeconomic inclusion by not only denying their access to basic infrastructure, social services, credits, and political participation but also by generating uncertainties regarding the future of their assets and restraining economic opportunities. III. Applicability It is essential to gather comprehensive information about the community’s real property rights as Project planners should apply the good practices presented in this note when developing a project in an informal part of the project preparation process. settlement. Informal settlements refer to “areas where groups of housing units have been constructed on land that the occupants have no legal claim to, or occupy illegally; [or] unplanned settlements and areas where There are various alternatives to issuing full ownership rights. Depending on the context of the housing is not in compliance with current planning and building regulations (unauthorized housing).” Good Practice Notes and Tools for Local Actors settlement, other forms of real property rights might be more appropriate, including possession certificates, administrative authorization, and leases. By identifying vulnerable individuals who might face additional challenges in formalizing their real property rights (and what these challenges are), specific measures could be included in the project to assist the formalization of their real property rights. IV. Good Practices Settlements and real property rights’ formalization are two distinct but complementary measures. 1. Gather comprehensive information about the community’s real property rights As part of the project preparation process, planners gather and analyze a range of information about the target community, including its initial living conditions, priority needs, challenges, capacity, and opportunities. In this process, it is good practice to also collect information about the status of real property rights in the community, in order to incorporate appropriate property rights formalization measures in the project design and processes. Key information to be collected includes: I. Purpose Status of the real properties in the community Who owns, uses, rents, or possesses them, whether the owners and possessors have legal (ownership or The purpose of this note is to help local planners involved in the preparation of projects to understand the possession) rights over them, and whether these rights are accurately registered and updated. importance of and ways to formalize Roma settlements and the real property rights of their inhabitants. Real Needs for formalization of real properties property includes lands, housing structure, and other physical improvements made to the lands. Whether the informal properties need to be formalized. For example, when families occupy an area that is unsuitable for residential use for safety or environmental reasons, their occupation should not be supported by formalizing it. In such cases, resettlement of the occupants, rather than formalization of II. Context their property rights, may be considered (for more information on how to plan resettlement, please refer Module 3 to Good Practice Note 2: Planning Resettlement). A large share of Europe’s Roma population lives in informal settlements. By definition, their rights over land, 2. Consider whether granting a full ownership right is the best option housing structures, and other physical improvements made in these settlements are not formally recognized Formalizing real property rights does not necessarily mean converting informal rights into full ownership rights. by law. Such informality contributes to and perpetuates marginalization, because it may deny access to basic A large body of literature shows that the issuance of such rights is often neither feasible nor desirable. For 164 165 instance, families may have settled on state land that cannot be fully privatized and/or families cannot afford to purchase it. Also, some scholars believe that the allocation of full ownership rights drives gentrification. World Bank. 2003. “Land Policies for Growth and Poverty Reduction: A World Bank Policy Research Report.” Therefore, planners and implementing bodies should be aware of the various options available and identify with Oxford University Press and the World Bank, Washington, DC. http://info.worldbank.org/etools/docs/ Formalizing Real Property Rights the communities and the legal owners which ones are the most appropriate. The range of available options may library/34919/landpoliciesexecsummary.pdf differ across member states, depending on their legislations. Common alternatives to full ownership include: Possession certificates Good Practice Note 4: Many countries have legal provisions to formalize uninterrupted and uncontested possession. Usually, possession can be converted into full ownership rights after a certain period of time, usually five to ten years. Administrative authorizations These authorizations are granted by public authorities to the occupants of their land. These are usually issued administratively, which tends to be faster and cheaper than via judicial process. Leases Good Practice Notes Leases usually do not confer real property rights. However, if they are granted for a sufficient period of time, they can contribute to a greater sense of security. As a general rule, these rights “need to have a horizon long enough to provide investment incentives and be defined in a way that makes them easy to observe, enforce, and exchange.” 3. Identify vulnerable individuals and adopt specific measures to assist them The inhabitants of informal settlements do not constitute a homogenous group. Significant socioeconomic differences can often be observed between and within communities. Certain individuals such as women, widows, and orphans are more at risk of not having their rights formalized. Tenants can also be adversely impacted by Good Practice Notes and Tools for Local Actors the increase in real property values triggered by formalization policies. To mitigate these risks, it is essential to identify vulnerable individuals and the specific challenges they might face in formalizing their properties, and define measures to assist them in the formalization process through community engagement. Some possible measures include registering property rights under the name of both spouses; providing free legal assistance to low-income families; and exempting poor households from real property rights registration fees. 4. Settlements and real property rights’ formalization are two distinct but complementary measures Many Roma settlements are not formally recognized in local land use plans and other planning documents. Local governments have a key role to play in the formalization of these settlements because they are generally the ones that can decide to include them in the local land use plans and adopt specific land use and subdivision regulations. While the formalization of settlements consists of acknowledging their existence as a whole, the formalization of the real property rights of their inhabitants is the operation that aims to ensure these rights are registered in the formal land registration system. In practice, settlement formalization is often a prerequisite for real property rights formalization. V. Additional Resources More detailed information about tenure rights formalization good practices can be found in the following literature: Module 3 Organization for Security and Co-operation in Europe. 2013. “Best Practices for Roma Integration: Regional Report on Housing Legalization, Settlement Upgrading and Social Housing for Roma in the Western Balkans.” Office for Democratic Institutions and Human Rights (ODIHR), OSCE, Warsaw. http://www.osce.org/odihr/115737?download=true 166 167 Global Case Studies: Lessons from interventions for improving the living conditions of marginalized communities 8 168 169 Case Studies Table of Contents Abbreviations .................................................................................................................................. 172 Case Study 16: Salto Caxias Hydropower Project, Brazil .......................................................... 210 Case Study 17: Patrimonio Hoy, Mexico ............................................................................................... 212 Introduction ......................................................................................................................................174 References .............................................................................................................................. 214 Case Studies ....................................................................................................................................180 Case Study 1: Second Rural Investment Project (AzRIP-2), Azerbaijan ...........................................180 Case Study 2: Juan Bobo Resettlement Project, Colombia .................................................................... 182 Case Study 3: UPP Social, Brazil ........................................................................................................................ 184 Case Study 4: Barrio Ciudad Urban Project, Honduras ............................................................................186 Case Study 5: Violence Prevention and Urban Upgrading, South Africa ........................................ 188 Case Study 6: PROCAV II Stream Canalization Program, Brazil .........................................................190 Case Study 7: Integrated Urban Project, Medellín, Colombia ................................................................ 192 Case Study 8: Priority Intervention Project, Romania ............................................................................. 194 Case Study 9: Moving to Opportunity for Fair Housing, United States ........................................... 196 Case Study 10: Quinta Monroy, Chile ...............................................................................................................198 Case Study 11: Flood Protection Program, Argentina .............................................................................. 200 Case Study 12: Inner City Basic Services Project, Jamaica ................................................................. 202 Case Study 13: CESAR Project, Romania ...................................................................................................... 204 Case Study 14: Post-Accession Rural Support Project (PARSP), Poland ....................................... 206 Case Study 15: Juventud y Empleo Program, Dominican Republic .................................................... 208 170 171 Case Studies Abbreviations ANCPI National Agency for Cadastre and Property Registration PIU project implementation unit CAF Comunidad Andina del Fomento RAC Resettlement Advisory Council CESAR Complementing EU Support for Agricultural Restructuring RGD Registrar General’s Department CIG common interest group RSDF Romanian Social Development Fund COPEL Companhia Paranaese de Energia SDF social development fund CPTED Crime Prevention through Environmental Design SIP Social Inclusion Project CRABI Regional Commission of Affected People TDC technical design company EU European Union TRN taxpayer registration number FHIS Honduran Social Investment Fund TVET technical and vocational education and training GIS Geographic Information System UPP Pacifying Police Unit HUD U.S. Department of Housing and Urban Development VPUU Violence Prevention and Urban Upgrading ICBSP Inner Cities Basic Services Project IG initiative group INFOTP Instituto Nacional de Fomracion Tecnica Profesional IPP Instituto Pereira Passos IUP Integrated Urban Project JSIF Jamaican Social Investment Fund KfW German Development Bank KRUS Kasa Rolniczego Ubezpieczen ia Spolecznego LMU local monitoring unit M&E monitoring and evaluation MA management agent MIS Management Information System MSG multidisciplinary study group MTO Moving to Opportunity NGO nongovernmental organization NHF National Health Fund O&M operation and maintenance PARSP Post-Accession Rural Support Project PAT project assistance team PHA public housing agency PIP Priority Intervention Program 172 173 The following are highlights of the 17 case studies, classified by the ten categories of needs. Interventions responding to Introduction physical/spatial needs improving the living conditions of Lessons from interventions for Disadvantaged Roma communities are heterogeneous, face different impediments, and have diverse needs. marginalized communities A specific need can be attributed to different causes or impediments, depending on the challenges faced by communities. For instance, Roma adults can find it difficult to get a job because they do not have the right Access to basic community services skill mix; because they do not have physical access to nearby job markets; or, in some cases, because they Second Rural Investment Project (AzRIP-2), Azerbaijan experience discrimination. Different needs and impediments usually interfere with each other and mutually Basic community services include the community infrastructure to ensure provision of accessible and reliable supply reinforce a community’s disadvantages, and require interventions to address them holistically. This means of water, electricity, sanitation, and waste collection. The Second Rural Investment Project (AzRIP-2) in Azerbaijan that interventions need to be integrated and customized to the context of each community. For example, is a good example of an intervention for improving and accessing rural infrastructure. The participatory approach simply moving a Roma family into better housing, with better infrastructure and connectivity to services, allowed communities to designate priority needs, such as roads, water supply, irrigation, and health and childcare does not automatically improve their socioeconomic condition. Failing to take this into account can lead to centers, in addition to some income-generating activities. unsustainable situations in which families start lagging behind in utility payments or cutting back on housing maintenance. Understanding the specific needs and the root causes of Roma exclusion is therefore essential if Juan Bobo Resettlement Project, Colombia Global Case Studies interventions are to be effective and sustainable. The Juan Bobo Resettlement Project in Medellín, Colombia, is an example of an integral intervention that combines In an attempt to help communities assess their needs and apply an effective combination of interventions improvement of basic services, infrastructure for the development of public spaces, and provision of housing for that address those needs, the Handbook for Improving the Living Conditions of Roma through European resettled households. It involved urban infrastructure upgrading, employment generation activities, and environmental Structural and Investment Funds (hereafter referred to as the Handbook) provides a Diagnostic Questionnaire remediation, in addition to providing adequate housing solutions for households that had to be resettled from risk areas. for Community Needs Assessment and a Table of Potential Place-Based Intervention Options, found in Module It pursued the development of harmonic and enjoyable public spaces to raise the neighborhood’s living conditions. This 3. While the Diagnostic Questionnaire facilitates the inventory of community needs, classified by categories, project has been internationally recognized for its participatory and integrated approach. The alternative densification the Table presents corresponding intervention options for each category. approach of this intervention could be applicable in similar contexts where space for resettlement is limited. This compilation of global case studies aims to offer examples of some of these intervention options. The 17 UPP Social, Brazil case studies illustrate innovative approaches to improving the living conditions of marginalized groups, and The UPP Social project in Brazil aims to fully integrate slum neighborhoods into the city by promoting urban, social, also provide examples of good practices and measures for increasing the effectiveness and sustainability of and economic development, as well as local citizenship in the targeted communities. It increases the coverage and these interventions as presented in the Handbook. Not all projects included in the case studies were entirely quality of public services on a demand-driven basis. Social workers are posted in the communities to interact with the successful; the case studies focus on highlighting the key approaches, activities, and practices that can be community members and collect direct feedback and ground-level information from the neighborhood. A geographic drawn from the projects. Since the Handbook is focused on local-level, location-based interventions, which will information system (GIS) technology is used to map out infrastructure, points of services, and community needs. be planned and implemented at the community level rather than at regional or national levels, interventions Disadvantaged communities can benefit from a similar on-the-ground presence of project liaisons (experts, social presented in the Handbook and this supplement are also limited to those location-based at the local level. workers, and so on) who can constantly monitor needs and issues in the community to coordinate the provision of Some of the case studies also provide examples of how managing authorities can design calls for proposals or necessary public services. facilitate the development and implementation of projects by local actors. The cases are organized by the categories of needs they address as classified by the Table in the Handbook: five types of physical/spatial needs and five types of nonphysical/immaterial needs that affect the four Safe location crucial areas of Roma inclusion, namely housing, employment, education, and healthcare.1 It is important to Violence Prevention and Urban Upgrading, South Africa keep in mind, however, that all projects presented here are integrated and involve multisectoral approaches to Barrio Ciudad Urban Project, Honduras address different but often interrelated challenges. Therefore, although the case studies are organized by the PROCAV II Stream Canalization Program, Brazil most prominent need each one addresses, each case study illustrates good practices and approaches in more than one area. The colored boxes at the top of each case study indicate the types of needs addressed by the Poor and disadvantaged communities are often exposed to violent environments, natural disasters of manmade interventions presented. Table 1 at the end of this introduction maps the relevant needs and interventions hazards, and/or do not have clean and safe public spaces that can be enjoyed by all community members. Two addressed by each case study. The table also lists other good practices suggested in the Handbook that are cases—one from Honduras and one from South Africa—highlight the use of participatory approaches and inclusive illustrated by the case studies. Just as with the interventions highlighted here, the good practice examples are urban design to improve public safety, while also upgrading public spaces and infrastructure. They illustrate how an not exhaustive; there may be other possible good practices not mentioned in the Handbook. It is also important integrated approach to infrastructure upgrading can help communities overcome extreme poverty and debilitating to note that the interventions presented in the case studies should by no means be considered as panacea, or social problems, including crime and violence. The Violence Prevention and Urban Upgrading project in South Africa readily transferrable; relevant elements of these interventions need to be customized and integrated into the did this by creating a network of safe public spaces, which also served as community centers. The case study is an context of local communities. example of improving economic opportunities through urban upgrading in marginalized and violent neighborhoods. It demonstrates that inclusive urban design with community participation can transform a blighted and violent 1 These neighborhood into a vibrant one. The Barrio Ciudad Urban Project in Honduras integrated urban upgrading with public four crucial areas of Roma integration are identified in the EU Framework for National Roma Integration Strategies up to 2020. safety measures, such as participatory creation of insecurity maps with communities; mobilization of community 174 175 members, especially the youth, around violence prevention activities; and improvement of selected public Adequate housing spaces associated with crime and violence. This project also brought basic urban infrastructure such as access roads, lighting, and water supply to marginalized settlements using Crime Prevention through Environmental Quinta Monroy, Chile Design (CPTED) principles. These types of interventions could be applicable to the Roma context when dealing Flood Protection Program, Argentina with poor and vulnerable communities, where the risks of crime and violence induced by marginalization, Access to a safe housing structure that provides sufficient space, safety, hygiene, and protection from the elements unemployment, and youth idleness are high. improving the living conditions of is critical for children to grow and develop, and for people to stay healthy, fit, and productive. Chile’s Quinta Monroy project is a successful example of incremental housing where the design took into account the community’s social Lessons from interventions for When communities are located in areas prone to natural disasters or environmental or manmade risks, they and economic context. The main innovation of this project is to provide basic housing structures at low cost, allowing marginalized communities need to be relocated to safer sites. Resettlement, however, is a delicate intervention, and if not carried out households to customize and incrementally improve their dwellings at their own expense and according to their properly can disrupt livelihoods and place new burdens on the community. The PROCAV II Stream Canalization preferences. The project’s design also helped preserve the community’s social fabric. This type of intervention can be Program project in Brazil, which involved the resettlement of high-risk communities from floods and applicable to Roma communities living in dilapidated housing with poor access to services. mudslides, demonstrates the value of extensive socioeconomic considerations and community consultations in customizing the resettlement actions to meet the needs of vulnerable people. Through a highly consultative Another good model for improving housing conditions is the Flood Protection Program in Argentina. Centered on a process involving the communities, multiple housing options were offered to affected households, based on community-based approach, the program leveraged local social capital and community resources to build new housing their socioeconomic needs and preferences. Involvement of community representatives played a key role in units at a low cost. The self-construction approach, which used community labor, also increased employability, coordinating and monitoring processes to ensure that the expectations of the affected people were managed. fostered self-esteem, and bolstered neighborhood solidarity among affected residents. This case is applicable to the These approaches can be used to minimize the negative impacts of resettlement, in case a Roma community improvement of housing conditions for poor Roma households that do not have sufficient resources to pay for the or neighborhood needs to be resettled to another location. construction or rehabilitation of their houses. It is also applicable when a marginalized neighborhood needs to be Global Case Studies resettled from a hazardous or disaster-prone area. Accessible and well-connected communities Integrated Urban Project in Medellín, Colombia Interventions responding to Priority Intervention Project in Bora, Romania nonphysical/immaterial needs Accessible roads, reliable public transportation, and school and healthcare facilities are necessary to connect the community to jobs, social services, markets, and other opportunities. The Integrated Urban Project in Medellín, Colombia, illustrates how a participatory approach to infrastructure upgrading was used to help Tenure security communities overcome exclusion. The project included interventions across a range of sectors: housing, environment, mobility and connectivity, education, health and nutrition, job training and employment, and CESAR Project, Romania governance and justice. The results showed improved overall quality of life in the community. This type of Land is a source of food and shelter, the basis for social, cultural, and religious practices, and a central factor in intervention could be applicable when dealing with marginalized communities, including those that have been economic growth. The livelihoods of many, particularly the poor, are based on secure and equitable access to land spatially segregated. and resources. Residential address is often a requirement for accessing social services and voters’ registration. Formalization of land and property rights is also a basic requirement of access to credit. The CESAR Project in The Priority Intervention Project in Bora, Romania sought to provide community-based social services to a Romania facilitated the regularization of property rights for vulnerable groups through (i) vulnerability mapping; marginalized Roma community, including school integration for children and social, cultural, and educational (ii) local awareness campaigns; (iii) community meetings; (iv) social monitoring; and (v) introduction of flexible counseling activities for adults. The intervention emphasized active community involvement throughout the registration instruments, such as certificates of possession. Although the project did not guarantee an immediate or project cycle, showcasing the importance of instilling a sense of ownership for project success and sustainability. full regularization of the identified informal Roma settlements, it provided an opportunity for the inhabitants to claim their due property rights and initiate regularization negotiations. These approaches and techniques are applicable to informal Roma settlements, where their access to services and opportunities are hampered by the lack of formal Spatial integration property rights. Moving to Opportunity for Fair Housing, United States The physical isolation of poor or marginalized communities is often a reality that can reinforce poverty and exclusion. Moving to Opportunity for Fair Housing, an experimental program in the United States, examined Civil documents the impact of resettling disadvantaged families from poor neighborhoods to more affluent ones. It used a Inner City Basic Services Project, Jamaica voucher system to subsidize rental costs for families so they could move from high-poverty to low-poverty Documents such as birth certificates and identification cards are often required to verify eligibility for accessing neighborhoods. The results of the action research indicate that merely moving disadvantaged families to public and social services. Missing documentation thus becomes a barrier to improving livelihoods. The Inner City low-poverty neighborhoods is not enough to improve their living conditions. It makes a compelling case for Basic Services Project in Jamaica is an example of a successful initiative that included a civil registration activity. integrated approaches that combine housing with other targeted interventions. Selected communities were provided with assistance in obtaining documents required for accessing available social and public services. 176 177 Capacity of social service providers Table 1. Case Studies and Relevant Good Practices Relevant Types of Needs Addressed Good Post-Accession Rural Support Project (PARSP), Poland Practices Presented Social service providers often lack suitable training to work effectively with people of disadvantaged backgrounds Physical Nonphysical in the such as the Roma. Poland’s Post-Accession Rural Support Project (PARSP) is a good example of mobilizing Handbook improving the living conditions of Awareness and capacity of community members and enhancing the capacity of local stakeholders for improving the quality and types of social services in the community. This case study can be applicable to Roma communities living in rural or isolated areas where local Lessons from interventions for authority and community members have limited capacity to plan and implement projects. Technical assistance marginalized communities Capacity of social service providers and capacity building of local civil society organizations and local authorities can be carried out in a similar fashion, bringing in outside experts while working within the community. Formalizing property rights Community engagement Participatory monitoring Access and connectivity Planning resettlement Spatial integration Skills, information, awareness, and Civil documents Tenure security Basic services Highlighted Intervention Case Study Safe location capacity of community members Area of Need Options Housing Income Juventud y Empleo, Dominican Republic Addressed Salto Caxias Hydropower Project, Brazil Basic services Neighborhood upgrading 1. Second Rural Investment Global Case Studies Individuals in marginalized communities often cannot exit a cycle of poverty and exclusion because they Project, Azerbaijan lack the skills and information needed to participate in the labor market or to access social services and 2. Juan Bobo Resettlement opportunities. Building technical and life skills can thus make a significant positive difference in people’s lives, Project, Colombia as the Juventud y Empleo case study from the Dominican Republic shows. The model of the intervention— 3. UPP Social, Brazil Physical/Spatial Needs combining life skills and job training with an internship for real-life experience in the labor market—could be Safe location Public safety programs 4. Barrio Ciudad, Honduras adapted to meet the skills needed in a community. Resettlement and 5. Violence Prevention, livelihood restoration South Africa Another intervention—the resettlement program carried out under the Salto Caxias Hydropower Project in Brazil—involved a comprehensive set of services aimed at increased productivity and business opportunities for 6. PROCAV II, Brazil the beneficiary communities. The project activities included market research to identify business opportunities, Access and Improving neighborhood 7. Integrated Urban Project, capacity training of community members, and formation of cooperatives. These techniques can be applied to connectivity connectivity Colombia improving the livelihood opportunities of Roma communities with limited chances for income generation. Social infrastructure 8. Priority Intervention Project, upgrading Romania Spatial integration Desegregation 9. Moving to Opportunity, U.S. Housing Housing improvements 10. Quinta Monroy, Chile Income Additional housing 11. Flood Protection Program, Argentina Patrimonio Hoy, Mexico Civil documents Civil registration 12. Inner City Basic Services People with limited resources are often denied access to credits and loans, preventing them from improving Project, Jamaica housing, starting a business, accessing education, or receiving healthcare. The Patrimonio Hoy project in Mexico Tenure security Land regularization 13. CESAR, Romania illustrates an innovative model of noncollateralized microfinancing. It consists of a membership system in Nonphysical/Immaterial Needs which participants pay a small weekly sum and receive technical expertise in addition to financing for building Capacity of service Service providers’ training 14. Post-Accession Rural Support providers Project, Poland or improving their own housing units. It not only made credits available to low-income households, but also Mediators program provided expertise and services to keep the cost of housing improvement low. In addition, the project enhanced Education support the skills of participants (for example, construction, accounting) and increased their employability. This Public employment intervention can be replicated in low-income communities with no access to suitable financing mechanisms. Awareness Training schemes 15. Juventud y Empleo, and capacity Dominican Republic Employment services of community members Parents’ involvement promotion 16. Salto Caxias Hydropower Project, Brazil Awareness raising and life skills education Income Microfinancing 17. Patrimonio Hoy, Mexico 178 179 Access and Physical needs Housing Basic services Basic services Safe location Spatial integration connectivity connectivity Project design Capacity social Capacity of social Awareness and Awareness and AzRIP-2 comprises three main components. Component A, Rural Community Infrastructure, provides financing for Nonphysical needs Tenure security Civil documents service service providers providers capacity Income micro-projects in 56 rayons across the country. Main beneficiaries are communities of between 1,000 and 10,000 inhabitants, which meet set criteria and have high rates of poverty. Typical priority projects as identified by the Case Study 1 communities include potable water, irrigation, sanitation systems, secondary roads, health and childcare centers, and parks. Second Rural Component B, Technical Assistance for Rural Infrastructure, enhances the capacity of local stakeholders and provides Azerbaijan Investment Project technical assistance to six pilot livelihood support initiatives. These focus on improving socioeconomic conditions through mobilization and organization of common interest groups (CIGs) and identification of income-generating (AzRIP-2), Azerbaijan 2 activities. They will benefit about 1,200 people in six communities, chosen from among those that have successfully implemented micro-projects under the first AzRIP. CIGs within the targeted groups will be trained in business management and eligible to submit community-approved micro-project proposals for financing under Component A. Supporting rural communities to develop and implement The livelihood services pilot is a direct example of responsiveness to community needs, as the demand for income- investment projects generating activities came from the beneficiaries. Component C, Project Management and Results Monitoring, funds the administrative and operational costs of project evaluation and assessments of indicators, data, and physical verification of subproject implementation. In the past decade, Azerbaijan has experienced deteriorating infrastructure (roads, water, energy), especially in rural areas. A key institutional feature of AzRIP-2 within Component B is the formation of regional project assistance teams Second Rural Investment This has in turn led to poor service provision and lack of (PATs) and technical design companies (TDCs), which play a key role in helping local communities design and implement development, impeding the fight against poverty in many of projects. PATs have outreach, social mobilization and facilitation functions—they provide “hand holding” support those rural regions. A significant inequality gap has emerged Quick Facts for local communities to through (i) sensitization—community outreach, program marketing and advocacy, socially Project (AzRIP-2) between rural and urban dwellers in terms of access to and inclusive mobilization, and awareness raising; (ii) local initiative identification—selecting the top 4–5 priority needs and Country: Azerbaijan quality of public utilities, income levels, and rates of healthcare local development action plans, fostered through participatory methods; (iii) community mobilization—facilitation of Execution period: 2012 to 2017 access and educational attainment. Closing the gap requires the organization and rapid capacity enhancement of local project committees—community members that represent increasing incomes from agricultural labor and diversifying Total project cost: US$53.6 million the interest of the community throughout the project management cycle; (iv) planning and designing of investment the non-farm rural economy. Rural infrastructure is a key Total number of beneficiaries: 600 projects—assistance in preparing a project proposal and applying for AzRIP funding, based on the technical design component of this effort, as road accessibility, irrigation communities (1.5 million individuals) of the project to be prepared by a TDC; and (v) implementation—provision of training to local project committees and drainage systems, and public utilities are necessary for under Component A; 150,200 on project management (financial literacy, public consultations, grievance mechanisms, monitoring & evaluation, and individuals under Component B efficient economic activities and livelihood improvements. so on), implementation support (procurement, supervision), knowledge brokering services, and facilitation (decision Financed by: The World Bank and the Republic making on procurement, operation and maintenance (O&M) arrangements, financial management, and so on) Municipal and local government agencies have been of Azerbaijan throughout subproject implementation. Global Case Studies working to reduce disparities between rural and urban Executor: State Agency for Agricultural regions, but they were in need of capacity development Credits (SAAC) TDCs are responsible for providing technical expertise and helping with the preliminary project designs, comparing and strengthening. The Second Rural Investment Project Project development objective: To improve technical and costing feasibility of alternatives, preparing technical documentation packages, environmental standards, (AzRIP-2) mobilizes the targeted communities to work access to and use of community- as well as implementation monitoring and sustainability plans. Each community must also designate a community closely with local institutions. AzRIP-2 is a repeater project, driven rural infrastructure and to engineer to collaborate with the TDC and PAT units. The combination of demand-driven projects within communities expand economic activities for rural building upon and expanding on the design and lessons of and the integration of highly trained PATs and TDCs on the ground enhance the effectiveness of interventions. households the existing AzRIP, first implemented in 2005. Through assessments and input from participating communities, it Key feature: Regional PATs and TDCs support the targeted communities in was determined that AzRIP-2 would pay special attention developing and implementing projects Results and lessons to sustainability and maintenance issues, and focus on by providing training, community social and gender inclusion. Its design addresses priority mobilization, and technical assistance Impact evaluations from the first AzRIP have shown significant improvements in rural communities’ mobility, access needs indicated by the beneficiaries, predominantly rural Applicability: This case study could be to infrastructure services, and increased farmers’ incomes. Moreover, a focus on sustainability, maintenance, and infrastructure access projects (such as roads, water supply, applicable to EU member states accountability resulted in 90 percent of rehabilitated infrastructure being functional. irrigation) and livelihood and income-generating activities. where disadvantaged communities lack local institutional capacity to A strong positive result is the enhanced involvement and capacity of community members and local authorities in prepare and implement projects. developing and implementing projects that are relevant and appropriate to their needs, capacity, and other contexts. Managing authorities could set up similar units for providing technical Replicating the TDC and PAT model in other marginalized, impoverished communities, such as those with Roma assistance for local actors to develop populations, would ensure that targeted groups benefit from these teams’ expertise in capacity-building, training, and implement projects and project conception and implementation. 2 Schlossar and Owen, 2012. 180 181 Access and Physical needs Housing Basic services Basic services Safe location Safe location Spatial integration connectivity Project design Capacity of social Awareness and Awareness and This pilot project was designed to have high levels of community participation. For instance, prior to the project’s Nonphysical needs Tenure security Tenure security Civil documents service providers capacity Income design, the community was involved in a participatory diagnostic that allowed the municipality to delimit the area of action and identify the 300 households that needed to be resettled. In addition, an Urban Pact was signed between Case Study 2 the government secretary, the culture secretary, and other groups that had control over the area of intervention. Its Juan Bobo purpose was to allow a harmonic development of the project in the area. Resettlement Project, The project combined environmental remediation of the Juan Bobo River with resettlement and disaster risk management. It also pursued the development of harmonic and enjoyable public spaces to raise the living conditions Colombia of the neighborhood and provide either titles or housing solutions using existing social housing programs. The integral 3 character of the project required the intervention of a large number of agencies at the municipal, state, and national Colombia level, which increased the complexity of institutional coordination. Managing risk through resettlement and densification The Urban Development Company, which was the main implementing agency, promoted different income-generating activities by providing technical training and supporting communal entrepreneurship. Women in particular were This case study presents an alternative approach to trained in handling food, clothes, and shoes confection and entrepreneurship. Other activities undertaken to leverage resettling low-income households based on densification the community were the use of labor force for constructing infrastructure and housing improvements; training on (increasing the density of population in a given area). Under accessing housing subsidies and maintaining houses; cleaning the river; and environmental workshops. this approach, households located in risk areas are resettled nearby in multistory buildings. This case study also involved Resettlement Project environmental remediation, income-generating activities, and urban infrastructure (parks, public space, and so on) Quick Facts upgrades. This model, which used integral and participatory Country: Colombia approaches, can also be applicable for communities that need to be resettled due to infrastructure projects. Execution period: 2004 to 2007 Juan Bobo Total project cost: about US$3 million The project’s area of intervention is in the northeast districts of the city of Medellín. This settlement—as can be seen in Total number of beneficiaries: around 1,240 inhabitants the photo on the right—was located in a high-risk area near the Juan Bobo River. Most of the area was occupied following Financed by: National, state and local government informal processes. Prior to the intervention, 80 percent of dwellings had functional or structural dysfunctions and 94 Key feature: To resettle (nearby) households living in risk areas through Global Case Studies percent of the households were not the legal owners of the land densification using integral and Results and lessons they occupied. Access to basic services was also precarious, participatory approaches. Apart from As a result of the project, beneficiary families legally own their dwellings, and the construction of multistory buildings with around 50 percent of households having informal water providing adequate housing solutions, benefited 108 households from the area. The project also improved access to basic services. Today most families supply, 35 percent having informal electricity supply, and 100 the project involved environmental remediation, employment generation have access to water supply, sewerage, and garbage collection. In addition, the public spaces generated by the project percent having informal waste water disposal (mostly going activities, and upgrading of urban allowed the average area available per inhabitant to be raised from 0.5m2 to 3.2m2. to the river). It was estimated that 90 percent of the water infrastructure flow in the Juan Bobo River came from disposal of waste This pilot project has been recognized by a number of international organizations such as the Comunidad Andina Applicability: This model can be applicable to water. In addition, there was an overall lack of public space in del Fomento (CAF) and UN-Habitat. It received the Best Practices Dubai International Award in 2008. The project Roma communities living in high-risk the area, with a density ratio of only 0.5m2/hab. areas or communities that need to showed it was possible to mobilize the community to generate urban transformations. In this case, it was possible to be resettled due to infrastructure manage the risk of flash floods using environmental and technical criteria while resettling households nearby. This resettlement project started in 2004, when the local projects government decided to pilot an in situ resettlement using In order to manage informal settlements, it is recommended joining institutional efforts to adapt formal response systems in the housing sector. For example, providing housing subsidies and covering the full cost of housing requires integral and participatory techniques. This resettlement coordination between all levels of government (national, regional, local) in Colombia. Joining forces to act in specific project is part of the Neighborhood Improvement Program lead by the Medellín Municipality that seeks to territories allows projects to benefit from synergies between components and generating urban transformations. improve the living conditions of marginalized settlements, which are predominantly informal. Some lessons learned from this pilot project served to adjust the methodology of Integrated Urban Projects in It is an integral intervention that combines infrastructure for the development of public spaces, improvement Colombia. of basic services, and provision of housing for resettled households. One of the main innovations of the project is that households—which were in the risk areas near the river—were resettled nearby in apartment buildings Some Roma settlements are located in areas at high risk for natural disasters, which makes them unsuitable for in that were built for this purpose through social housing programs. As a result, 4,000 new dwellings were situ upgrading. However, resettlement can disrupt social safety nets, generate income shocks, and affect households’ constructed in multistory buildings. livelihoods. When dealing with marginalized and poor communities like the Roma, these shocks can have severe and lasting consequences on their human development. The alternative densification approach of this intervention could be applicable to similar contexts. 3 de Medellín, 2011. 182 183 Access and Physical needs Housing Basic services Basic services Safe location connectivity connectivity Spatial Spatial integration integration Program design The UPP Social program has a coordinating function; it does not directly provide any services. It is designed to be Capacity social Capacity of social Awareness and Awareness and Nonphysical needs Tenure security Civil documents service service providers providers capacity Income transitional and meant to disappear once full integration of the targeted communities into the city is achieved. UPP Social benefits from the resources of the municipality and the expertise of the Instituto Pereira Passos (IPP), an organization of the Rio government. IPP manages the city’s georeferencing system and is responsible for strategic urban planning. The IPP’s Directorate of Special Projects is dedicated to the development of programs and projects for social integration, and provides support to various departments and agencies of the municipality in the formulation, coordination, and management of intersectoral actions. On the ground, the program utilizes a community-driven Case Study 3 approach in interacting with the beneficiaries directly to identify needed interventions, impediments, and to collect UPP Social, Brazil 4 information. Ultimately, the standard of services provision that UPP Social seeks to achieve is the level of coverage typical for the rest of the city. An example of UPP Social’s contribution is its role in planning and implementing new logistics of garbage collection Social integration in marginalized communities in the beneficiary communities, by mobilizing residents to define points of collection, and by starting recycling programs. Other interventions include initiatives for managing traffic, identifying families eligible for social benefits, The city of Rio de Janeiro comprises many favelas—urban Quick Facts and recovering public spaces. slums plagued by poverty and social exclusion. Many favelas Global Case Studies UPP Social Brazil have been controlled by violent gangs and drug lords, who Country: Brazil The UPP Social is organized into three teams that function together. The Territorial Management teams are on the terrorize the community and create functionally lawless Execution period: 2010–present ground, and their purpose is to interact daily with the community and its representatives to collect georeferenced data areas in the midst of the city. The residents of these and feedback on implemented actions. This creates an open channel of communication with the community, making Total project cost: N/A communities are marginalized and experience inadequate it easier to identify needs, while also gathering the most current information on existing infrastructure, conditions, and fractured provision of essential public goods and social Total number of beneficiaries: 27 pacified areas and capacities within the community. Information Management teams analyze qualitative and quantitative data services. and evaluate the issue areas identified by the interactions with beneficiaries and the services offered in response. Financed by: Municipal government of Rio de Janeiro Institutional Management teams decide on which priorities and programs will be addressed and implemented by To restore order to these isolated pockets, the municipal the municipal government. They agree with representatives of the communities on enforceable commitments and Rio government launched the Pacifying Police Units (UPP) Executor: City Hall of Rio de Janeiro and UN- benchmarks to be achieved in the interventions, and identify and mobilize the relevant responsible agencies. program in 2008. The goal of the UPP was to take back the Habitat, coordinated by the Instituto Pereira Passos favelas by expelling and disarming the criminal elements, An exemplary feature to be noted in the project’s design is the composition of the Territorial Management teams. provide police protection to the citizens, and restore Project development objective: 1) promote There are about 90 community workers who make up the teams, and more than half of them come from the peace. The UPP Social program is meant to supplement local citizenship in targeted communities; 2) promote urban, communities they serve. This ensures they are particularly knowledgeable about the priorities to be addressed. the pacifying process by fully integrating the pacified social, and economic development; Moreover, they have all undergone required training and have an advanced degree in a field relevant to their work (a communities into social fabric. Executed by city hall and UN- and 3) achieve full integration of minimum of a master’s degree in sociology, anthropology, law, and so on). Habitat, and coordinated by the Instituto Pereira Passos, it these areas into the city consolidates the gains of the UPP by supplementing them Key features: Territorial management teams with integrated actions at the local level that would promote are deployed in the communities, Results and lessons urban, economic, and social development. which enabled (i) increased daily The UPP Social is an ongoing program, and comprehensive results are expected in the future. There are about 20 interaction with the community, (ii) ground-level data collection, and (iii) specific indicators being developed to measure outcomes that will look at factors such as health and education levels. Initial priority needs in each community vary and are assessed direct feedback from the community. by UPP Social teams immediately after the implementation A Geographic Information System One of the program’s features that can be replicated in other social inclusion interventions is the direct involvement of a UPP force. The format of the consultation is an official (GIS) technology is used to map out of people from the targeted community in the work of the project, upon completion of relevant training. This would forum open to community leaders, NGOs, local institutions, infrastructure, points of services, and create a sense of ownership and a commitment to the intervention’s success. Continued and direct communication needs in the community and representatives of the UPP and government. This with all members of the community, including local NGOs and government representatives, is also essential to keep encourages an open dialogue about the needs, expectations, Applicability: Disadvantaged communities track of priorities and results. can benefit from the similar on-the- and preliminary plans of action on immediate and future ground presence of project liaisons concerns. A noteworthy innovation of the project is the use of GIS technology to map the communities—it offers an accurate, (experts, social workers, etc.), who can constantly monitor community current view of streets and sites. The public database created as a result of georeferencing technology allows residents needs and issues and coordinate the to access real-time information online, complete with maps, satellite images of communities, and information about provision of necessary public services ongoing projects. This promotes the transparency and accountability of social programming interventions. Roma communities in urban slums or informal settlements can benefit from the similar on-the-ground presence of project liaisons (experts, social workers, and so on), who can constantly monitor needs and issues in the community and coordinate the provision of necessary public services. 4 UPP Social, n.d.a. 184 185 Access and Physical needs Housing Basic Basic services services Safe location Safe location connectivity connectivity Spatial integration Project design The Honduran Social Investment Fund (FHIS) was the implementing agency for this project, which covered three Capacity social Capacity of social Awareness and Awareness and Nonphysical needs Tenure security Civil documents service service providers providers capacity Income windows: Neighborhood Upgrading, Crime and Violence Prevention, and Technical Assistance. Target areas included medium cities and urban municipalities with populations greater than 15,000, excluding Tegucigalpa and San Pedro Sula. The following municipalities were selected: Choloma, El Progreso, Siguatepeque, Puerto Cortes, Comayagua, Danli, Villanueva, and Santa Rosa de Copan. Case Study 4 The project was cofinanced by the World Bank (US$15 million) and the government of Honduras (US$1.5 million). Barrio Ciudad In addition, participating municipalities had to provide between 15 and 20 percent of the total cost of subprojects. A set of eligibility criteria was defined for each window. The Neighborhood Upgrading window targeted areas where at Urban Project, least 75 percent of the households were poor and had high crime and violence rates. Some examples of investments developed under the Neighborhood Upgrading window include: (i) building/rehabilitation of basic infrastructure, such Honduras as stairs, sidewalks, roads, and public lighting; (ii) improvement of access to basic services such as electricity and water supply and sanitation; (iii) improvement/creation of public spaces such as parks and sports facilities. Each specific investment to be financed was identified—at an earlier stage—in an Integrated Neighborhood Improvement Improving basic urban infrastructure and Plan. Honduras mainstreaming public safety principles Subproject designs had to incorporate CPTED principles, and involved the community in the prioritization of investments. Examples of activities developed under the Crime and Violence Prevention window include: (i) participatory creation of The Barrio Ciudad Urban Project merges urban upgrading insecurity maps with communities to inform project design; (ii) mobilizing communities, especially the youth, around with public safety activities using a participatory approach violence prevention activities; and (iii) improvement of selected public spaces associated with crime and violence. at the community level. This case study provides some examples mainstreaming public safety principles through Under the capacity-building component, the project included activities such as vocational training, environmental urban design. management, community development, and specific training to key community actors (teachers, leaders, policemen) to prevent crime and violence. Teachers and community leaders were trained in conflict resolution and prevention. This Honduras is among the countries with the highest per capita Quick Facts was complemented by a temporary employment generation program financed by the Japan Social Development Fund. Urban Project Barrio Ciudad homicide rates in the world, with 86 homicides for every Country: Honduras Prior to approval, a set of key development indicators and progress indicators were defined, and FHIS was responsible 100,000 inhabitants (in 2011). Gang violence is common, Execution period: 2005 to 2013 for collecting information. An impact evaluation of some subprojects is currently underway. with youth and poor representing a disproportionate number Total project cost: US$16.5 million of victims. In destitute conditions, gang membership often provided a sense of belonging and was an easy way for Total number of beneficiaries: 55,891 direct youth to make a living. At the time of preparation of the and over 925,000 indirect beneficiaries Results and lessons Barrio Ciudad project, Honduras was experiencing one of the Financed by: The World Bank and Honduran Under the project, 15 neighborhoods in 8 municipalities were improved; 600 community leaders were trained in highest urbanization rates in Latin America, and homicide government community development issues; 80 neighborhood cleaning campaigns were conducted; and 600 persons (officials, Global Case Studies rates doubled between 2005 and 2010. In combining urban Executor: FHIS youth, and so on) were trained in environmental management and crime and violence prevention. infrastructure and public safety activities, the project Project development objective: Improve the Initial results are very promising. In the first community, where all infrastructure works and social interventions have addressed the government’s desire to solve the challenges quality of life for the urban poor and been delivered, 85 percent of community residents reported feeling safe in their neighborhoods and 76 percent feel of urban development with an integrated approach. to enable their municipal governments safe in their own homes (compared to 51 percent before). Results from the impact evaluation are expected to provide to continue and sustain such more evidence on the project’s causal effects. improvements • The following lessons may be drawn from this project: Key feature: Merging urban upgrading and public safety activities using Participatory approaches were incorporated into the design throughout the project cycle (diagnostic, design, a participatory approach at the construction, maintenance), and were key to the project’s success. Working with partners (government, civil community level. The project is being society, private sector) to strengthen leadership at community level contributed to improving community- complemented with a temporary • police relations and building citizens’ confidence in the authorities. employment generation program Experiences from Latin America, and globally, show that successful and sustained reductions in levels of crime Applicability: This type of intervention could be applicable to the Roma and violence have mostly been achieved through integrated and participatory approaches at the municipal context when dealing with poor and level (Bogotá, São Paulo, New York). This is because violence is caused by multiple issues and requires not vulnerable communities with very low just enforcement of laws, but also prevention. Violence is often linked to frustrated youth, unemployment, access to basic services and urban and marginalization; therefore, social integration—participatory approaches—is one of the key elements for infrastructure. It also provides an violence reduction. In the Barrio Ciudad project, the participatory approach included financial contributions example of how to mainstream crime and violence prevention through urban by the communities involved, hiring community members to provide labor in subprojects, and municipal and design neighborhood initiatives to educate and involve people in the planning, implementation, and oversight of activities. This approach yielded stronger social cohesion and trust, a sense of ownership of the projects, and a communal desire for the interventions to succeed. This type of intervention could be applicable to the Roma context when dealing with poor and vulnerable communities with very low access to basic services and urban infrastructure. 186 187 Access and Physical needs Housing Basic services Safe location Safe location Spatial integration connectivity connectivity Project design Capacity of social Awareness and Awareness and Khayelitsha is a dormitory township of 200,000 inhabitants about 28 km from the city center. It was characterized Nonphysical needs Tenure security Civil documents service providers capacity Income by increasing crime rates, poverty, high unemployment, and high HIV rates. Since 1994, significant infrastructure investment made electricity and asphalted roads widely available and waste collection efficient. However, Khayelitsha Case Study 5 still lacked social, cultural, institutional, and economic opportunities for residents. Violence Prevention and VPUU addressed the crime issue by constructing interlinking public spaces. The neighborhood was split into specific South Africa “Safe Node Commercial Areas” which provide a safe overall environment for small business owners moving through the Urban Upgrading, neighborhood. To date, four Safe Nodes have been identified through community consultation, business surveys, crime mapping, and household surveys. Throughout the nodes are “Community Active Boxes,” which are small community South Africa 6 centers staffed 24 hours a day by volunteer community residents and a caretaker who lives on the premises. Each box provides a variety of recreational and community activities. These areas became important parts of the community space and are well used by a variety of residents. Improving economic opportunities through urban upgrading in marginalized and violent settlements A social development fund (SDF) was added in 2007 to fund projects initiated by community members within each Safe Node. The SDF targets small investments (€500 to €5,000) in community infrastructure, which make safety, Quick Facts general, or environmental improvements. The SDF also targets requests for capacity building for income generation. The Violence Prevention and Urban Upgrading (VPUU) project Country: South Africa Beneficiaries make a 10 percent contribution to the projects, which enhances community ownership. To date, funded in South Africa provides an interesting and relevant model to Execution period: 2005 to 2014 projects include 13 child care centers and several youth art and drama festivals. reshape neighborhoods by linking economic opportunity and Violence Prevention and urban design. In this project, community members take an Total project cost: US$55.6 million Financing was provided by a variety of local and international organizations. The majority of the funding came from active role in the project design and implementation, and the Total number of beneficiaries: 200,000 the German Development Bank (KfW). Other funders include the Development Bank of South Africa, the City of Cape project itself has created economic opportunities (in the form residents of Khayelitsha Township Urban Upgrading Town, the Carnegie Corporation, and FIFA (Football for Hope center). Project implementation included the efforts of of jobs) for the community. The VPUU project demonstrated 28 NGOs, several design firms, the local government, and resident volunteers. These groups coordinate all of the Financed by: KfW and various other sources that inclusive urban design through community consultation activities and trainings included in the project. Executor: City of Cape Town can reshape a blighted and violent neighborhood. Project development objective: The project South Africa has among the highest violent crime rates in the aimed to address public safety Results and lessons world, with crime often concentrated in informal and semi- problems by linking economic development with community VPUU demonstrated that inclusive urban design through community formal economically depressed neighborhoods. The City of participation and urban design consultation could reshape a blighted neighborhood. Between 2007 Cape Town, along with support from a number of international Key feature: This project provides an and 2009 the crime rate decreased by 20 percent. New business donors, developed an innovative approach to this intractable example of improving economic have opened and residents report feeling safer. As a result, the problem by linking local economic development and urban Global Case Studies opportunities through urban City of Cape Town hopes to expand the program. The participatory design. The result of this approach was the VPUU project. upgrading in marginalized and violent process in the different stages of the project generated significant The project targets residents of the Khayelitsha Township, neighborhoods. The project has demonstrated that inclusive urban resident ownership. The project’s success hinged on eliciting the which experienced some of the highest rates of violence in design with community participation needs of the community to help reduce crime rather than imposing South Africa. can transform a blighted and violent designs and programs from outside. neighborhood Applicability: This type of intervention This project demonstrates an impressive coalition of actors. can be applicable to Roma However, maintenance of the improvements in the long term may communities living in segregated prove challenging without significant financial commitment from areas disconnected from economic, social, cultural, and institutional the local community and municipal government. Thus, future opportunities, where lack of investments may need to consider long-term financial planning as opportunities could lead to crimes part of their initial planning efforts. and violence Many Roma live in segregated areas disconnected from job markets where the social, cultural, and institutional opportunities required for social inclusion is limited. An intervention like this one, linking urban design with the creation of economic opportunities, could be successful in transforming Roma settlements. 6 Open Architecture Network, 2012. 188 189 Access and Physical needs Housing Basic Basic services services Safe location Safe location Spatial integration Project design connectivity connectivity Capacity of social Awareness and The following four options were given to the favela residents who had to be resettled for the purpose of the project: Nonphysical needs Tenure security Tenure security Civil documents service providers capacity Income The first option—resettlement to new housing complexes—was offered only to families whose monthly income was at least 10 times greater than the value of the monthly mortgage payment. (Families had to pay part of the value Case Study 6 of housing, with a subsidized loan of 20 years.) About 3,800 families moved to the new complexes under PROCAV PROCAV II Stream II. The locations of the new housing complexes, as well as the distribution of resettled population, were determined so as to minimize disruptions to community’s social ties. Social amenities and commercial space were built into Canalization Program, these developments to allow the resettled residents to resume economic activities, since many were engaged in small businesses (such as mini-grocery stores) in their original homes. The average unit cost of each apartment was US$9,725. Brazil 7 The second option—resettlement to improved houses within the same favelas—was made available in areas that were not at risk of recurrent flooding. Upgrading was undertaken of both the housing and the underlying Providing resettlement options through extensive socioeconomic infrastructure. Upon resettlement, residents were given the deeds to their new homes—average unit cost of each Brazil considerations and community consultations house built under this option was US$4,372. Over 600 families were resettled under this option. The third option—resettlement to other houses within the same favela—served families who could not afford the The population in the city of São Paulo, the largest city in subsidized mortgage payments or who did not want to leave the favela. In practice, they were all given the “right” to Brazil, grew from approximately 6.5 million to 11 million in the Quick Facts move to the new housing complexes, which was transferrable to other residents in the nonrisk areas of favela who did last 40 years. The population growth was accompanied by Country: Brazil not have to move. About 600 households moved under this option. a rapid expansion of favelas (slum areas), which grew from Execution period: 1995 to 2007 Canalization Program about 1 to 13 percent of the city’s population during the same The last option—cash compensation—was offered to families who had the deed to their house and could manage period. Many favela settlements are located in risky areas, Total project cost: US$54.9 million to relocate on their own. The compensation amount included transaction costs required in purchasing and moving to PROCAV II Stream a new house. About 1,000 families received compensation. such as on slopes and on the banks of streams that are Total number of beneficiaries: 5,137 prone to flooding. Settlement dwellings are built of unsuitable Financed by: Inter-American Development materials, and most of the inhabitants do not have deeds for Bank and the Municipality of São Results and lessons their properties. Paulo PROCAV II improved the living and health conditions of over 5,000 families8 that were living in high disaster-risk Executor: PROCAV Management Unit areas, while also enhancing flood control and environmental protection. Making the option of staying in the same As part of a flood control program, the Municipal Secretariat reporting to the São Paulo Municipal favela available to the affected families was considered a great success, since it allowed them to keep their social of Urban Infrastructure of São Paulo organized a number Secretariat of Urban Infrastructure of interventions, including stream canalization and slum and economic capital in the new improved neighborhood. Project development objective: Reduce upgrading of the favelas, which comprised construction of environmental risks through Key to the success of the resettlement intervention was a socioeconomic survey conducted prior to project eight dams, over 60 km of canals and roads, and resettlement resettlement and improving housing implementation. Information gathered through this survey enabled the project to determine adequate types and size construction, connectivity, and Global Case Studies of over 7,500 households that were either living in flood-prone of resettlement needs and the demand for associate social services, including schools and health facilities. There was, service provision zones or in areas where the construction took place. The however, room for improvement with regard to the timing and quality of socioeconomic surveys, as the population second stage of this program, supported under PROCAV II, Key feature: Socioeconomic considerations density increased between the surveys and relocation, generating mistrust concerning resettlement, and making the involved resettling about 5,000 of these households between and community consultations project more difficult. provided more favorable options 1995 and 2007. for families who had to be resettled The establishment of the Resettlement Advisory Council (RAC), which included community representatives, played a from hazardous areas. Involvement key role in coordinating and monitoring processes to ensure that the expectations of the affected people were in line Specific objectives of PROCAV II were to reduce risks of of community representatives frequent floods, mudslides caused by unstable constructions, played a key role in coordinating and with the institutional, legal, and financial circumstances of the project. The RAC organized activities and involved and to improve sanitary and housing conditions of vulnerable monitoring processes to ensure that local leaders and representatives of civil society organizations active in the area in the consultation and monitoring the expectations of the affected process. families living in high-risk areas. The project also improved people are managed connectivity of low areas with the construction of new roads This intervention can be applied in circumstances where resettling a community, or an upgrade in living conditions, alongside the canal. Applicability: The approaches from this case is needed due to hazardous or irregular housing conditions. With this approach, customization of solutions and study can be used to minimize the negative impacts of resettlement, preservation of community ties are prioritized. This case study demonstrates an example of mixed options in case a Roma community or used to resolve the resettlement of low-income families neighborhood needs to be resettled to to higher quality houses through extensive socioeconomic another location considerations and community consultations. Offering a combination of options within the same community was key to the success of this project, since the population in the community itself could be as diverse as the general population—facing different socioeconomic challenges and unequal capacities to address them. 7 Marques 8 The number only corresponds to the families included in PROCAV II. Families involved in PROCAV I also benefited similarly and Scombatti, 2011. 190 191 Access and Physical needs Housing Basic services Basic services Safe Safe location location Spatial Spatial integration integration Project design connectivity connectivity Capacity of social Awareness and Awareness and IUP is a planning instrument for integrated interventions in areas characterized by high levels of marginalization, segregation, Nonphysical needs Tenure security Civil documents service providers capacity Income poverty, and violence. IUPs have three fundamental interconnected components: (i) institutional; (ii) community participation and public communication; and (iii) physical. The first seeks to coordinate the different policies and services from the mayor’s office. The second seeks to provide opportunities for community participation in the projects’ design, construction, Case Study 7 and appropriation. The third is the one through which physical transformations are generated. Integrated Urban Project, • IUPs seek to improve the living conditions of communities in a specific territory and generally include the following sectors: • Environment—e.g., construction of linear parks Medellín, Colombia 9 • Mobility and connectivity—e.g., development of integrated transportation systems • Colombia Housing —e.g., relocation of families at risk of natural disasters and project-affected households Bringing equal opportunities to spatially segregated communities • Education, recreation, and sports—e.g., rehabilitation of sport units, libraries, schools, and cultural centers • Training and employment—e.g., creation of Enterprise Development Centers and technical training Integrated Urban Projects (IUPs) are truly integrated projects • Health and nutrition—e.g., rehabilitation or construction of new health centers with high levels of community participation across the project cycle—from preparation to implementation. They combine Government and justice—e.g., installation of Immediate Attention Centers and houses of justice actions from a wide variety of sectors (basic infrastructure, Housing and transportation projects are generally financed by all three administrative levels (local, departmental, Quick Facts health, education, employment, and so on) responding to and national), while the Medellín Municipality largely finances interventions to improve public space and educational Integrated Urban Project Country: Colombia specific needs and adapting infrastructure to the existing entities. One of the main features of IUPs is the intensive involvement of the beneficiary community, from design urban fabric. Execution period: 2004 to present through implementation. For instance, employment of local labor force for the construction of infrastructure, when Total project cost: US$6.446 million feasible, is given a priority. The mayor’s office works with the Urban Development Enterprise to ensure overall IUPs were introduced in 2004 with the objective of providing coordination and implementation, but each secretary is responsible for developing the projects that fall under their equal opportunities to the residents of marginalized Total number of beneficiaries: More than 800,000 sectoral purview. For instance, the education secretary is in charge of schools and kindergartens. settlements in the city of Medellín. Prior to the IUPs, the Financed by: Municipality of Medellín and local, departmental, and national The photos show some subprojects financed under IUP. These include the Biblioteca España, the aerial cable car Medellín Municipality had implemented a program called government connected to the Metro, and electrical escalators installed in District 13. PRIMED, which sought to improve the living conditions of marginalized settlements using an integrated approach. Executor: Municipality of Medellín However, projects lacked a sense of ownership, and the titling Project development objective: IUPs seek Results and lessons program—which was PRIMED’s main focus—did not achieve to provide equal opportunities to After the implementation of the first IUP in the northeastern part expected results. marginalized settlement through integrated interventions. They of the city, there was a significant improvement in the Quality of The first IUP aimed to provide equal regional opportunities combine actions from a wide variety Life Indicator suggesting a convergence with the rest of the city. Global Case Studies • of sectors and have high levels of Lessons learned to date include: through integrated interventions in the city, and to positively community participation change the population’s sociocultural behavior. So far, four Involvement of the community early on during the project Key features: Early involvement of the IUPs have been implemented or are in the process of being design phase is essential for ownership and sustainability community increased project • implemented, covering 51 neighborhoods and more than ownership. The use of modern of investments. 800,000 inhabitant, in areas of the city with the poorest architecture generated the residents’ The use of modern architecture has served to generate sense of belonging. The on-site quality of life. a sense of belonging and has boosted the city’s tourism upgrading and adaptation of physical • infrastructure minimized overall costs potential. Applicability: This type of intervention could The on-site upgrading and adaptation of physical be applicable when dealing with infrastructure has minimized the number of project- marginalized communities that have affected households, and hence overall costs of these • been historically spatially segregated projects. Building upon existing government programs expands already existing programs and improves sustainability in the long term. IUPs can be applicable to the Roma context when dealing with communities that have been historically spatially segregated. IUPs are a valuable example for inclusion projects aiming to improve communities’ overall living conditions by increasing connectivity, enhancing access to social services, and improving skills and employment opportunities. 9 This case study is adapted from de Medellín, 2011; Betancur, 2007; Echeverri Restrepo and Orsini, 2010; EDU, 2010; and Restrepo Cadavid, 2011. 192 193 Access and Physical needs Housing Basic services Basic services Safe location Spatial integration Project design connectivity connectivity Capacity social Capacity of social Awareness and Awareness and The project has 2 key components: (i) infrastructure—the building of the multifunctional social center on land offered by City Nonphysical needs Tenure security Civil documents service service providers providers capacity Income Hall and (ii) community-based social services—including educational, school and afterschool activities, leisure and traditional cultural activities, social and legal counseling for adults, health-related education and information, and environment sensitization. The project aims at reducing the difference in the living conditions between the Roma community and the Case Study 8 neighboring environment, and creating the premises for the community’s future development. This is mainly tackled through empowering the inhabitants to identify and deal with a variety of issues and offering an opportunity to genuinely experience Priority Intervention exchange with other similar communities. Project, Romania The project is implemented by a combination of working bodies: (i) an initiative group (IG), made up of more than 30 community members, is in charge of identifying problems, proposing local solutions, and facilitating the dialogue between Romania Quick Facts project managers and the community; (ii) a management agent (MA), comprised of voluntary staff from City Hall, is in Integrated services for children and adults in a marginalized charge of legal procedures; (iii) a local monitoring unit (LMU) of three to five people, including IG and MA persons, is in charge urban Roma community Country: Romania of ongoing monitoring and reporting activities to RSDF; (iv) a community facilitator (RSDF staff—a total of 30 persons at Execution period: December 2011 country level) provides technical assistance to the community at all stages of the project cycle; and (v) a supervisor and a to December 2013 This project is one of 133 projects of the wider Priority monitoring staff from RSDF are in charge of the overall supervision of activities, with particular focus on financial aspects Total project cost: €133,000 (US$173,000) out (fulfillment of public spending rules). Intervention Program (PIP) implemented throughout the of which €93,000 went to build the country by the Romanian Social Development Fund (RSDF) center (infrastructure costs) and 10% Notably, the IG community representatives have committed to being more involved and signed a common document of total is local contribution Integrated Urban Project under a broader Social Inclusion Project (SIP). The key guaranteeing their involvement at the project inception phase and establishing their responsibility and accountability toward particularity of PIP is its focus on Roma communities. The Total number of beneficiaries: 214, of which the achievement of its objectives. In addition to being gender-balanced (16 women in IG staff), the program establishes projects financed through it tackle various aspects of Roma 129 are children additional eligibility criteria prior to project selection for financing. In this particular case, the IG is legally registered at City social exclusion, such as low access to education, health, Financed by: RSDF (through a World Bank loan Hall, all members live in the vulnerable and marginalized area, and their three representatives to the LMU were elected by social protection and different types of infrastructure (such to the Romanian government) at least 75 percent of IG members. as road construction). Executor: City Hall of Slobozia City Bora is a neighborhood in Slobozia, capital city of Ialomita Project development objective: Achieve social inclusion of the Roma population County. Approximately 1,700 Roma live in the neighborhood, Results and lessons of the Bora neighborhood through 214 of whom are beneficiaries of the project, being the school integration of Roma children, The key achieved outputs of the projects are: (i) 154 inhabitants attended regular counseling sessions in order to most poor and marginalized. They live in an environment increased awareness of school importance among parents, raise discuss and increase civic accountability (participation in decision making and concrete involvement in community- characterized by multiple deprivations: general poverty, awareness in relation to Roma based activities—preservation of cleanliness, observance of safety, and so on); (ii) 20 (30 in the second year) Roma with unemployment up to 85 percent (some individuals traditions and professional counseling children benefited from school and afterschool activities, including meal provisions; (iii) 214 Roma parents are involved have irregular day work, but generally the families are for adults about social, cultural, in networking and counseling activities among themselves as a means to ensure better participation of their children Global Case Studies beneficiaries of social welfare); high rates of school educational, and legal assistance services in school and to raise awareness about school importance; (iv) school absenteeism and abandonment decreased by absenteeism and abandonment, particularly among girls 20 percent; (v) 20 school teachers attend Roma culture and history sessions, and intercultural and inclusion-based who get married early; and limited access to utilities. Half Key feature: Local community involvement in project design, based on needs education training; and (vi) 12 boys and girls are part of an artistic group at the multifunctional social center and 4 of the households do not have convenient access to drinking assessment and partnership between young Roma are members of a local Taraf (Roma music band). water or connection to electricity. From a total of 129 public authorities and civil society A key strength of the project is that it involved the community from its very design stages. This guarantees the children, 69 are of school age (6 to 18 years old) but 23 have organizations representing vulnerable people relevance of activities and inspires a sense of ownership and, consequently, a respect for the project achievements not been registered in school. The school abandonment rate (often, in the communities where no prior consultation took place, some of the material results of the project, is 70 percent. The community is on the outskirts of the city, Applicability: This intervention could be including housing, are subject to neglect and even destruction). The following elements could be replicated in other in proximity to the garbage dump. replicated in communities with • marginalized populations, facing interventions: Besides the physical aspects of deprivation, there is also lack social exclusion in various spheres of Activities by facilitators throughout the project cycle, including: support organizing and implementing life, such as health, education, and of knowledge and capacity to address both basic necessities participatory monitoring and evaluation activities; informing the communities and the local stakeholders community involvement (such as healthy lifestyle) and more complex needs (such as of the technical assistance needed to access local development funds; supporting the dialogue between access to legal or social advice). To address the diversity of community and local authorities; data collection and analysis for project conception; and implementation • challenges, the project proposed to build a multifunctional and impact evaluation of the program. social center—as a key infrastructure component—and to Knowledge exchanges with other Roma communities and development of cooperative relationships among develop a series of school, formal, and non-formal education • communities, with a particular focus on ensuring local commitment and project sustainability. and counseling activities—as a social services component. • Technical assistance to beneficiaries on accessing other grants. • Training beneficiaries and professionals in the area of quality assurance of project implementation. • Monitoring and evaluation on the ground and with community involvement. Constant supervision. 194 195 Access and Physical needs Housing Basic services Safe location Spatial integration Spatial integration EXPERIMENt design connectivity Capacity of social Awareness and Five PHAs (Baltimore, Boston, Chicago, Los Angeles, and New York City) administered HUD contracts under a 10-year Nonphysical needs Tenure security Civil documents service providers capacity Income demonstration project. They recruited approximately 4,600 very low-income families living in distressed public housing to enroll in MTO from 1994 through 1998. Most participating families were from minority populations and headed by single mothers; approximately 75 percent received welfare. Families were randomly assigned to one of the following three Case Study 9 groups: (i) an experimental group receiving housing choice rental vouchers with a restriction requiring them to move to Moving to Opportunity neighborhoods with poverty rates below 10 percent; (ii) another experimental group receiving vouchers with no restrictions United States placed on relocation neighborhoods; and (iii) a control group living in public or project-based housing that did not receive for Fair Housing, mobility vouchers. United States 10 The study followed individual families for approximately 10 to 15 years, enabling the researchers to examine the short- and long-term outcomes of all three groups through qualitative and quantitative methods. A rental voucher program that allowed scientific impact evaluation Quick Facts THE INTERVENTION Country: United States The treatment group received rental assistance certificates or vouchers that they could use only in neighborhoods The Moving to Opportunity for Fair Housing Demonstration Execution period: 1994 to 2011 with 1990 poverty rates below 10 percent. In each city, a nonprofit organization under contract with the PHA Program (MTO), sponsored by the U.S. Department of provided mobility counseling to help low-poverty group families locate and lease suitable housing in a low-poverty Total project cost: N/A Housing and Urban Development (HUD), is one of the area. Families were required to contribute 30 percent of their adjusted income toward rent. There were prohibitions most significant research efforts to study the effect of Total number of beneficiaries: on rental assistance to households engaging in certain types of criminal activity. Moving to Opportunity 4,600 low-income families neighborhood conditions on the lives of very low-income families. It was launched in 1994 to test whether offering Financed by: HUD housing vouchers to families living in public housing projects Executor: HUD Results and lessons for Fair Housing in high-poverty neighborhoods of large inner cities could The findings of MTO highlight the complexity of issues facing the urban poor and the positive role housing mobility Project development objective: Evaluate the improve their lives by helping them move to lower poverty impact of neighborhood conditions programs can play in expanding access to low-poverty neighborhoods. Although MTO did not improve outcomes neighborhoods. on a variety of outcomes thought to across all indicators presented in the final report, it did provide expanded access to neighborhoods where residents influence the life chances of adults felt safer, experienced higher levels of neighborhood satisfaction, and thought housing conditions were better. The The program provided housing vouchers to selected low- and children, including mobility, housing, neighborhoods, and social benefit of living in these neighborhoods was observed in positive health outcomes for females relative to the control income families from high-poverty neighborhoods to allow group. networks; mental and physical health; them to move to mixed-income neighborhoods. Participants economic self-sufficiency; risky and are able to find their own housing in single-family homes, criminal behavior; and educational Moving to a lower poverty neighborhood, however, did not lead to more positive employment outcomes for adults and townhouses, and apartments; housing is not limited to units achievement grown children, nor did it improve education outcomes for youth. These findings indicate that barriers to employment in subsidized housing projects. The participant is free to Key feature: The action research examined (at least for this population) may be based on other factors, such as skill development and education rather than Global Case Studies choose any housing that meets the program requirements the impact of housing vouchers on proximity to employment opportunities, and that moving to less poor neighborhoods does not necessarily equate to the life outcomes of disadvantaged and where the property owner agrees to lease under the increased access to higher quality schools or improvements in educational achievement. families living in poor neighborhoods program. Housing choice vouchers are administered locally Applicability: Desegregation of Roma This type of program is relevant for Roma communities living in segregated neighborhoods with high poverty rates. by public housing agencies (PHAs). The PHAs receive federal communities can benefit from the The results suggest that to have a meaningful impact on community well-being, providing better housing or simply funds from HUD to administer the voucher program. Rental findings of the action research. They units must meet minimum standards of health and safety, indicate that merely moving families moving disadvantaged families to more affluent areas is not enough to improve families’ socioeconomic conditions. as determined by the PHA. A housing subsidy is paid to the from marginalized neighborhoods to Integrated approaches that combine housing with other targeted interventions are needed to stop the intergenerational more affluent ones is not enough to transmission of poverty. landlord directly by the PHA on behalf of the participating improve their living conditions family. The family then pays the difference between the actual rent charged by the landlord and the amount subsidized by the program. The most important feature of the MTO program was the possibility to scientifically study the effects of neighborhood conditions on a variety of outcomes thought to influence the life chances of adults and children. Through an experimental research design, the program examined the effect of neighborhood conditions on mobility, housing, social networks; mental and physical health; economic self-sufficiency; risky and criminal behavior; and educational achievement. 10 Sanbonmatsu et al., 2011; US Department of Housing and Urban Development, n.d. 196 197 Access and Physical needs Housing Basic services Basic services Safe location Spatial integration Project design connectivity connectivity Capacity of social Awareness and The proposal that Elemental made was high-density housing without overcrowding. It regrouped the resident households into Nonphysical needs Tenure security Civil documents service providers capacity Income four smaller communities, each arranged around a public space. A basic housing structure was proposed for each household, which could gradually be expanded and improved over time. One of the main innovations of this project was the way in which housing was designed. Elemental proposed a variation of the traditional row house: each unit had an empty space of equal size on the side, to allow for future expansion of the Case Study 10 dwelling. The initial space provided was 30m2 with a potential for expansion to 72m2. In addition, each unit was equipped Quinta Monroy, Chile 11 with the basic minimum infrastructure. For example, it had plumbing but no fitting for the kitchen and bathroom, and households were expected to finish and customize their spaces at their own pace, depending on their preferences and what they could afford. The project also encouraged the development of common public spaces—instead of internal roads—to Customized solutions to improve housing conditions foster social interaction. For the implementation of the project, households were organized in neighborhood committees. Households were consulted In 2001, the government of Chile was looking to address Global Case Studies Quinta Monroy, Chile on how they wished to customize their future dwellings and their preferences for location (upper or lower floors). During the the housing problem facing low-income households and construction period, households were moved to transit camps, which were dismantled when the construction ended. In order began working on a program called “Chile Barrio” (Chile to assure quality of construction, in particular the aspect of seismic resistance, a construction advisor provided technical Neighborhood). The government asked a for-profit company, guidance to households on how they should carry out their planned internal and external renovations. Elemental (affiliated with the Universidad Católica), to Quick Facts design a solution for in situ resettlement for Quinta Monroy. Country: Chile Quinta Monroy started as an illegal settlement in the 1960s Results and lessons Execution period: 2003 to 2004 in Iquique city, which grew to house around 100 families. As a result of the project, 100 families were resettled in situ and Although located in precarious conditions, the settlement Total project cost: US$7,500 per household received basic units that they could expand according to their was in a prime area near commercial activity and good Total number of beneficiaries: about 100 families preferences and budget. Although the project was completed in transportation connections. Prior to this project, the 2004, households continue to improve their houses incrementally Financed by: Government of Chile residents had been offered a package to resettle to another by adding rooms, setting up shops in lower floors, and so on. Some neighborhood, which they declined. Executor: Elemental (a for-profit company) in partnership with other institutions households are renting out the extra space and earning additional income. The challenge presented was considerable: in order to Project development objective: Provide avoid burdening households with debt, Elemental had to low-cost housing units for in situ resettlement of an entire community The Quinta Monroy project benefited not only from innovations in design and propose low-cost housing for the 97 families architecture and incremental housing but also from partnerships living in Quinta Monroy on an area of 5,000 m2, at about Key feature: The main innovation of this project between the government, academia, beneficiary communities, the US$7,500 per family. The final design of the intervention, is to provide basic housing structures at low cost, allowing households to private sector (Elemental) and nongovernmental organizations piloted at Quinta Monroy, is based on the provision of basic customize and incrementally improve (NGOs). The partnership facilitated transformation of ideas from housing structures that allow households to customize and their dwellings at their own expense academia into practical solutions in the real world. Households’ incrementally improve their houses. and according to their preferences preferences were also considered in the solutions. Applicability: This type of intervention can be applicable to Roma communities The project has been recognized internationally as a best practice living in dilapidated housing with and proved to be a very viable solution for social housing. Since poor access to services. This case study also provides some insights on this project, the Elemental group has constructed well over 1,000 how housing solutions can be shaped expandable units in Latin America and another 1,000 are under to take into account households’ construction. While the initial project involved ¬in situ resettlement livelihoods of an informal neighborhood, this approach had been replicated in other countries for social housing provision. Many Roma families live in dilapidated housing with poor access to services and low energy efficiency. The traditional approach to providing housing to low-income households in many Eastern European countries has been through social housing schemes. These schemes generally rely on the provision of standardized housing solutions in multifamily buildings, which sometimes do not match households’ preferences and are incompatible with their livelihoods. This case study presents an alternative approach to improving housing conditions of low-income households that can be relevant to Roma communities living in dilapidated housing. 11 Elemental, 2008; Elemental, n.d.; Museum of Modern Art, 2010; OpenBuildings, n.d.; The Incremental House, 2008. 198 199 Access and Physical needs Housing Basic services Safe location Safe location Spatial integration Program design connectivity Capacity of social Awareness and Awareness and The program applied the assisted self-construction approach to building houses, which was intended to lower construction Nonphysical needs Tenure security Tenure security Civil documents service providers capacity Income costs, increase employment skills, and promote community cohesion and cooperation, without generating a sense of entitlement or charity. Under the program, participants were led to form groups of 20 families (approximately 100 people). Each group worked as Case Study 11 a team to build 20 houses in mutual assistance. They often did not have any experience with construction, but with the Flood Protection help of the program’s provincial subunits, which consisted of architects and social workers, received the necessary training and skills to build the houses. Those who could not participate in the actual construction contributed through other tasks. Program, Argentina Construction materials were provided free of charge by the program, through vouchers, which were given in tranches as Argentina 12 the work progressed, and up to US$6,200 in value per household. These vouchers could only be used for the purchase of materials at each stage, and were not transferrable. They were managed under strict supervision with serial numbers and Relocation through assisted self-construction detailed records of quantities, amounts, and recipients. The houses were built on lots provided to the participants free of cost by the local government and prepared by the housing Argentina is prone to recurrent flood disasters, especially institute in line with the urban development plan. After the lots were proposed to the participants, they were given the in poor urban informal neighborhoods. The Flood Protection choice to accept or reject the location. They could participate in the program only after they accepted in writing that the Program was developed to protect the livelihoods of Quick Facts new location would not weaken their livelihood or social networks. In addition, they were informed of the level of urban about 5.5 million people living in flood-disaster-prone development, the housing model, and the assisted self-construction modality, which they also had to accept in order to Flood Protection Program areas via construction of flood protection structures Country: Argentina participate. The agreements ensured that the relocation would not harm the participants’ livelihood and social networks, and strengthening institutional mechanisms to manage Execution period: 1997 to 2006 and that the design and location of the new house would be compatible with their preferences. The participants were given prevention and response measures. As part of the program, Total project cost: US$224.2 million (housing the deeds to their houses at no cost, provided that they would move in immediately and not sell them for at least five years. 5,636 new houses were constructed for people who had to component: US$ 29.2 million) be relocated to safer areas, in addition to 99 shelters that In addition, local governments provided basic infrastructure, including streets, electricity, and water to the new urban Total number of beneficiaries: 5,636 households were built for people affected by floods. development. Financed by: The World Bank and provincial The program was targeted to very poor, vulnerable governments of Argentina populations in the flood disaster areas by applying a Results and lessons Executor: Central Emergency Coordination strict set of eligibility criteria, which included: (i) living in Sub-Unit (SUCCE) of the Ministry of The self-construction scheme enabled the provision of houses at a lower the flood-affected area; (ii) owning the damaged house, in Federal Planning, Public Investment and Services cost, culminating in the construction of 5,636 houses. As a result of self- which they lived for at least three years, and which was construction, 92 percent of participants with no prior construction experience their only house; (iii) having too low an income to repair or Project development objective: Provide a cost-effective solution, using a self- acquired new skills, and income has increased for 41 percent of them who build the house; and (iv) committing to contributing labor. construction approach, to housing now have construction-related jobs. About two-thirds of participants Global Case Studies All beneficiary households were living under the poverty in flood-risk areas inhabited by poor reported that the training and experience increased their chances of finding line (85 percent in extreme poverty) and none had a legal populations employment. Over 90 percent of participants also reported improved quality title to their house. With an average family size of five, the Key feature: The assisted self-construction of family life with more living space and privacy, as well as a greater sense of majority of beneficiary households lived in a house with only approach reduced the cost of housing security and opportunities. one room. More than half of the houses had dirt floors, and construction and increased quality of over 80 percent were not connected to water supply. life. The acquisition of construction The self-construction in groups also resulted in boosting the beneficiaries’ skills increased participants’ This program demonstrates a cost-effective approach that employability and self-esteem. The self-esteem, sense of belonging to the community, neighborhood solidarity, could be applied to providing housing to a poor, vulnerable grouping of participants fostered a and spirit of cooperation. population that imparts a strong sense of ownership and sense of neighborhood solidarity sustainability. Applicability: This case is applicable to the The robust management of the voucher program and the adequacy of the improvement of housing conditions training activities were important aspects of the program that ensured its for poor Roma households that do transparency and success. not have sufficient resources to pay for the construction or rehabilitation This case is applicable to the improvement of housing conditions for poor of their houses. It is also applicable when a marginalized neighborhood Roma households that lack sufficient resources to pay for the construction needs to be resettled or rehabilitation of their houses. It is also applicable when a marginalized neighborhood needs to be resettled from a hazardous or disaster-prone area. The practices presented in this case (i) improve the housing conditions in a cost-effective manner; (ii) increase participants’ employability and self- esteem by developing their construction skills; and (iii) foster a sense of neighborhood solidarity by forming groups that work together for common goals. 12Pérez and Zelmeister, 2011. 200 201 Access and Physical needs Housing Basic services Safe location connectivity Spatial integration Project design Capacity of social Awareness and Awareness and As part of the ICBSP project, the Jamaican Social Investment Fund (JSIF) and the Registrar General’s Department (RGD)15 Nonphysical needs Tenure security Civil documents Civil documents service providers capacity Income hosted one-day outreach fairs at each of the 12 targeted communities—sometimes holding multiple fairs to accommodate higher density areas to provide one-stop shops for community members to apply for and receive expedited registration certifications.16 Participants could apply for birth certificates, TRNs, and other civil registration documents—all provided either at subsidized or no cost. Participants who received birth certificates also received help accessing other services, Case Study 12 including TRN, National Health Fund (NHF) cards,17 and their national IDs. Delegates from JSIF, RDG and Community Inner City Liaisons staffed each fair. Basic Services Project, Results and lessons Jamaica As a result of the civil registration activities, close to 4,675 persons from 12 inner city communities received Jamaica 13 registration documents at a cost of J$5.16 million. Beneficiaries ranged from newborns to elderly community members. Communities reported a heightened awareness of services accessible to them. The certification fairs also Civil registration for improved access to social services helped the city capture vital statistical data to assist the national planning process. During the first phase, the implementing agency observed that although the fair took place within the community, Quick Facts access issues prevented people from attending (including mobility issues due to age, disability, or gang-related The Jamaica Inner Cities Basic Services Project (ICBSP) barriers). To address this issue, during the second phase, the project implementation unit (PIU) conducted a door-to- Country: Jamaica intended to holistically address the dimensions of human, door community survey to assess existing needs and issues with mobility. Outreach fair coordinators could then send Basic Services Project social, economic, and environmental development of inner Execution period: March 29, 2006—December teams to houses where tenants were determined to have a mobility issue. 31, 2013 (civil registration activity: city communities. The project included a civil registration 2008 and 2012) activity that aimed to enhance citizens’ access to basic A particularly successful aspect of the operation was the hiring and training of community liaisons, who were Total project cost: US$32.8 million (civil compensated with a modest stipend. They were known and trusted community members whose function was to services in 12 prioritized communities through provision registration activity: US$6.4 million) of personal identification documents. In Jamaica, birth support the application process, community mobilization, and the distribution of newly issued birth certificates. certificates are often a prerequisite to obtaining other Total number of beneficiaries: Their participation was extremely important in overcoming issues of trust, fear of sharing personal information, and Inner City 61,953 individuals (civil) national registration documents (such as national demystifying barriers to service. identification, a taxpayer registration number (TRNs), and Registration activity: 4,675 individuals The project’s other components asked for a small “symbolic” donation from community members. This was useful in national health insurance), and are also often needed to Financed by: Government of Jamaica, with loans from the World Bank making the community value the services. The amount collected in donations was then returned to the respective access social services in the areas of health, education, community’s leadership to fund community services (such as school supplies, waste management services, and and employment.14 Thus, lacking registration documents Executor: JSIF and the RDG, with technical community surveillance). keeps people from accessing available public services, and assistance from the World Bank Global Case Studies reinforces existing cycles of poverty and exclusion. The civil Project development objective: Improve quality Phase 1 of the civil registration activities did not establish sufficiently strong links with other social and technical registration component arose as a response to this reality. of life in 12 inner city areas and services available to the community. During its second phase, this was addressed by mapping community demand for poor urban informal settlements through improved access to basic birth certificates prior to the community fairs. For example, if a parent tried to register their child in an afterschool urban infrastructure, financial program and the child did not have a birth certificate, the program community liaisons would take down the child’s services, land tenure regularization, information and ensure he or she was prioritized during the certification fair. This type of cooperation provided both enhanced community capacity, and a way to (i) establish and meet the existing need in the community before the certificate fair, and also (ii) prevent improvements in public safety people from being barred from the services. Key feature: The civil registration activity provided subsidized registration Outreach fairs were widely advertised a month in advance, both through community-based organizations and door- services in highly impoverished and vulnerable communities to-door surveys. This included sensitizing people to available services, and often convincing people who were part of the “informal sector” of the importance of being officially registered and availability of the “free public services” Applicability: The intervention could be applied accessible to them upon registration.18 to the act of providing registration documents to facilitate vulnerable communities’ access or use of social services and programs, while also generating a heightened sense of inclusion 15 The RGD is the only organization that provides certification services in Jamaica. 16Documents were processed within seven days of the application date. 13 JamaicaSocial Investment Fund, n.d.a; Jamaica Social Investment Fund, n.d.b; Braham, 2014; Jamaica Information Service, 2014; 17The NHF card provides subsidies to beneficiaries of all ages to treat 15 chronic illnesses. Every person living in Jamaica diagnosed with any of the Jamaica Observer, 2013; World Bank, 2013. 15 chronic illnesses covered is eligible for coverage. 14 Until 2007 it was not required for women to register their children after giving birth, which resulted in many unregistered births. In 18 Community behavioral change strategy must be devised in a way that is sensitive to the local context and underpins why people are not 2008 Jamaica approved the Bedside Registration Law that allowed for birth registrations to be carried out at hospitals. registering in the first place. 202 203 Access and Physical needs Housing Basic services Safe location connectivity Spatial integration Project design Capacity social Capacity of social Awareness and Awareness and As part of the systematic registration campaign, the ANCPI executes a local environment analysis in the target communes. Nonphysical needs Tenure security Tenure security Civil documents service providers service providers capacity Income This analysis is also called “vulnerability mapping” because one of its main objectives is to identify vulnerable groups, assess their property rights, and ensure their rights will be duly taken into account in the course of the land registration process. Specific attention is paid to Roma settlements. When vulnerable individuals or groups are identified, the ANCPI alerts the local registration offices and local authorities to ensure that the vulnerable groups are fully included in the process and Case Study 13 provided with adequate assistance. CESAR Project, Once the vulnerability mapping is completed, the mapping and registration fieldwork is carried out by a private company in collaboration with the local mayor’s office and registration office. Roma representatives are consulted in the process, and a Romania local awareness campaign is carried out with posters and announcements over the radio, television, and in local newspapers. Once Roma communities have been identified, special meetings are organized, followed by the land boundary demarcation and collection of legal evidence, which for Roma is often incomplete. Registering Roma’s land rights The registration of Roma property rights is facilitated in the process in various ways. If Roma families have deeds, the ANCPI Romania monitors the registration process for adequate assistance. When families have no legal basis for the formalization of their While Romanian Roma do not constitute a homogeneous rights, the project then becomes a starting point for negotiations with the local government. Those who reside on public socioeconomic group, many live in informal settlements; land may be offered to lease or purchase the land. Also, the registration law was amended in July 2012 to allow registration that is, in unplanned areas where construction is generally of possessions, which can be converted into ownership rights if no claim is made against the possession within five years. not in compliance with zoning and building regulations, Those who are on private land are assisted to find an arrangement with the legal landowner. Each case is specific and must and real property rights are informal. Real property rights be addressed as such. informality is a source of uncertainty, which discourages investments and reduces economic opportunities. Therefore, The results of the systematic registration campaign are verified by communities in a public display. Complaints are recorded. real property rights formalization is important for improving Complaints are resolved when possible; otherwise they may be transferred to the court. Real property records are corrected CESAR Project the living conditions of Roma families. and rights are registered in the new Land Book system. In parallel, a consultant undertakes social monitoring to evaluate the participation of vulnerable groups. The formalization of Roma real property rights became a Quick Facts subject of increasing attention under the Complementing Country: Romania EU Support for Agricultural Restructuring (CESAR) Project. Results and lessons Execution period: 2006 to present The project began in 2007 and includes a systematic Many rural Roma settlements are established and permanent in nature, but often they have less secure property registration pilot in 50 communes. During the project it Total project cost: €47.7 million rights than their neighbors. Approximately 16,000 Roma people are expected to benefit from the property rights became apparent that special attention was needed to Total number of beneficiaries: 230,649 (of which regularization activities financed through the CESAR project. Some will receive full property rights, others certificates formalize the real property rights of vulnerable groups, approximately 16,000 are Roma) of possession or land leases. Global Case Studies including Roma. The CESAR experience revealed the presence Financed by: The World Bank of 16,000 Roma families in the pilot communities, many The CESAR project does not guarantee an immediate or full regularization of the identified informal Roma settlements, Executor: ANCPI of whom had been bypassed by the restitution program but it provides transparency and facilitates an opportunity for rural Roma inhabitants to claim their due rights and during the initial years of transition to the market economy. Project development objective: Facilitate initiate regularization negotiations with the state, municipality, or other legal landowner(s). market-based farm restructuring Many live in old settlements that are very similar to those through enhancing the ability of The approach piloted in the CESAR project on how to regularize informal Roma settlements is promising. However, it of most poor rural communities. Their inhabitants often farmers, farm family members, and farm workers to manage their assets remains an ad hoc response to addressing Roma land tenure issues within the framework of a broader systematic lack legal documentation, in general, and legal property and income registration project executed in a limited number of communes. rights, in particular. The CESAR pilot provides the National Agency for Cadastre and Property Registration (ANCPI) and Key feature: Regularization of property rights local authorities with a unique opportunity to promote the was facilitated for vulnerable groups through (i) vulnerability mapping; inclusion of these Roma families through the formalization (ii) local awareness campaigns; (iii) of their real property rights. Systematic land registration community meetings; (iv) social is being piloted in 50 communes. The approach is based monitoring; and (v) introduction of on the experience gained from a smaller pilot executed flexible registration instruments, such as certificates of possession between 1998 and 2006. At that time, the progress with cadastral and land registration services were slowed down Applicability: The approach and techniques are applicable to informal Roma by coordination issues. However, with the CESAR project, settlements, where their access to systematic registration is being coordinated by the ANCPI. services and social and economic opportunities are hampered by the lack of formal property rights 204 205 Access and Physical needs Housing Basic services Basic services Safe location Spatial integration Project design connectivity connectivity Capacity social Capacity of social Awareness and Awareness and The project comprised three components. Component 1 focused on KRUS administrative reform. Component 2, social Nonphysical needs Tenure security Civil documents service service providers providers capacity Income inclusion, aimed to (i) finance technical assistance for the development of social inclusion strategies, and (ii) provide social services to the poorest and most disadvantaged groups in the participating gminas through a Social Inclusion Program (SIP). Component 3, national awareness, supported the objectives of the other components by raising public awareness through publications, conferences, and campaigns. Case Study 14 One good practice of the project was the creation of a Management Information System (MIS), which regularly collected Post-Accession Rural data on the implementation of the SIP (such as information on the profiles of beneficiaries, capacity-building activities, types of social inclusion activities, and financial flows). It informed implementation quarterly, enhancing the targeting of Poland Support Project activities and identifying and addressing challenges. Another notable feature of the SIP was the inclusion of 27 regional consultants who were recruited to provide expertise, advice, and linkage between local government authorities and other (PARSP), Poland stakeholders in the projects. The dynamism and innovative ideas they provided enhanced the work and strengthened the 19 capacity of the other actors, contributing to the success of the SIP. Increasing social inclusion through capacity building at the local level One example of a successful subproject was the initiative of a resident of the village of Byszow to organize, for the first time ever, sporting competitions for disabled children. As a consequence, they could pursue an activity no one had organized Post-Accession Rural Support for them before, while feeling a sense of self-worth and of belonging in their community. Another project in a different rural community financed the establishment of a kindergarten for local children. With support from the mayor, local civil Poland’s 1989 transition to a market economy resulted in Quick Facts society organizations, and input from residents, a plan was made, an unused building was utilized for space, and educational several waves of strong economic growth, though these did materials were purchased. While providing a safe place for children, this project also succeeded in socializing the mothers, Country: Poland not benefit all of society equally. Economic liberalization who were then free to look for jobs and contribute to their community’s development. Execution period: 2006 to 2011 Project (PARSP), exposed structural poverty and long-term unemployment, which contributed to a self-perpetuating cycle of social Total project cost: US$92.34 million PARSP’s overall positive impact is reflected in the active participation of gminas, strong prospects for sustainability of the exclusion, especially in rural and underdeveloped gminas Total number of beneficiaries: 580,000 direct projects, and strengthened capacity to implement initiatives and absorb funds. From 500 gminas that developed social (local districts). Other factors, such as deficiencies in and 1,260,000 indirect beneficiaries in inclusion strategies, 492 adopted these strategies, and 740 new civil society organizations were formed. Additionally, 40 human capital and social skills, and even physical disability 500 gminas (local districts) percent of excluded groups in the gminas accessed at least one social inclusion service (as of April 2011), compared to 11.3 and substance abuse (and the stigma associated with Financed by: The World Bank and the percent in January 2006. More than 10,500 contracts were signed with local providers for services such as education, them) worsened marginalization in many communities. It government of Poland integration activities (including labor activation programs for disabled groups), culture and arts, housing policy assistance, was evident from the intergenerational perpetuation of Executor: Ministry of Labor and Social Policy health care information (including family planning and help with addiction), and so on. poverty and long-term unemployment that achieving high and KRUS economic growth was not enough in the struggle against Project development objective: Increase social social exclusion. Active policies to encourage inclusion at Results and lessons inclusion in rural underdeveloped Global Case Studies the local community level were needed. gminas by enhancing the capacity Initial results of PARSP are very positive. Gminas’ capacity to access and absorb similar social inclusion-focused of local governments to identify, funds, such as the EU Cohesion Funds, increased significantly. The number of gminas that received external funds The PARSP initiative was designed to actively engage local plan, and execute social inclusion strategies through a Social Inclusion increased from 90 to 391 between 2006 and 2010. government actors and civil society organizations at the Fund (SIF) municipal level in the development and implementation The 27 regional consultants proved to be an essential part of the success of the SIP, and show that qualified external Key feature: Encourages social inclusion people can provide a “spark” to motivate local officials and provide fresh perspectives. of social programs that directly addressed the causes of initiatives for poor and marginalized exclusion. PARSP supported local actors in planning and groups by building capacity at the Sustainability depends on continued engagement of local authorities and organizations that benefited from capacity implementing services for marginalized groups in the 500 local community level. External consultants were deployed to building and community mobilization during the project’s lifetime. poorest gminas selected for the project. Special attention provide expertise and ideas to local was paid to particularly vulnerable individuals, as identified communities, and worked as a link This case study can be applicable to Roma communities living in rural or isolated areas where the capacity of local by the communities, such as youth, children, the disabled, between local authorities and civil authority and community members to plan and implement projects are limited. Technical assistance and capacity and the elderly. Initial priority needs that were identified society organizations building of local civil society organizations and local authorities can be carried out in a similar fashion, bringing in included better access to healthcare, education, and Applicability: This case study can be applicable outside experts, while working within the community. communications services. The PARSP project aimed to to Roma communities living in rural build capacity among local authorities and to enhance the or isolated areas that would benefit from targeted social inclusion actions effectiveness of the farmers’ social insurance agency, Kasa on the ground, focusing on especially Rolniczego Ubezpieczen ia Spolecznego (KRUS). vulnerable groups 19 World Bank, 2009; World Bank, 2012a; World Bank, 2012b. 206 207 Access and Physical needs Housing Basic services Safe location connectivity Spatial integration of training services to private training institutions regulated by the Instituto Nacional de Formación Técnica Profesional (INFOTEP). The latter is now responsible for launching the bidding process, performing the technical evaluation of the Capacity of social Awareness and Awareness and proposals from training institutions and supervising the training courses. Participants of the program had to meet the Nonphysical needs Tenure security Civil documents service providers capacity Income • following criteria: Dominican Republic • be Dominican citizens with identity cards; • be aged 16 to 29; Case Study 15 • Quick Facts be outside of the formal education system without completing secondary education; Juventud y Empleo • Country: Poland be unemployed or inactive; • reside in an impoverished area; Program, Execution period: 2006 to 2011 Total project cost: US$92.34 million accept program regulations and be prepared to meet course requirements. Dominican Republic 20 Total number of beneficiaries: 580,000 direct and 1,260,000 indirect beneficiaries in Results and lessons 500 gminas (local districts) Juventud y Empleo was one of the first programs in Latin America to incorporate a randomized design that allowed Building life and technical skills to increase the employability of Financed by: The World Bank and the disadvantaged youth for the implementation of rigorous impact evaluations of both the effect of traditional TVET and life skills training government of Poland separately. The first impact evaluation demonstrated limited impacts on employment and wages, which led to Executor: Ministry of Labor and Social Policy program changes that focused on components employers identified as essential (closer collaboration with the private and KRUS sector, a stronger life skills component, and so on). Juventud y Empleo is an innovative youth training and labor Project development objective: Increase social market insertion program, providing life and technical skills inclusion in rural underdeveloped The second evaluation—which focused on a cohort of trainees that participated in a version of the program modified gminas by enhancing the capacity Juventud y Empleo combined with private sector internships. The objective of as a result of the first evaluation—continued to show no impact on employment overall, but demonstrated positive of local governments to identify, the program was to improve the employability of young, plan, and execute social inclusion impacts on earnings and the quality of employment for males. On outcomes related to youth behavior, expectations, low-income Dominicans at risk of social exclusion through strategies through a Social Inclusion and noncognitive skills, the results from this evaluation were positive: the program proved to be effective in reducing theoretical and practical job training in classrooms, and Fund (SIF) teen pregnancy, in line with an overall increase in youth expectations about the future. The program also had a by providing them with some work experience through Key feature: Encourages social inclusion positive impact on noncognitive skills as measured by three different scales, which were identified by employers as Program internships in private sector firms. initiatives for poor and marginalized the most valuable component of the project in its first phase. groups by building capacity at the local community level. External The considerable employment gap observed in marginalized Roma communities appears to be in large part driven consultants were deployed to provide expertise and ideas to local by the skills gap between Roma and non-Roma. To address this, employment interventions should incorporate skills communities, and worked as a link enhancement programs (cognitive and noncognitive) so as to improve the employability of participants. Lessons between local authorities and civil learned from Juventud y Empleo could be adapted to the context of Roma inclusion, with the following general society organizations Global Case Studies • remarks: Applicability: This case study can be applicable It is important to underline the critical role of enhancing noncognitive skills and the program’s overall to Roma communities living in rural or isolated areas that would benefit impact on life prospects, as several prospective program participants may come from communities where • from targeted social inclusion actions unemployment has continued for multiple generations. on the ground, focusing on especially vulnerable groups. The program should be able to accommodate high school dropouts as well as those who graduated but are • unable to find a job. The program’s age range could be broadened to this effect. The program should be flexible enough to adapt to the specific challenges faced by marginalized Roma communities; for example, discrimination, language use, and the role of gender and social norms within the • communities. Project design The program should carefully select the professions for technical vocational training courses, keeping in mind local demand (such as what types of jobs are needed in the region of the community), sustainability The program comprised two components: (i) a three-month course on life and technical skills in competitively selected (whether these are cyclical or seasonal jobs, or if they provide long-term employment prospects), and qualified training institutions; and (ii) a two-month internship or on-the-job training experience in a private firm. • participants’ skill level (if there are both low-skilled and high-skilled professions in the portfolio). Technical and vocational education and training (TVET) courses covered several professions (such as hairdresser, waiter, network technician, data entry staff, bank clerk). The life skills curriculum included modules on motivation The program could be leveraged toward combating negative stereotypes through promoting jobs that require (self-esteem, interpersonal relations, life fulfillment), life at work, social skills, and job search. Beneficiaries received a regular interactions and close collaboration between Roma and non-Roma, thereby facilitating mutual • stipend to cover basic expenses (approximately US$2 a day, later raised to US$3). understanding and respect. Life skills training can also accommodate illiterate segments of the population (for example, in Romania, The Ministry of Labor incubated and first implemented the program, and then recently outsourced the provision illiteracy has been demonstrated to affect a considerable share of Roma). 20 Youth Employment Inventory, n.d.; Ministerio de Trabajo, 2011; Martin Moreno, 2014; Ibarraran et al., 2012; World Bank, 2014. 208 209 Access and Physical needs Housing Basic Basic services services Safe location Safe location Spatial integration sustainable agriculture, and health care with an emphasis on preventive medicine. connectivity connectivity Capacity of social Awareness and Awareness and The program had a strong emphasis on improving the livelihoods of affected people. In order to ensure that affected Nonphysical needs Tenure security Civil documents service providers capacity Income people found a solid opportunity to restore and improve their income-generating resources, the program, through support of a governmental organization (SEBRAE) that facilitates small business development, undertook assessment of affected people’s capacity and the availability of local resources to identify and develop business opportunities. Based on the Case Study 16 assessment, farmers were trained in organic agriculture and now sell organically certified products. The assessment also Salto Caxias led to the provision of sewing machines and the construction of a warehouse, where a cooperative works with a clothing company in São Paulo to supply quality clothing. Hydropower Project, • The following are other key features of the institutional arrangements that led to the program’s positive results: Brazil 21 Quick Facts Social commitment. The social commitment made by the Project Executer (Companhia Paranaese de Energia, COPEL) guaranteed the participation of affected people in the program’s decision making and implementation. Country: Brazil COPEL guaranteed, among other things, a fair solution to affected people who lacked land titles; no land acquisition Execution period: 1996 to 1998 without the consent of affected people; consideration of interneighbor relationships; quality and fertility of new Restoring livelihoods Brazil • Total resettlement cost: US$100 million for lands (at least more fertile than those expropriated); and provision of complete basic infrastructure. 1,200 families, of which US$56 A multidisciplinary study group (MSG). The MSG served as a democratic forum that ensured adequate social million for the resettlement program The development of a new hydropower plant in Parana, and environmental considerations. Over 140 entities, including academic institutions, rural cooperatives, and Total number of project-affected people: Brazil, involved construction of a dam and creation of a representatives from local public authorities participated in the MSG, set up and administered by COPEL, to review 1,200 families (626 families under the reservoir covering 180 km², which required the displacement resettlement program) and discuss a range of issues related to social, economic, traditional, and environmental aspects of resettlement. of approximately 1,200 rural families. About 600 families The studies collected data and information on the common agricultural practices and capacities of affected Hydropower Project Executor: COPEL were compensated with cash and relocated independently, people, regional climate, soil type, terrain, agricultural suitability, and water resources to facilitate identification Project development objective: Achieve and selection of suitable land for resettlement. MSG meetings were held in local areas and meetings were open and comprehensive resettlement assistance was provided resettlement of a community with • to the remaining 626 families of small farmers, rural to everyone. minimal disruption while ensuring Salto Caxias workers with no tenure, and landless workers. The objective access to basic social services and Regional Commission of Affected People (CRABI). CRABI represented the interests of affected families and employment of the assistance was to, at a minimum, maintain quality facilitated the communication between affected people and the project executer. For example, it effectively of life through adequate and sustainable access to job Key features: Peoples’ livelihoods were improved facilitated the collection of data on affected people and properties to inform the discussions and decisions of opportunities and basic social services. by (i) conducting a multidisciplinary COPEL and MSG. It was also instrumental in the dissemination of more sustainable methods of agriculture study to assess their conditions • and capacity; (ii) securing their promoted by COPEL to the resettled farmers through facilitation of extension and trial activities. Many of the affected families were farmers with limited participation in the planning and Cooperatives of rural producers. Cooperatives were formed to facilitate business development and market access. education who had had been working on agricultural decision-making process through The resettled population was trained on special skills related to new business opportunities, cooperative work, rural lands owned by large landholders. They generally lacked representative committees; and sociology, and interpersonal skills. Global Case Studies the capacity to identify possible business and market (iii) facilitating the development of new business opportunities through opportunities; hence, their livelihood in the new settlement market research, capacity training, depended on the availability of adequate natural resources and formation of cooperatives for agriculture and accessibility to the market. A solution Results and lessons Applicability: These techniques are applicable was needed to create new jobs and businesses, especially to any livelihood improvement Almost 100 new jobs were created within 6 months of support by SEBRAE. SEBRAE’s support was also successful in the village of Foz do Chopim, where the economy was intervention, with or without resettlement in assessing the socioeconomic conditions and identifying business opportunities for affected people in other areas. predominantly dependent on 40 jobs at an existing power However, financing the new businesses was a challenge. To overcome this, a Municipal Development Fund was created plant that were going to be lost due to the Salto Caxias to finance the most promising businesses selected by a local commission, and by the year 2000, the fund had helped Hydropower Development Project. create over 50 new businesses, directly generating over 300 jobs, and close to 1,000 jobs indirectly. It is also worth noting that with the support of a local university, CRABI and COPEL organized an annual cultural festival that provides an opportunity for the resettled people to share their cultural and social heritage and fosters Project design intercultural understanding and respect. The 626 families were relocated to 10 farms constituting 19 associations (comprised of approximately 50 families These good practices can be replicated when improving the livelihood of Roma who may be having difficulty identifying each), formed in a nearby region on a total area of 40,000 acres acquired by the Salto Caxias Hydropower possible business and market opportunities in existing or new neighborhoods they inhabit. Development Project. Besides providing agricultural land, a brick house with 3–4 bedrooms and a barn was given to each family relocated through the resettlement program. In addition, basic infrastructure, including roads, water supply, electricity, telephone lines, schools, and health centers were developed. The program provided education to youth and adults for personal and community development, agricultural and social assistance, training to practice 21 Sustainable Hydropower, n.d.; New Energy Foundation, 2006. 210 211 Access and Physical needs Housing Basic services Safe location Spatial integration services, interest on financing materials (at a 12 percent annual rate), guaranteed fixed prices for the materials, and the connectivity operating costs of local branch offices. Payments must be made weekly. If a borrower leaves the program, they receive their Capacity of social Awareness and Awareness and savings in the form of building materials. Nonphysical needs Tenure security Civil documents service providers capacity Income Case Study 17 Problems Solutions Quick Facts Patrimonio Hoy, Mexico 22 Country: Mexico Execution period: 1998 to present Lack of savings • • No financial collateral required; draw on social capital created in groups Access to microfinancing • Total amount of microloans: US$135 million • Total number of beneficiaries: Limited access to financing Ability to make installment payments Technical and financial assistance to improve or expand housing More than 1,000,000 people and more • than 350,000 households received Microlending/microfinance program via CEMEX assistance in building or improving their homes Letters of recommendation for credit purposes • Mexico Financed by: CEMEX • The Patrimonio Hoy23 model provides an interesting and Limited knowledge of building Assistance by architects as part of the membership package relevant model because it addresses several barriers Executor: CEMEX technology and lack of planning Masonry training program to the efficient improvement or expansion of housing Project development objective: To provide skills related to home building • that vulnerable low-income groups commonly face. The low-income families living in urban intervention was started in Mexico by CEMEX, one of the and semi-urban areas with access to building materials such as Lack of access to quality building CEMEX negotiations with distributors and development of quality controls largest building supply companies in the world. The company cement, concrete blocks, and steel materials • realized that low-income people in need of housing were a at average market prices. Provide Patrimonio Hoy microfinancing, technical advice, and • large part of the population, and designed a model to reach Inability to store materials Unlimited, free storage of materials logistical support to help participants them. build their own homes Regular deliveries of materials Key features: The Patrimonio Hoy initiative provides accessible housing solutions to low-income groups, such as design services for better room/ house layouts, cost savings, locked-in Results and lessons24 material prices, material storage and delivery, and financing This initiative received the UN-Habitat Business Award in the category of accessible housing solutions. Benefits from Global Case Studies Applicability: This intervention can be the Patrimonio Hoy initiative include access to design services for better room/house layouts, cost savings, locked-in • replicated in low-income communities material prices, material storage and delivery, and financing. with no access to suitable financing mechanisms or technical know-how Participants are able to build their homes or additions three times faster and at a third of the average cost • regarding construction of building a home in Mexico. Participants gain access to the credit markets. Borrowers who successfully complete the program are eligible to receive a letter of recommendation from Patrimonio Hoy confirming they have made regular payments over the course of the program, which can be presented to other vendors to help establish the borrower’s • credit record. Project design Since inception, Patrimonio Hoy has advanced more than US$135 million in microcredit, and most participants • The project targets people with immediate needs for housing and home expansion, low-income households, single say they would not have been able to build their house without the program. mothers, young adults, and inexperienced builders. It provides: (i) collateral-free microfinancing through a membership The market value of homes built through Patrimonio Hoy is approximately 20 percent higher as a result of system based on small monthly fees; (ii) engineering and architectural expertise to customers undertaking • the higher quality and functionality of the structures. construction as part of the membership benefits package; and (iii) space to store construction materials, as a lack of The program allows members/borrowers with some prior masonry skills to receive professional certification, storage had been a major obstacle for families trying to improve their houses at their own pace. In addition, it serves • thus creating job possibilities for many with no previous working experience. as an intermediary for distributors of building materials—by bundling together the requirements of several families, it ensures good quality materials at cheaper prices to its members. The table below illustrates the solutions offered Approximately one-third of the participants use their homes, or extra rooms that they have built through by Patrimonio Hoy to the numerous problems faced by lower income groups in accessing decent housing. their participation in Patrimonio Hoy, to build their own businesses. A small membership fee is paid by the members to cover Patrimonio Hoy’s costs, including consulting and architectural This intervention can be replicated in communities that lack quality housing. Many Roma are unable to improve or expand their current housing, and this is often directly related to their economic situation, together with the absence 22Adapted from Business Today, 2011; and London and Kotek, 2006. of suitable financing mechanisms and a lack of technical know-how regarding construction. 23“Patrimonio Hoy” means to create wealth or property (“patrimony”) for future generations and to improve their lives today (“hoy”). 24 CEMEX, n.d. 212 213 Elemental. 2008 Documentary of Quinta Monroy Project in Iquique, Chile. Vimeo http://vimeo.com/673851 Elemental. n.d. “Quinta Monroy.” References References http://www.elementalchile.cl/en/proyecto/quinta-monroy-2/ Betancur, J. 2007 Ibarraran, P., L. Ripani, B. Taboada, J. Villa, and B. Garcia. 2012 “Approaches to the Regularization of Informal Settlements: The Case of PRIMED in Medellín, Colombia.” “Life Skills, Employability and Training for Disadvantaged Youth: Evidence from a Randomized Evaluation Design.” Global Urban Development 3 (1). Paper, Institute for the Study of Labor, Bonn, Germany. 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Jamaica Social Investment Fund. n.d.a. “High Impact Social Programs” “Inner City Basic Services for the Poor Project (ICBSP).” http://www.cemex.com/SustainableDevelopment/HighImpactSocialPrograms.aspx http://www.jsif.org/content/inner-city-basic-services-poor-project-icbsp de Medellín, Alcaldía. 2011 Jamaica Social Investment Fund. n.d.b. Laboratorio Medellín: Catalogo de diez prácticas vivas [Medellín Laboratory: An Exhibit of Ten Ongoing “The Bridge Jamaica Project.” Practices]. http://www.jsif.org/content/bridge-jamaica-project. Medellín, Colombia: Laboratorio Medellín. London, T., and M. Kotek. 2006 Echeverri Restrepo, A., and F. M. Orsini. 2010 “CEMEX’s Patrimonio Hoy: At the Tipping Point?” Informalidad y Urbanismo Social en Medellín, Medellín Medio-Ambiente Urbanismo y Sociedad. Fondo GlobaLens Case GL1-428-606D, William Davidson Institute/Ross School of Business, Ann Arbor, MI. Editorial Universidad EAFIT. http://upcommons.upc.edu/revistes/bitstream/2099/11900/1/111103_RS3_AEcheverri_%20P%2011-24.pdf Marques, Ronaldo, and Marilia Scombatti. 2011 “Brazil: Changes in the Quality of Life for People in High Risk Areas.” EDU. 2010 In Preventive Resettlement of Populations at Risk of Disaster: Experience from Latin America, ed. E. Correa, 43–58. Washington, Proyectos Urbanos Integrales 2004–2008 DC: World Bank. http://www.edu.gov.co/index.php/proyectos/proyectos-urbanos-integrales 214 215 Martin Moreno, Juan. 2014 Schlossar, Sandra, and Dan Owen. 2012 “Youth Development Project, Dominican Republic.” “The Second Azerbaijan Rural Investment Project: Social Analysis for Better Project Design.” Presentation, World Bank, Washington, DC, April. ECA Knowledge Brief, vol. 51, World Bank, Washington DC. 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Open Architecture Network. 2012 “Territórios.” “VPUU: Violence Prevention Through Urban Upgrading.” http://www.uppsocial.org/territorios http://openarchitecturenetwork.org/projects/dlygad2_vpuu US Department of Housing and Urban Development. n.d. OpenBuildings. n.d. “Moving to Opportunity for Fair Housing.” “Quinta Monroy.” US Department of Housing and Urban Development, Washington, DC. http://openbuildings.com/buildings/quinta-monroy-profile-39120 World Bank. 2009 Pérez, Rómulo, and Ignacio Zelmeister. 2011 “Poland: Social Inclusion.” “Argentina: Response to Recurrent Floods; Assisted Self-Construction Housing Program.” http://web.worldbank.org/WBSITE/EXTERNAL/NEWS/0,,contentMDK:22237752~pagePK:34370~piPK:34424~theSite In Preventive Resettlement of Populations at Risk of Disaster: Experience from Latin America, ed. E. Correa, 25–42. PK:4607,00.html Washington, DC: World Bank. World Bank. 2012a. Restrepo Cadavid, P. 2011 “Implementation Completion and Results Report (IBRD-73580) on a Loan in the Amount of Euro 72.2 Million “The Impacts of Slum Policies on Households’ Welfare: The case of Medellín (Colombia) and Mumbai (India).” (US$88.8 Million Equivalent) to the Republic of Poland for a Post-accession Rural Support Project.” PhD diss., MINES ParisTech. Report No: ICR2337, World Bank, Washington DC. http://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2012/07/12/000333037_20120712020448/ Rendered/PDF/ICR23370P065270C0disclosed070100120.pdf Sanbonmatsu, L., J. Ludwig, L. Katz, L. Gennetian, G. Duncan, R. Kessler, E. Adam, T. McDade, and S. Lindau. 2011 “Moving to Opportunity for Fair Housing Demonstration Program—Final Impacts Evaluation.” World Bank. 2012b. Paper, US Department of Housing and Urban Development, Washington, DC. “Strengthening Social Inclusion Through Innovations in Service Delivery in Poland.” http://www.worldbank.org/en/results/2012/04/17/strengthening-social-inclusion-through-innovations-in-service-delivery-in- poland 216 217 World Bank. 2013 “JM Inner City Basic Services for the Poor Project.” Report No. ISR13104, World Bank, Washington DC. World Bank. 2014 “Diagnostics and Policy Advice for Supporting Roma Inclusion in Romania.” References Report, World Bank, Washington, DC. http://www.worldbank.org/content/dam/Worldbank/document/eca/romania/OutputEN.pdf Youth Employment Inventory. n.d. “Programa Juventud y Empleo (1999–2007).” http://www.youth-employment-inventory.org/inventory/view/98 Global Case Studies 218 219 Project Briefs: Reviews of 36 Projects Improving Roma Living Conditions in Bulgaria, Czech Republic, France, Hungary, Italy, Romania, Slovak Republic, Spain, and the United Kingdom 221 Project Brief 19: Urban Rehabilitation Project (B) .................................................................................. 280 Project Briefs Project Brief 20: Roma Neighborhood Social Rehabilitation Project (B) ....................................... 282 Project Brief 21: Social Rehabilitation Project .......................................................................................... 286 Table of Contents ITALY Synthesis Summary ........................................................................................................ 224 Project Brief 22: Grazia Deledda Project ..................................................................................................... 288 Project Brief 23: Abit-azioni, Trahimos (1, 2, 3), and Selarom Projects ........................................ 290 Project Briefs .................................................................................................................... 238 ROMANIA BULGARIA Project Brief 24: “A House, A Future” Project ............................................................................................ 292 Project Brief 1: Social Housing and Human Resource Development (HRD) Projects (A) ........ 238 Project Brief 25: “Together for a Safe Beginning” Project ................................................................... 294 Project Brief 2: “Home for Everyone” Project and Human Resources Development (HRD) Project .... 240 Project Brief 26: “My Roma Neighbor” Project ...........................................................................................296 Project Brief 3: ADRA Project ........................................................................................................................... 242 Project Brief 27: Housing Project ..................................................................................................................... 298 Project Brief 4: Social Housing and Human Resources Development (HRD) Projects(B) ....... 244 SLOVAK REPUBLIC CZECH REPUBLIC Project Brief 28: Local Strategy for Complex Development ................................................................300 Project Brief 5: Property Management Project ..........................................................................................246 Project Brief 29: Social Inclusion Projects ................................................................................................... 302 Project Brief 6: Social Services Base Development Project ................................................................. 248 Project Brief 30: Rehabilitation Project ........................................................................................................ 304 Project Brief 7: “Housing Reward Ladder” Pilot Project ........................................................................ 250 Project Brief 31: Infrastructure Development Project ............................................................................ 306 Project Brief 8: Integrated Urban Development Plan (A) ..................................................................... 252 Project Brief 9: Neighborhood Regeneration Project ............................................................................... 254 SPAIN Project Brief 10: Social Inclusion Program Pilot Project ....................................................................... 256 Project Brief 11: Integrated Urban Development Plan (B) .................................................................... 258 Project Brief 32: IRIS Subsidized Rental Housing ................................................................................... 308 Project Brief 33: Housing Program for Social Integration (HPSI) .................................................... 310 FRANCE Project Brief 34: Relocation and Social Inclusion Project .................................................................... 312 Project Brief 12: Le Petit Lacanau Project .................................................................................................. 260 UNITED KINGDOM Project Brief 13: Transitional Village Project ............................................................................................. 262 Project Brief 35: HUB Partnership Project .................................................................................................. 314 HUNGARY Project Brief 36: Roma and Traveller Site Project ................................................................................... 316 Project Brief 14: Complex Settlement Program ........................................................................................ 264 Project Brief 15: Neighborhood Social Urban Rehabilitation Project .............................................. 266 Project Brief 16: Urban Rehabilitation Project (A) .................................................................................. 270 Project Brief 17: “Nostru” Urban Rehabilitation Project ....................................................................... 272 Project Brief 18: Roma Neighborhood Social Rehabilitation Project (A) ........................................ 276 222 223 the design or preparation of projects. The assessment was primarily concerned with the following project and program Synthesis Summary aspects: general processing; design of an integrated approach; technical design aspects; institutional arrangements; Reviews of 36 Projects Improving Roma Living Conditions and capacity. BOX3 Elements of the Process Review I. Background General processing Ease of fitting needed or desired project activities into the rules of existing operational programs (OPs) Roma households face exclusion in multiple and interconnected areas of life. Key incentives and constraints encountered during project preparation Housing quality and security, spatial isolation, level of education, health, and employment opportunities are Factors that facilitated and/or obstructed project approval just a few of the many interrelated dimensions of exclusion that affect Roma in European Union member states. Prior experience shows that failure to comprehensively address key aspects of exclusion results in Integrated approach unsustainable programs. For example, social and spatial isolation reduce chances for gainful employment, Country definition and understanding of key actors of an “integrated approach” which makes it less likely for a household to be able to maintain a secure dwelling, regularly pay rent and Managing funding sources for integrated activities utilities, and properly upkeep a home. Integration of programs into local development plans and strategies In this context, European Structural and Investment Funds (ESI Funds) encourage Technical design (operational practice) comprehensive interventions to Roma communities. Engagement of local communities and nongovernmental actors at any stage of the program In May 2010, Article 7 of the European Regional Development Fund (ERDF) regulation for the 2007–2013 programming cycle was amended to allow housing interventions for marginalized groups, expand eligibility Required contributions by local communities of such interventions to rural areas, ensure projects do not lead to further segregation and isolation, and Monitoring arrangements encourage constituencies in member states to prepare integrated programs. This promoted the EU member Innovative features of project design that capture the essence of an “integrated approach” states and their constituencies to devise projects consisting of both “hard” (physical) interventions and “soft” (social) interventions involving housing, employment, education, and health services. To this end, during the Institutional arrangements and capacity 2007-2013 EU Programming Cycle, some member states introduced requirements for their municipalities to develop integrated strategies before applying for EU funds for Roma inclusion. For example, municipalities in Division of roles and responsibilities in implementing integrated programs the Czech Republic were expected to create Integrated Urban Development Plans (IUDPs) to access Integrated Capacity needs and assistance available to implementing institutions Operational Programs (IOPs), while municipalities in the Slovak Republic had to develop Local Strategies of Complex Approach. Project Briefs A team of World Bank researchers conducted field work between March 2013 and April 2014 to assess best practices and common challenges in the preparation, approval, and implementation of 36 integrated projects in 9 member states. The fieldwork involved (1) 23 process reviews of projects funded by European Structural Funds (ERDF/ESF); and (2) 13 in-depth reviews of noteworthy projects supported by local governments and/or nongovernmental II. Findings organizations (NGOs) to address Roma living conditions in Europe. While process reviews focused on the institutional and procedural challenges, good practices, and lessons learned pertaining to European Structural The context and motivation for preparing an integrated program to address Roma living Funds, the in-depth reviews focused on the integrated projects’ design. The 36 projects were selected from conditions in each of the case study locations are similar. an inventory of over 200 projects addressing Roma living conditions that was compiled by the World Bank in The programs are generally motivated by the existence of a segregated Roma community within the municipality. 2013. The 36 projects were selected on the basis of their (1) level of integration; (2) implementation status; (3) Most of the Roma settlements are on the outskirts of the city or in its center. Most feature dire housing conditions, reported quality; and (4) availability of information. a lack of access to basic services, and high unemployment in the Roma community, as well as among the general population. In some cases, projects have been specifically motivated by the problem of rents not being paid by social Not all projects included in the briefs were entirely successful; the notes focus on housing tenants (such as in Project Brief 5, Czech Republic). In other cases, projects were driven by the insufficient highlighting the key innovations and lessons that can be drawn from the projects. capacity of existing housing units to accommodate growing Roma populations, or by a long-term mission of a local NGO to support inclusion of disadvantaged and/or segregated Roma in their community. Assessments were based on key informant interviews with country-level managing authorities (MAs) of EU funds, local governments, Roma and non-Roma communities, NGOs, and private sector companies involved in 224 225 A. General Processing states. The resistance is stems from notions that Roma are “newcomers” to a community or are “undeserving” of public support. There are even fears among non-Roma populations that Good practices and factors for success programs that successfully assist Roma may draw even more of them to the settlement than The three strongest factors that emerge as facilitating the preparation and approval of integrated the municipality can support. Given these perceptions, the presence of a strong champion projects are: institution at the national level, combined with grassroots advocacy and the involvement of Reviews of 36 Projects Improving Roma Living Conditions local NGOs, has been crucial for focusing activities and funds on Roma neighborhoods. In cases (1) Presence of a champion body or institution at the national level where such champions were absent or weak, priorities and funds were often redirected to non- Proposal processing and approval was smoothest in the case of projects prepared with Roma settlements. In the case of Project Brief 6 (Czech Republic), for example, the project strong encouragement from national authorities. The presence of a champion institution advanced despite explicit opposition from a municipality. In Bulgaria, local authorities in each at the national level, such as the Social Inclusion Agency in the Czech Republic and the of the municipalities reviewed have avoided an explicit focus on Roma, targeting instead a very National Development Agency (NDA) in Hungary, provided high-level advocacy for integrated broad spectrum of socially excluded groups. Local conflicts have erupted in Hungary in relation programs. In Hungary, during the 2007–2013 programming cycle, NDA instituted relevant to the ERDF-financed Complex Rehabilitation Program, especially where there have been plans amendments in the call for proposals to focus projects specifically on marginalized and for desegregation, which involves moving Roma into non-Roma communities. Apart from being segregated communities, which provided realistic deadlines for proposals. In the case an obstacle to project preparation and processing, weakened political will poses risks to the of Project Brief 6 (Czech Republic), an NGO-initiated and implemented project gained successful implementation and sustainability of programs. approval due to national support, in spite of strong opposition by a municipality. (2) Changes in local government leadership, and at the level of national ministries and MAs, (2) Continuity of leadership both in managing authorities and local government which can result in fluctuating priorities, changing eligibility regulations, and a reduction in funding for specific proposals Leadership continuity has been essential for the approval of integrated programs for Roma. Projects prepared under the strong encouragement of national authorities, while In the case of Project Brief 31 (Slovak Republic), the original program had to be reduced both important, are nevertheless vulnerable to changes in leadership, such as among MAs. The in funding and scope. Newly appointed staff of the MA suggested dividing the project into experience of Project Brief 31 (Slovak Republic) is one example of a project prepared three phases. The local government responded by focusing the first phase on a component under strong guidance by a former prime minister that was reduced significantly in scope that had a limited impact on the Roma community. It is currently uncertain when and whether and funding by subsequent MAs. Political changes at the local level can also lead to a the second and third phases of the program will be funded. In the case of Project Brief 8 substantial reduction of funds and realignment of priorities, which was the experience (Czech Republic), political pressures led to a reduction of funding for the refurbishment of the of Project Brief 8 (Czech Republic). Such cases demonstrate the need to institute a more Roma neighborhood. Nevertheless, after negotiations between the city and the MA, some funds robust project preparation mechanism to maintain minimum consistency in project design were reverted back to their original purpose, resulting in one of the Czech Republic´s largest under political transition. interventions in the area of housing for Roma. (3) Experience and capacity in project preparation and management (3) Hidden or direct bias against smaller municipalities A clear advantage in the processing of projects in Project Brief 25 (Romania) and the Grazia Smaller municipalities in general have lower administrative capacity to compete for funding, Deledda program in Project Brief 22 (Italy) was the capacity and experience in the relevant which is an implicit disadvantage in the process. This was mentioned explicitly in the case of government and NGO administrations to prepare proposals for and manage EU-funded Project Brief 31 (Slovak Republic) and in the case of Hungary’s Complex Rehabilitation Program. projects. The chance of preparing a strong integrated program is higher when, in addition to In the case of Project Brief 31, the application for funding under the Slovak Local Strategy for local government experience with infrastructure operations, there is one or more NGO that Complex Approach funding scheme was rejected due to the alleged poor quality of its “complex has knowledge and experience obtaining ESI Funds.1 Continuous interaction and assistance approach,” although the municipality attests otherwise. In the Czech Republic, small municipalities by national institutions (MAs) or support by external or private partners in preparing with fewer than 20,000 people, like in the case of Project Brief 7, are not even eligible to apply proposals for EU funding has been welcome in the case of municipalities that have less for funding under the country’s Integrated Urban Development Program funding scheme. In Project Briefs experience with proposal writing. However, such help, especially from the private sector, Hungary, the intermediary organization (ESZA) involved in processing proposals and managing comes at a cost and needs to be reflected in budget preparations. Project Brief 2 (Bulgaria) funds concluded that local consortia in small settlements and segregated neighborhoods do not is a good example of local government receiving useful, cost-effective trainings from the have the capacity to prepare and run relatively complex integrated projects, which involve, for Consortium “Dominus” financed by the Ministry of Regional Development and Public Works. example, public procurement for infrastructure activities. To address this, a mentoring system for However, a private company contracted by the municipality prepared the project in the case local authorities was devised in Hungary. However, the system was not active at the time during of Project Brief 31 (Slovak Republic), and thus costs were incurred. which municipalities needed to respond to calls for proposals for integrated projects. (4) Limitations or incoherence in national regulations vis-à-vis rules that guide the use of EU funds Obstacles and common challenges Incoherence between EU funding rules and national regulations is sometimes cited as an Some of the common obstacles in the preparation and approval of integrated projects include: impediment to the processing and approval of proposals. For example, employment activation activities in Project Brief 4 (Bulgaria) could not include fisheries because this sector was (1) Strong political pressure at the local level against Roma-targeted programs, and the considered ineligible under national regulations. This was despite the fact that local partners redistribution of funds to non-Roma considered it very well suited to the Roma project and target population. Similarly, local authorities Public resistance against programs targeting Roma beneficiaries is common in EU member in Project Brief 25 (Romania) received mixed messages regarding purchasing a vehicle for an employment facilitation program. The vehicle purchase was encouraged by EU funding authorities, 1 MostNGOs involved in the EU-funded integrated projects reviewed here had experience applying for support from ESF (versus ERDF). ESF but prohibited under national regulations. In the case of Project Brief 7 (Czech Republic), energy supports social activities usually run by these NGOs. efficiency requirements under national law for social housing projects financed from national 226 227 sources were perceived to be too restrictive for social housing. These complications delayed pressures previously described (in other words, a number of the integrated programs did not in fact target or complicated the implementation of projects to improve Roma living conditions. Roma), and on the other hand, the absence of the right skills and capacity at the local level to realize activities in an integrated manner. “Hard” infrastructural and “soft” social activities were ideally designed (5) Delays in project approval, as well as uncoordinated approval and timing of “hard” to be implemented side-by-side with some overlap in time and in the pool of targeted beneficiaries. In some infrastructure and “soft” social activities cases, programs were only “integrated” or only targeted Roma communities on paper, while in reality funds Reviews of 36 Projects Improving Roma Living Conditions Delays in the approval of funding were cited in both Bulgaria (Project Brief 4) and Italy were used for infrastructure development that benefitted middle-class and non-Roma populations. (Project Brief 22), as were obstacles to timely implementation. These delays are particularly disruptive when authorities are trying to implement infrastructure and social activities in synergy. In the case of Project Brief 22, social activities were already taking place, even Good practices and factors for success though the spaces in which they were supposed to happen had not yet been renovated. The two common factors that have driven the preparation of integrated programs across the case studies are (1) financial incentives and dedicated funding mechanisms; and (2) the presence of NGOs. : (6) Lack of interest by contractors due to small budgets (1) Financial incentives and dedicated funding mechanisms In the case of Bulgaria, another project constraint was a lack of interest by contractors, who needed to be hired for infrastructure development. A municipality (Project Brief In Bulgaria, the Czech Republic, the Slovak Republic, and Hungary, a good practice to encourage 2) submitted a request to the Ministry of Finance for an additional lev 3.7 million the use of funds in a dedicated manner has been to establish dedicated funding schemes or (approximately €1.9 million), given that the original sum was reportedly too low to attract linked funding mechanisms. In the Czech Republic, a 10 percent bonus is allocated to projects contractors to build social housing. prepared under municipalities’ IUDPs. In Bulgaria, a funding scheme under ERDF and ESF, respectively, was earmarked for integrated programs targeting marginalized groups.2 In early 2006 in the Slovak Republic, the Local Strategy for Complex Approach was introduced to pool funds for comprehensive programs for marginalized groups. In Hungary, building on the BOX2 Recommendations: General Processing Roma Settlement Integration Program started in 2005, a call for proposals was launched for Complex Settlement Rehabilitation (initially for ESF funding only, and later for ERDF funding to complement the latter activities). While there have been various setbacks in the ability of these The conclusions from the review of the preparation and approval stage of integrated programs reveal several lessons schemes to encourage strong integrated programs, the intention to create dedicated funding learned. Some of the key challenges, such as political pressure against devoting funds to Roma at the local level, stem from issues beyond the immediate control of European Commission (EC) desk officers and national and local mechanisms has been an impetus for combining hard and soft integrated projects. authorities. Nevertheless, the following steps would facilitate the preparation of integrated interventions: (2) NGO involvement Establish or designate a permanent national body or institution with a strong mandate to champion integrated projects for Roma. Perhaps the strongest factor in planning truly integrated programs for marginalized communities was the active involvement of local NGOs that have a long history of experience in the target Ensure appropriate wording in calls for proposals and realistic deadlines; influence project selection based communities. Given that the integrated approach aims to address the multidimensional nature of on objective criteria; ensure that a core set of activities and the targeted population are not removed in the event of political change at the local level. poverty, vulnerability, and poor living conditions, it has been essential to know the specific needs and obstacles faced by the target beneficiaries. Programs designed by or in collaboration with local Provide mentoring or additional funding and training for the preparation of proposals by smaller municipalities. NGOs generally consulted with and included beneficiaries in project preparation. They also tended to devise more elaborate, creative proposals for combining soft activities with infrastructure and housing improvements. Moreover, they are more flexible with starting and carrying on “soft” inclusion activities regardless of possible procurement setbacks with infrastructure investments. B. Integrated Approach The reverse is also true. When NGOs are the main drivers of the project— such as in Project Brief 22 (Italy) or Project Brief 6 (Czech Republic)—they report more difficulties handling infrastructure Project Briefs The majority of key informants interviewed in the course of the process review have a good investments, given that NGOs that specialize in social inclusion often lack the technical and understanding of the principles behind an integrated approach to improving Roma living conditions. financial management capacity to implement big construction or renovation projects. The Local-level experts and NGO leaders demonstrated a good understanding of the value of comprehensive visited NGOs also considered the sustainability requirements to be a serious financial risk, as activities for Roma inclusion. The most successful integrated projects were developed with NGOs’ the requested future operation depended on the future funding decisions of public authorities. In strong participation. However, they were less aware of the specific funding regulations besides those these instances, public-private partnerships with NGO participation or strong government and explicitly set forth by MAs in the respective OPs. Both governmental and nongovernmental stakeholders NGO partnerships offer the best chances for a truly integrated approach. recognized the need for more practical guidance in preparing and implementing integrated programs. (3) Links with territorial and local development plans There has been no country-specific definition of an integrated approach beyond overall policies The requirement for funding applications to be linked to local development strategies has and documents issued by the EC. been an incentive to think about long-term and sustainable interventions. The majority of The Article 7 amendment led to certain national legislative changes in eligibility requirements for case studies that have been conceived in this manner were indeed aligned with long-term funding under ERDF. (For example, this was the case with regards to using funds for social housing.) A strategies or plans. In the case of Project Brief 25 (Romania), for example, the city’s integrated number of countries created dedicated funding mechanisms to support integrated measures, such as urban plan provided a long-term vision, and the city was able to attract various donor funds the Comprehensive Rehabilitation Program in Hungary, the IUDPs in the Czech Republic, the INTEGRA (UNDP, ESF, ERDF) to support programming for vulnerable communities. Such requirements, scheme in Bulgaria, and the Local Strategy for Complex Approach program in the Slovak Republic, to however, should be sensitive to existing priorities and strategic documents, just as they should which 13 operational programs contributed. The most common challenges with these schemes had to do with, on the one hand, the actual use of such funds for Roma communities, given the political 2Operation INTEGRA under OP Human Resource development (ESF) and scheme BG 161PO001/1.2-02/2011 under OP Regional Development (ERDF). 228 229 discourage the duplication of planning documents, which are often created simply to repairing water and sanitation infrastructure with minimal or no impact on Roma communities. compete in a certain call for proposals. Moreover, MAs should employ greater flexibility and Technical assistance was provided by private developers that lack the skills or motivation to provide necessary technical assistance, especially to smaller municipalities. In countries promote complementary socioeconomic activities for marginalized Roma communities. In Hungary, like Bulgaria and Romania, all municipalities are required to produce local Roma inclusion the Türr István Training and Research Institute was contracted to provide intermediary mentoring strategies, although without explicit link to the funding schemes for integrated inclusion services to municipalities to help them create equal opportunity strategies. (Unfortunately, the Reviews of 36 Projects Improving Roma Living Conditions programs. This results in high administrative burden and marginal impact. training did not occur in time to support the first round of applications for Complex Rehabilitation Programs). Such a mentoring approach could be a helpful initiative to translate guidance from highly technical OP documents to the local reality and proposed activities of each municipality. Obstacles and common challenges The most common pitfalls in following an integrated approach are related to logistical challenges that arise from fragmented sources of guidance, no clear definition or support at the national level for planning comprehensive activities, and failure to involve adequate partners at the local level. BOX3 Recommendations: Integrated Approach There are also issues with assigning responsibilities and an overall mandate for each aspect of the comprehensive approach. In addition, as noted in the above section, proposals designed in response Lessons learned for facilitating an integrated approach include: to national-level “integrated approach” programs often are not designed specifically to benefit Roma Streamline or consolidate application and reporting requirements across different funding sources (e.g., under the communities. In such cases, Roma benefit only marginally, if at all, from program activities. This same national OP and managing institution). is due to their distinct living conditions and circumstances of exclusion, especially in the case of segregated communities. Encourage the involvement of NGOs and community organizations in the planning process, ideally as official partners with a clear mandate and responsibilities. (1) Fragmented funding sources Provide mentoring and practical guidance on the meaning and substance of an “integrated approach,” while helping Interlinked but nevertheless separate funding schemes can provide the right incentives applicants tailor proposals to local needs. for thinking about an integrated approach. However, they can also result in an Monitor the principle of explicit but not exclusive targeting of Roma in project activities to ensure they are designed administrative overload or unnecessary delays in timing for one or another set of hard to meet Roma needs throughout all stages of the project, from design to implementation. and soft activities. When local authorities are required to apply to two OPs, the burden Avoid overly standardizing activities that do not necessarily serve the needs of all targeted communities. of monitoring compliance with financial and procurement procedures is likely to occupy most local-government capacity. It is also likely to result in a disproportionate focus on the infrastructure activities, which entail larger responsibility for monitoring procurement and finance. Timing is another challenge that arises from fragmented funding sources. If C. Technical Design (Operational Practice) activities are sequenced with a particular logic, but their implementation is not guaranteed in the sequence, the program’s overall success can be at risk. In the case of Bulgaria’s pilot Good practices and factors for success projects, municipalities have not commenced soft activities when infrastructure works One of the key criteria reviewed under the technical design of projects is their success in providing have not begun. In the case of Project Brief 22 (Italy), ERDF funding was expected to a comprehensive set of services to Roma and vulnerable groups. This is why some of the good provide space for a community center, from which the project’s social services would be practices noted in the analysis of an “integrated approach” above are valid here as well. The best provided. However, the funding was significantly delayed. The municipality was able to fill practices found in the review mostly refer to ways of engaging beneficiaries and the broader the funding gap with other budget and private resources; however, this is not possible in community throughout the project. This has resulted in better tailored activities, less delays, and all municipalities. Disproportionate funding needs for infrastructure and housing relative potentially greater sustainability of the programs. Similarly, the review finds that a large part of to socioeconomic programs is also a potential challenge in coordinating funding. Case in the risks’ noted by authorities can be mitigated with better consultations and engagement with point, in Hungary, 40 projects were awarded ESF-funded grants for social inclusion, but beneficiaries. Project Briefs due to funding constraints, only 8–10 will be selected for infrastructure (social housing) investments to complement the soft activities, as other social activities go unfunded. (1) Involvement of NGOs as initiators or active partners in the project The active involvement of NGOs has had a significant impact on the quality of project activities, as (2) Lack of detailed guidance at the national and local levels on the meaning of an demonstrated in the examples of Project Brief 6 (Czech Republic) and Project Brief 22 (Italy). In “integrated approach” these places, NGOs were not only involved in the project, but in fact championed it and were its main As mentioned above, the presence of strong NGOs or social service workers with knowledge implementers. This is also evident in Project Brief 25 (Romania), where a set of NGOs have provided of the target community is crucial to bringing meaning and substance to integrated continuous support to both EU and UNDP-funded projects. Project Brief 5 (Czech Republic) brings activities. Not all municipalities, however, have a large array of experienced NGOs to work a similarly positive example of strong capacity and involvement of social workers. Their familiarity with; or, in some cases, local governments have been unwilling to use NGO networks. with beneficiaries’ situation and needs has helped the project reach the targeted communities. In some places, this is due to a lack of precedent or tradition for local government to work closely with community organizations. For some of these reasons, there tends to (2) Consultations and needs assessments be an almost exclusive reliance on guiding documents issued by national MAs. In the Some projects reviewed did not involve consultations with beneficiaries, nor did they closely absence of strong grassroots involvement, and more detailed guidance on the substance investigate beneficiaries’ most pressing needs. In the cases with strong NGO participation, NGO of activities, some programs (for example, all pilot projects in Bulgaria) have proposed knowledge and expertise was tapped to customize project activities to beneficiaries’ needs. In a long, standardized list of activities that are not tailored to the needs of the target Project Brief 25 (Romania), for example, two needs assessment studies were commissioned beneficiaries. (Other programs have successfully tailored their activities to local needs.) to collect data on specific priorities of the target population (which is why the social project In the Slovak Republic, some of the reviewed case studies focused almost exclusively on focused on employment support). 230 231 (3) Involvement of beneficiaries with financial or in-kind contributions (3) Activities are only vaguely defined at the outset of the program Seeking contributions from beneficiaries has proven to be important not only to secure their Even in cases where projects have been approved for funding, the project activities may not participation and commitment to projects, but also to help counteract negative stereotypes be clearly defined. This leads to multiple risks. Firstly, authorities may not have the capacity to implement an integrated program, as described in project proposals. Secondly, beneficiaries Reviews of 36 Projects Improving Roma Living Conditions and political pressure about government resources being channeled to beneficiaries perceived as “undeserving.” Such arrangements should be flexible in order to avoid generating overly may oppose activities that were not discussed during project preparation. Thirdly, the project strict and unaffordable conditions for eligibility. A particular good practice along these lines may not attract the right implementing partners, if they were not involved from the beginning. has been the facilitation of employment of beneficiaries with contractors or other employers A strong correlation was found between a solid definition of activities and strong NGO in the community, as in the case of Project Brief 6 (Czech Republic). The government- participation. At the same time, where projects were prepared under extensive national-level funded social housing program in the Czech Republic has a condition of labor contribution guidance, the projects are generally weaker with regards to preparing concrete activities and or the equivalent of 20 percent financial contribution by beneficiaries. Posing conditions creating stable local partnerships to implement them. Such is the case with the Bulgaria pilot for beneficiary involvement may be controversial and requires thoughtful planning and projects, where formally the programs include a long list of standard activities across the pilots sequencing of activities. For example, Bulgaria’s pilot projects contain a condition for for a very broadly defined set of “excluded groups.” Yet no information is available on concrete contractors to employ beneficiaries in project construction activities. To be effective, this programs for each of these groups. In Hungary, the National Development Association (the MA) condition needs to be accompanied by proper and timely training, as well as a matching of has concluded that many local proposals contain weak or blurry activities that are limited to needs and services between contractors and prospective workers. events rather than specific services. (4) Failure to create strong local coalitions and to attract the “right” partners for implementing Obstacles and common challenges activities A common weakness of program design has been the very centralized approach to preparing (1) No consultations with or prior information provided to the community and managing activities at the local level. In Hungary, stakeholders in various localities have In some of the reviewed cases, the project design was not accompanied by consultations pointed out that the NGOs that have worked the most with the target groups were excluded with target populations or the wider town/village community. (Other projects are to be from the project design. In some cases, funding was provided to NGOs with much less expertise commended for the way in which they involved beneficiary feedback.) In some cases, in the target communities, which could result in confusing double efforts by different actors the lack of feedback was mitigated by the involvement of NGOs, which are more aware working with the same target group. In the case of Project Brief 4 (Bulgaria), NGOs were of the needs and attitudes of the target community, or by conducting a formal needs identified for partnership, but seeing as their role is still undefined, they have not participated in assessments, as described above. The value of consultations and information is that project preparation activities. Infrastructure development projects in the Slovak Republic have these take into account all issues and concerns, opening space for public debate prior to largely overlooked aspects of social and economic integration of beneficiaries. The authorities the program. In Bulgaria, in particular, local authorities in all pilot locations perceived a and private actors implementing these programs do not possess the right skills to design and risk that beneficiaries may be opposed to in the project, or may not have an interest in manage soft interventions. Failure to build the “right” local coalitions for sustainable projects project activities, and hence would not actively participate. These risks could be mitigated is partly an issue of capacity. Even in Hungary, where the establishment of local coalitions by continuous consultations and work through local NGOs to ensure that activities and has been mandatory under the requirement for local equal opportunity strategies, different services are adequately tailored to beneficiary needs. This is particularly important in settlements have various capacities to establish such partnerships. Another possible obstacle is cases where project activities will involve resettlement or the temporary resettlement of the top-down process by which some programs were created, such as in the case of the Bulgaria residents. pilot projects. In these, the preparation process consists primarily of negotiating content and funding with a national expert group, leaving behind grassroots consultations, attracting local (2) No monitoring indicators and targeted outcomes included in the design partners, and defining specific activities as a secondary consideration in the process. In all cases, with the exception of Project Brief 22 (Italy), monitoring indicators that are Project Briefs related to better integration of target communities and/or improvement of living conditions (5) Uncoordinated or conflicting policies at play are not explicitly included in the design. Monitoring is primarily performed for financial The case of Project Brief 5 (Czech Republic) shows that the impact of some programs can be accountability and for the completion of infrastructure works. It is generally performed by compromised by secondary or indirect impacts, such as the gentrification of renovated areas. an external agency (such as a private company, the national authorities, or an intermediary Central city neighborhoods often house marginalized communities in buildings with deteriorating government agency) and does not build capacity in monitoring and evaluation (M&E) quality. Renovations increase the demand for such buildings, which in turn can lead to the practices among local-level actors. In the case of Project Brief 22 (Italy), performance and gradual gentrification of the neighborhood and the pushing-out of the Roma community. A participation indicators for the program have been monitored with the involvement of the program aimed at sustainable housing solutions for disadvantaged groups would ideally foresee implementing organizations. This has allowed the program to demonstrate tangible results, and manage such outcomes. Moreover, there could be a rigorous assessment of the affordability such as evidencing the number of beneficiaries participating in each set of activities, the of housing provided and the efforts to support beneficiaries in renting or buying on the private number of children enrolled in and attending school, and the number of Roma participating housing market. in social inclusion programs. Performance monitoring is especially useful, as most of the comprehensive service programs begin without a defined set of activities (see point 3 below) and sometimes even without a well-defined target group. M&E makes it possible to track real progress and respond to challenges for particular disadvantaged groups. 232 233 BOX4 Recommendations: Technical Design (Operational Practice) BOX5 Recommendations: Institutional Arrangements and Capacity Reviews of 36 Projects Improving Roma Living Conditions Lessons learned from good practices and common constraints in the process review of integrated Roma living condition Handling the administrative requirements for integrated programs involves the coordination of multiple actors. Sometimes programs point to the following recommendations: the management of more than one source of funding poses a significant challenge for local government, especially for small municipalities. Similarly, NGOs face significant risks and capacity constraints in initiating and managing comprehensive Tailor project proposals to local needs through ongoing consultations and/or needs assessments. programs, in particular related to infrastructure investments. Recommendations to strengthen administrative capacities Define project activities and beneficiary groups in sufficient detail prior to project approval to allow for include: adequate planning and a realistic scope of the program. Create long-term capacity within municipalities for the management of comprehensive programs, such as through Form local-level partnerships at the project preparation phase, tapping into available local knowledge and regular trainings for local staff. resources (such as NGOs, the private sector, and so on). Provide practical guidance in designing comprehensive initiatives (such as in the selection of beneficiaries, identifying Secure beneficiaries’ commitment and participation by requiring their time, labor, financial and/or other in- and prioritizing needs and interventions, and in designing results monitoring indicators). kind contributions. Encouraging mechanisms for partnership and risk-sharing among public institutions, NGOs, and the private sector. Assess project sustainability (including but not limited to affordability concerns) to plan for mitigating measures. D. Institutional Arrangements and Capacity Institutional arrangements are similar for the majority of case studies. Local government is the primary applicant for funds, and implements most projects through its various departments, depending on the Summary Table of Factors for Success, Common Challenges, and Recommendations nature of services (employment, education, housing, health, and so on). In the case of infrastructure improvements, the municipality usually hires private contractors. Where NGOs participate in program implementation, they are generally contracted by the municipality or are recipients of a separate ESF grant. An exception is the case of Project Brief 6 (Czech Republic), where an NGO received funds and led a project with both infrastructure and socioeconomic activities. Factors for Success and Good Obstacles and Common Recommendations Practices Challenges Some of the common challenges with regards to institutional capacity are the high administrative burden and understaffing of local governments to handle applications for funding, manage General Processing procurement and finances, and coordinate activities and partners, especially when the program involves two separate funding sources (ERDF and ESF) under different OPs. A positive result from Presence of a champion body or Strong political pressure at the Establish or designate a permanent the Grazia Deledda project (Project Brief 22 ,Italy) was the establishment of a special unit within the institution at the national level local level against Roma-targeted national body or institution with municipality that built capacity for fundraising and project management for similar programs in the programs, and the redistribution of a strong mandate to champion Continuity of leadership both in future. However, this approach is more challenging for smaller municipalities due to financial and funds towards non-Roma integrated projects for Roma managing authorities and local capacity constraints. government Changes in leadership resulting Ensure appropriate wording in calls in fluctuating priorities, changing for proposals and realistic deadlines Project Briefs Experience and capacity in project In the case of project management handled by an NGO, as in the example of Project Brief 6 (Czech eligibility regulations, and a preparation and management Influence project selection based on Republic), capacity constraints are also accompanied by risks of assuming ownership and responsibility reduction in funding for specific objective criteria for newly built infrastructure. One lesson learned from this case is that NGOs can be encouraged to proposals Ensure that a core set of activities be proactive in initiating comprehensive programs by establishing risk-sharing mechanisms. These Hidden or direct bias against smaller and the targeted population are not could include an agreement whereby the ownership of infrastructure or housing will be transferred municipalities removed in the event of political to local government after a certain period of time. In addition, long-term contracts for NGOs and Limitations or incoherence in change at the local level other social service providers, whenever possible, could help increase their capacity for long-term national regulations vis-à-vis rules Provide mentoring or additional planning and staffing. Another lesson from the Project Brief 6 (Czech Republic) case points to the that guide the use of EU funds funding and training for the value of public-private-NGO partnerships, which creates a flexible design for helping beneficiaries. (For Delays in project approval, as well as preparation of proposals by smaller example, such partnerships can provide links to private and public sector jobs.) Such partnerships uncoordinated approval and timing municipalities also reduce risks for implementing NGOs. of “hard” infrastructure and “soft” social activities Overall, all local authorities point to the need for technical assistance and training. While many have Lack of interest by contractors due received training and support in the preparation of proposals and in the financial management of to small budgets projects, they are less prepared with practical guidance on the content and coordination of integrated programs. The municipalities of Bulgaria (Project Briefs 1, 2 and 4), for example, point to the need for further guidance in the selection of beneficiaries, and in working with a mix of marginalized groups. 234 235 Summary Table of Factors for Success, Common Challenges, and Recommendations Factors for Success and Good Obstacles and Common Recommendations Factors for Success and Good Obstacles and Common Recommendations Practices Challenges Practices Challenges Reviews of 36 Projects Improving Roma Living Conditions Integrated Approach Institutional Arrangements and Capacity Financial incentives and dedicated Fragmented funding sources Streamline or consolidate Establishment of a special unit High administrative burden and Create long-term capacity within funding mechanisms application and reporting within a municipality for fundraising understaffing of local governments municipalities Lack of detailed guidance at requirements across different and project management to handle applications for funding, NGO involvement the national and local levels on Provide practical guidance in funding sources manage procurement and finances, the meaning of an “integrated Public-private-NGO partnerships, designing comprehensive initiatives Links with territorial and local and coordinate activities and approach” Encourage the involvement of NGOs including through agreements development plans partners Encourage mechanisms for and community organizations in the whereby the ownership of partnership and risk-sharing among planning process infrastructure or housing will be Future financial risks of assuming public institutions, NGOs, and the transferred to local government ownership and responsibility for Provide mentoring and practical private sector after a certain period of time newly built infrastructure guidance on the meaning and substance of an “integrated Long-term contracts for NGOs and approach,” while helping applicants other social service providers, which tailor proposals to local needs increase their capacity for long-term planning and staffing Monitor the principle of explicit but not exclusive targeting of Roma in project activities Avoid overly standardizing activities that do not necessarily serve the needs of all targeted communities Operational Practice Involvement of NGOs as initiators or No consultations with or prior Tailor project proposals to local active partners in the project information provided to the needs through ongoing consultations community and/or needs assessments Consultation and assessment of needs through participation of local No monitoring indicators and Define project activities and actors targeted outcomes included in the beneficiary groups in sufficient design detail prior to project approval Involvement of beneficiaries with financial or in-kind contributions, Activities are only vaguely defined Form local-level partnerships at the accompanied by proper and timely at the outset of the program project preparation phase training, as well as matching needs Failure to create strong local Secure beneficiaries’ commitment and services between contractors coalitions and to attract the “right” and participation by requiring their Project Briefs and prospective workers partners for implementing activities time, labor, financial, and/or other in-kind contributions Uncoordinated or conflicting policies at play Assess project sustainability (including but not limited to affordability concerns) 236 237 Bulgaria renovating and modernizing social housing (33 energy efficient apartments); courses for improving adult education and literacy rates; adult training in new vocational skills to increase employment rates; Project Brief 1 subsidized employment opportunities at town enterprises; Social Housing and Human Resource initiatives to incentivize young Roma, particularly underage parents, who dropped out of school to return through afterschool tutoring and extracurricular activities; Development (HRD) Projects (A), Bulgaria encouraging parent-teacher consultations to increase Roma ownership over their children’s education; provision of free meals by the municipal soup kitchen; establishment of a Complex for Social Services community center to meet health and social needs in underserved Project/s period: neighborhoods. 2011 to present for the Social Housing project; 2012 to present for the Human Resources Development project (HRD) Total project/s cost: Design Features and Outcomes €718,934 for Social Housing; €876,887 for HRD Key dimensions of the integrated project in Devnya include: (i) a municipality and NGO partnership to implement the projects, which marries NGO expert knowledge and relationships with beneficiaries with the municipality’s resources and Total number of beneficiaries: logistical support. This strategy has maximized impact; (ii) soft and hard programs take place together, which means 165 people for Social Housing; 900 people for HRD there is no sequencing of housing and social assistance activities. Both unfold simultaneously thanks to a sizeable number of specialist NGOs assisting the municipality with the project. The advantage of simultaneous implementation is that Financed by: beneficiaries stay committed to the soft programs, instead of avoiding them when organized after beneficiaries obtain ERDF through the OP Regional Development for Social Housing, social housing; (iii) overlapping beneficiaries; almost ¼ of beneficiaries overlap between the two projects, which means and the ESF (85 percent) and state budget (15 percent) families accommodated in the renovated homes also take part in activities and programs for their human resource through the OP Human Resources Development for HRD development; (iv) establishment of a project coordination unit, which involves a range of local stakeholders and NGOs Implementing agencies: to maximize community contributions to the project, from regular inputs to monthly reports on implemented projects; (v) Municipality of Devnya with four NGO partners—Association recognition of Roma diversity and a differentiated approach in working with each group. Devnya’s diverse Rudari Forum-Civil Society; Association of Disabled People in Devnya; and Horohane Roma groups require different approaches to recruit them to participate in project activities. A local Roma Association “Together for Devnya;” and Association of Young NGO with good rapport with these two groups helped inform and involve targeted project beneficiaries; and (vi) including Psychologists in Bulgaria. Educational institutions also other marginalized groups in the larger HRD project helped avoid singling out one marginalized group at the perceived assisted with project implementation expense of others, which in turn improved social cohesion and made integration more possible for all peoples. Areas of intervention: Renovated housing, health, employment, education, social Good Practices and Lessons Learned inclusion, nondiscrimination, capacity building in designing The Social Housing and HRD projects in Devnya used the good practice of gathering sufficient information about and implementing local desegregation policies the targeted beneficiaries early in project planning to understand how to best serve them. Working with local NGOs, including an established Roma nonprofit organization, helped identify target populations, build rapport with them, and understand their needs. In addition, based on this information, the municipality and NGOs together made a plan to Context and Rationale conduct an ongoing information campaign among the entire population and targeted communities to inform them of the projects and the value of their participation. NGOs and municipality cooperation can ultimately ease the 80 percent of Devnya’s underprivileged are from Roma communities. Roma are concentrated in the neighborhoods of complex process of implementing two projects concurrently, while also build up support for them. Finally, the project Gubena mahala, Reka Devnya, Povelyanovo, and Devnya within the city limits. Residents include underage and single sought to interconnect Roma and other socially and economically marginalized groups through joint trainings and parents and those with disabilities and chronic illness. The majority of homes in these neighborhoods lack sufficient help finding and maintaining formal employment. space, electricity, and sanitation. Most Roma do not own their homes, and their children do not attend school. Roma here have the highest rates of long-term unemployment of any group in the city. Traditionally, the municipality has Project implementers reported that the project faced the following challenges over the course of its project cycle: (i) lacked social housing and support programs to address these overlapping issues. All of these factors have created an prolonged preparation processes required to coordinate various funding sources and separately apply for multiple acute need for social protection and housing for Roma and vulnerable groups in Devnya. funds. This meant the information had to be continually updated to reflect both the situation on the ground and the changes in the administrative procedures and regulations; (ii) insufficient local capacity to prepare and implement projects for disadvantaged groups. Relevant staff members of the municipality office could benefit from receiving Objectives and Scope training and participating in knowledge exchange, in order to enhance their skills to plan and implement projects; and The key objective of Devnya’s interconnected Social Housing and Human Resources Development (HRD) projects is (iii) while the target group was provided with information and instructions for accessing the project benefits, their to improve the livelihoods of the town’s marginalized groups by providing new homes and access to education, health, participation at the project design and preparation stage was limited. and social services. To make this possible, the municipality and its NGO implementers have adopted an integrated approach to interconnect their activities. The social housing component specifically supports home reconstruction, while HRD supports training and soft measures, which together include: 238 239 • Bulgaria parenting courses; mediation between the Roma community and local human services and medical providers, to improve access Project Brief 2 to facilities and care. “Home for Everyone” Project and Design Features and Outcomes Human Resources Development (HRD) Key dimensions of the integrated project in Dupnitsa include: (i) municipality and NGO partnership in implementing the projects marries NGO technical expertise in building homes and running educational trainings with the resources and Project, Bulgaria logistical support of the city; (ii) overlapping beneficiaries with clear recipient requirements between the two projects means that families accommodated in the newly built homes are required to participate in activities and programs for their human resource development. All tenants must pay their rent and utilities, and children attend school regularly; (iii) sanctions are enforced for violating an established home rental contract; recipients can even risk eviction. The project’s Project/s period: managing authorities are involved in monitoring and enforcing these requirements; (iv) including other disadvantaged 2012 to present (ongoing) for both projects groups in the larger HRD project helped avoid singling out one group (such as Roma) for new housing at the perceived expense of another social group (Karakachani ethnic minority), which improved social cohesion and made integration Total project/s cost: more possible for all peoples. €2,508,371 for “Home for Everyone;” €884,411 for the Human Resources Development project (HRD) Good Practices and Lessons Learned Total number of beneficiaries: The “Home for Everyone” and HRD projects in Dupnitsa employed the good practice of providing information on 460 people (or 150 families) for “Home for Everyone;” 1,080 Context and Rationale eligibility and instructions for joining the new housing and human development activities as an early step to people for HRD raise awareness about the project. The municipality and NGO partnership helped make this possible, as the former The neighborhood of Gizdova mahala in Dupnitsa, Financed by: relied on the latter for the information campaign and consultations with disadvantaged groups. The NGOs already Bulgaria (population 38,986) is an urban ERDF through OP Regional Development for “Home for were well known for their proven effectiveness in working with the Roma community in town. They became even more community of 1,655 residents of predominantly Everyone;” ESF through OP Human Resources Development for efficient as they tapped into municipal support for the construction of homes and running activities that required links Roma background. Most live in inadequate housing HRD to educational and social service institutions. with poor sanitation and only partial or illegal connection to public utilities, such as running The project sought to overcome segregation and marginalization by connecting Roma communities to urban housing, Implementing agencies: water and electricity. Residents include underage human services, and employment opportunities in the wider Dupnitsa community. It worked with Roma families that Municipality of Dupnitsa with two NGO partners—Association and single parents with large families of more than were open to creating cross-cultural connections through training and workshops, as well as with those with an “Amala-Friends” for employment and educational outreach three children. Some children have disabilities or eagerness to manage tasks and housing requirements. and Habitat for Humanity-Bulgaria for housing and are in poor health. Other inhabitants face long- desegregation measures term unemployment, limited education, low literacy Some of lessons learned on the project design included (i) the importance of including mentoring support for disadvantaged Areas of intervention: rates, and outdated skills. They are at risk of people to adjust to lifestyle changes associated with the transition to new social housing; and (ii) a need for a robust Construction of houses, educational and vocational skills increased poverty and social exclusion, especially criteria and a process for selecting tenants for social housing, to ensure that the most disadvantaged and qualified training, facilitated access to healthcare professionals, as smaller communities struggle to recover after people are targeted. sustainable integration of marginalized communities the country’s recent economic crisis. Objectives and Scope The key objective of these interconnected projects is to improve the well-being and sustainable integration of the town’s marginalized groups by providing new houses and access to public utilities and services. This includes opportunities for educational and vocational training, employment, and access to healthcare. To make this possible, the municipality and its two NGO implementers have adopted an integrated approach to interconnect their activities. “Home for Everyone” specifically supports construction activities, while HRD supports training and soft measures, • which together include: • construction of 150 social houses in 15 single-family and multi-family residential buildings; • courses for improving adult literacy rates; • adult vocational training for professional qualifications and key competencies; • assistance with job searches and in securing employment in local enterprises; instruction on the educational system and its requirements for children and their parents, along with general 240 241 Bulgaria Design Features and Outcomes Key dimensions of the integrated project in Iztok include: (i) municipality support in providing land for house construction and in connecting the houses to municipal water and electricity sources; (ii) residency requirements for children to attend school and for adults to demonstrate active job searching or enrollment in employment training workshops. Project Brief 3 This specific combination of requirements helps ensure families benefit not only from housing, but also education and employment interventions. Most residents are generally conforming to these obligations; (iii) affordable rent of €5 per ADRA Project, Bulgaria month (excluding electricity and water costs), which helped keep Roma in the housing complex. Rent in the community is collected by a “housekeeper” who is elected by the tenants, which ensures the majority of tenants pay regularly; (iv) participation of the Roma target group in all project phases, including in the final selection of eligible families to move into the newly constructed houses and in the subsequent monitoring of the agreed code of conduct for new residents; and (v) a “fieldworker” representative hired by ADRA to live in the community and answer questions regarding project activities, as well as to assist tenants with meeting educational, employment, and job training requirements to live in Project period: the complex. 2002 to present (ongoing) Total project cost: Good Practices and Lessons Learned €262,000 The ADRA Project in Iztok used the good practice of building trust with the local Roma community; an “essential Total number of beneficiaries: condition” to implement the project. A functioning partnership with the local municipality, even a nonformalized one 42 households as in the case in Iztok, was vital for the success of the project’s housing component. Depending on relations with the municipality, project activities can either proceed smoothly or be prevented due to a lack of political will. The inclusion Financed by: of Roma beneficiaries in all stages of the project was also important, as was securing early agreement from Roma ADRA–Bulgaria, ADRA–Austria, and the community members about the code of conduct expected for future residents. Mechanisms for Roma ownership municipality of Vienna, Austria over housing construction and maintenance and the management of residential facilities created a strong sense of responsibility in the community. Implementing agencies: ADRA–Bulgaria Foundation in partnership Context and Rationale The project did not explicitly address segregation or discrimination, as the new housing was constructed in an already with ADRA–Austria Foundation and the The Roma neighborhood of Iztok (“east”) in Kyustendil, Bulgaria, segregated space where the Roma community had been living for some time outside of town. ADRA representatives municipality of Kyustendil, Bulgaria is a community of approximately 12,000 inhabitants. Living highlighted that this context is important to observe. The Roma community in Iztok was unwilling to move from the conditions in the neighborhood are characterized by dilapidated area and indicated that if the medical center would not be built within the community, they would not feel comfortable Areas of intervention: houses, many illegally built and overcrowded with tenants, along visiting an alternative center in town in Kyustendil. Efforts of spatial desegregation while constructing new homes would Construction of houses, training and with a lack of running water, indoor bathrooms, or functioning have been more feasible in other towns with already mixed Roma and non-Roma urban populations, which is not the apprenticeships in construction work, ventilation systems. Many of the families in the Iztok community case in Kyustendil. home economics training, construction of a are unemployed parents with limited formal education and medical center, visits by healthcare providers with young children living in a single-room home without proper Some of the project’s other key challenges as reported by the project managers include: (i) the sustainability of financial sanitation. resources, as the activities continue to depend on external support; and (ii) selection of beneficiaries (tenants of social housing), since renovated housing was not available for everyone in the community. The project managers also indicated that the monitoring framework could be strengthened to more accurately measure the project’s results. Objectives and Scope The key objective of the ADRA Project is to improve Roma integration by providing affordable housing, in combination with creating favorable conditions for Roma children to access education and experience healthy lifestyles to escape a cycle of poverty and exclusion. To address the situation in Iztok, ADRA adopted an integrated approach consisting of several activities, including: constructing a community medical center with a full-time general practitioner, a part-time visiting gynecologist, and a dentist; constructing houses (42 families have relocated to new homes); training sessions and apprenticeships in construction work; home economics training; employment skills training; life skills training with a specific focus on education for Roma mothers to support their children. 242 243 Bulgaria Objectives and Scope The key objective of these interconnected projects is to provide modern social housing and improve the livelihoods of vulnerable, minority, and low-income populations. The projects focus on Roma as the largest minority group in the Project Brief 4 municipality, targeting homeless and unemployed Roma as well as those who live in basic conditions. It also reaches out to underage parents, large families (with three or more children), and Roma with disabled and special needs Social Housing and Human Resources children. To assist these beneficiaries and meet the project objective, the municipality and its NGO implementers have adopted an integrated approach to interconnect their soft and hard activities. The social housing component Development (HRD) Projects (B), Bulgaria specifically supports housing reconstruction, while HRD supports training and soft measures, which together include: refurbishing and modernizing existing residential housing and infrastructure (such as electricity, sewage, and water); constructing 80 new municipal housing residences; building child-safety and disability accessible areas in residential spaces; Project/s period: 2011 to present for the Social Housing project; adult literacy and job training and support for (re)entering the labor market with assured municipal employment; 2012 to present for the Human Resources afterschool tutoring and extracurricular activities for at-risk children and vocational guidance for adolescent pupils; Development project (HRD) parent-teacher cooperation in encouraging children to attend school regularly; Total project/s cost: individual and group activities with minority and majority children to foster tolerance; €2,041,281 for Social Housing; €894,715 for HRD activities to improve access to social services and healthcare for promoting healthy lifestyles. Total number of beneficiaries: 280 people for Social Housing; 1,450 people for Design Features and Outcomes HRD Key dimensions of the integrated project in Vidin include: (i) municipality and NGO partnership in implementing Context and Rationale Financed by: the projects, which joins NGO expert knowledge in human resource development with the resources and logistical The Vidin municipality is located in Bulgaria’s northwestern support of the city; (ii) the beneficiaries of the two projects overlapped, which means families accommodated in the ERDF, OPRD, BG 161PO001/1.2–02/2011 for Social region, which has been the poorest region within the European renovated homes also take part in activities and programs for their human resource development; and (iii) including Housing, and the European Social Fund (85 percent Union since 2011. The region’s GDP per capita is just 28 percent other marginalized groups, including disadvantaged people from the majority population in the larger HRD project, of the budget) and state budget (15 percent) of the EU average.3 Vidin is also home to a sizeable Roma helped to avoid singling out just one marginalized group, and also encouraged trust-building and social integration through the OP Human Resources Development population (9 percent of the local population), which is almost between minority Roma and the majority population. 2007–2013, BG051PO001–1/4/5/6.0.01 for HRD double the country’s average of 4.7 percent. Roma here are Implementing agencies: largely concentrated in the Nov Put (“new way”) neighborhood of Vidin, totaling an estimated 9,000 to 10,000 people. There Good Practices and Lessons Learned Municipality of Vidin with two NGO partners, Organization Drom and the Agency for Regional is also a high percentage of Roma in the neighborhoods of The Social Housing and HRD projects in Vidin utilized the good practice of involving the town’s experienced NGOs in Development and Business Center of Vidin. These Zavodskoselishte (“factory village”) and Stroitel (“builder”). The its approach. Vidin’s main Roma NGO, Organization Drom, for example, has more than ten years experience working with organizations will be supported by more than ten housing conditions in all of these areas are extremely poor, Roma and marginalized communities, mainly with regards to education. Organization Drom will help the municipality educational institutions, which will participate in especially in Nov Put. Only a small portion of Nov Put has with the selection criteria for beneficiaries of the new housing and human resource development activities. It will the implementation of project activities but not sewage, so the neighborhood gets flooded during heavy rains also work on an information campaign to inform beneficiaries of the project activities, including current residents in receive financial support from the project and when there are high underground water levels. Electricity municipal housing and new targeted communities, as programs unfold. The working partnership between the NGOs and and drinking water infrastructure are also insufficient. Other the municipality ultimately helps the process of implementing two projects in a complementary manner. Areas of intervention: community issues include a high degree of school dropouts, Renovated modern housing, access to health, out-migration, and underage pregnancies. Parents often do The project sought to overcome segregation and marginalization by connecting Roma communities to renovated housing, education, employment services, designing local- not have the means to support their children and abandon infrastructure, human services, education, and skills training, which are utilized by other marginalized and mainstream level policies to prevent social exclusion and them. Family and intracommunity communication is notably groups in the wider Vidin community. This is expected to help build social cohesion between minority and majority discrimination in a language different than Bulgarian, which poses further populations. challenges for children and adults integrating into schools and As was common amongst other projects in Bulgaria, the key challenges faced by project implementers included (i) the wider community. prolonged preparation processes required to coordinate various funding sources and separately applying for multiple funds; and (ii) insufficient local capacity to prepare and implement projects for disadvantaged groups. In this regard, the technical assistance that was provided by a group of experts (deployed by the national authority) was perceived as very helpful and appreciated, although the technical assistance scheme did not last long. 3 Eurostat. 2012. http://epp.eurostat.ec.europa.eu/portal/page/portal/eurostat/home/ 244 245 Czech republic advice and support from trained social workers from the municipality and NGOs; job search and employment support; a caretaker to monitor the tidiness of apartments and to communicate regularly with tenants. Project Brief 5 Property Management Project, Design Features and Outcomes The Brno Property Management Project has the following key features: (i) the municipality established a property Czech Republic management company to support low-income tenants with social programs and advisory services to help them overcome indebtedness and maintain their apartments. This is as opposed to the municipality outsourcing to private firms the property management of municipal flats. When this was done in the past, the private firms were unable and unwilling to work on preventing tenants’ eviction, just as they were slow to cooperate with social service providers. Since the formation of the public sector property management company, the number of evictions in central Brno Project period: has dropped to one-third of the original number; (ii) municipality and NGO cooperation with providing trained social 2010–April 2014 workers to counsel Roma and low-income tenants who risk being evicted from municipal apartments;6 (iii) based on a pilot project, “Second Chance” (City of Brno, Brno-Center borough, and NGO collaboration), which helped insolvent Total project cost: tenants with financial planning before considering whether to evict them from municipal housing. The project provided a €284,748 template for the Brno Property Management Project; and (iv) the project constitutes part of the Brno Integrated Urban Total number of beneficiaries: Development Plan (IUDP). Most of the tenants targeted by this project live in a locally defined IUDP zone. 757 people Financed by: Good Practices and Lessons Learned ESF through OP Human Resources The project applied a good practice of prioritizing the prevention of indebtedness and assistance to indebted and Employment and ERDF tenants before evicting nonpaying tenants from municipal housing. The project was successful in reducing the cases of through IUDP eviction to a third of the original level. However, it could not fully achieve its objective, as municipal housing could not Context and Rationale serve low-income households as intended. Implementing agencies: Property Management Company Brno is second largest city in the Czech Republic, with a population of The project faced several challenges. First, parts of the municipalities’ housing policies, which did not necessarily protect of Central Brno (municipality- about 400,000. Roma have lived in Brno since the sixteenth century, but low-income households, made achieving the project objectives difficult. Specifically, the increasing rental fees resulted most of today’s Roma moved to Brno from the Slovak Republic after in pushing low-income households out of municipal housing, making their housing situation even more vulnerable, funded) and three NGO partners— World War II. Today there are estimated 15,000–17,000 Roma in Brno, out while leaving many municipal flats vacant. In addition, new municipal regulations required the new applicants to partly IQ Roma Servis, DROM, and Roma of whom 9,000 live in marginalized localities.4 The largest of these is the contribute to a flat’s refurbishment. This new rule not only made the municipal flats unaffordable for low-income Center Cejl neighbourhood situated in the city center. As of 2008, almost 5,000 households, but also discouraged middle-income households from becoming tenants, because investment in the flat did Areas of intervention: Roma lived here, making up almost half of the neighborhood’s residents. not guarantee long-term tenancy and the investments made by tenants could potentially be lost. Second, in the view of Prevention of indebtedness, However, in recent years many of them moved out, partly because of social workers, the municipality placed an unrealistic level of expectation on the role of social workers in assisting prevention of eviction, socially high indebtedness, which leads to eviction from housing. The municipality the indebted tenants. As was the case with the Second Chance pilot, the most heavily indebted tenants were directed to sensitive and inclusive property of Brno-Centre, where the Cejl neighbourhood is located, has one of the social workers, who felt it was beyond their ability to assist them out of debt. Third, the hard and soft components of highest rates of indebtedness in the city.5 The unemployment rate here is the IUDP were not sufficiently linked from the beginning. While the municipality had a strong capacity in designing management and managing the renovation and upgrading of housing units and public spaces, it heavily relied on the expertise of also six times the average of the entire city, while the educational level is civil society organizations to plan and coordinate soft interventions. As a result, hard and soft components were not just 40 percent of Brno’s average (2007). planned in full coordination, and the IUDP resulted in comprising a series of isolated activities. Being part of an IUDP, however, projects that implemented these activities still received preference in accessing ERDF and ESF funds. Fourth, the employment opportunities provided by the project were limited due to the following issues: (i) the municipality could only offer low-paying jobs; (ii) the list of tenants who were interested in getting a job through the project became Objectives and Scope outdated quickly and proved difficult to update; (iii) many tenants preferred to work in informal jobs, which often paid The key objective of the Brno Property Management Project was to prevent the indebtedness and eviction of Roma better and did not affect the level of social benefits; (iv) the tenants did not have a very clear idea of what kind of job and low-income families from municipal housing. To support Roma tenants, the municipality’s property management they would be offered; and (v) the firms that were supposed to employ some of the tenants had little confidence in low- company and NGO implementing partners provided tenants with the following integrated services: income households, especially Roma, and were reluctant to hire them. using software to monitor tenants’ risk of not paying municipal rent; The key lessons from the project include: (i) a mechanism is needed to ensure that projects do not end up pushing help remaining in municipal housing in the face of indebtedness and possible eviction; existing low-income households out of the benefitting project area; (ii) (municipal) housing policies need to be coordinated with the project activities to create an enabling environment to achieve the project’s objectives; (iii) municipalities often require technical assistance in preparing an integrated urban development plan, in order to avoid creating and supporting development plans that consist of isolated activities; and (iv) projects need to be planned with feasible and 4 Věra, Koupilová. 2010. “Strategie romské inkluze v Jihomoravském kraji na období 2010–2013.” concrete interventions and targets. 5 The overall rate of tenant debt in municipal housing stock was only 1.9 percent in 2010, but the average amount of debt for each indebted household was CZK 299,000 (37 monthly minimum wages), and the total debt amounted CZK 221,400,000. For more information, see 6TheERDF grant for the IUDP scheme for the refurbishment of houses and public spaces also required accompanying soft projects. However, the Mikeszová et al. 2010. “Mapování skupin obyvatel akutně ohrožených sociálním vyloučením ve vybraných čtyřech krajích (v Praze, Středočeském kraji, Jihomoravském kraji a Moravskoslezském kraji) v souvislosti s nedostupností bydlení.” Praha: Sociologický ústav AV ČR. municipality seems to have initially faced capacity challenges in planning soft measures. 246 247 Czech republic employment and training program; financial counseling; creation of work places (like at a Javorník coffee house and NGO-run social enterprises); Project Brief 6 children’s recreational activities; Social Services Base Development Project, motherhood and parenting support. Czech Republic Design Features and Outcomes Key features of the integrated Javorník Social Services Base Development Project are: (i) subleases offered by the NGO implementer (Ester) to beneficiaries, which minimize risks to private property owners. The NGO rents apartments from the owner and sublets the apartments to beneficiaries of the NGO. The set-up allows the NGO to acquire and Project period: offer different types of housing suitable for each beneficiary, depending on his or her situation; (ii) NGO and commercial 2010–2015 housing partnerships, formed on an informal basis between the NGO and local businessmen, enabled the NGO to find suitable housing arrangements in town for Roma and other vulnerable groups; (iii) each month, beneficiaries receive Total project cost: financial counseling on saving money for an eventual down payment on a deposit, allowing them to enter into a direct €14,495,337 leasing relationship with the owner of properties. This is instead of obtaining a sublease with the NGO; (iv) makes use of Total number of government of Czech Republic (GoCR) Labor Office-financed public work schemes in the region, which provide job beneficiaries: skill-building and temporary work placements to help beneficiaries transition to the regular labor market. The temporary 150 people (400 total people placements (paid at minimum wage) are for six months and can be extended for up to one year. Utilizing this scheme, currently serviced by NGO) the NGO employed 80 people through its various social enterprises; (v) the NGO (Ester) cooperates with other NGOs to connect beneficiaries and their families to expanded social services it does not yet provide, such as services for preschool Financed by: age children run by another Czech NGO (People in Need). ERDF (Integrated Operational Program)(only for Context and Rationale reconstruction of buildings, Good Practices and Lessons Learned The Javorník microregion is one of the remotest and poorest regions in the Czech construction of a playground, The project attests to how NGOs can play important roles in providing housing and social services for Roma and Republic. Its main city of the same name, Javorník (population 2,994), is beset and provision of automobiles) other vulnerable groups. Among other reasons, NGOs are well placed to serve as intermediaries between landlords and with high unemployment (16.7 percent in 2011), out-migration, and brain drain housing tenants, or as the owners of buildings that provide accommodation for at-risk beneficiaries. As municipalities of young people. There are significant numbers of Roma living in Javorník and Implementing agency: often cannot alone solve the housing issues of Roma and other marginalized groups, partially due to political reasons, the surrounding towns (400 total inhabitants). The share of Roma in the region Ester (NGO) housing projects by NGOs can be one of the strategies to improve the situation in an integrated manner. In the case of is estimated to be around 10 percent of the population. Most have a history of this project, the ERDF funding contributed to enhancing the services offered by NGOs by investing in physical facilities Areas of intervention: working in the area’s stone quarries and collective farms during the socialist required in delivering the services. It was helpful, because the NGOs had been running with just enough financial resource Social services, housing, period. When many of these enterprises shut down in the 1990s, local Roma lost to provide services, and had no financial capacity to invest in physical infrastructure. employment their jobs and struggled to maintain their livelihoods. In consequence, some Roma families began to squat abandoned buildings outside of Javorník. The project is At the same time, the project has faced several challenges, including: (i) the local authority in one project area has been part of the long-term effort of the Javorník-based NGO, Ester, to reintegrate the unsupportive of the project, claiming that the project attracts additional unwanted low-income (Roma) families to the local Roma into society. area; (ii) NGOs specializing in social inclusion are not necessarily equipped with the technical and financial management (public procurement) capacity to effectively implement big construction or renovation projects—the strict technical and procurement requirements of the ERDF involved heavy administrative burden on NGO staff, and mistakes could lead to Objectives and Scope high penalties or legal prosecutions; (iii) the NGOs are generally highly dependent on the financial support of the state to provide services. Although the sustainability of the services to be provided at the facilities renovated by the ERDF The key objective of the Social Services Base Development Project in Javorník and the surrounding towns is to required continued financial support by the state, there is no guarantee that the NGOs will continue to receive support improve Roma living conditions and livelihoods by promoting self-reliance and building human capital. This includes in the future. Since NGOs were required to use the facilities for the designated purpose for at least five years after integrating Roma into authorized town housing from informal and segregated settlements, as well as providing them the end of project funding, and a violation of this rule would result in significant sanctions, the project poses a great with vocational training and jobs to sustain their new housing. Other vulnerable groups, such as the elderly and financial risk for participating NGOs. This could be one of main reasons why some NGOs are discouraged from applying persons with psychological challenges, were included in some aspects of the program. To realize the project’s overall for ERDF funding. goals, the NGO implementer incorporated the following hard and soft activities: creation of a Social Service Centre, which will offer both ambulant services (counseling, free time activities for These experiences indicate the potential value of (i) explicit measures to prevent further concentration of disadvantaged children and adults, trainings, and so on) and simultaneously serve as a base for the provision of mobile services groups (including Roma); (ii) applying practical technical and procurement requirements, and providing technical to the entire microregion (funded by ERDF); assistance to project implementers to comply with the requirements; and (iii) providing multi-year framework contracts and funding for the social service providers (NGOs) to operate the ERDF-funded facilities. In this case, the selection of reconstruction of a building to serve as an emergency accommodation for people in need (funded by ERDF); the service provider can be made on a competitive basis, and the validity of their contracts can be made contingent on housing provision in apartment blocks; the compliance with a number of predetermined quality standards. renovation of an old farm house for asylum housing (funded by ERDF); accommodation offer in the form of a sublease between the NGO and beneficiary; 248 249 Czech republic Design Features and Outcomes Key features of the proposed Krásná Lípa “Housing Reward Ladder” project include: (i) a municipality that is pro- active in reaching out to local Roma residents, even in the face of opposition from segments of the town’s non-Roma Project Brief 7 population; (ii) involving non-Roma vulnerable groups as beneficiaries alongside Roma helped build support for the project and quell opposition among the town’s residents; (iii) a local community center (called “Kostka”) established “Housing Reward Ladder” by the municipality was tasked specifically with providing vocational training and employment support to Roma and other vulnerable groups in town; (iv) small grants matched by in-kind contributions from beneficiaries built Roma Pilot Project, Czech Republic ownership over the project’s housing component. The small grants offered for home refurbishment were not large enough to cover all necessary repairs even when they were matched by contributions from beneficiaries, usually in the form of volunteer working hours on construction and renovation work. Overall, this aspect of the program is mostly viewed as a way to support Roma and vulnerable persons to initiate their own repair works to improve their housing conditions; and (v) beneficiaries meet project requirements and are rewarded incrementally. In the proposed future “Housing Reward Project period: Ladder” scheme, beneficiaries would need to meet a number of pre-established conditions to participate in the project. 2010 to present. Only a pilot housing The lowest level of the ladder would be emergency housing (such as shared hostel accommodations) or basic repairs project to improve conditions in existing of existing homes; the middle level is transitory housing in a social housing complex with employment assistance and flats was implemented. A larger other social services; and the highest level involves accessing apartments on the public-owned or commercial housing housing project has not been realized, market. One important aspect of the housing reward ladder concept is the provision of social work. The presence of as the town is too small to qualify social workers is expected to help tenants in adapt to life in a modern flat and to manage their payment duties. The for the country’s IUDP ERDF scheme municipality seeks to renovate a building to provide transitory housing, but has not been able to access necessary funds. and as the eligibility requirements of existing national funds did not suit the circumstances in the project area Lessons Learned Total project cost: The Krasná Lípa “Housing Reward Ladder” pilot project is an example of how excessively strict and rigid policies and €1,600 (or €400 a year) for pilot project regulations at central level can prohibit potentially effective projects from accessing EU and national funds. First, the planned renovation of the transitory housing could not be funded by ERDF, since the municipality was too small to Total number of beneficiaries: Context and Rationale qualify for the ERDF Integrated Operational Program, which was only available to municipalities with 20,000 or more 5–10 low-income households (pilot) The municipality of Krasná Lípa is located in the Šluknov region, which inhabitants. It is possible that this rule might have hindered many similar, small municipalities from benefiting from has recently experienced outbreaks of anti-Roma sentiment. Krasná ERDF. Second, the national Supported Housing Programme, for which the municipality considered applying, did not allow Financed by: Lípa (population 3,500) has an estimated 500 Roma inhabitants. The existing housing that were still inhabited by tenants to be reconstructed (the program only allowed reconstruction of Municipality of Krasná Lípa number has increased over the last few years, as Roma move from uninhabitable and empty buildings). In the case of Krasná Lípa, this meant the municipality would have had to relocate larger cities and experience higher birth rates. Roma in Krasná Lípa are the existing residents of the building it wanted to renovate. The municipality did not apply for this funding, as it raised Implementing agencies: concentrated along a number of streets. Their housing conditions are concerns about the impacts on current residents. Such a rule could be counterproductive, especially in cases where it is Municipality of Krasná Lípa rudimentary with insufficient water and sanitation. Apartments are more cost-effective to renovate existing buildings than build new housing. Third, the same Supported Housing Programme overcrowded and need general upgrading and repairs. established building standards (including energy-saving standards) that were sometimes above the norms of regular Areas of intervention: Social housing, vocational training, housing structures found in the municipality—potentially making the planned transitional housing more expensive and employment, social services comfortable than regular houses in the region. Municipality officials feared this would send unwanted messages to both the users and to the general public about the project, leading people to question whether the project was fair. The above lessons suggest it is important for the central government to (1) ensure that funding criteria do not exclude most disadvantaged areas and groups (such as small municipalities); and (2) reserve some flexibility with regard to technical standards of construction projects (size of flats, energy standards, etc.) in order to allow project implementers Objectives and Scope to undertake construction/renovation in a format that is suitable to the local context. The key objective of the “Housing Reward Ladder” Project is to provide municipal social services and housing support to low-income Roma. While the municipality has not been able to implement the full scheme, it has supported the improvements of housing conditions of poor people by awarding small grants for upgrading apartments. The larger (future proposed) component of the project envisions the refurbishment of a municipal-owned building in poor condition that is currently inhabited by Roma. The building would become a place of temporary housing and support to enable Roma to transition into permanent, stable housing and sustainable employment. The proposed project included the following integrated services: small grants awarded for housing repairs; refurbishment of a municipal-owned social housing complex for transitional living; advice and support from social workers; vocational training and assistance in finding employment. 250 251 Czech republic Design Features and Outcomes The Most IUDP was developed under the framework of the ERDF Integrated Operational Program. Most had been selected as one of the six pilot Roma localities to be targeted by a subprogram that funded: (i) housing renovation; (ii) public spaces renovation; and (iii) accompanying soft activities. The Integrated Urban Development Plan and its activities Project Brief 8 were prepared by several ad-hoc groups mainly consisting of service providers, local NGOs, and local government; the Integrated Urban Development Plan (A), soft components were prepared under the facilitation support provided by a consultant of the state Agency for Social Inclusion. The consultant from the Agency for Social Inclusion also supported the preparation of specific projects Czech Republic consisting of the housing reward ladder approach and anti-indebtedness counseling, which are funded by ESF sources. The initial idea of the housing reward ladder approach was to provide transitional housing for families in Chanov, who would also receive assistance and capacity-building training to transition to standard quality rental housing outside Chanov. These soft assistance and capacity-building activities include employment market insertion activities, advisory service on household financial management, leisure activities for youth, and education support, including early child care. Project period: The housing reward ladder approach, however, had to be modified during the course of the project, since the actual social 2007–2014 housing created by the project exceeded the quality of transitional housing, and was perceived as high-quality housing that was not suitable for transitional residents. As a result, the municipality decided to offer quality social housing to Total project/s cost: the residents of Most who demonstrate exemplary citizenship by meeting a certain set of criteria, including (i) regular €7,940,000 rent payment, or absence of rental debt; (ii) accessing services provided by local sociolegal protection workers; and (iii) a minimum of 70 percent school attendance by school-age children. At the time the project review was conducted in 2013, Total number of beneficiaries: tenants were paying their rent regularly and there were no signs of physical damage to the renovated estate. So far the 331 households project is considered one of the largest social housing programs for Roma in the Czech Republic. Context and Rationale Financed by: ERDF, ESF, and the government Most is a city of 67,000 inhabitants in a heavy industrial area in northern Czech Republic. The city is home to the large segregated Roma housing estate Good Practices and Lessons Learned of Czech Republic (GoCR) of Chanov, built in the late 1970s. Chanov is almost entirely Roma with The municipality of Most was able to prepare a local development strategy with the involvement of a range of local Implementing agencies: approximately 1,000–1,500 residents. The estate is 2 kilometers from the city partners, and raised sufficient resources from various funding sources to implement the strategy. One of the good Municipality of Most in and no walkways connect the settlement to the rest of the city. The physical practices was the support provided by the state Agency for Social Inclusion in facilitating the preparation of the partnership with several NGOs condition of the estate has deteriorated over time (including through vandalism) local plans and projects. The involvement of both Roma and non-Roma local NGOs in the design of the IUDP’s soft and become overpopulated. While there is a kindergarten, elementary school, and components helped leverage and integrate their activities and knowledge. and the Czech Government Agency for Social Inclusion other basic facilities, many have either closed down or become uninhabitable. Another important positive practice, which was applied for the first time in Most, has been the introduction of a The housing estate itself lacks hot water and electricity, partly on account condition in public tenders that required contractors to hire at least ten percent of the workers involved in the project Areas of intervention: of tenants’ failure to pay for public utilities, which caused services to be cut from a local pool of long-term, unemployed job seekers. As a result of this condition, at least some inhabitants of Chanov Social housing, employment, off. Chanov’s total debt amounts to almost €4 million, although many of the were employed in the construction works. Today, this rule is promoted nationally by the Agency for Social Inclusion and social services debtors no longer live in the estate. The estate has also been dubbed an “urban has been instituted in other municipalities. ghetto” in media coverage, with markers of segregated locality, such as careless waste disposal in the public areas, squatting, drug problems, and vandalism. Further examination of the IUDP at the national level, however, also revealed some lessons that can be considered for future. First, besides the pilot subprogram that targeted Roma localities, the program did not particularly focus on the most disadvantaged areas. Its priority axis 5.2 (on housing) targeted housing estates in general, and not the most disadvantaged housing estates. This has resulted in funding more housing interventions in less disadvantaged Objectives and Scope municipalities. In addition, in an attempt to avoid concentration of funds in some municipalities, it allowed municipalities The key objective of the Most Integrated Urban Development Plan (IUDP) was to improve livelihoods and social to designate only one area in the city to be addressed by the IUDP funding. This hampered effective planning in cohesion in the city of Most, and especially within a marginalized housing estate with a majority of Roma residents. municipalities with multiple disadvantaged neighborhoods. Moreover, IUDP funds were distributed to all municipalities that had applied for funding without prioritizing disadvantaged areas or well-designed projects. In other words, there was The aim was to lower social conflict and raise residents’ quality of life. To achieve the project’s goals, the municipality no competitive selection of projects, which resulted in thinly spreading resources across a large number of municipalities. and its NGO and GoCR implementers used an integrated approach involving the following activities: It shows the importance of incorporating an effective targeting framework in the program design. renovation and refurbishment of four apartment blocks (originally 12 blocks planned); Second, in an effort to promote an integrated approach and provide extended oversight to the pilot Roma localities, the provision of housing units for 34 households; subprogram established additional regulations, such as requiring the localities to implement soft measures prior to the connection to hot water, electricity, and other public utilities in standard quality apartments; implementation of infrastructure investments. It not only hampered the effective integration of hard and soft activities, education, re-skilling, and vocation training programs; which often had to take place together, but also appears to have discouraged some localities from applying for the funds. Program regulations and requirements need to be designed carefully, so as to avoid creating additional obstacles employment placements at the Chanov Community Center (NGO); to effective project implementation. construction of recreational center for leisure activities for youth inside an existing covered stadium near the Third, activities conceived under the local development strategy were vulnerable to shifts in the locality’s political city center; environment. Negative campaigns about the project by the opposition party before elections, for example, prompted the advisory services on overcoming indebtedness; incumbent government to cancel some of planned activities. According to the interviewed municipality representatives, child care support; the downsizing of activities was also influenced by the economic crises, which resulted in cutting the municipal budget. Stronger monitoring and follow-up mechanisms by the central program would be needed to avoid funding such construction of a pathway linking Chanov to the rest of the city. changes to projects. 252 253 Czech republic Design Features and Outcomes Key dimensions of the project include: (i) the area-based demarcation of a zone of intervention, as required for all IUDP projects. In the Czech Republic during the 2007–2013 programming cycle, municipalities were required to create Project Brief 9 IUDPs for accessing funds from the Integrated Operational Program (IOP). IUDPs were founded on an area-based approach. The experiences with this requirement were mixed, as social exclusion problems are not always concentrated in Neighborhood Regeneration Project, one particular area in a municipality. However, in the case of Orlová, the designation of a priority development area was suitable, as vulnerable population, including Roma, were concentrated in the defined area. At the same time, since Poruba Czech Republic is a mixed neighborhood, the intervention did not exclusively target Roma; (ii) public-private partnerships in the project, which involved a private real estate company, RPG Byty. This was important for the success of the project, because the majority of apartments in the two Poruba settlements are owned RPG Byty (upon privatization by the OKD mining company). As previously noted, RPG Byty is the largest single real estate company in the Czech Republic, and therefore an important stakeholder. The RPG Byty company is known for being open to cooperation with Roma organizations and other NGOs, and for seeking partnerships with municipalities with the aim of stabilizing troubled neighborhoods. With its Project period: Context and Rationale 2009–2015 (ongoing) experience working on social projects, the company participated in the preparation of the Poruba neighborhood project The city of Orlová (population 31,000) was once a major coal mining city and was represented on the project’s steering committee. It used resources from the project to renovate all RPG-owned Total project/s cost: in the socialist period. Similar to other towns in the country, the economy’s houses in the two settlements and additional buildings surrounding the project site in need of renovation; (iii) the Orlová €5,300,000 transformation closed many factories and places of employment. As a Department of Social Services (DSS) had the capacity and experience to compensate for the lack of local NGOs consequence, Orlová has lost nearly 5,000 residents since the early 1990s. with sufficient capacity to implement soft measures for the project. Usually, integrated projects rely on NGOs to carry Total number of beneficiaries: One zone in the city particularly hard hit by socioeconomic challenges is the out interventions; however, in the case of Orlová, there were few experienced NGOs with which to partner. As such, a 4,000 people Poruba district (5,676 inhabitants). The neighborhood has two old apartment separate unit of the municipal DSS was set up to run soft activities; (iv) this special DSS unit operated on the premises block settlements (3,968 residents) that date back to the 1950s; these of the Maják Community Center, established by the project, to be close to the project’s beneficiaries. This allowed for Financed by: accommodate miners. Both settlements are nowadays considered to be socially effective monitoring of the situation on the ground and for project activities to adapt accordingly, strengthening the ERDF (ROP and IOP excluded localities. The majority of inhabitants are Roma, many of whom are project’s sustainability; (v) the rents were increased, as in some cases flats were considered to be of higher quality. subprograms) and ESF unemployed. Few homes in the Poruba settlements are municipal-owned; most Paradoxically, this increase seemed to be less a problem for the long-term unemployed, as their rent is largely covered by Implementing agencies: are privately owned by RPG Byty, the largest commercial real estate company the welfare system, than for the remaining working residents, for whom the increase of rental fee could be an additional Municipality of Orlová in the country. According to residents and city representatives, the rent level motivation to move from the area. As is the case in other RPG Byty-owned properties, the company seeks to counter in the RPG flats is high by regional standards. Paradoxically, this might have such a tendency with an offer to provide housing at reduced rates to municipal workers, who are expected to stabilize Areas of intervention: contributed to the concentration of low-income households in this part of the the area (in particular members of municipal police). During the time of visit (February 2014), the city of Orlová had Housing, infrastructure, public city, as more affluent tenants often decided to use other housing options, while not decided whether to accept this offer; and (vi) the municipality sought to garner public support for the project. space, social services, security the rent for low-income families is largely covered by the welfare system. The private ownership of most of the renovated houses made it easier for the city to convince the public to support the project. The municipality also countered negative perceptions of the project by stressing the fact that the Poruba neighborhood is indeed inhabited by a mix of Roma and non-Roma residents. These communication efforts aided the project’s viability over the long run. Good Practices and Lessons Learned The Poruba Neighborhood Regeneration project showcases several good practices of an integrated approach and project Objectives and Scope design. The first is the way in which the project targets various social groups living in one area. The Poruba neighborhood is relatively diverse, with many low-income households and several middle-class homes interspersed among the former. The key objective of the Poruba Neighborhood Regeneration Project is to support the regeneration of a marginalized While the investments in housing went primarily to the poorest inhabitants, other hard components of the project, such residential area in the city. The assumption is that hard and soft measures are needed together, because the latter as the public space upgrades, parking lots, sidewalks for pedestrians, and installation of camera surveillance systems (such as social work, community center support) are crucial to ensure that investments in building structures and were realized in ways that benefited a wide range of neighborhood residents. These spaces lead to mutual interaction, public spaces are accessible to vulnerable groups, are not vandalized, and hence bring lasting benefits to all of and because the benefits were shared by all the area’s residents, including Roma and non-Roma, they helped prevent Poruba’s residents. To meet these goals, the Orlová municipality applied an integrated approach of interconnected ethnic tensions. activities, which include: reconstructing houses (308 apartments), including roofs, windows, outside doors; upgrading infrastructure, such as public lighting and sidewalks; improving public spaces (creating a playground, parking spaces, and installing a video surveillance system); building a community center (called Maják), where anonymous counseling services are offered on labor relations, consumer protection, financial matters, and family affairs (divorce, domestic abuse); social worker visits to families to address children’s irregular school attendance or nonpayment of rent. 254 255 Czech republic Design Features and Outcomes Key features of the Ostrava Social Inclusion Pilot Project include: (i) cooperation between the municipality and NGO allowed several local NGOs to agree with city boroughs or the city’s main private housing company (RPG) to provide Project Brief 10 housing to Roma beneficiaries by acting as an intermediary and subletter. The aim was to enable Roma and other disadvantaged citizens that might have trouble accessing housing due to discrimination or lack of financial assets Social Inclusion Program, (to cover the deposit) to find a way back into the regular housing market. NGO service providers’ involvement in the project was also valuable for the way in which they could influence the tenant-beneficiary and react quickly to potential Pilot Project, Czech Republic difficulties, since they had previously established interaction with some beneficiaries; (ii) program requirements for participating beneficiaries expected Roma to enroll in vocational training courses that would increase their chances on the job market. Afterwards, beneficiaries were expected to accept arranged employment offers, as well as to meet social workers on an ongoing basis for documentation and other assistance. If at any point beneficiaries declined to participate, such as refusing to accept an employment offer, they were asked to leave the program. This included giving up housing that had been organized for them. Beneficiaries signed agreements to this effect when they joined the program, and Project period: Context and Rationale 2012–2013 for pilot project these were enforced throughout. Often, participants felt unable to meet the project’s eligibility requirements because The city of Ostrava (population 310,000) is the third largest city of of their indebtedness, which in some cases resulted from small infractions (such as for using public transportation Total project cost: the Czech Republic. It is situated near the Polish and Slovak borders. without a ticket) that had risen astronomically due to the involvement of professional collection agencies; (iii) flexible Unknown (original estimated total cost It is an important economic center that used to be dominated by coal and iterative development of project design meant that the sequencing of integrated activities changed over time was €80 million for the entire project, mining, steel plants, and other heavy industry. However, since the end from experience. After having to evict a beneficiary who would not take up permanent employment, the municipality including beyond the pilot phase). The of socialism, it has experienced high unemployment, youth idleness, and implementer decided to change the order of provided services. The provision of housing would be the last phase of the initial project design was developed with related social ills. Its high out-migration has left municipal and private project, after beneficiaries successfully completed vocational training courses and found stable employment. Other the expectation that its realization would housing abandoned and in need of tenants. While the city is home to a NGO partners have requested that the program remain flexible to reflect beneficiaries’ specific needs, as their poor be supported with EU funds sizable Roma population, many of whom lack suitable living conditions, living conditions may limit their success in other areas; (iv) a win-win arrangement for public and private housing Roma face considerable challenges in accessing housing. Many Roma agencies and beneficiaries means that while the latter needs appropriate living conditions from the former, the former Total number of beneficiaries: possess substantial debts, and municipal regulations prohibit renting need tenants to fill empty housing left in the wake of the city’s postsocialist industrial decline and population exodus. 10 households for pilot phase (2013) municipal flats to those in insolvency. Moreover, municipal housing is It also helps the commercial and public housing market to have NGOs act as subletters to Roma, because the key risks Financed by: controlled mainly by city boroughs, which sometimes implement tenant associated with renting to low-income groups (such as rent default, deterioration of conditions due to overcrowding) Municipality of Ostrava, Roma Education policies that create huge hurdles for Roma to access municipal housing, are shouldered by the NGOs (although financial sustainability of NGOs remains a challenge); and (v) strong political Fund, local NGOs, and private companies such as expecting full-time employment and no criminal record. With and institutional support from the municipality and political leadership helped the project to leverage contacts that these challenges, an increasing number of Roma live in temporary hostel- officials had with local enterprises to secure employment offers for beneficiaries. The beneficiaries were offered fairly Implementing agencies: style accommodations, which are relatively expensive and unsuitable well-paid positions on account of these public and private sector connections. The direct involvement of politicians Municipality of Ostrava for large families with children. Housing is often in poor condition and generally helped to raise the sensitive issue of Roma’s social exclusion. located in marginalized localities that are home only to Roma. There Areas of intervention: Housing, social inclusion, education, are few opportunities for social interaction and integration with non- Roma. Good Practices and Lessons Learned employment The Ostrava Social Inclusion Pilot Project showcases several good practices of an integrated approach and project design. The first is the way in which the basic program elements built upon existing NGO activities and services (such as subletting municipal flats to Roma) instead of designing activities from scratch. The program added value to the activities and services by combining them all into one package. Another good practice was how the project’s integrated services were offered to beneficiaries as a type of “social agreement.” The beneficiaries fulfilled conditions to participate Objectives and Scope in required project activities, while the project rewarded their efforts with educational, job, and housing support. The The key objective of the Ostrava Social Inclusion Pilot Project was to tackle various dimensions of social exclusion social agreement was also part of the project design to ensure that the beneficiaries access not only housing support, among Roma by providing them with not only appropriate housing, but also with job training and employment but also job training and employment support. While evidence suggests that the conditions for participation are difficult opportunities. The basic assumption behind the project was that a lack of education and professional training, limited to fulfill for many middle-aged Roma, who are in many cases heavily indebted and fear that formal employment would job prospects, and poor living conditions are all interconnected dimensions of marginalization among Roma, and so result in a large part of their salary being deducted by creditors, the program appears to be attractive to younger adults. all three aspects of exclusion must be addressed. In cooperation with NGOs and private companies, the Ostrava If implemented on a larger scale, such a program could offer them an opportunity to start a more integrated life. The municipality hence applied an integrated approach of interconnected activities, which has been realized on a limited housing component gives beneficiaries a choice of apartment rental locations in order to prevent a concentration of scale so far, and includes the following components: Roma in slum-like neighborhoods in the city. accommodation offer in the form of a sublease between a participating NGO and beneficiary; Another notable good practice was the establishment of a new communication and coordination structure between the job training programs in cooperation with public professional schools; municipality and NGOs working with Roma. The formal working group helped to improve dialogue between NGOs and the city’s political leaders, as it improved the municipality’s knowledge of Roma and their marginalization. assistance with employment placement; cooperation with social workers for assistance in dealing with government administration and documentation. 256 257 Czech republic social housing blocks were planned to be refurbished, but delays and red tape prevented others from being renovated;8 refurbishment of public spaces, including building three children’s playgrounds and several residential parking lots between apartment blocks (albeit outside of the segregated Roma locality); a housing advisor to help 10 Roma households find housing on the rental market; Project Brief 11 recreational and educational activities for Roma children;9 Integrated Urban Development Plan (B), establishment of community groups to promote self-maintenance of buildings. Czech Republic Design Features and Outcomes Key dimensions in the Přerov Integrated Urban Development Plan are: (i) the way in which it is a part of an IUDP, required by the central government, but developed by the municipality to meet local development needs. Like other Project period: IUDPs, it is based on a geographic-area approach to intervention. In Přerov, the area of intervention was delineated as a 2008–2015 (ongoing) group of segregated localities near the railway, where the vast majority of inhabitants are Roma, and the residential area Total project cost: of Přerov-South. The whole area has 1,458 apartments, out of which 194 are considered “socially excluded.” There are another 252 apartments in the segregated area labeled by authorities as “endangered by social exclusion.” While there €6,999,015 are benefits to this geographic-area approach, IUDP in general was considered by some civic leaders to be a top-down Total number of beneficiaries: requirement, while others saw advantages to the prerequisite of having a local development strategy; (ii) synchronizing 1,000 households for hard projects hard and soft interventions was challenged by the fact that the hard interventions (such as building refurbishment) could not be started until the soft project was approved. However, the latter was delayed; it was only in the second round and 540 for soft projects that it was finally approved; and (iii) the creation of a community group among Roma in the Kojetínská segregated Financed by: neighborhood (established 2011), which was in charge of organizing cleanups, establishing housekeepers, and initiating ERDF home improvements. Much of their activity was to prepare for future large-scale construction work and apartment renovation to be supported by the ERDF. Implementing agencies: Municipality of Přerov Good Practices and Lessons Learned Areas of intervention: The main innovation of the Přerov Integrated Urban Development Plan is its component of self-organized community work Housing renovation, public space, among Roma in the Kojetínská segregated locality, just previously mentioned. This Roma community group operated for community work three years and was made-up of several volunteers who were trained in construction and maintenance. They managed to refurbish some common housing areas on their own with limited resources. However, once the group was ready to get involved in the larger-scale renovation of their houses, the municipal government stopped the investment project. Other weak aspects of the project were the way in which only the ethnically mixed (Roma and non-Roma) neighborhoods had Context and Rationale their houses and public spaces renovated, while the segregated localities had only a few apartment blocks renovated. Nevertheless, segregated neighborhoods were to receive educational and social services, unlike the non-segregated areas. Přerov is a city of nearly 45,000 people in eastern Czech Republic. The local economy is dominated by the machinery, Ensuring the right balance is an important lesson to be learned. chemical, and food industries. The town’s unemployment rate was 12.3 percent in 2014. There are an estimated 3,500 to 4,000 Roma living in Přerov. A large portion of them lives in a block of homes near the city center, while another on Another lesson learned is the importance of having the municipality maintain control over housing in the targeted the outskirts of the city. The two main localities are Husova Street, with about 4,350 Roma, and Kojetínská Street, intervention area throughout the project. Once the property is sold, especially to private owners, the municipality can no with about 240 Roma. Both neighborhoods are relatively new segregated localities that date back to the 1990s. They longer ensure that the project’s aims will come to full fruition. This is what happened during the implementation period, developed after Roma were offered apartments by the municipality in the segregated areas, or Roma moved there to when the municipality sold most of its housing stock to private owners (former tenants) and thus lost the ability to escape indebtedness to other municipal-owned apartments in other parts of the city. All of the housing in the two influence the tenancy structure (allowing low-income Roma to live there) and control over construction investments. The segregated areas is in very poor condition. Public spaces around them are not suitable for leisure activities.7 Poverty new owners (non-Roma) were interested in grants available for renovation, so most of them applied and renovated their and weak civic associations among residents characterize the areas. homes. However, the money the municipality acquired from the privatization could have been used for the refurbishment of those buildings and for marginalized Roma communities. Instead, the financing stayed within the municipality. Another issue was that just before the implementation of the project, housing in the largest segregated locality, where Objectives and Scope nearly 1,000 Roma live, was sold to a private owner who evicted most of the Roma families. Many of these families did The key objectives of the Přerov Integrated Urban Development Plan (IUDP) are to revitalize and regenerate socially not manage to find proper accommodations and were forced to live in temporary hostels. segregated urban spaces, inhabited predominantly by Roma, in order to increase the city’s attractiveness and prevent A final lesson learned is the importance of synchronizing hard and soft projects within the program. The issue with the its decay. The project also seeks to overcome social exclusion among Roma and marginalized persons. In order to Přerov plan is that local actors were required to implement soft measures prior to the implementation of infrastructure meet these goals, the Přerov municipality applied an integrated approach of interconnected activities, which include: investments. This made it difficult to synchronize the soft and hard activities, and the local plan became more of a wish renovation of 6 municipal-owned apartment blocks for Roma beneficiaries in a segregated locality. A total of 12 list of isolated projects instead of a well-integrated plan for a holistic intervention. As a result, there was no synergy effect in the complex approach, and many activities were either delayed or did not happen. 8 Theoriginal plan was to refurbish 42 municipal-owned apartment blocks in the segregated and non-segregated area targeted for intervention. As 7 Forcontext on the housing situation in Přerov, there are currently 20,701 apartments and 4,035 houses in the city. Of the population, 32 of 2014, 23 apartment blocks were approved for renovation. However, it should be noted that during the project’s implementation, the majority of percent rents private apartments, 14 percent live in privately owned homes, and 23 percent live in condominiums. Out of these different types houses were sold to tenants, which delayed the refurbishment. Some of the new owners either did not apply to have their homes refurbished or of housing, 13 percent are owned by owners’ associations, 5.3 percent by condominiums, 23 percent by landlords who rent out the property, renovated their apartments themselves, so the municipality ultimately saved on money earmarked for this purpose. and just 4.2 percent by the municipality or central state (according to the 2011 census). The latter figure is a significant drop from 2001, 9 Therewas also a proposal for a “People in Need” subproject to address social exclusion among Roma residents by providing assistance with finding when the municipality or state owned almost 11 percent of all housing in Přerov. work, stable housing, and child care. However, the subproject was not approved for financing. Its social activities therefore faced delays. 258 259 France Design Features and Outcomes Key dimensions of the integrated Petit Lacanau Project include: (i) long-term involvement of beneficiaries in all project phases, including design and monitoring; (ii) housing construction adapted to Roma cultural needs. Seasoned NGO implementers with experience working with Roma had the capacity to alter housing planning and execution according to the sociocultural background of beneficiaries. This included recognizing that Roma in Petit Lacanau tend to live according Project Brief 12 to clan groups and this had to be taken into account in the process of relocating Roma to new housing units. Attention to Le Petit Lacanau Project, France cultural sensitivity ensured beneficiary buy-in and project sustainability; (iii) strong political and institutional support from the municipality council, mayor, as well as the district (Le Gironde Department) at all stages of the project. The municipality’s support meant that it persevered in the lengthy negotiation process of purchasing a new plot of land on which the project housing units were established; and (iv) closing the original unsafe settlement encouraged integration, as Roma families either choose to join the new housing project or moved to the nearby town. The former option promoted by the project supported a gradual process on integration. Project period: 2004–2010 Good Practices and Lessons Learned Total project cost: The Petit Lacanau Project showcases several good practices of an integrated approach and project design. The first is €6,900,000 the way in which its housing provides not only living solutions, but also social and human services for Roma adults and children to integrate gradually into French society. Assistance with education, vocational training, and finding employment Total number of beneficiaries: helps Roma adults and their children build skills and self-sufficiency to make the transition. Selecting beneficiaries on 140 people a voluntary basis and early on ensured Roma buy-in and eagerness to participate in and provide feedback on project activities and requirements. (Just 15 out of 50 families decided not to join the new housing complex; many moved to Financed by: the town.) For example, beneficiaries and implementers together agreed to create a garden in the housing complex to Municipality of Blanquefort and Gironde Department (district) store caravans, as well as design an internal architectural space to meet cultural needs. The culturally sensitive design may help explain the high rate of punctual rent and utilities payments. There has also been success in enrolling children Implementing agencies: Context and Rationale in school and ensuring their regular attendance and graduation, as there is overall compliance with health regulations Municipality of Blanquefort and two and expectations, such as getting vaccinated. Through these successes, the project aims to overcome segregation and NGO partners—Aquitanis (housing) and The Petit Lacanau neighborhood on the outskirt of the municipality of marginalization by gradually integrating Roma into all aspects of social and economic life. the Departmental Association Friends Blanquefort (Bordeaux region in Le Gironde Department) is a largely of Travelers of Gironde (ADAV33) (social Roma community. Roma have lived in Petit Lacanau for over forty years inclusion activities) with very little movement in and out of the community, except for seasonal agricultural labor. As the commune has grown it has become Areas of intervention: increasingly overcrowded, with 45 to 50 families living in trailers and Housing, social inclusion, education, provisional barracks without basic services and waste collection, on health, property rights, youth skills just four hectares of land. Crime is also believed to be high in this training remote, unmonitored settlement outside of town, with thefts and the illegal drug trade on the rise. Health and safety risks are also a concern. Objectives and Scope The key objectives of the Petit Lacanau Project were to reduce inequality and exclusion of Roma by providing social housing for 30 Roma families (51 adults and 75 children) and to provide social support for Roma to access social and economic services, in particular health and education. To meet these objectives, the Blanquefort municipality and two NGO implementers applied an integrated approach to interconnect their activities, which included the following: construction of customized housing units with full utilities and services, and Roma relocation to this housing complex; registration of Roma in the public health system and healthcare and prevention information; education assistance for children and youth; professional skills training for youth and adults; establishing links between potential employers and Roma job seekers. 260 261 France education for children and adults, including adult literacy and French classes; employment skills training, including working with beneficiaries to identify employment opportunities and skills needed to apply; apprenticeship programs and establishing links with potential employers. Project Brief 13 Transitional Village Project, France Design Features and Outcomes Key dimensions of the integrated project in Hameau du Bouvray include (i) municipality support in providing land for house construction free of charge for a period of three years; (ii) municipality and NGO partnership and division of labor, with the former focusing on housing construction and the latter on social inclusion activities. This allows the project to be implemented in a truly integrated, simultaneous manner as each implementing agency works from its strength; (iii) new transitional housing replicates the social composition of previous living conditions (camp settlements), so as not to rupture the social fabric of Roma communities, while importantly providing them with adequate living conditions Project period: and resources meant to be a springboard to accessing employment, legal rights, language learning, and managing a 2011 to present house and its resources; (iv) transitional housing and integrated services ease the process of social and economic integration, building autonomy and confidence among beneficiaries to begin the process of socioeconomic integration, Total project cost: when moving from life in camps to individual apartments would otherwise be challenging for Roma newcomers to the €676,000 country; (v) project activities interconnected with district-wide professional training project (“Lola”), targeting Total number of women who do not speak French so as to provide them with language and professional tools for gainful employment. beneficiaries: Attaching Hameau du Bouvray’s activities to this program builds on existing resources and best practices already in 80 people (19 households) use in the district instead of starting new activities from scratch; and (vi) “fieldworker” representatives from the implementing NGO, SOS Habitat et Soin, include one on-site, daytime social worker and one educator, who both monitor Financed by: and motivate beneficiaries’ participation in activities during working hours. ERDF (housing for marginalized communities), ESF (operational costs), and Context and Rationale Good Practices and Lessons Learned the Île-de-France Greater The Val-de-Marne Department (Île-de-France region of greater Paris) has a high The Hameau du Bouvray project showcases several good practices of an integrated approach and project design. The Paris Area Regional Council concentration of migrant Roma with 1,200 people located in nine unauthorized first is the way in which its transitional housing provides not only living solutions, but also social and human services for camps. The Hameau du Bouvray transitional village was created in 2011 in the Val- Implementing agencies: Roma adults and children to integrate gradually into French social and economic life. Through French language classes de-Marne Department on a piece of land provided by the Orly municipality in order Val-de-Marne Department and vocational training, Roma from abroad are prepared to be active participants in a new country. Also beneficial is the to provide safe living conditions for migrant Roma and to help them become self- (district) and the way in which Roma are taught not only new professional skills, like in wholesale trade, gardening, and horticulture, but sufficient and socially and economically integrated into French life. Prior to this, municipality of Orly in also traditional Roma work activities, such as recycling iron and metals, which are still encouraged in the Hameau du partnership with the NGO Roma had been living in unauthorized camps or squatting in houses and on plots Bouvray village. On-site areas are dedicated to recyclable items being collected and sold in a formal manner. This helps SOS Habitat et Soin of land around town at the ongoing risk of eviction. Their living conditions were avoid completely dislocating Roma from their traditional work and social activities. In these ways, the project explicitly overcrowded and unsafe. Most Roma in Hameau du Bouvray are from Romania seeks to overcome segregation in a steady, ongoing manner by building the educational and professional assets for Roma Areas of intervention: (Craiova) and arrived in France 3–4 years ago. The majority has low education to transition into independent living conditions, while maintaining their customs and habits. Social housing, health, levels and does not speak French. Some are even illiterate and have no work or employment, education, social connections to rely on as a safety net of support. Many resort to informal access to legal rights economic activities, like begging or scrap-metal trading, or seasonal activities, such as fruit and vegetable picking. Objectives and Scope The key objectives of the Hameau du Bouvray project are to support migrant Roma families in achieving adequate levels of autonomy and economic self-sufficiency so they can become active social and economic participants in French society within 3–5 years. To do so, the municipality and its NGO implementer have adopted an integrated approach to interconnect their activities, which include: constructing housing units with full utilities and services (water, electricity, sewage); providing healthcare access, including counseling, healthy lifestyle advice, and pregnancy monitoring; legal support to obtain residency permits and to understand the French administrative system; 262 263 Hungary Objectives and Scope The key objective of the Hungarian Complex Settlement Program was to support the inclusion of marginalized groups who live in deep poverty in segregated neighborhoods. Housing for Roma and marginalized communities was not specifically addressed under the program, although attention was given to livelihoods and general living conditions. Project Brief 14 In doing so, municipalities and their implementing partners applied an integrated approach, which comprised a range of activities, including: Complex Settlement Program, Hungary building and supporting community centers; livelihood support; personalized case-based social work with beneficiaries; healthcare support; employment assistance. Project/s period: Design Features and Outcomes20 2009 to 2014 (ongoing). 22 projects implemented Key dimensions of the integrated Hungarian Complex Settlement Program include: (i) the participation of municipalities in the first round and 18 and organizations in providing feedback on the draft call for proposals. The National Development Agency made projects in the second the draft call public for comments for two weeks on its website. Altogether, 20 organizations and municipalities gave feedback on the draft, and some recommendations were taken into account before the final version was posted; (ii) “open Total project/s cost: days” were held with potential applicants in which a team from the National Development Agency traveled around €15,350,065 (for the the country to receive and answer questions from municipalities. No further help, though, was offered to interested first 22 projects in municipalities and NGOs in the project preparation phase; (iii) projects supported under the program relied heavily round one) on the expertise of local NGOs, who collaborated with municipalities to implement a range of soft and hard activities. Total number of Györgytelep in Pécs Hell’s Tower in Veszprém beneficiaries: 45 communities Lessons Learned (over 5 rounds) The Hungarian Complex Settlement Program required cooperation with the newly established Türr István Training and Context and Rationale Research Institute (TKKI) and with local branches of the National Roma Self-Government. In obliging themselves to do Financed by: so, the program and its grantees intended to safeguard the sustainability of their work in improving Roma livelihoods and Starting in 2005, the Hungarian government launched a Roma Settlement Integration ESF and the Hungarian social inclusion. It faced challenges, however, since it obliged the communities to work with the TKKI and National Roma national budget Program that reached out to small villages and segregated neighborhoods. There were altogether five “rounds” announced within this program. Each round was financed from Self-Government local branches, even when there were other more locally embedded organizations, which had strong Implementing agencies: different budget lines and covered varying activities. So far, the program has reached local knowledge, partnerships, and community trust. As a result, the involvement of the TKKI and National Roma Self- Municipalities in a total of 45 communities. In order to expand and institutionalize the program, the Government local branches helped only in few cases to secure Roma community buy-in for the wider program. cooperation with Türr Hungarian National Development Agency took steps in 2009 to make activities eligible István Training and for EU funding to increase resources available for the program. Some of the rules and Research Institute eligibility requirements for projects were revised with the goal of making activities (TKKI) and local NGOs eligible for EU funding. The first call for EU cofunded projects was made in spring 2012, with submissions due in autumn of that year. Most of the successful projects within Areas of intervention: the program were launched in early 2013. Living conditions, community centers, The target beneficiaries of this new EU cofunded program—in contrast with the intensive case-based preceding nationally funded program—were smaller segregated neighborhoods populated social work, health, by Roma and non-Roma. Other characteristics of the target population were that more training, employment than half of the population had a maximum of 8 years completed primary school education and more than half were unemployed. To be eligible, applicant neighborhoods had to have a minimum population size of 45 people living in 10 dwellings or houses. In addition to the segregated neighborhoods, the population of the whole municipality (village or town) had to be included in elements of project activities. 20 Theprojects funded under the program are still at too initial a stage to describe exactly how ERDF and ESF-funded activities will be coordinated and implemented in synergy. 264 265 Hungary Photos from top left to right: two refurbished houses (100 percent social housing); refurbished house from inside; green courtyard developed by the residents; the community center; main square in the Magdolna neighborhood; corridors of the building to be renovated in Phase 3; CCTV and street view; a building under renovation in Phase 3; local residents working on greening the main Project Brief 15 square (2007);* dilapidated dwellings in a courtyard;* the refurbished “Zsibárus ház” and “policemen’s house;” former appearance Neighborhood Social Urban Rehabilitation of the refurbished social housing building (see renovated one on top left).* Photos taken in June/July 2013 by Nóra Teller. Project, Hungary Project periods: Context and Rationale 2005–2010 (Phase 1), 2008–2011 (Phase 2), and 2013– Before project implementation in 2005, the 2014 (Phase 3) Magdolna neighborhood in District 8 of Budapest Total project/s cost: was characterized by high crime rates, widespread €21,232,364 poverty and unemployment, and a low standard of living in housing blocks. In 2007, the neighborhood Total number of beneficiaries: housed over 10,000 inhabitants in 5,500 dwellings approximately 12,000 people (Approximately 60 percent of dwellings were single- roomed). According to the interviews, around 30–50 Financed by: percent of the local population was Roma (the local Municipality of Budapest District 8 in combination with EU financing (Phase 1), ERDF (87 percent) and Hungarian Roma self-government estimated this figure at 30 state budget (Phase 2), and ERDF (87 percent) and percent). The inactivity rate reached over 60 percent. Hungarian state budget (Phase 3) The share of low or no comfort housing was close to 40 percent. Approximately 40 percent of all Implementing agencies: employed people had unskilled jobs, and close to 13 RÉV8 Ltd. local urban development company (owned by percent of the local households were dependent on the municipality of Budapest District 8) social transfers as the only source of income. The Magdolna Social Urban Rehabilitation Project started Areas of intervention: as an initiative by the municipality of Budapest Social housing, tenancy rights, road repairs and infrastructure upgrading, health, education, employment, District 8 with the aim of establishing a safe living sports and recreation, anti-discrimination programs, environment and increasing residents’ social and crime prevention, environmental awareness human capital. Objectives and Scope The project’s key objective—to establish a safe living environment for residents in the Magdolna neighborhood—was addressed through an integrated approach from the start of project activities in Phase 1. The construction of a community center was done early in project implementation, and the building became central for the successful launching of various soft project elements that were carried out through the remaining project phases. The community center, together with other service posts spatially distributed in the neighborhood, offered project activates such as: job search clubs; clubs for women; IT trainings and access to the Internet; job fairs and thematic exhibitions; conferences; family clubs, organized by the district’s family help center’s special department; 267 Hungary combination of a variety of interventions, piloting both soft and hard project elements, and the inclusion of the residents and local institutions in project planning and implementation will continue in the now ongoing project phase. The project also contains desegregation elements: demolishing some buildings and putting up new housing inspired some incentivizing schemes to encourage participation (such as regular attendance remunerated by a voucher for middle-class inflow into the area. In the current phase, for example, the further major improvement of key public spaces/ housing upgrading or similar); squares should make the neighborhood attractive for non-residents. recreational programs for children (such as summer camps); special classes to support talented children; Transferrable elements comprise: assisting beneficiaries to find jobs; steps and sequencing of the housing investment pillar, including “social engineering;” special vocational training and jobs for single mothers; reshaping public spaces and squares to make them attractive again; public laundry facilities; establishing new community functions; crime prevention and public security programs. including the local population in a broad variety of measures; and In the future, an “extreme sports” corner will be established to attract youngsters to visit the place. There is also a dealing with public security and prevention issues. plan to involve street social workers (supported by peers) to work on drugs/prostitution issues. Design Features and Outcomes Several key dimensions of the project in the Magdolna neighborhood made it successful. These elements are connected to the sequencing of activities that created synergies between project activities, starting with: (i) the mobilization of the target population at an early stage of project implementation, which created a strong sense of local ownership and involvement; (ii) construction of the community center at an early stage of the project created a communal meeting point, where an increasing number of soft interventions could take place in forthcoming project phases; (iii) the selection of houses for refurbishment was done with contextual sensitivity to the state of living conditions in the houses. In other words, those in worse condition were selected first. In the second round, houses in areas affected by criminal activity, such as the drug trade and other social tensions, were refurbished. In the later rounds, the general appearance of streets was taken into consideration when selecting new houses for refurbishment; (iv) investments in public spaces, such as squares and parks, in combination with developing pedestrian walkways and general public security awareness, further increased the sense of security among Magdolna’s residents. Good Practices and Lessons Learned The Magdolna project applied innovative approaches and activities to urban rehabilitation. The idea to retain the majority of the population in the regenerated area was novel; it had not been applied in any other inner city regeneration projects, in which the ultimate goal was generally to gentrify the district/neighborhood. A major strength of the Magdolna Social Urban Rehabilitation Project has been the combination of an integrated approach and long-term project approach. The inclusive strategy of involving residents in the project has been essential to the project’s success, even if it created challenges due to delays of certain project elements. The neighborhood development council, for example, has given local residents a key role in the decision-making process. The broad approach of soft project elements, ranging from job trainings to child welfare programs and crime prevention trainings, involved major parts of the neighborhood and thus created a strong sense of ownership. The sequencing of project activities and the early construction of the community building later enabled activities to be organized within the community. This was another important element of the project’s success. The organization running the project (RÉV8 Ltd.) has gathered a vast amount of experience over the years, and learned from many partners in the process. The involvement of district- wide institutions, such as family help centers and social workers, has further strengthened the project. Another best practice was the way in which individual requests regarding housing were taken into consideration when possible. Single and elderly persons could move to lower floors and families with children could move to larger apartments. The majority of the tenants returned to their original but upgraded residences. Home upgrading was done in parallel with an increase in rent levels. Nevertheless, the level of indebtedness of families participating in the program has decreased slightly regardless of the increase in rental fees. Lastly, participatory input from neighborhood beneficiaries in the provision of municipal public services has been another good practice. During the recently launched Phase 3, the municipal transportation company has been involved in project activities, in which Magdolna residents give input on redesigning the bus transportation route 99, which crosses the neighborhood and has a very bad reputation. The unique 268 269 Hungary reconstruction of an office for a neighborhood police squad; clean up and restore Bercsényi Liget Park with green spaces and a children’s playground. The park will also serve as a venue for soft programs aimed at improving children’s safety on the streets; organization of leisure activities for children at the Kossuth Lajos primary school; Project Brief 16 medical screenings and regular preventative healthcare programs organized by the Győr Municipal Healthcare Department at the Kossuth Lajos primary school; Urban Rehabilitation Project (A), Hungary raising environmental awareness (“live street program”) through flower and tree planting and waste-collection campaigns at Bercsényi Liget Park; family counseling targeting the emotional and social development of children; creation of a neighborhood police program with Győr-Moson-Sopron County Police to improve public safety and prevent crime. A special patrol service safeguards vulnerable residents (children, elderly living alone); crime prevention educational programs organized at schools. Project period: 2013–2014 Total project cost: Design Features and Outcomes €4,511,000 Key dimensions of the integrated Győr-Újváros Urban Rehabilitation Project include: (i) creation of a project supporting Total number of group to involve stakeholders, which included NGOs from among the Roma beneficiaries (e.g. Roma Minority Self- beneficiaries: Government), educational institutions, and major foundations that work with vulnerable groups. Some of these 565 people organizations were involved in the soft components of the project; (ii) open and cooperative communication between municipal departments and beneficiaries in the target neighborhood eased the increased presence of police and social Financed by: service workers in Újváros. The municipality also tried to use officers already familiar with the area and residents; (iii) ERDF (80 percent) and cultural competency training for implementers (teachers, nurses, social workers, job placement officers), including the municipality of Győr (20 percent) in communication skills and conflict management, enabled project staff to be empathetic and work collaboratively with Roma in solving their problems; (iv) incentivizing disadvantaged youth to participate in project activities with Implementing agencies: contests and prizes. The project helped Roma youth select a secondary school, while assisting them with homework and Municipality of Győr Context and Rationale afterschool tutoring. Those who participated in the program had the chance to win valuable prizes; and (v) incorporating in collaboration with The city of Győr’s neighborhood of Újváros is approximately 40 percent Roma. Located information and communication technologies (ICT) into the project by setting up an “Infopoint,” where Roma and county police and several in the city center, the neighborhood has been inhabited by Roma since the end of Újváros residents can access the Internet regularly in the neighborhood. Training is also available to teach residents how NGOs. The Roman to utilize information-community-technology services, such as for job searching. World War II. Its 18-19th century architecture has deteriorated over time. Some of the Catholic Church also buildings are no longer inhabitable, which has stemmed the once steady flow of Roma provided implementing into the area. Újváros has a total number of 29 buildings and 214 apartments. The support Good Practices and Lessons Learned majority of these apartments (63 percent) are municipal-owned; 12 percent of them lack hot water; 11 percent do not have a shower or bathtub; 8 percent do not have a The Győr-Újváros Urban Rehabilitation Project showcases several good practices of an integrated approach and project Areas of intervention: Social housing, toilet; 10 percent lack gas heating; and 41 percent have only one room. Almost half design. The first is the way in which the project began with an analysis of city hall data and a survey conducted education, vocational of the apartments are smaller than 50 square meters and 69 percent are reported in the target neighborhood. The survey reached every household in the neighborhood and several focus groups were training, employment, to have wet and moldy walls on account of the poor, outdated insulation and holes in organized among with locals. This strategy enabled the project to understand Újváros’s needs and beneficiaries. One health, environmental the roof. It is believed this is the reason a majority of Roma children from the Újváros of the outcomes of the survey was the finding that there is a correlation between those with low education levels and awareness, crime neighborhood suffer from asthmatic symptoms. Another consideration is the pollution those facing unemployment. Roma in particular had low rates of employment, education, income, and health. Knowing prevention in the nearby Bercsényi Liget Park, where children and adults spend leisure time, but this information helped the project to devise more specialized measures to address these challenges. which has become an illegal waste dumping site. Another good practice was culturally sensitive soft activities, such as “female-only hours” in the school gym. This all- female activity is valued and popular among Roma women, partly because the mixing of men and women is less acceptable according to Roma custom. The program is also expected to raise health awareness and the fitness of the Objectives and Scope targeted population. The key objective of the Győr-Újváros Urban Rehabilitation Project was to regenerate the neighborhood by renovating apartment buildings and commercial premises, along with revitalizing and cleaning the nearby polluted park to become a safe recreational space for children and adults. To address these multiple challenges, the municipality of Győr and its implementing partners applied an integrated approach, which included the following activities: renovation of 40 apartments to be rented to 120–130 socially disadvantaged tenants. The selected apartments need upgrading because of their dilapidated conditions and missing kitchen, bathroom, and toilet; refurbishment of 5 commercial premises for new shops, restaurants, and so on; 270 271 Hungary only finished eight or less years of elementary school education. In other words, half have not attended secondary school. In addition, 45 percent of adults are unemployed and almost half of all households (45 percent) survive on social benefits, including subsidies for families with many children. According to school-doctor surveys, among 6–10-year-old children from the area, the rate of chronic respiratory sickness and lice infection is significantly above Project Brief 17 average. It does not help that the surrounding environment is unkempt and that there is a large illegal waste dump “Nostru” Urban Rehabilitation Project, in the vicinity. Hungary Objectives and Scope The key objective of the Kaposvár Urban Rehabilitation Project was to improve living conditions and the physical environment of the city’s most segregated zone, while simultaneously promoting social inclusion and reducing segregation. In particular, the project addressed Roma living conditions through the renovation of 32 municipal rental apartments in two buildings (located at Nádasdi str. 1 and Nádasdi str. 47–49). Various infrastructural upgrades Project period: were carried out throughout the area, including the creation of paved roads, green spaces, and rainwater and sewage 2013–2014 collection and disposal. The assumption was that addressing these housing and infrastructure deficiencies also The “Nostru” program is overcomes social challenges—like limited employment opportunities in town due to poor roads and irregular bus the second of two social service to the city—which the project implementers view as intertwined. To address these multiple challenges, the interventions integrated into housing and infrastructure municipality of Kaposvár and its implementing partners applied an integrated approach, which included the following development. It enabled local activities: NGOs to apply for funding renovation and refurbishment of 32 municipal rental apartments; from the overall program to construction of community center to host regular cross-cultural trust-building and anti-discrimination programs; run mini-projects focused on desegregation and anti- infrastructure upgrading of paved roads, rainwater drainage, and sewage disposal; discrimination measures. These forming green spaces and parks with benches for leisure activities; and the other social interventions are discussed together in this environmental protection and awareness; review for an overall holistic view infant care and advisory services on early childhood development (Sure Start); of the program educational programs for youth with special needs; Total project cost: Context and Rationale vocational training for adults; €2,281,000 healthy lifestyle promotion and healthcare services; Kaposvár’s (population 67,000) sizeable Roma population is concentrated in Total number of beneficiaries: a residential village on the outskirts of the city. The area is wedged between sports and recreational activities for youth and adults; 1,676 people two hills, a geographical feature that not only separates the village from cross-cultural dialogue programs between Roma and non-Roma; the rest of the city, but also causes ecological hazards with a neglected Financed by: crime prevention. rainwater and sewage system. Here 60–70 percent of inhabitants belong to ERDF (85 percent) and the one of several Roma clans residing in the area. The area’s underdevelopment municipality of Kaposvár (15 percent) is substantial. Both private homes and public spaces are unfinished, rundown, Design Features and Outcomes or dilapidated. The main road in the village leads to a municipal solid waste Key dimensions of the integrated Kaposvár Urban Rehabilitation Project include: (i) the creation of a city development Implementing agencies: landfill site. Among the area’s residential dwellings (358 total homes), only company, which is a nonprofit, municipal-owned structure, to take charge of project implementation for the Municipality of Kaposvár in 20 percent are equipped with a kitchen, bathroom, and central heating. From municipality. (This is a Hungarian Regional Development Agency regulation; since 2007 all municipalities must create consortium with the NGO, these, 52 are municipal rental apartments—the focus of this project. Most “city development companies” to engage in urban rehabilitation projects.) The advantage is that it creates an effective, Vadvirág Alapítvány, and the tenants cannot afford to pay their rent and utility bills. Almost half of the streamlined approach to social sensitive urban rehabilitation projects. The city development company also serves as Roma Minority Self-Government apartments are without bathrooms and many are overcrowded, with up to a mediator between the Regional Development Agency and the municipality; (ii) close collaboration between project of Kaposvár ten occupants. The rest of the village homes are privately owned. Running implementers and beneficiaries from the early stage of grant application. The Roma Minority Self-Government and water and electricity are available in all houses, but most owners in municipal Areas of intervention: municipal implementer visited the target area together numerous times to solicit feedback and support from Roma and private homes cannot afford gas for heating or cooking; most simply use Social housing, infrastructure beneficiaries. During focus group discussions, the exact needs of the community were mapped out and additional events wood-fueled furnaces. Only 10 percent of all buildings are insulated, which upgrading, education, training, were organized to provide more information about the project. This ongoing communication helped to ensure beneficiary health, environmental awareness, leads to poor energy efficiency. Most residents cannot afford to pay for solid buy-in and the sustainability of the project design; (iii) knowledge gathering from existing service providers working crime prevention, cultural waste collection, so waste is dumped in backyards or at the end of streets. with Roma from the target neighborhood helped the project implementers understand the interconnections between programming While the nearest kindergarten and primary school are about a kilometer social and infrastructure challenges. Medical doctors, nurses, dentists, kindergarten and primary school staff, local police, away from the commune, secondary schools and tertiary institutions can and NGOs provided unique insights on the area population; (iv) apartment refurbishment partially carried out by only be found in other parts of the city. Public transportation is provided by employing local population to build on the value of active, voluntary participation. This approach is expected to create two scarce bus lines that operate on the area’s main street. These structural a sense of ownership so that participating families will care for their renovated apartments maintain their condition; (v) factors may explain why almost half of the village (49 percent of adults) has cultural sensitivity in safeguarding and monitoring project results through the Roma Minority Self-Government—as 272 273 Hungary opposed to a non-Roma body—newly headquartered in the neighborhood in the recently constructed community center. The Roma Minority Self-Government safeguards the sustainability of the infrastructure works and overall project results. Having the trust of Roma beneficiaries, it also took the lead in spearheading afterschool tutoring and recreational activities for children (ages 10–16); and (vi) involvement of NGOs with existing expertise in soft activities, such as the Vadvirág Alapítvány nonprofit service provider, which has experience in early childhood development programs. The nonprofit organized a Sure Start program in the target neighborhood to provide information to mothers about how to care for infants and children. Good Practices and Lessons Learned The Kaposvár Urban Rehabilitation Project showcases several good practices of an integrated approach and project design. Firstly, it based its project design on a survey conducted in the neighborhood by an independent polling company (SzocioNet). According to survey results, a large percentage of respondents (75 percent) expressed interest in participating in the project, and 45 percent indicated interest in unpaid voluntary work. This suggested to project managers optimism regarding the sustainability of expected results. While housing and infrastructure improvements are relatively quick and easily measurable, changing attitudes and dispositions take longer. This is an important reason to integrate soft activities with an intercultural dimension into the project. They are a first step towards reducing discrimination and creating openness between Roma and non- Roma, helping each other to understand the other’s culture and traditions. These programs, located at the community center, encourage the intermingling of Roma and non-Roma communities through food and celebrations. After these occasions, Roma and non-Roma in the neighborhood already start to talk to each other more and show a genuine interest toward different cultures. They even come back repeatedly for similar programs. These perceived changes are at first experienced only on a microsocial level, but can over time lead to a decrease in segregation and discrimination. 274 275 Hungary Context and Rationale The city of Kazincbarcika (population 30,000) is home to almost 6,000 Roma. The predominantly Roma settlement of Herbolya lies just on the outskirts of town.11 Homes in Herbolya are old and in poor condition. Herbolya was Project Brief 18 originally a miners’ settlement with rudimentary living conditions. Over 80 percent of the 150 houses in Herbolya are without water and sanitation. Houses are heated with wood and fuel. They are prone to dampness and mold because Roma Neighborhood Social Rehabilitation of the lack of rainwater drainage and stale water in a nearby closed mine. The only school in the vicinity is the Don Bosco (church-based) Vocational School. There is a bus connection to the city center, but transportation is expensive Project (A), Hungary for many of Herbolya’s residents. As a result, Roma children regularly walk to kindergarten and primary school (a 20–30 minute walk). According to a social worker in the Herbolya settlement, criminality, drug abuse, and prostitution are widespread. Almost half of the families depend on social benefits for their main source of income. Over a quarter of the population are children under the age of 14, while there are also many elderly retired persons. Project period: 2009–2013 Objectives and Scope The key objective of the Herbolya Social Rehabilitation Project was to improve the community’s living conditions and Total project cost: provide access to various public services lacking in the community. Providing these services together would improve €1,686,537 the sustainability of the infrastructure investments and social interventions. These goals were met by applying an Total number of beneficiaries: integrated approach, which included the following activities implemented by the municipality of Kazincbarcika and its 707 people nongovernmental partners: refurbishment of a community center, in which a family help center, child welfare service, nurse, public bath, and Financed by: laundry mat are housed; Hungarian National Development Agency and the municipality of construction of a new vocational training center; Kazincbarcika renovation of the Don Bosco community building for workshops, table tennis, fitness room, theatre, and small library; Implementing agencies: water, wastewater, and drainage tanks built to enable families to connect to the water and wastewater pipe; Municipality of Kazincbarcika paved road built in the upper part of the settlement; in partnership with Don Bosco Vocational School and construction of a playground; Herbolya Neighborhood Watch regeneration of green areas; (Polgárőrség) NGO vocational training in welding and social assistance; Areas of intervention: job search help at the family help center (equipped with one computer with Internet access and a printer, as Building reconstruction, well as a free phone line); infrastructure, health, social afterschool education program and youth club, where 40 community youth met once per month for school services, vocational training, tutoring, concerts, and leisure activities; education, recreational activities mentoring program, which included escorting children to school and back; social work with families in need of specialized services, like visits to special education teachers; distribution of meals, toys, and clothes; daycare for children during the summer holidays. Pictures, clockwise, from top left: • new building of the Don Bosco vocational school Design Features and Outcomes • Don Bosco community house Key dimensions of the integrated Herbolya Social Rehabilitation Project successful were: (i) establishment of a family • new playground help center and other services in one place within the newly renovated neighborhood community center. One of the • new common washing facilities major innovations of the project was that it brought intensive social work to the Roma settlement by establishing office • new community house and office of space for a family help center at the heart of the Roma settlement instead of running the service in the city center the nurse and the family help center which could hardly be reached by the local community. A further innovative element was the creation of a public laundry and shower facility within the same center, which has greatly enhanced the quality of life for beneficiaries without • new road running water at home; (ii) municipal and nonprofit cooperation assured that city officials (local authorities) did not • only new bathroom built during face administrative obstacles, and all investments happened in due time, including the public procurements that had to the project be executed for the infrastructure developments; (iii) utilized NGOs had experience implementing soft projects and/or • houses in Herbolya and a public well working with Roma. The Don Bosco Vocational School has been present in Herbolya for several decades. It used to run Pictures were taken by 11See MTA Társadalomtudományi Kutatóközpont; Szociológiai Intézet. Nóra Teller in May 2013. 277 Hungary its own vocational training courses, so it could run employment-related and other soft interventions; and (iv) the project avoided giving financial assistance directly to Roma families. Targeting Roma with large-scale funding is seldom without conflict. In Herbolya, there was general acceptance of the problem, however, probably because there were no individuals as direct (financial) beneficiaries. This prevented resentment and helped maintain cooperation throughout the project period. Good Practices and Lessons Learned The Herbolya Social Rehabilitation Project utilized the good practice of offering a wide diversity of soft elements— from trainings and tangible social services to events and clubs (10 percent of total project costs were spent on soft interventions)—which ensured that there was something for everyone and Roma of all ages benefited from the program. The level of access that Roma and vulnerable groups have to services and activities greatly improved over the course of the project. This is valuable for beneficiaries, due to the distance of the Herbolya settlement from the city center, where most services are offered. After the project closure, however, the accessibility of many services deteriorated again due to a lack of funding. http://www.socio.mta.hu/dynamic/otka_zarojelentes.pdf. 278 279 Hungary creating rainwater sewers and curbs; renewal of green spaces and parks; establishing a promenade (with 24 public benches, 10 waste bins, 5 bicycle racks); Project Brief 19 creating sheltered bus stops; Urban Rehabilitation Project (B), raising environmental awareness, which included planting a “green fence” of 9,000 saplings along a 530-meter barrier to prevent illegal dumping at on old waste site; Hungary vocational training for adults; family counseling and other social services (on healthy lifestyles, hygiene, and so on); Roma cultural events for youth and adults; sports and recreational activities for all ages; Project period: 2013–2014 programs aimed at crime prevention and the enhancement of public security. Total project cost: €1,913,000 Design Features and Outcomes Key dimensions of the integrated Mezeiváros and Ürgés Urban Rehabilitation Project include: (i) public and private Total number of beneficiaries: sector and NGO collaboration pooled the best strengths of stakeholders together. During the project design period, the 2,612 people municipality explored all possibilities of cooperation with private companies and NGOs. It chose NGOs with extensive Financed by: experience implementing soft projects and/or working with Roma. The municipality also reached out to private companies. ERDF (85 percent) and the The development of the Mezeiváros and Ürgés area was of interest to a number of private companies operating in the municipality of Kecskemét and vicinity. Several companies offered substantial financial or in-kind donations, such as equipping a baby/nursing room consortium partners Context and Rationale at the community center. In another case, a retailer consented early on to a project activity on his property (a “green (15 percent) The city of Kecskemét’s Roma population has lived in the Mezeiváros and Ürgés fence” to prevent illegal dumping), which was beneficial to his own business interests. This and other cases helped add area of town since the eighteenth century. It is colloquially referred to as “Gypsy to the project’s sustainability; (ii) a project supporting group was formed with 8 NGO members not directly involved Implementing agencies: town” (population 2,612) and is one of the most underserved and disadvantaged in implementation, which included representatives from the local Roma Minority Self-Government, the regional job Municipality of Kecskemét in zones in the city. Many of the homes are dilapidated and in need of major placement center, as well as municipal officials and those from the two main consortium-implementing partners (the cooperation with two NGO infrastructural repairs, from heating to insulation. The only school in the zone Maltese Charity Service and Türr István Training and Research Institute). This arrangement helped to get feedback partners—Hungarian Maltese is closed; it was an all-Roma (segregated) school. There are practically no public and buy-in from a range of actors with valuable knowledge for the project; (iii) involvement of creative arts to foster Charity Service and Türr István services in the area, and residents must commute to other parts of the city to cultural expression and tolerance among Roma and non-Roma through a “self-portrait” program. Roma youth in Training and Research Institute access schools, food stores, medical care, and recreation and entertainment. the target neighborhood were given art supplies and multimedia tools to create self-portraits to express themselves Areas of intervention: Meanwhile, the lack of a public sewage system and municipal trash pick-up and their culture. Some of their paintings, drawings, photos, and films went on to be displayed around the city to raise Social housing, public had contributed to the establishment of many illegal waste dumps at the end both self-respect and understanding from among the city’s non-Roma majority population. Overall, this was one of the infrastructure upgrading, of streets. All of this, together with the area’s economic segregation, has led to most innovative soft components of the program; and (iv) the project design and implementation was knowledge- education, training, health, high levels of unemployment (22 percent), dependency on welfare, and crime. driven and involved beneficiary input, based on a survey conducted among the target population. The survey gathered environmental awareness, crime Findings show that 56 percent of adults in the neighborhood only have up to information on the local population’s opinion of the area’s main problems, and program ideas for resolving them. This prevention, cultural programming, eight years of primary education, while just 2 percent have tertiary degrees (the allowed beneficiaries to offer input on development strategies. The results were transparently translated into the project’s anti-discrimination programs city average is 17 percent). These low levels of education are a constraint both design and used to inform both strategic goals and specific project elements. to finding employment and reaching higher income levels, and contribute to low- quality living conditions and life expectancy among Roma in the neighborhood. Good Practices and Lessons Learned The Mezeiváros and Ürgés Urban Rehabilitation Project showcases several good practices of an integrated approach Objectives and Scope and project design. The first is the way in which vocational trainings were designed to consider the needs of both the local labor market and the special traits of the target group. At the end of the program, 45 participants were trained in The key objective of the Mezeiváros and Ürgés Urban Rehabilitation Project was to gradually improve the social, general maintenance, park maintenance, waste collection, and transportation, and were offered job opportunities within environmental, and infrastructural conditions of the largely Roma residential area located next to the southern the city’s public work program to utilize their new skills. Overall, this created job opportunities to reduce beneficiaries’ industrial zone of the city. The underlying assumption was that these developments will reduce the exclusion and dependence on welfare and helped them afford monthly rent and utility bills. segregation of the area and its Roma inhabitants. These goals were met by applying an integrated approach, which included the following activities implemented by the municipality of Kecskemét and NGO partners: For a number of other soft interventions, the Maltese Charity Service implementing agency recruited a Roma activist, reconstructing 12 municipal rental homes; who has proven useful in designing the culturally sensitive services offered in the community center. She has also constructing a community center; provided valuable cultural insights for programming. Her presence was also very helpful in securing the trust of local Roma and encouraging their sustained participation and engagement in activities. Experiencing results, the Maltese constructing a sports field and public playground, considering the high proportion of children in the neighborhood; Charity exhibited good practices in using its national and international network to communicate the results of the constructing a larger communal waste collection yard (to prevent illegal dumping); project around the country and world. These communication efforts contribute towards advancing understanding and upgrading and paving dirt roads along main transportation lines; reducing prejudice towards Roma in wider society. 280 281 Hungary Context and Rationale The city of Nyíregyháza (population 120,000) has over 9,600 Roma. Roma make up almost 8 percent of the population.12 Over a quarter of the city’s Roma are concentrated in the segregated neighborhood of Huszár-telep Project Brief 20 (total population 1,900), where the share of Roma is reported to be 85 percent of residents. Huszár-telep is a former military base built 120 years ago. After the closure of the military base during the Communist period, horse stalls were Roma Neighborhood Social Rehabilitation converted into basic apartments, while the officers’ houses were equipped with full water and sanitation. A former casino on site was converted into a school, a former canteen into a kindergarten, alongside a new nursery school and Project (B), Hungary senior citizens’ center. By the early 1990s, however, Huszár-telep had turned into a ghetto of dilapidated buildings and empty, rundown structures. It remains physically segregated from the rest of the city; it is hemmed in by fences from the former military base, as well as bordered by train tracks and an industrial area, which together have the effect of keeping people in and out of the settlement. The social composition of inhabitants living in the settlement suggests trends towards societal exclusion. Just 33 percent of inhabitants are employed (either formally or informally). Only Project period: 2 percent have finished tertiary education, and a quarter live exclusively on state welfare programs (2001 census). 2013–2014 There are also a lot of children in the neighborhood (children account for more than 50 percent of residents). For Total project cost: many, housing conditions are severe; 40 percent of all housing has no sanitation inside and is falling apart. Many €1,592,470 families have been completely disconnected from public utilities, and illegal connections to electricity are widespread. The failure to pay rent and utility bills frequently leads to the termination of apartment leases and contributes to Total number of beneficiaries: large debts to the real estate management company in charge of the area. There are no walkways for pedestrians 82 households and a lack of drainage and sewage. The newly reopened school—run by the Greek Catholic Church and attended by only Roma—houses various community activities and social services, but perpetuates segregation in that only Roma Financed by: use its services. The neighborhood is also beset by widespread prostitution, drug dealing, petty crime, and loan shark National Development activity, all of which contribute to the neighborhood’s poor reputation in town. Agency (85 percent) and the municipality of Nyíregyháza (15 percent) Objectives and Scope Implementing agencies: The main objective of the Huszár-telep Social Rehabilitation Project was to prevent the area from further social and Municipality of Nyíregyháza economic decline by improving the living conditions and quality of life for residents in the Huszár-telep settlement. To and four nonprofit tackle these issues, the municipality and its NGO implementers applied an integrated approach, which included the organizations following activities: renovation of 82 homes, which includes fixing the roofs, windows, doors, insulating the walls and roof, and Areas of intervention: repairing chimneys. Social housing, infrastructure upgrading, education, elderly constructing two offices for social programs (one for local crime prevention activities and one for a nurse); care, health, social services, refurbishment of the original building housing the kindergarten, nursery school, and senior citizens’ center. crime prevention programs The renovation will only concern the structure, improving the energy consumption of the building by installing insulation along the roof and the façade, as well as changing windows and doors; (re)construction and pavement of roads and sidewalks within the settlement. The work will help connect the Pictures, clockwise, from top left: playground with houses in the settlement; • the houses to be refurbished (from outside) construction of a new playground (there is currently no playground) that serves several age groups; • the kindergarten building (to be refurbished from outside) playhouse for arts and crafts, table tennis, youth clubs, young mothers’ club, and health prevention workshops; • renovated school building housing community activities, along with the public laundry (charge of USD$0.5 per use with laundry detergent free of charge); reopened segregated school (church based) • house not to be refurbished Internet café for all ages; • houses not to be refurbished, along with bus stop crime awareness and prevention program to inform potential victims (overwhelmingly women and children), targeting those with criminal records as well; • rundown local Roma community house (refurbished in 1998–1999 and in operation from 2003–2009 as the office of the family help center. It is currently labor market integration programs; managed by the municipality and has been empty since being taken over) health screenings and healthy living workshops; • empty garden of the kindergarten leisure activities and events (such as exhibitions, sports); environmental awareness programs. Photos taken in June 2013 by Nóra Teller. 12 Seealso “ÖSSZEFOGLALÓ: A „Peremhelyzetű és kirekesztett csoportokkal végzett szociális és közösségi munka” c. képzéshez kapcsolódó tanulmányútról.” 2012. http://www.autonomia.hu/sites/default/files/files/1210/3985/tanulmanyut_nyiregyhaza_huszar_telep.pdf 282 283 Hungary Design Features and Outcomes Key dimensions in implementing the integrated Huszár-telep Social Rehabilitation Project are the way in which it: (i) engaged NGOs with experience in implementing soft projects and/or working with Roma. The project’s social components are based on the work of organizations that have been working in the area for a long time (for example, Human-Net NGO has been running the family help center for ten years); (ii) targeted both potential victims and residents with known criminal records in its crime prevention activities. This strategy works to break the cycle of crime and violence in the neighborhood, as it restores public safety. It works to make the settlement a more attractive, safer place to live and improves its reputation and those of its inhabitants; (iii) education and crime prevention programs are creative and engaging, using everything from drama pedagogy to audiovisual materials, moderated discussions, and pamphlets to raise awareness about drug abuse, prostitution, and human trafficking. Women are also targeted with information about domestic violence. Special attention is given to issues of usury loans, mafia, and petty offenses (like begging); and (iv) public events celebrated the Roma identity of Huszár-telep, through theatre and holiday celebrations. These celebrations help to empower Roma to be proud of their self-identity, as well as break down stereotypes about Roma and the settlement in wider society. On the other hand, the municipality has made little effort to inform the Roma community about the planned activities, or include the local residents in project-related planning and discussion. Good Practices and Lessons Learned The Huszár-telep Social Rehabilitation Project showcases how a project may benefit from the capacity of well embedded NGOs, which have been working in Huszár-telep for a long time. This enhances the project’s accessibility to the local population and the beneficiaries most in need. It ultimately contributes to the sustainability of the project results over time. 284 285 Hungary Objectives and Scope The main objective of the Sátoraljaújhely Social Rehabilitation Project was to improve the living conditions and social welfare in the Roma settlement. The aim was to reach this goal by way of major infrastructure developments, such as house, road, and public space regeneration. To meet these aims, the municipality implemented a project which Project Brief 21 included the following activities: refurbishment of 62 homes, changing windows and doors for more efficient energy consumption, fixing roofs, Social Rehabilitation Project, Hungary insulating chimneys. The outside of homes got repainted and entrances fixed; paving roads and pedestrian sidewalks; constructing a drainage system; development of a park and playground for all age groups; Project period: building a soccer field; 2010 establishing tenancy rights during the planning phase; vocational training offered in nursing and parks and recreation professions; Total project cost: €969,959 parks and recreation officers were employed as city workers by the municipality; healthcare and counseling advice for young mothers. Total number of beneficiaries: 80 people Design Features and Outcomes Financed by: National Development The Sátoraljaújhely Social Rehabilitation Project overall had few innovative elements to it, and the sustainability of its Agency (90 percent) and the social pillar turned out to be very weak. Despite these outcomes, there were several positive features that are worth municipality of Sátoraljaújhely mentioning, such as the way in which the project: (i) employed local Roma for infrastructure development. For the (10 percent) through ERDF infrastructure components of the project, Roma from the area were employed by an entrepreneur running a construction company. The public procurement process was launched in a way to make this a condition; (ii) leniency on absent Implementing agencies: tenancy contracts, given that many Roma did not have official leases or property rights to the homes in which they Municipality of Sátoraljaújhely were living. The municipality agreed that all tenants who paid rent, even if lacking tenancy contracts, could stay on the Pictures, clockwise, from top left: Areas of intervention: premises and benefit from the home repairs offered through the project; (iii) trained Roma in new professions (nurses) • refurbished social housing needed in their communities. For example, the project trained two Roma women to become nurses and to serve in their Social housing, infrastructure upgrading, recreation, • nonrefurbished private housing, alongside community after training. The importance of nursing arose during the project, being responsive to community needs, as vocational training, refurbished housing there was a demand for pregnancy counseling and information on early childhood development, among other general employment • new pavement, drainage, and road health issues. This promising component unfortunately ended after project funding stopped, which points to the project’s • unused playground lack of sustainability in social programming; and (iv) strong municipal backing of the project among departments • Roma community member retrieving allowed the municipality, as the chief implementer, to create an arrangement whereby 15 beneficiaries got short or mid- water from a public well term jobs from the city or during the renovation works in the neighborhood. Nevertheless, the jobs were not permanent, and the municipality itself underwent restructuring. The original multisectoral strategic department, comprising both Photos taken in June 2013 by Nóra Teller. social and technical personnel, created within city hall to spearhead the project got reorganized in a way that future cooperation and coordination will be difficult. Context and Rationale Lessons Learned Sátoraljaújhely’s main Roma settlement is characterized by poor living conditions ever since a flooding in 1984 The Sátoraljaújhely Social Rehabilitation Project reveals several challenges and lessons learned in designing and destroyed many of its homes. The houses that were reconstructed were rudimentary (with only one or two rooms) implementing an integrated approach. While project planning occurred in a multidisciplinary, strategic department in and of low quality, without bathrooms and toilets. A third of these homes were not privatized in the postsocialist city hall, which is praiseworthy, the department was later disbanded. Future integrated projects will have to be planned transition, partly on account of unclear tenancy rights, or because the tenants did not have the financial means to across departments, which is likely to be problematic given the lack of natural coordination mechanisms within this purchase their homes. A national Roma integration program funded access to utilities (water, sewage, indoor toilets city hall. Secondly, there were no special design features to address segregation, promote beneficiary participation, and and plumbing) in the settlement in 2006–2007; however, today half of Roma homes remain without access to water encourage gender sensitivity. Local Roma were only involved in the project’s construction phase through rules of public and sanitation. Access to houses in the winter and during heavy rain is also problematic because of the lack of procurement. This meant that the city indirectly addressed Roma discrimination and encouraged inclusive hiring in paved streets and pedestrian sidewalks. The social composition of inhabitants shows alarming levels of poverty and construction, even if it was only for a limited time period. Newly paved roads and pedestrian pathways enabled Roma unemployment. The majority of the population has only finished 8 years of primary school education (70 percent), and better access between their settlement homes and the city center; however, there was ultimately very little improvement less than 3 percent have completed higher education degrees. (By comparison, the countrywide figures are 95 percent in the quality of life inside the Roma settlement. This is on account of the prevailing lack of water and sanitation, which and 19 percent, respectively.) Unemployment reaches over 35 percent, and hence dependency on social welfare as the project did not comprehensively address. Public green areas also remain dilapidated and there has been no follow-up a main source of income is high. A fifth of all adults of employment age in the neighborhood live on social benefits. on social activities. So even though the appearance of the settlement has improved with the removal of illegal dwellings and the refurbishment of homes, it is only on the exterior, with very little internal sustainability and lasting support. 286 287 Italy Design Features and Outcomes Key dimensions of the Grazia Deledda Project include: (i) municipality commitment to enhancing public goods and services to Roma and all marginalized people in the community, regardless of nationality (EU and non-EU immigrants alike); (ii) municipality and NGO partnership, with the former focusing on “hard activities” and the latter on social inclusion Project Brief 22 activities for Roma beneficiaries. The shared responsibility between local administration and nongovernmental actors created efficient synergies and coordination; (iii) no major relocation required of beneficiaries, as the new transitional Grazia Deledda Project, Italy accommodation is located in a place where Roma families have previously squatted (Grazia Deledda elementary school); this lessens any displacement and disruption experienced by taking part in the project; (iv) transitional housing and integrated services ease the process of social and economic integration, building autonomy and confidence among beneficiaries to begin the process of socioeconomic integration; and (v) the project builds on previous NGO work with Roma in the area. The local volunteer organization, L’orma del Tempo, had been involved for more than a decade in emergency accommodations and social protection assistance to Roma. Many beneficiaries were therefore familiar with social inclusion program activities and comfortable working with L’orma del Tempo when they began to participate in Project period: Context and Rationale 2011 to present (ongoing) the Grazia Deledda Project. The Grazia Deledda Project is located in the Soccavo- Total project cost: Pianura area of Naples. The number of Roma in Naples €2,106,674 has increased substantially over the past ten years. Good Practices and Lessons Learned Naples currently has over 2,500 Roma inhabitants, The Grazia Deledda Project showcases several good practices of an integrated approach and project design. The first is Total number of beneficiaries: mainly from Romania. Most live in unauthorized, the way in which its temporary (6+6 month), rent-free housing provides not only short-term living solutions, but also the 125 people temporary camps in extremely poor, marginalized urban time and social assistance to obtain more permanent accommodation and job skills, which helps them integrate fully into areas. Along with Scampia and Secondigliano, Soccavo- society. Moreover, the project exhibits best practices in the way in which it selects beneficiaries. The governmental Social Financed by: Pianura is one of the poorest and most populated Services Agency works in tandem with the L’orma del Tempo NGO. Case workers from both organizations work regularly ERDF and ESF (through PON Sicurezza, Obiettivo 2.6) Roma encampments in Naples and in need of urgent with the target populations and hence have intimate knowledge of the specific cases most in need of accommodation Implementing agencies: intervention. Many Roma live in garbage dumping sites, and social assistance. This acts as a sort of check or due process in beneficiary selection. Another best practice is the Municipality of Naples in conjunction with the where they risk infections and other dangers, including way in which beneficiaries—and not just the project implementers—help newcomers by introducing the environment territorial Social Services Agency and the NGO L’orma exposure to criminal activity involving metal and and required code of behavior in the housing complex. Altogether such habits help Roma to make the gradual transition del Tempo garbage recycling. Some Roma inhabitants regularly from informal camp settlements to long-term housing arrangements and to more fully participate in Naples’s economic move in and out of the settlement, while the majority and social life. Areas of intervention: aim to stay permanently and even try to integrate their Social housing, social inclusion service, health, children into the school system. employment, education Objectives and Scope The key objective of the Grazia Deledda Project is to provide migrant Roma families temporary housing as a way to increase their autonomy and social and economic inclusion in Italy. Beneficiaries stay in Grazia Deledda accommodations for a period of six months with the possibility to renew for another six months, during which time Roma take part in mandatory social assistance project activities. The activities are meant to help Roma find work and housing, so that after twelve months they can integrate into private market housing and social life. To accomplish these goals, the municipality and its NGO implementers have adopted an integrated approach to interconnect their activities, which include: constructing transitional (temporary) housing units out of former elementary school for rent-free 6+6 month stays; providing healthcare access and monitoring; providing education enrollment assistance; educational activities for children and adults, including on issues of legal entitlements, criminality, and violence prevention; employment skill-building; literacy programs for Roma and other minorities in the local community. 288 289 Italy encourage Roma parent-teacher cooperation and meetings; professional training and apprenticeship programs. Project Brief 23 Abit-azioni, Trahimos (1, 2, 3), Design Features and Outcomes Key dimensions of the Abit-azioni, Trahimos (1, 2, 3), and Selarom Integrated Projects include: (i) municipality, private and Selarom Projects, Italy sector, and foundation cofinancing and cooperation (Abit-azioni Project) in the housing sector connected Roma from unauthorized camps to subsidized rental arrangements on the city’s private housing market. The municipality and private sector cooperation allowed Roma renters to enter into a sustained contractual relationship instead of benefiting from government assistance housing schemes that can come and go. The municipality, private sector, and foundation also shared not only funds and costs, but also responsibility for project design, implementation, and monitoring and evaluation. They integrated their methods, competencies, and operational tools. This ensured buy-in from all cofinancers Project/s period: Context and Rationale 2007–2011 (for 5 total projects within 3 programs) at every stage of the project and ensured effectiveness and efficiency in service management and delivery in the housing The city of Turin is home to about 2,400 Roma and sector; (ii) rental rates for beneficiaries increased incrementally according to their financial situation, which was Total project/s cost: Sinti, mostly from Romania and the former Yugoslavia. expected to improve over the duration of their participation in the projects, as job training and apprenticeships— €1,777,217 Most lack residency permits and live in unauthorized other key components integrated with housing assistance—were meant to help Roma find lasting employment. This settlements. While Turin offers four authorized ensured that the project promoted autonomy and self-sufficiency among beneficiaries. Several families benefitted from Total number of beneficiaries: settlements for 770 to 900 people, 12 makeshift camps the project, and because they had no record of misconduct and regularly made their rent and utility payments, they 102 people (Abit-azioni), 1,620 people (Trahimos 1, 2, 3), dominate the southern and northern outskirts of town. received references to obtain further leases. They now pay the market rate for their apartments; (iii) relocation to and 560 people (Selarom); 2,282 total beneficiaries These host more than 6,000 Roma and Sinti, and more private housing was required only of beneficiaries from unauthorized camps, who were already in need of improved from all 3 projects than half of the inhabitants are minors. Young children living conditions and integration into the city’s employment and social opportunities. Beneficiaries from legal Roma often face the challenge of wanting to fit into their new settlements remained on-site and did not experience disruption as renovations took place; (iv) families from authorized Financed by: Region Piemonte and the municipality of Torino (national, surroundings and stay in school, while on the other hand and unauthorized settlements both participated in activities to access employment, job training, education, and regional, and municipal funds) with cofinancing from are pulled in the direction of traditional Roma customs, healthcare (Trahimos Projects 1, 2, 3); activities targeted each Roma age group, so all were included in project activities private sector foundations which sometimes involve leaving school and helping to build self-sufficiency and empowerment; (v) education inclusion programs brought children not only to schools, with family work. Traditional Roma jobs in rubber and but schooling to camps (Selarom Project). Children were assisted in attending school via school bus service to their Implementing agencies: metal recycling are vulnerable to cooption by local remote settlements, and were provided educators for fun afterschool learning activities; and (vi) cultural mediation Municipality of Torino and Foundation San Paolo in mafia. Overall, Roma living conditions are characterized and housing rules were laid out at the beginning of the rental contract to establish clear expectations of conduct in conjunction with the public housing agency, Locare by poor hygiene and a lack of basic services and safety, common building spaces; these included respectful behavior towards other tenants and the expectation that utilities and Metro as the community is based in abandoned buildings or other fees would be paid regularly. near dump sites without heating and protection from Areas of intervention: Social housing, health, employment, education cold winter temperatures. The marginal impermanent settlements complicate children’s educational Good Practices and Lessons Learned integration and adults’ labor market participation. The Abit-azioni, Trahimos (1, 2, 3), and Selarom Integrated projects showcase several good practices of an integrated approach and project design. The first is the way in which the Abit-azioni Project creates dual incentives for beneficiary tenants and landlords: The renter receives a subsidized rent that increases with time, while the landlord receives a guarantee in the event that the tenant fails to pay rent. (The landlord is able to be reimbursed for unpaid rent for up Objectives and Scope to six months.) The overall arrangement, in tandem with job search and educational assistance for beneficiaries (in the The key objectives of the Abit-azioni, Trahimos (1, 2, 3), and Selarom projects (5 total projects) were to provide Trahimos and Selarom projects), helps Roma adults and children develop agency and voice in society. Those beneficiaries economic and social support for accessing stable accommodation and training to achieve socioeconomic independence participating in the Abit-azioni Project, which moves them into private housing in the city, also gain opportunities to live and self-sufficiency. To accomplish this, the municipality and its NGO implementers adopted an integrated approach among and integrate with other Italians. This is beneficial for long-term desegregation goals. to interconnect their hard and soft activities, which included: In addition, the project found women of all ages to exhibit dynamic participation in project activities across the board. assist Roma from unauthorized camps to find subsidized apartment rentals on the private housing market; They were active in professional trainings and maintained their jobs longer than their male counterparts. They also upgrade infrastructure in Roma housing in authorized camps; ensured that the housing code of conduct was maintained (for example, prompt rent payments). For this reason, the project found it a good practice to focus on women as agents of change. employment skill-building and job search tutoring; apprenticeship program matching job seekers to employers; child care provision during working hours, with Roma educators; education access for children and youth, including school bus service, classroom teaching assistants, cultural mediators to help Roma integrate and participate in classes; extracurricular activities after school for children and youth, including an on-site playground at an authorized Roma settlement; 290 291 Romania land ownership and home construction to securing water, electricity, and better roads to the Roma community. Even the mayor became involved in procuring building materials; and (iii) volunteers were mobilized (200 of them) to build ten houses in one week, and other resources were utilized from private building companies. Project Brief 24 Good Practices and Lessons Learned “A House, A Future” Project, Romania The Bălţeşti “A House, A Future” Project used the good practice of involving volunteers from the local community and beneficiaries in home building. This fostered trust and social cohesion between Roma and non-Roma, who do not necessarily have many occasions to intermingle. The training in home construction given to beneficiaries also gave them job skills useful for future employment, even if they would need to be connected to labor markets to use these skills. The selection of beneficiaries allegedly took into account those willing to volunteer or reimburse up to 50 percent of the building costs. This was to support the project’s goal of encouraging beneficiaries’ lasting ownership over and care for the homes. Project period: 2008–2011 Some of the lessons learned from the project include (i) the difficulty of selecting beneficiaries, since the project could not support all disadvantaged families in the community. The most disadvantaged families, who could not reimburse Total project cost: €350,000 the building costs, could not benefit; and (ii) the importance of other types of activities (such as education, income generation, and so on) to complement housing intervention to ensure sustainability. Total number of beneficiaries: 24 families Financed by: Habitat for Humanity Romania, Soros Romania, and other private donors Implementing agencies: Context and Rationale Habitat for Humanity Bălţeşti has a sizeable Roma community (almost one-third of the population) Romania and Soros concentrated in the Ursarie neighborhood. Few Roma hold permanent jobs outside Romania of informal trading and recycling. Their main income sources are social benefits. The Areas of intervention: living conditions in the Ursarie neighborhood are modest. Small houses are made of Housing, vocational hay and clay, and access to electricity and other utilities is limiting. Fifteen of the training neighborhood’s 24 homes are at risk of collapsing or another safety hazard, while the others need considerable renovation. Objectives and Scope The key objectives of the Bălţeşti “A House, A Future” Project were to improve the living conditions of 24 Roma families and to provide vocational training for 15 adults to help their sustainable employment. To do so, the implementing agencies integrated housing and employment activities, such as: constructing 24 brand new or renovated homes; assistance in obtaining affordable mortgages (through labor contributions and deductions); vocational training and apprenticeship programs in construction for 15 adults; facilitated access to water, sewage, electricity, and other municipal services. Design Features and Outcomes Key dimensions of the Bălţeşti “A House, A Future” Project include: (i) beneficiary ownership over the project that stemmed from beneficiaries participating in building their own homes. This was after receiving vocational training in construction. Beneficiary labor contributions earned them deductions in their monthly mortgage payments for new homes. For beneficiaries not involved in volunteer work, they could still pay an affordable mortgage for their home, although they were expected to reimburse up to 50 percent of the building costs; (ii) municipal and community cooperation with NGO implementers ensured support from local authorities for all project activities, from accessing paperwork for 292 293 Romania Design Features and Outcomes Key dimensions of the Cluj-Napoca “Together for a Safe Beginning” Project include: (i) municipality commitment to tackling the discrimination and misunderstanding that prevents marginalized groups from finding sustainable Project Brief 25 employment and improving their livelihoods; (ii) the information campaign among public and private sector leaders and NGO representatives (72 people) preceded project activities to inform stakeholders of the challenges Roma and disabled “Together for a Safe Beginning” Project persons face in accessing employment. This helped to break down stereotypes and prejudice towards vulnerable groups, as it amassed stakeholder buy-in to participate in project activities; and (iii) the win-win arrangement between the Romania private sector and beneficiaries provided 500 employers with subsidies to employ the project’s beneficiaries, while beneficiaries profited from job opportunities. Good Practices and Lessons Learned The Cluj-Napoca “Together for a Safe Beginning” Project utilized a promising practice in dividing beneficiaries into two Project period: Context and Rationale target groups: those who could quickly find a job with some basic assistance and training, and those who needed 2011 to present (ongoing) Roma make up 1.1 percent of Cluj-Napoca’s population counseling and vocational training to find employment. This ensured that unemployed people with differing needs do Total project cost: of 324,576 inhabitants. In 2008 and 2009, two needs not fall through the cracks. The fact that two vulnerable groups, Roma and disabled persons, were targeted together €3,657,918 assessment studies were carried out in disadvantaged and interacted in trainings offered opportunities for intergroup interaction and integration. Therefore, the project areas inhabited by Roma. Roma in these neighborhoods is contributing not only to improving livelihoods and living conditions, but also to the social integration of Roma and Total number of beneficiaries: live in poor housing conditions with limited access to public disabled persons. 3,415 Roma and 1,585 disabled people goods and services. Their high unemployment and lack of regular income complicates their ability to improve their Financed by: living conditions. Their high joblessness is often the result of European Social Fund (ESF) under the Human discrimination and exclusion from the job market. Therefore, Resources Development Operational Program (POSDRU) the assessment concluded that these Roma are in need of assistance to gain sustained access to the labor market and Implementing agencies: stable incomes. This is also the case for the disabled in Cluj- Social Welfare Department of the municipality of Napoca, who struggle to access employment, which can lead Cluj-Napoca to economic insecurity or even homelessness. Both vulnerable groups are in need of vocational training and job information, Areas of intervention: just as employers need to overcome discrimination and be Employment, education incentivized to employ vulnerable groups. Objectives and Scope The key project objective is the development of an integrated model of social and professional inclusion of Roma and disabled persons. Specifically, the main goals are to provide access to information, counseling, and job training for 900 Roma and disabled persons, while informing public and private sector leaders of the difficulties faced by vulnerable groups entering the labor market. The overall expectation of the project is that improving access to the labor market will improve living conditions for Roma and the disabled. To accomplish these aims, the municipality’s implementing agency adopted a combination of activities, which include: acquiring a building for counseling support; vocational training; job search counseling and information; information campaign on the challenges vulnerable groups face in accessing employment; subsidized job placements at local businesses for Roma and disabled persons; literacy programs for Roma and other minorities in the local community. 294 295 Romania Design Features and Outcomes Key dimensions of the Dor Mărunt “My Roma Neighbor” Project include: (i) early community involvement in decision making ensured the buy-in of townspeople and beneficiaries and built trust between Roma and non-Roma. A semi-formal community development group was even formed, which included the mayor, a city councilor, a local Roma representative, Project Brief 26 a teacher, and four community members (8 people total); (ii) participatory design of houses and community centers; a summer camp with architects was organized to involve the beneficiaries and community in the design process. This helped “My Roma Neighbor” Project, Romania to generate ownership over the project and educated residents on housing and architecture; (iii) beneficiary volunteer work on the homes with a number of Roma contributing 100 hours of volunteer work, respectively, in building their houses. Those who volunteered received a certificate of qualification; (iv) synergies among project implementers from the private and civil society sector, which included two national NGOs and a private company provided resources not only for home construction, but also for building three community facilities for health, social, and educational activities to promote long-term development and inclusion. The challenge was long-term financing for the social activities to take Project period: place in the community centers. 2011 to 2014 (ongoing) Total project cost: Good Practices and Lessons Learned €144,046 The Dor Mărunt “My Roma Neighbor” Project employed the good practice of involving beneficiaries and the community Total number of in the participatory design of the homes and community centers. The result has been a more empowered community, beneficiaries: having established development priorities and supported the implementation of construction projects. Another good 50 people (10 families) practice was that Roma beneficiaries acquired construction skills during the process of constructing homes. Many volunteered on the construction site and earned certificates of qualification. This can prepare them for future Financed by: employment, although additional support would be needed in connecting them to the employment market. Through Soros Romania such work and interactions, Roma and non-Roma community members intermingled and integration was fostered, even though the project did not explicitly address desegregation; future activities will be needed to build a lasting attitude of Implementing agencies: inclusion. Soros Romania, ArhiPera (social-participatory Context and Rationale Despite these good practices, the project faced challenges in securing sufficient financial resources to sustain the architecture group), Dor Mărunt is a village in Călăraşi county with a sizeable Roma population (1,110 Roma operation and maintenance costs of the community center and activities. It is important to have a clear funding and Luly Cons (private and 5,700 ethnic Romanians). The main occupation is agriculture, while a quarter of strategy from the beginning of the project to sustain operations beyond its life. company) the Roma community relies solely on social benefits as their main source of income. Areas of intervention: Roads in the village have deteriorated and water and sewage systems are nonexistent. Housing, health, Large families live in small makeshift homes constructed of clay and wood. Many are employment, education of poor quality and some are near collapse. Objectives and Scope The main objective of the Dor Mărunt “My Roma Neighbor” Project is to improve Roma’s living and social conditions. To accomplish this, Soros Romania and its implementing partners utilized an integrated approach to interconnect housing and community empowerment and job training activities, which so far include: constructing 4 new homes for private ownership; renovating 6 existing homes; constructing a community center for afterschool children’s activities and trainings; constructing a health center facility (not yet in use); constructing a social enterprise facility (not yet in use); community building and stakeholder consolidation in support of the project; architectural summer camp on community-driven housing design; construction work experience (on voluntary basis) and certification. 296 297 Romania Design Features and Outcomes Key dimensions of the Brazil Housing Project include: (i) building trust among the Roma community before project implementation ensured beneficiary buy-in, as it involved them in house construction and brickmaking; (ii) using the construction materials (bricks) produced by Roma themselves was considered an innovative approach. Roma were Project Brief 27 empowered and reskilled to return to this traditional profession and to continue the vocation after the completion of the project. This created lasting, sustainable employment options for about a third of the “Brazil” Roma community; (iii) Housing Project, Romania synergies among project implementers from the private and civil society sector, which included a local Roma NGO from among the beneficiary community, a Dutch foundation providing financial support, combined with a national-level Romanian NGO to give technical assistance and coordinate activities, and a private construction company to carry out the actual building of new homes. The local NGO knew beneficiary needs, while the national-level NGO, Impreuna, had contacts to attract foreign financing (SPOLU Foundation) and other resources to assist the rural project; and (iv) municipal and community support garnered in-kind contributions and support for extending water supply and Project period: electricity to the underserved “Brazil” neighborhood. Local authorities also helped repair the road to the community and 1999 assisted beneficiaries with property and identity documents. Total project cost: €31,765 Good Practices and Lessons Learned Total number of beneficiaries: The Brazil Housing Project applied the good practice of organizing a knowledge exchange among international, 10 families national, and local NGOs to come up with relevant best practices on social inclusion and housing. The project also made sure to involve the Roma community early on during project preparation and at every stage of the project. Local Financed by: beneficiary ownership began by assisting Roma to form their own Brazil Nuşfalău Association, which later became a SPOLU Foundation (Netherlands) project implementer. In addition, the project solicited Roma feedback and participation in creating a brickmaking with financial and in-kind Context and Rationale enterprise. The private company was successful in producing and selling bricks for a period. Roma also were hired by assistance from the city council, the private construction firm to build the homes for their families and neighbors. The “Brazil” neighborhood in Nuşfalău has been a Roma community for mayor, and local residents over a century. Roma here have traditionally been brickmakers. At the time The main challenge of the project was to generate interest in creating a local NGO in order to empower local Roma. The Implementing agencies: of the project, in 1999, there were 325 Roma in Brazil (and 426 total in NGO is not currently functional, due to a lack of local demand. Another issue was that the financial scheme that allowed Brazil Nuşfalău Association (local Nuşfalău), living alongside ethnic Romanians (510) and Hungarians (3,300). the community to build and renovate further homes, including a community center, by manufacturing and selling bricks, Roma NGO), Impreuna Community Hungarian and Romani are the main languages spoken by the Roma in worked very well until a nearby coal mine closed. Development Agency, and a private Nuşfalău. While most children attend school, parents come and go to make construction company a living from seasonal day-wage labor. Few Roma adults have permanent employment. Their houses are small and shared by two or even three Areas of intervention: generations. Utilities such as water, sewage, and electricity are absent or Housing, health, employment, insufficient to meet the needs of large families. Poor living conditions and education a lack of employment also impact poor health outcomes. Objectives and Scope The key objective of the Brazil Housing Project was to improve the living conditions of ten families from the “Brazil” Roma community in Nuşfalău village. The project was part of a larger program that included extending electricity to the community, encouraging the production and sale of bricks—a traditional occupation of this Roma group—as well as civil society capacity building and education and health awareness activities. To accomplish these goals, the SPOLU Foundation implementing the project adopted an integrated approach to interconnect housing and social inclusion and empowerment activities, which included: construction of 10 new private homes for 10 Roma families;13 interethnic trust-building and Roma empowerment exercises, job creation (100 new jobs) by resurrecting traditional Roma brick-making enterprise in the area; apprenticeship program matching job seekers to employers; vocational training and apprenticeship programs; afterschool education activities for children. 13 The selection of beneficiaries was based on a needs assessment and criteria such as willingness to engage in the project, contribute to voluntary work, and assist other people (such as the elderly or disabled), as well as considerations such as a large family. 298 299 SLOVAK REPUBLIC Objectives and Scope The goal of the Nitra nad Ipľom Local Strategy for Complex Development was the improvement of education and the betterment of living conditions for local people. To achieve this aim in a context of high unemployment and out- Project Brief 28 migration, the municipality of Nitra nad Ipľom applied an integrated approach, which included the following activities: Local Strategy for Complex Development, reconstruction of existing homes; construction of new individual houses; Slovak Republic introduction of a Roma teacher assistant, while attracting skilled teachers to the village; establishment of the “zero class” (preschool) for preparing children to start primary school; employment of local Roma in construction projects to tackle unemployment; employment opportunities with local businesses and work activation program involving municipal contract work; job skills building; educational support to improve children’s school attendance. Design Features and Outcomes Key dimensions of the integrated Nitra nad Ipľom Local Strategy for Complex Development for the village Nitra nad Ipľom include: (i) that all activities are focused, integrated, and planned over the long run. The local strategy was prepared in partnership with the nongovernmental Roma Institute in 2009; (ii) external financing uses local resources and workers to generate work opportunities, which is the municipality’s strategy for all projects. Three recent examples of this approach involve anti-flood protection measures, a municipal broadcasting system, and a public lighting system. Disaster risk reduction work related to flooding is usually done by external firms and consists of cleaning the riverbeds, increasing riverbanks, and digging and cleaning channels for water flow. In the village, the municipality insists that it does this work itself and employs local Roma who are out of work. A similar approach was taken to constructing and Project period: refurbishing homes. The municipality bought the material and equipment, while residents provided their skills and labor. Context and Rationale 2006–2014 The village mayor promotes this approach as a way to not only provide the long-term unemployed with jobs, but also to Nitra nad Ipľom is a small village in southern Slovak Republic (Lučenec maintain and improve residents’ skills so they are empowered to find opportunities outside of the village in surrounding Total project/s cost: District) near the Hungarian border. The village used to be a part of towns; (iii) reliance on do-it-yourself reconstructions and construction, instead of building new municipal flats. Reasons €176,022 to date (the budget the Holiša municipality, just 3 kilometers away, until it separated as an are perhaps twofold. There is sufficient housing stock in the village available for reconstruction, and there is a perceived of the entire local strategy: independent administrative unit in 1990. Nitra nad Ipľom has traditionally threat that the sustainability of flats may require an unfeasible level of financial burdens to the municipality in the long €2,475,000) been a mainly Roma settlement. Out of the village’s 348 inhabitants, term. Following this strategy, the municipality renovated an old house in the village center and turned it into three low- approximately 90 percent are of Roma background. The mother tongue of income municipal-owned apartments. The space was rented to Roma families who were evicted from Lučenec (the local Total number of beneficiaries: the majority of inhabitants is Hungarian; only the older generation of Roma district capital); and (iv) a new preschool education program established in the village, called a “zero class,” to prepare 348 people speaks Romani. The Slovak language is also widely used in public, as well local Roma children to enter formal schools in the nearby town or in the new schools being established in the village. Financed by: as within families. ESF with Slovak Ministry of Labor, Social Affairs and Family The village belongs to one of the regions in the Slovak Republic that are Good Practices and Lessons Learned (Operational Program Employment lagging in development. Local infrastructure is rudimentary and in need of The Local Strategy for Complex Development for Nitra nad Ipľom is a positive example of how well-coordinated local and Social Inclusion) and the upgrades. Most villages lack safe potable water; households tend to use initiatives under strong leadership may significantly improve inhabitants’ quality of life, living conditions, and provide municipality of Nitra nad Ipl’om individual wells. Compounding these issues, Nitra nad Ipľom’s was severely dignity and self-esteem. impacted by the post-1989 economic transition. Most of the region’s Implementing agency: major enterprises either went bankrupt or drastically downsized. Until Some specific good practices include: (i) active participation of the community members both in project preparation Municipality of Nitra nad Ipl’om the economic crisis in 2008, local people found jobs across the border and implementation: the small size of the village allowed the mayor to personally consult with the local population on in Hungary in an electronics factory (18 people) and a washing machine the proposed plans, policies, and project; and (ii) consideration of the sustainability of operational and maintenance Areas of intervention: Housing, basic infrastructure, factory (29 people). Others were working formally and informally in the costs of investments. For example, the municipality has decided not to invest in potable water infrastructure, taking into education, employment, health construction business. However, the economic recession in 2008 wiped out consideration its ability to fund its operational costs in the future, and the population’s ability to pay for the service. these opportunities, as residents lost their jobs. As a result, widespread In spite of the positive practices, however, the sustainability of the strategy is considered to be highly dependent on unemployment is now the greatest challenge faced by the village. With external assistance. The municipality is in need of broader strategies to increase the income generation opportunities very few job opportunities in the village, one of the inhabitants’ coping for its population, which is currently highly dependent on the temporary employment created by externally-funded public strategies is to migrate abroad for work. So far two Roma families have left investments. for Ireland, one family for the Czech Republic, and a couple of individuals are working in the Slovak capital of Bratislava. 300 301 SLOVAK REPUBLIC Objectives and Scope The goals of the Spišský Hrhov Social Inclusion Projects were to improve Roma housing and living conditions and to create opportunities for lasting social inclusion. In order to achieve these aims, the municipality adopted a number of soft and hard activities, which included the following: Project Brief 29 construction of social housing for Roma families; Social Inclusion Projects, Slovak Republic reconstruction of the elementary school; 14 reconstruction of the village central square to make it accessible to all residents; establishment of property rights; training support for the tourist industry; job placements at municipal-owned enterprise; Project period: 2007–2013 (last programming social services focused on increasing employment; period) development of field-based social workers to work with vulnerable groups. Total project/s cost: €1,478,500 Design Features and Outcomes Key dimensions of the Spišský Hrhov Social Inclusion Projects include: (i) the way in which project priorities and a Total number of beneficiaries: logical framework were established early on by the municipality. From the beginning, the municipality identified three 1,300 people (out of whom 300 are Roma) key areas of development for the Roma community: education, employment, and housing. These areas were considered interconnected and derived from the specific locality and its demographics (instead of a top-down, one-size-fits-all Financed by: approach). Key stakeholders attached to these areas were swiftly identified and engaged: the local administration, ESF and ERDF social workers, employers, and the community center. Making interconnections between stakeholders helped keep the projects and activities together, even if they were not formally coordinated; (iii) improving access to housing requires Implementing agency: regularizing property rights in the first place. Many Roma were living on land for which they did not have legal titles, Municipality of Spišský Hrhov or they faced discrimination when attempting to purchase land from non-Roma. To address these challenges, the Areas of intervention: municipality prepared a detailed plan of property and then allocated municipal funds for purchasing portions of the Housing, education, employment, property in order to build social housing for Roma. In some cases, land was sold to Roma households at fair market prices. property rights, social inclusion Land regularization was sequenced and hence preceded the housing projects; (iii) hiring Roma at a municipal-owned enterprise provided not only stable employment to beneficiaries, but also opportunities for Roma and non-Roma to interact on a regular basis; and (iv) the Roma target population was engaged in the implementation of projects, even if less so during early project preparation. Roma were involved in public hearings and open discussions on the projects, and also participated in home construction works and other activities. Beneficiaries’ participation helped make the Context and Rationale projects more sustainable over the long run. Spišský Hrhov has a population of 1,300 people, among whom nearly 300 are Roma. For the past ten years, Spišský Hrhov has experienced population growth. The number of non-Roma residents has grown by almost 30 percent, Good Practices and Lessons Learned while the number of Roma has not significantly changed. The municipality has basic infrastructure in place (such as water, sewage, electricity, and gas) to support this growth. There is a public school with a kindergarten, a children’s The Spišský Hrhov Social Inclusion Projects utilized the good practices of an integrated approach and project design. recreational center, a Catholic church, a municipal office building, and municipal-owned firm next door, along with Chiefly among these is the way in which employment opportunities in a municipal-run firm brought together Roma several grocery stores, sporting facilities, and a public swimming pool (it is the region’s only village with its own pool). and non-Roma to encourage social inclusion and integration. Today, 25 Roma from the village are employed here. Spišský Hrhov depends on healthcare facilities in the town of Levoča, which is 7 kilometers away. The municipal firm is a central locus of job creation in the village. The only challenge is that the market demand for its goods and services is low, so the firm is limited in the number of new employees it can hire. Therefore, municipal-run Spišský Hrhov’s Roma community lives predominately on Generál Svoboda Street. This is not a segregated part of the employment cannot be a panacea to the various socioeconomic problems facing Roma. village, although the street is located at the edge of the village. Some non-Roma residents inhabit the neighborhood’s lower section, where Roma and non-Roma private dwellings intermingle with and are indistinguishable from each A lesson learned for future work is that the municipality may need more formal coordination between various other. There is also municipal-owned social housing in the area. Currently, four Roma families live in an apartment projects. This is even if the municipality considered its key areas of development for the Roma community—education, block in the center of the village, while a few Roma families have purchased land to construct family homes near employment, and housing—as interconnected. For lasting synergies to develop between interventions, there needs to be non-Roma residents. Despite the intermingling, many Roma still lack access to social services, and unemployment a degree of organization and synchronization. impacts nearly all Roma families in the village. 14Spišský Hrhov is a special case in that it is not a review of a specific project, but rather an example of a municipality working to improve Roma living conditions and social inclusion through various projects and initiatives. 302 303 SLOVAK REPUBLIC Design Features and Outcomes Key dimensions of the integrated Ulič Rehabilitation Project include: (i) its development plans came out of the village’s Project Brief 30 Local Strategy of Complex Approach, which was devised in close collaboration with the nongovernmental Roma Institute Rehabilitation Project, Slovak Republic and the governmental Regional Development Agency. Although the primary motivation for creating the Local Strategy of Complex Approach was initially to facilitate the village’s access to EU funds, in reality, the process of developing the strategy turned out to be valuable, as village needs and those of Roma were identified as interconnected. It also helped that the mayor and his office were committed to the local strategy, and hence the extra work of preparing all requested project documentation and paperwork and undertaking bookkeeping related to the project; (ii) the creation of a public enterprise for recycling and energy, using innovative waste-to-energy technology (biomass and waste collection) as generators of jobs and income. Biomass is used to heat homes, schools, kindergarten, and other public buildings. The municipality will also establish a scrapyard/recycling center that buys and sells scrap material, employing local Roma in the firm. So the municipality sees the firm as a long-term provider of formal employment for marginalized groups; (iii) the municipality sought expertise from NGOs and Roma groups. In formulating the development plans and securing funding, the municipality cooperated from an early stage with the Slovak Regional Development Agency, NGOs, and the Roma Institute to build a sustainable project; (iv) municipality outreach to beneficiaries occurred regularly to promote participation and empowerment of local Roma. This is even though the majority of Roma beneficiaries are Jehovah’s Witnesses, and as such abstain from engagement in public life and maintain political neutrality. As a result, the mayor and city hall faced difficulties in involving Roma into the project design and feedback. The mayor nonetheless is viewed positively by villagers for helping Roma, because the Roma do not (or rather cannot, for religious reasons) vote for him. Villagers view the mayor’s activities and enthusiasm for the project as real charity. Project period: Context and Rationale 2007–2014 Ulič is located in northeastern Slovak Republic near the Polish and Good Practices and Lessons Learned Total project/s cost: Ukrainian borders. Out of the village’s 984 inhabitants, approximately The Ulič Rehabilitation Project used the good practices of an integrated approach and project design. The main one €2,071,156 180 are Roma. An overwhelming majority of the Roma (approximately is the way in which the project addressed discrimination and social inclusion through its vocational training and 150 people) belong to the Jehovah’s Witness religious denomination. The employment opportunities. A major aim of the project was to integrate Roma more closely into the village through work Total number of beneficiaries: non-Roma majority in the village belong to the Greek Catholic Church and and related activities. 984 people (180 Roma among Orthodox Church. Interethnic relations in the village are generally good, them) with no reports of ethnic tension. The bigger issue is the village’s remote The extent to which all inhabitants benefited from the infrastructure projects cannot be assessed, given the lack of location within the National Park of Poloniny. While the park provides impact evaluation. While the Roma were the reason for receiving the project financing in the first place, it is not clear Financed by: opportunities for tourism, so far there is a low turnover of tourists. The to what extent the Roma parts of the municipality were covered by the improvements made to public works. Therefore, ESF and ERDF park’s remote location from the rest of the country limits infrastructure there is a need for mechanisms to monitor and ensure that disadvantaged Roma truly benefit from funds earmarked Implementing agencies: and transportation links, not to mention employment opportunities. There for improving their living conditions. Municipality of Ulič are only two major local employment providers in industrial enterprises (wood processing and forestry/agriculture). Only five working-age Roma Areas of intervention: in the village are officially employed in a formal job. Most lack education Infrastructure, employment, and vocational skills, which limits them to street sweeping and public environment maintenance jobs. The overall rate of unemployment in the village is 27 percent. Most of the village infrastructure is old and decaying on account of years of neglect. Objectives and Scope The key objectives of the Ulič Rehabilitation Project were to reduce poverty and improve the quality of life of Roma and village inhabitants. To achieve these aims, the municipality of Ulič applied an integrated approach, combining investments in infrastructure with education and employment. These activities included: construction of a community center; reconstruction of roads and infrastructure and the village center; social services; employment training and opportunities; formation of a municipal-owned recycling yard enterprise. 304 305 SLOVAK REPUBLIC Objectives and Scope The goal of the Výborná Infrastructure Development Project was the general improvement of basic infrastructure for Roma and all inhabitants in the central area of the village. This is phase one of future envisioned projects. To achieve Project Brief 31 this project aim, the municipality of Výborná integrated the following activities: Infrastructure Development Project, construction of public lighting; construction of pedestrian sidewalks; Slovak Republic reconstruction of local roads; construction of water and sewage pipelines; employment opportunities. Design Features and Outcomes The Výborná Infrastructure Development Project did not intentionally set out to include soft measures for alleviating Roma exclusion. This is due to the source of funding (OP Regional Operational Program with ERDF). However, municipality officials were aware that such interventions and synergies are needed to resolve the social challenges of Roma inhabitants. Therefore, the municipality included the following dimensions that gave the project an integrated quality: (i) infrastructure construction works provided job opportunities and income for local Roma. This helps to address the village’s high unemployment rate (in the future, conditionality requirements may be included in the bidding documents to employ local Roma); and (ii) the infrastructure project is integrated into the territorial municipal plan. This plan is a document, required by the law, on the spatial development of the village, including plans on housing construction. The territorial plan is usually prepared by the municipal council, discussed with citizens through public hearings, and is finally approved by the municipal council. The advantage of integrating the infrastructure project into the territorial municipal plan is that it solidifies these developments as central to the village’s development. Good Practices and Lessons Learned The Výborná Infrastructure Development Project employed a good practice in generating work opportunities for local residents in project activities. Joblessness among Roma is a major structural factor affecting their exclusion from Project period: Context and Rationale society. Thus, it is valuable for small villages like Výborná to find opportunities to create jobs for Roma through their 2004–2013 infrastructure and social housing projects, although they could be temporary. These jobs could still serve as an initial The village of Výborná is located in northern Slovak Republic (Prešov region); 85 percent of inhabitants are of Roma background (800 people stepping board for integrating Roma in the labor market and in wider society. Total project cost: €2,300,879 out of a total population of 1,054). While Roma tend to be spatially While the project did well to provide households with access to water and sewerage, it did not conduct a special intermixed with non-Roma, they tend to cluster on one side of the assessment to ensure that inhabitants could afford the new services. Some residents lack the financial resources Total number of beneficiaries: village, and non-Roma on the other side. The population of the village to pay the new bills associated with the infrastructure upgrades. They instead use outdoor spring water for washing and 1,054 people (800 of whom are Roma) is relatively young. Almost half of the population (448 individuals) is utilize self-collected wood for heating and cooking, which are more economical. The need for affordability assessments under the age of eighteen. The village has touristic appeal with mineral Financed by: among the project-affected population is an important lesson learned to ensure long-term sustainability of the project. springs and historic buildings, but unemployment remains high. Most ERDF employment opportunities exist in the neighboring village of Lendak, Implementing agencies: which has construction jobs for unskilled workers. Meanwhile, the Municipality of Výborná15 village has for years struggled to secure basic infrastructure for inhabitants. Areas of intervention: Infrastructure (roads, sidewalks, public lighting, water and sewage), employment 15 The municipality drafted a Local Strategy for Complex Approach, and all projects targeting the Roma community would be based on this document. However, the Slovak Office of the Plenipotentiary did not approve Výborná’s Local Strategy for Complex Approach. Information is not available on the exact reasons for dismissal. Representatives of the Office of Plenipotentiary only indicated that a number of local strategies were not developed to sufficient standards with an integrated framework. Výborná hence was not included on the list of localities eligible for funding under the umbrella of the Local Strategy for Complex Approach national program in the Slovak Republic. 306 307 Spain educational support to prevent absenteeism and to ensure minors complete compulsory education (between ages 6 and 16); promotion of pre-kindergarten schooling for ages 0–3; collaboration with the public healthcare system to provide healthcare to beneficiaries still in slum areas; Project Brief 32 preventative health and campaign for healthy living habits; IRIS Subsidized Rental Housing, Spain job training and assistance with finding employment opportunities; processing job offers; access to social rights among Roma; building trust between Roma and non-Roma in schools, apartments, and other common recreational spaces. Design Features and Outcomes Project period: Context and Rationale Key dimensions of the IRIS integrated project in Madrid include: (i) a phased approach towards social and housing 1986 to present (ongoing) There are an estimated 570,000 to 1,100,000 Spanish Roma living in Spain. support conducted over 3 to 5 years. During this time, social assistance is first provided (over 6 months) to prepare the Total project cost: Almost 10 percent of them live in the Comunidad Autónoma de Madrid (CAM) targeted population for relocating to new housing, followed by on-site preparation for the transition (over 6 months), and €217,472,905 or region of Madrid. The Roma Foundation, Fundación Secretariado Gitano then social services to help beneficiaries adapt to the new housing situation and get involved in the neighborhood and (FSG), conducted surveys on the housing conditions among a representative society (over 24 months); (ii) the implementing agency (IRIS) has an efficient organizational structure and qualified Total number of beneficiaries: sample of Spanish Roma in 1991 and 2007. According to the findings, in 1991 field workers, which includes a social assistance team that works in slum settlements, a housing allocation team, and 2,254 families (8,972 only 36 percent of Madrid’s Roma lived in apartments or houses, and a large a neighborhood and community integration team. Each team is well staffed with more 130 total employees working for individuals) majority of these buildings were public (or social) housing units. By 2007, IRIS, in addition to almost 80 contract workers. This affords the manpower and expertise to address the many issues this number had risen considerably to 85.5 percent, although only 2 percent involved in improving Roma living conditions; (iii) cooperation between local government and the NGO implementer Financed by: of Roma families lived in houses or apartments that they had acquired by allows the latter to purchase apartments from the municipal and/or regional government public housing authority at Municipality of Madrid, ERDF, and state and private banks their own sources (in other words, purchased or rented on the private housing an affordable rate; (iv) this in turn allows the implementing agency to rent the apartments at a subsidized rate. This market). As a result, more than 80 percent of Spanish Roma live in houses or is important for the sustainability of the project, ensuring that Roma beneficiaries can afford the new housing to which Implementing agencies: apartments subsidized by the Madrid government (via IRIS or other sources). they have been assigned. The rental rights can be inherited by relatives, even if the property cannot be bought; and (v) a Institute for Relocation and contractual agreement on payment to the implementing agency (IRIS) requires regular payment or possible eviction Social Inclusion (IRIS) Many of these Roma are disproportionately located in segregated neighborhoods from the property in the case of high indebtedness over a prolonged period of time. So far, eviction for these reasons has or substandard slum settlements. A regional survey conducted in 1984 found been rare. The fact that IRIS enforces this contract helps ensure compliance with project requirements. Areas of intervention: that Spanish Roma make up 93 percent of people in Madrid’s slums. The Social housing, education, slum settlements either originated as traditional Roma encampments that health, employment, social deteriorated over time, or appeared as a consequence of urbanization, internal Good Practices and Lessons Learned inclusion, personal development migration, and population growth. Their existence has been perpetuated by a The IRIS Subsidized Rental Housing Project demonstrates several good practices of an integrated approach and project cycle of exclusion and discrimination that makes it difficult for Roma to fully design. The first is the way in which the program starts when beneficiaries are still living in their original settlements integrate into Spanish society. and continues up to three more years. Once a family moves to an apartment, IRIS assigns a social worker to the family. The social worker helps family members adapt to their new life, supporting them in everything from home organization to financial planning, paying bills, and filling out residential or school applications. This is in concert with assistance with employment training, job applications, and following up on children’s school attendance. These activities help smooth the transition for beneficiaries to adapt and integrate into their new environment. The project’s implementing agency (IRIS) Objectives and Scope makes sure to follow each family with tailored activities to prepare them for sustainable relocation. The key objective of the Institute for Relocation and Social Inclusion’s (IRIS) Subsidized Rental Housing Project in Madrid is to eradicate poverty and social exclusion among Roma, especially those living in illegal settlements, Another key feature of the IRIS program is its “spatial integration” component. Families that are rehoused are distributed through opportunities for rehousing, relocation, and social integration. In particular, the project aims to allocate rental in neighborhoods all around the wider region of Madrid. This avoids the creation of slums and encourages Roma inclusion housing to needy Roma families evenly across the city in order to discourage segregation. Meanwhile, social support is in Madrid’s social and economic life. In these ways, the project explicitly seeks to overcome segregation in an ongoing provided to Roma beneficiaries in order to adjust to their new homes, neighborhoods, and livelihoods. The assumption manner. is that normalized housing is a vehicle for social integration and growth. This is even if housing alone cannot ensure social inclusion and poverty reduction, and so social services are integrated into the project. For its activities, IRIS has traditionally worked with excluded Spanish Roma communities living in substandard housing, although lately IRIS is increasingly working with Roma communities from Romania and Bulgaria. To address the social and material needs of these communities, IRIS has adopted an integrated approach to interconnect activities: provide residential public apartments with subsidized rent. Rent is approximately €64 to €198 per month, according to apartment size and location. IRIS buys the flats on the private market or from the municipal/ regional social housing agency and rents them out at subsidized costs to marginalized families; 308 309 Spain monitoring of trust-building between beneficiaries and neighbors, and provision of mediation assistance in the case of interpersonal conflict; economic planning assistance; Project Brief 33 job training and employment orientation courses to increase the employability of working-age beneficiaries; Housing Program for Social Integration help with registering children ages 3–6 in preschools, and ensuring their attendance, along with children enrolled in primary and secondary school; (HPSI), Spain assistance with healthcare, ensuring pediatric visits and immunizations of children and check-ups for the elderly. Design Features and Outcomes Key dimensions of the HPSI in Pamplona include: (i) cooperation among various municipality and district agencies and NGOs to determine the needs of the most disadvantaged groups and to devise specific solutions. NGOs, in particular, helped identify beneficiaries, such as the FSG nonprofit assisted Roma, having years of experience working with Project period: Context and Rationale them. Such NGOs provided capacity, where local government agencies did not have it, in following up on beneficiaries’ 1998 to present (ongoing) The region of Navarra is an autonomous entity within adaptation to new living conditions; (ii) the district government’s commitment to underwrite the rentals. The Region Total project cost: Spain with a relatively small population (approximately of Navarro, as a funder and implementer of the project, guaranteed the monthly payment for the beneficiary and €248,373,488 600,000 inhabitants) and the lowest unemployment committed to maintaining (or returning) the apartment in the same conditions as when obtained from the owner. This rate in Spain. Navarra currently has between 6,500 and is in the event that the family fails to pay or maintain the property. In this way, there is no loss to the owner of the Total number of beneficiaries: 7,000 Roma who make up 1 percent of the district’s apartment; (iii) the allocation of social or private housing to beneficiaries comes with a package of social inclusion 800 families (of whom 320 are Roma, or 40 percent population. Data from a survey carried out in 1996–1997 programs; hard and soft activities must be done together. The rental contacts come with either a three-year program of beneficiaries) to create the Plan for the Fight Against Social Exclusion (when a beneficiary purchases property) or a five-year program (when a beneficiary rents a unit) of social and economic in Navarra (1998–2005) found approximately 900 Roma inclusion activities. Five NGOs administer these programs to ensure adaptation and livelihood development; (iv) clear Financed by: households living in marginalized areas and substandard criteria in the selection of beneficiaries: applicants must be registered in Navarra for at least 3 years prior to their Region of Navarra housing. Most live in Navarra’s capital, Pamplona. While application, applicants’ income must be 1.7 times below the minimum wage (or lower), and applicants must not own Implementing agencies: no apparent slums exist in Pamplona today, many Roma real estate in their family; and (v) participation of the private sector in providing mortgages to beneficiaries ready to Municipality of Pamplona (Social and Family Services families live in derelict housing and/or struggle to pay purchase property. The mortgages were provided by banks and constituted a significant part of the funds necessary to and Health and Housing Services) with the Region rent and find employment.16 Addressing these needs has buy a property. This financing ultimately reduced the amount of funding required from the government to invest in the of Navarra (Urban Planning and Housing and Social become increasingly difficult as the region of Navarra is program, which in turn allowed more beneficiaries to gain access to housing. Services Department) and an NGO implementer— still recovering from the recent economic crisis, which Fundacion Segredariado Gitano (FSG) introduced new aspects of vulnerability and increased the number of people who qualify as vulnerable, without jobs Good Practices and Lessons Learned Areas of intervention: or income, and who lost housing. This has necessitated The HPSI demonstrates several good practices of an integrated approach and project design so far, especially the way Social housing, education, health, employment, social inclusion, personal development reaching out to all ethnic groups in the district. in which the program takes a well-organized, holistic approach. Alongside housing provision, the incorporation of a social inclusion program gives individualized attention to families for up to five years. All of the implementing agencies involved in the project are committed to social inclusion and the personal growth of each family assigned to a new apartment (either a property-ownership contract or a rental contract). Viewing housing as part of a larger process of social inclusion is an important development at the regional level. Objectives and Scope Moreover, the involvement of both Roma and non-Roma from marginalized backgrounds into the program indirectly tackles issues of segregation by bringing together diverse social groups that would not normally interact in project The key objective of the Housing Program for Social Integration (HPSI) in Pamplona is to facilitate access to housing activities, such as job training workshops. In this way, the project indirectly tackles the issue of segregation and promotes (either property or rental contracts) among the socially excluded. Social exclusion is defined as earning an income 1.7 trust-building among diverse groups in society. times below the minimum wage (or having no income) or already being registered in a government social assistance program within the region of Navarra. The project is based on the principle that a lack of proper housing and a segregated life, with no or difficult access to social services, is one of the main impediments to overcoming poverty and marginalization. To address these challenges, the project implementers utilized an integrated approach of hard and soft activities: allocation of public and private housing units, including some with subsidized rent. The region of Navarra either allocates apartments it already owns or finds apartments on the private market to rent. The rental contracts are between the beneficiary and the region; oversight in compliance with a rental contract to ensure regular payment of rent and utilities, home maintenance, and so on; 16 Please note that there are no official estimates of the number of Roma living in substandard housing in Pamplona. 310 311 Spain Design Features and Outcomes Key dimensions of the Segovia Relocation and Social Inclusion Project include: (i) strong political commitment from elected officials from the region and municipality to improve Roma living conditions; (ii) skilled coordination among Project Brief 34 regional, municipal, and NGO implementing agencies. The nonprofit FSG and the social service and housing department Relocation and Social Inclusion Project, of Segovia municipality have worked together efficiently and in full agreement on the main principles underlying the specific activities before and after relocation and integration. They distributed activities amongst themselves according to their expertise, which allowed the physical relocation to happen smoothly, followed by social programs meant to ease Spain beneficiaries’ adaption to a new environment. All parties approached problems that arose during implementation with a solutions-oriented attitude and collaborative spirit; (iii) rental contracts in private housing are underwritten by local government to ensure landlords will not lose money in renting to vulnerable, low-income groups. Although families could receive subsidized (and even rent-free) accommodation, most families paid their monthly rent and were proud to comply with the rules of the contract; and (iv) agreed upon social contract between beneficiaries and municipal social services and NGO partners before relocation demands full participation in and commitment to social activities, such Project period: Context and Rationale as school enrollment requirements for children, mandatory health check-ups, and home maintenance expectations. The 2006–2013 social contract helped to keep beneficiaries committed to all aspects of the program over its years of implementation. The city of Segovia has two major Spanish Roma Total project cost: settlements on the outskirts of the city, El Tejerin and €2,910,000 Madrona. Both are illegal shantytowns that date back to Good Practices and Lessons Learned the 1970s. Over time, they grew to a total of 70 Roma The Segovia Relocation and Social Inclusion Project showcases several good practices of an integrated approach and Total number of beneficiaries: families between both settlements. They lack sturdy project design. Firstly, the social support system is organized in an individualized manner. After being resettled to social 67 families (of whom 46 are exclusively Spanish shelter, sanitation, and access to social services and or private housing, each family is kept in close contact with a designated social workers and NGO staff. Staff uses a Roma) infrastructure. Debris, junk, school absenteeism, illiteracy, tailored approach that corresponds to the specific needs and conditions of each family. This allows families to integrate drug trafficking, and intragroup conflicts characterize Financed by: and grow in their new environment at their own pace. For some beneficiaries, relocation is a smooth process, while for the settlements. The overcrowded, prefabricated housing Region Castilla y Leon, the municipality of Segovia, and others it is more complicated. Even various members of a family can have different experiences adapting. For example, ERDF remains in a state of disrepair, and Roma face ongoing women were found to adapt easier than men, who missed the camaraderie of colleagues in the shantytowns; women poverty and exclusion from wider society. Roma have few were excited about the high quality of their new homes. Creating a personalized approach to assist Roma women and Implementing agencies: alternatives, however, as private rent in town is expensive. men helps the sustainability of the project. Also adding to the program’s success is its commitment to beneficiaries’ Municipality of Segovia (Department of Social The city has avoided dismantling the settlements on feedback in rehousing and social inclusion programs. The region worked with various municipal agencies and social Services and Inclusion) and Fundacion Secredariado account of the high costs associated with demolition stakeholders in the communities to get their buy-in before resettling Roma families. Gitano (FSG) and the lack of options for Roma families to transition into regular standard apartments in the city. Until 2005, Areas of intervention: there was little political commitment on the part of Social housing, education, health, employment, social government officials to provide adequate living conditions inclusion, personal development to Roma families. Objectives and Scope The key objectives of the Segovia Relocation and Social Inclusion Project were to relocate families living in slums to standard housing (public and private) and promote their socioeconomic inclusion in society. To do so, the project implementers utilized an integrated approach that involved the following activities: relocation of 60 families (46 Spanish Roma) into private and social housing units with full utilities. The rental price is affordable (€35 to €150 per month according to apartment size and the beneficiary’s income); conflict management among clans and family members occasionally in conflict; educational advancement of children, including making a dedicated space in homes where children can study and do their homework; promotion of healthy lifestyles; job training workshops and job search assistance; enhancing the mobility and safety of women and children to move freely around town, as well as tackling drug trafficking and illegal activities. 312 313 UNITED KINGDOM Objectives and Scope The main objective of the Govanhill HUB Partnership Project is to understand and address the current needs of Roma migrants, empowering them to move out of poverty. The HUB partnership seeks to identify specific approaches, Project Brief 35 programs, and targets to reflect the current condition and challenges of the Roma community for their sustainable HUB Partnership Project, development. To address these issues, the project implementers utilized an integrated approach that involved the following activities: United Kingdom refurbishment and infrastructure upgrades to a 13-block area of tenement housing (public and private housing); establishing a point of access for the community on issues regarding service delivery; police presence to foster security and trust with communities, engaging them on a daily basis; starting a multi-service drop-in center to deal with a wide range of needs, from food shortages to domestic violence and loneliness; support groups for particular subgroups of Roma (for example, Slovak Roma); Project period: general socioeconomic support for newly arrived Roma to learn how to open bank accounts, for example, and to over approximately 10 learn their legal rights in Scotland (United Kingdom); years provision of classical music instruction and instruments for children, along with general educational support; Total project/s cost: creation of a Gypsy Council to bring Roma voice and participation to the project implementers; €39,312,938 language translation and interpreting services. Total number of beneficiaries: 16,000 people (of Design Features and Outcomes whom 3,500 are Czech, Key dimensions of the Govanhill HUB Partnership Project are: (i) the partnership approach between NGO implementers Romanian, and Slovak (forming the HUB partnership) allows the project to work on several scales of contact and service delivery with the Roma) Roma community. Activities and services include everything from ground-level outreach to Roma and public health nurses working one-on-one with families, to an EU knowledge-sharing partnership and structures that allow for a police Financed by: presence in the community; (ii) a Gypsy Council to work alongside the Glasgow city council (the financier and Glasgow City Council, Roma-Net, Roma Matrix, an implementer of the project) was established by the Friends of Romano Lav nonprofit organization. The aim is to Govanhill Community promote Roma voice and participation in decision making for the area; (iii) bottom-up and top-down service delivery Charity, Govanhill Police, mechanisms in the project provide a check-and-balance between institutional-type approaches towards service delivery Govanhill Housing and community-tailored approaches. Many of the NGOs (such as The Space) providing services have experience working Association, and St. with Roma communities; (iv) social support group (run by Advocacy Association) as part of the project to help Roma Vincent de Paul (The deal with everyday details of social and economic life in Scotland. This can include assistance with learning about Space) and accessing economic and employment support, which many Roma from Eastern Europe are entitled to; (v) the Context and Rationale implementers prioritized overcoming distrust among Roma towards the local authorities. The Govanhill Roma Implementing agencies: Govanhill is one of twelve neighborhoods in southeastern Glasgow with an estimated community was generally weary of engaging with local authorities and the police based on their previous experiences The HUB partnership population of 15,000; 40 percent of the population comes from ethnic minority before migrating to Scotland. Working to overcome this distrust has helped project implementers and beneficiaries tackle made up of the Glasgow backgrounds. The population has seen regular migration changes and diversity. short- and long-term development objectives; and (vi) a media campaign to overcome Roma stereotypes in society City Council, Govanhill Housing Association, While Govanhill survived Glasgow’s Comprehensive Development Areas act in the involved having project implementers meet regularly with reporters about the social and economic barriers constraining and Roma-Net partners 1960s, which demolished 29 inner city areas without recreating social infrastructure, Roma from fully participating in society. This is in addition to disseminating information, good practices, and positive Govanhill’s 13 housing blocks remained largely unimproved, until recently. The Glasgow outcomes via media channels and to partner cities across Europe. Areas of intervention: city council undertook major refurbishment to address the derelict condition of the Housing, employment, apartment blocks, including privately owned housing stock. There have been proposals Good Practices and Lessons Learned social work, health, to build new blocks to deal with overcrowding in apartments. The majority of Roma live enforcement, outreach The Govanhill HUB Partnership Project showcases several good practices of an integrated approach and project design. in such crowded living conditions within the 13-block area of old tenement buildings. Firstly, the project deals not only with fundamental needs associated with improving living conditions, but also with Roma here have high levels of illiteracy and numeracy issues. English language fluency broader issues, such as Roma community empowerment and inclusion. Practical project activities and services, such is also limited, which makes delivering public services particularly challenging. While as translation and job training, address both sets of needs. Secondly, the HUB implementing group tailors its activities Roma are thriving in an area of Glasgow that has existing infrastructure to deal with and fosters internal NGO partnerships in line with the changing needs of the target population. In this way, the HUB poverty, their presence also puts pressure on existing services, especially in the area group can specialize in and address different areas of support. Thirdly, another good practice was including Roma in of private rental accommodation. neighborhood and city decision making on issues that affect their livelihoods. Such practices contribute towards lasting Roma inclusion in society. 314 315 UNITED KINGDOM healthcare support to resolve issues related to Romanichals and Travellers not utilizing the UK’s National Health Services (NHS) system. Project brief 36 Design Features and Outcomes Key dimensions of the Kent County Coldharbour Site Project include: (i) the creation of a mixed implementing team Roma and Traveller Site Project, of KCC officers in collaboration with Romanichal and Traveller community leaders. The soft project components were organized through this team, which met regularly on-site to troubleshoot project-related challenges and visit with United Kingdom residents. Together with the community, the team confronted instances of domestic violence, the lack of role models, and society-wide stereotypes against Romanichals and Travellers. This collaborative approach fostered a greater sense of involvement and empowerment for site residents. It also resulted in a number of residents attending higher education and college, as well as taking jobs in mainstream society. These developments did not diminish their ties with Romanichal and Traveller culture and caravan dwelling, which meant that they overcame the threat of sociocultural disruption on Project period: Context and Rationale account of project activities. The implementing team also collaborated with NGOs, such as the Traveller Education 2010–2013 (some activities are ongoing) Service; (ii) ongoing political input and public awareness of the project decreased public dissent against renovating There are approximately 300,000 Romanichals and Travellers the Romanichal and Traveller settlement. Politicians were better able to defend the project’s value, and hence relations Total project cost: in England. Among them, almost 70 percent still maintain a between the local community and the settlement improved; (iii) the project’s use of social media and the Internet €2,456,180 caravan dwelling lifestyle on various sites around the country. among Romanichals and Travellers helped them gain easier access to public services; ICT can be used in creative ways Many live in unauthorized encampments. For over three decades, Total number of beneficiaries: to diminish the sensitivity around domestic violence, drug and alcohol abuse, and sexuality; and (iv) gender-specific Romanichals and Travellers have lived on the Coldharbour 200 people aspects were incorporated into the project. Instances in which single mothers living on the site faced difficult domestic site in Aylesford, Kent County (since 1981). Since 1992, there circumstances related to estranged spouses, domestic violence support was included as a project activity. Moreover, a have been repeated incidents of crime, vandalism, and anti- Financed by: playground for children was built within view of accommodations, so mothers could watch out for their children. social behavior, causing a flux of people to move in and out. Kent County Council, with matching In 2007, the Kent County Council (KCC) sought to redevelop government funding (via Housing and Communities Agency). A repayment plan the site, upgrading and extending it to create a larger, mixed Good Practices and Lessons Learned from rental income contributes to mortgage community and an appropriate quality of life commensurate The Kent County Coldharbour Site Project showcases several good practices of an integrated approach and project payments with social housing. This decision came as a growing number design. The first is the intermingling of Romanichals and Travellers with the larger community via project activities. The of Romanichals and Travellers started seeking accommodation target site was in an area where it was feasible to create increased opportunities (such as through sidewalk connections) Implementing agencies: in Kent. The number of people in unauthorized encampments Kent County Council with multi-agency teams for contact between Romanichals and non-Romanichals. This helped build trust between communities. Second, the was expected to increase, given the limited new sites being (e.g. Traveller Education Service) relatively new practice of direct billing for services, including electricity, potable water, and wastewater, was introduced developed and the growing population of Romanichals and to the site so that site residents have control, knowledge, and responsibility over this aspect of their lives. Thirdly, Travellers. The site in Coldharbour is unique in that it was Areas of intervention: beneficiaries also had regular access to KCC officers to learn about steps to take regarding skills upgrading, employment, redeveloped and enlarged from an existing extended family Housing, health, employment, training, education life decisions, and how to deal with domestic issues that may face the family. site with mixed ethnic groups living together. Objectives and Scope The main objectives of the Kent County Coldharbour Site Project are to create appropriate accommodation and support systems in the caravan site so that Romanichals and Travellers can flourish and prosper. The expected outcome is tenure security for caravan dwellers in an authorized encampment that is connected to service provisions and wider society. To achieve this, the project implementers utilized an integrated approach that involved the following activities: refurbishing the site with 26 new pitches for caravans. Separate family pitches include a hard surface for parking the caravan, a fixed structure amenity, wooden fencing, drainage lines, a rubble drive area, and space for a garden. The entire site is enclosed for privacy from the nearby highway and police station; infrastructure upgrading and extension of the site; constructing pedestrian sidewalks to nearby shops and schools; building a large playground within visible distance from adult caregivers on the caravan pitches; educational support and promoting attendance among children from sites; empowering adults to educate wider society about Romanichals and Travellers, as well as to encourage their participation in their children’s education. Together these activities help to generate awareness and acceptance of their culture; 316 317