Assessing Feasibility Study of informal settlements upgrading - ITC

Assessing Feasibility Study of informal settlements upgrading: Are there GI Policy and Management implications?

Case study of Windhoek, NAMIBIA

Enkela Begu 2003, March

Assessing Feasibility Study of informal settlements upgrading: Are there GI Policy and Management

Implications?

Case study of Windhoek, NAMIBIA

By

Enkela Begu

Thesis submitted to the International Institute for Geo-information Science and Earth Observation

in partial fulfilment of the requirements for the degree of Master of Science in Geo-information Management for Urban Management

Degree Assessment Board Professor Ir. P.Van der Molen (Chairman) – PGM Department, ITC Dr. F. Toppen (External examiner) - University of Utrecht Assistant Professor A.M.Tuladhar (First Supervisor) - PGM Department, ITC Assistant Professor R. Sliuzas (Second supervisor) - PGM Department, ITC

INTERNATIONAL INSTITUTE FOR GEO-INFORMATION SCIENCE AND EARTH OBSERVATION ENSCHEDE, THE NETHERLANDS

Disclaimer This document describes work undertaken as part of a programme of study at the International Institute for Geo-information Science and Earth Observation. All views and opinions expressed therein remain the sole responsibility of the author, and do not necessarily represent those of the institute.

��

*** �� !�� " ��#��

��$��%�� !��%�� #

�� %��!��& ��'�� !� �� !�

!��#

(�� )

***

* �� +��!�� !�� ,-.��

�� "� �� %��/� #

0�� !�#

111

��.��"��2�� %2 % �� !� �� 3��!�� #

�� %��!�� )

I

Acknowledgment

��

��

��

�

�� !�� "��#�� $

�� #��$�� %��

&��'��!��"��

�

��

��

�

(�� )��(��

�� *�� )��

�� *��

�

�� +��%��,��

�

�� -�.��

��)��/��0�

�

�� -�.�� )��

��1��0��

III

Table of Contents

Acknowledgment.................................................................................................................................i Acronyms ..........................................................................................................................................vi Abstract ............................................................................................................................................vii

1. General Introduction ..................................................................................................................1 1.1. Introduction ............................................................................................................................1 1.2. Overview of Informal Settlements in Windhoek city ............................................................2 1.3. Research Framework..............................................................................................................4 1.4. Research Objectives ...............................................................................................................5 1.5. Research Questions ................................................................................................................6 1.6. Research Methodology...........................................................................................................7 1.7. Fieldwork and Data requirements ..........................................................................................8 1.8. Structure of the Thesis ...........................................................................................................9 1.9. Time schedule ......................................................................................................................10

2. Review on Informal Settlements and Geo-information Management......................................11 2.1. Introduction ..........................................................................................................................11 2.2. Informal Settlements ............................................................................................................11

2.2.1. Informal Settlements Upgrading ..................................................................................12 2.3. Feasibility Study for Informal Settlements Upgrading ........................................................13

2.3.1. Feasibility Study Tasks ................................................................................................13 2.3.2. Main actors involved in Feasibility Study ...................................................................13

2.4. GI Policy issues ....................................................................................................................14 2.4.1. Why is a need for geo-information policy?..................................................................14 2.4.2. The components of GI Policy.......................................................................................15

2.5. Geo-information Management issues...................................................................................21 2.6. Concluding remarks .............................................................................................................22

3. Feasibility Study for Informal Settlement Upgrading – City of Windhoek, Namibia ............23 3.1. Introduction ..........................................................................................................................23 3.2. Background of the case study area.......................................................................................24 3.3. Description of Development Interventions of Windhoek City ............................................25

3.3.1. Brief Description of Development and Upgrading Strategy........................................26 3.4. Self-help group approach and the role of NGOs..................................................................28 3.5. Situation of Informal Settlements in Havana Section2/Extension1.....................................28 3.6. Feasibility Study Procedure and GI processes – CoW approach........................................29 3.7. Types of geo-information and sharing procedure ................................................................36 3.8. Outcome of Feasibility study ...............................................................................................38 3.9. Proposed Development Level for Havana section 2/Extension 1 ........................................39 3.10. Concluding Remarks ........................................................................................................40

4. Strategic Planning and Geo-information Policy..................................................................41 4.1. Introduction ..........................................................................................................................41 4.2. Strategic Planning Model .....................................................................................................41 4.3. Assessment of Current Situation..........................................................................................42

4.3.1. Current status of GI Policy in Feasibility study ...........................................................42

IV

4.3.2. Current status of GI Management issues in Feasibility study......................................44 4.4. Environmental Analysis .......................................................................................................47

4.4.1. External Scanning ........................................................................................................47 4.4.2. Internal Scanning..........................................................................................................48

4.5. Determine the Desired Future ..............................................................................................50 4.6. Gap Analysis ........................................................................................................................51

4.6.1. Differences between present and required inputs ........................................................51 4.6.2. Differences between present and required outputs ......................................................52 4.6.3. Cause-Effect Diagram to support Gap Analysis ..........................................................52 4.6.4. Identify probable resources and limitations .................................................................53

4.7. Development of a Strategic Plan..........................................................................................53 4.8. GI Policy to support Geo-information Manegement in Informal Settlement Upgrading process..............................................................................................................................................55 4.9. Concluding remarks .............................................................................................................57

5. Applying Business Process Re-design concept in Feasibility Study .......................................59 5.1. Introduction ..........................................................................................................................59 5.2. Why BPR for GI processes?.................................................................................................59

5.2.1. Business Process Re-design trends ..............................................................................59 5.3. Choosing the approach .........................................................................................................60

5.3.1. Conceptual Frame of the approach...............................................................................61 5.3.2. Data View.....................................................................................................................62 5.3.3. Process View................................................................................................................67

5.4. GI Policy issues ....................................................................................................................71 5.5. GI Management issues .........................................................................................................72 5.6. GI Policy and Management implications .............................................................................73 5.7. Concluding remarks .............................................................................................................74

6. Conclusions and Recommendations.........................................................................................75 6.1. Introduction ..........................................................................................................................75 6.2. Conclusions ..........................................................................................................................75 6.3. Recommendations ................................................................................................................76

Bibliography and References ...............................................................................................................77 Appendix 1 Definitions of Terms ...........................................................................................81 Appendix 2 City of Windhoek – Organizational Structure ....................................................83 Appendix 3 Project Process Design by Consultancy Group (UDA) ......................................84 Appendix 4 SWOT Validation ...............................................................................................85 Appendix 5 Processes Dictionary ...........................................................................................86 Appendix 6 Data Dictionary ...................................................................................................87 Appendix 7 Proposed System Architecture for data sharing..................................................89 Appendix 8 Local Metadata specification .............................................................................90 Appendix 9 Quality Assurance Form.....................................................................................91

V

List of figures Figure 1-1 Research framework.............................................................................................................4 Figure 1-2 Research Methodology.........................................................................................................7 Figure 1-3 Time schedule of the research ............................................................................................10 Figure 2-1 Geo-spatial Data Access Paradigm (GSDI cookbook, 2001) .............................................22 Figure 3-1 Administrative Map of Namibia (http://www.graphicmaps.com/aatlas/africa) ................23 Figure 3-2 Topographic Map of Windhoek Figure 3-3 Map of Windhoek showing location of

Havana..........................................................................................................................................23 Figure 3-4 Feasibility Study actors chart .............................................................................................30 Figure 3-5 Feasibility study components chart ....................................................................................30 Figure 3-6 Context Diagram for Feasibility Study...............................................................................32 Figure 3-7 Top Level Diagram for Feasibility Study...........................................................................32 Figure 3-8 Types of geo-information used for feasibility study ..........................................................37 Figure 3-9 Architecture of data sharing in current situation................................................................38 Figure 3-10 Proposed Layout of Havana area - Section 2/Extension 1. ..............................................39 Figure 3-11 Proposed Development level ............................................................................................40 Figure 4-1 Strategic Planning Model (Adopted from van der Molen et al, 2002)...............................41 Figure 4-2 Processes of Data Acquisition/Analysis/Dissemination for Feasibility Study...................45 Figure 4-3 Cause-Effect Diagram ........................................................................................................52 Figure 4-4 WBS chart ..........................................................................................................................53 Figure 4-5 Geo-information policy frame ............................................................................................55 Figure 5-1 Conceptual Frame for proposed Hybrid BPR Model .........................................................62 Figure 5-2 Conceptual Data View in the “TO BE” situation for managing GI processes...................66 Figure 5-3 Activity Diagram for Processes View in “TO BE” situation .............................................69 Figure 5-4 Activities for data sharing among users .............................................................................70 Figure 5-5 Overview of GI policy and management implications .......................................................73

List of tables

Table 1-1 Information about area of interest (World Bank, 2002) ........................................................2 Table 3-1 Development options in the City of Windhoek (source: Development and Upgrading

Strategy, 1999) .............................................................................................................................27 Table 3-2 Overview of actors contribution in Feasibility study ..........................................................36 Table 4-1 Geo-Information used and the relation with three main aspects of GI management...........47 Table 4-2 Internal Strategic Factors Analysis Summary (IFAS) .........................................................49 Table 4-3 External Strategic Factors Analysis Summary (EFAS).......................................................49 Table 4-4 Overview of goals, associated performance indicators, linked strategies and actions ........54 Table 5-1 Process Improvement versus Process Innovation (Davenport, 1993) .................................60 Table 5-2 Characteristics of the Proposed Hybrid BPR approach for GI Processes ...........................61

VI

Acronyms WCC Windhoek City Council CoW City of Windhoek (Municipality of Windhoek City) UDA Urban Dynamics of Africa EAF Environmental Assessment Form EIA Environmental Impact Assessment SDFN Shack Dwellers Federation of Namibia NHAG Namibian Housing Action Group NGO Non-governmental Organization LAN Local Area Network WAN Wide Area Network MAN Metropolitan Area Network IT Information Technology GIS Geographic Information Systems

VII

Abstract

The capital of Namibia-Windhoek is currently experiencing exceptional urban growth, which is manifested in the proliferation of informal settlements on its peripheries. The City of Windhoek accepted the challenges to improve living conditions in these informal settlements and already started a program to facilitate the upgrading of these areas. It is a prerequisite of the Council that a Feasibility Study (FS) should be carried out prior to the implementation of the upgrading project. The FS is a very crucial and important tool for decision- making as it aims to ensure affordability and acceptance of the development options from the beneficiaries, long-term sustainability and clear project goals for implementation. To complete this activity, different stakeholders must perform several tasks and geo-information (GI) is an essential element, which they rely on. It is of great importance for the output of FS that the data used are timely, accurate, and reliable. From this point of view, focusing on GI man-agement is a key issue in order to ensure the above elements.

This research aims to identify the role of GI management in FS activity and introduce an ap-

proach that will enhance FS performance. Geo-information processes are analysed in relation with two aspects: a) policy aspect, that includes institutional, technical, legal and financial elements, and b) management aspect referring to processes of data discovery, evaluation, access, process and dis-semination. The research revealed that there is a strong relation between these two aspects and their harmonization influences the overall performance of FS tasks. The analysis of the current situation on these issues by means of the SWOT tool indicated a number of weaknesses. The lack of metadata af-fects the transparency of data discovery process, creating ambiguity on data availability and increas-ing the risk of duplication in data production. The quality of generated information is not assured by any means as well. Moreover, staff with limited knowledge on information technology was also an obstacle to overcome the above-mentioned issues.

To address the situation a strategic plan is formulated. It includes goals and strategies needed

to overcome the identified weaknesses. This plan at the same time leads to the design of the approach for the proposed situation. The approach utilizes BPR concept. Geo-information processes of FS are seen as business processes that make use of foundation and framework data and create mission spe-cific data out of them, which are directly used in decision-making for upgrading. A proposed situation is designed represented by Data and process Views. These views incorporate elements of GI man-agement and policy, which the present situation lacks. The research identifies also the implications that the introduced elements will have in FS performance.

It is important to note that the proposed situation design needs to be evaluated and tested be-

fore implementation. Finally this research emphasises the needs of the awareness among stakeholders for the necessity of a good management of geo-information.

Keywords: feasibility study, informal settlements, GI Policy, GI Management

ASSESING FEASIBILITY STUDY OF INFORMAL SETTLEMENT UPGRADING: ARE THERE GI POLICY AND MANAGEMENT IMPLICATIONS?

BEGU 1 2003

1. General Introduction

1.1. Introduction

Improving access to geo-referenced data held by the different agencies is a key issue in our society, as it facilitates decision-making. It is particularly fundamental to the activities of urban planning where many kinds of data are integrated and analysed. It has been estimated that about 80% of all the information used by planners today is geographical, either in the sense that it directly makes use of topographic or other types of maps or in the sense that it contains a key geographic reference in the form of a coordinate system or a street address or a reference to a particular administrative area (Barry&Rother, 2001). There is a growing concern to improve coordination and cooperation between the data producers that collect and disseminate the data, and the data users who integrates, analyse and interpret the information and make decisions. In many local government organisations (such as municipalities) where geo-spatial data are intensively used for decision-making, accessing geo-databases held by other organisations appears to be one of the main obstacles thereby decreasing the overall performance of the functional activities. One of the important activities for local governments especially in the developing countries is “upgrading informal settlement”. The activity of informal settlement upgrading means the supply of a package of basic services e.g. clean water supply and adequate sewage disposal, to improve the well being of the residents. An issue on regularizing the properties in situations of insecure or unclear tenure is also fundamental. Other issues that may be included in upgrading are improvements in streets, and street lighting for security and night activity, footpaths and drainage, solid waste collection and the provision of electricity to homes. But this physical improvement is only the beginning. Health issues need to be addressed by providing clinics, and health education programs, school facilities and teacher training are needed to provide basic education, and lastly programs are offered to increase income earning opportunities and the general economic health of a community (Mason et al, 1997). In such a case, many kinds of geo data would be required to study feasibility for upgrading process. In assessing feasibility for such above activities, one would require many contributions from several organisations in terms of information, technical, human and financial resources. If the barriers on the use of internal and external databases were eliminated through policy and technical means, a true data rich environment would emerge. A wealth of geometric, thematic and procedural information would become available for data integration and analysis, and therefore enhance performance of the activities. This research proposal intends to focus on two issues for supporting feasibility study of upgrading informal settlement: a) a Geo-information (GI) Policy framework formulation to ensure an effective use of geo-information and b) Geo-information (GI) processes management that would enhance performance of feasibility study tasks. The research is significant because, in many developing countries, there is hardly any GI policy and management concept of GI processes at the local governments for informal settlements that are the dominant supply of shelter to poor urban


BEGU 2 2003

populations and local governments require an efficient means to access geo databases for upgrading settlements. For this research, city of Windhoek, Namibia will be used as a case study.

1.2. Overview of Informal Settlements in Windhoek city

The accelerated influx of migrants into Windhoek after 1991 caused progressive settlement growth on open council-owned land as well as considerable shelter and servicing problems for the Windhoek City Council (WCC). WCC realized that there was a need for a substantial increase in serviced land delivery in order to keep peace with the booming urban population, particularly for the low-income sector (World Bank, 2002). Area 646 sq. km Population 235,000 inhabitants Population Living Below Poverty Line In 1995 approx. 70 percent lived below Primary Sub-

sistence Level of N$860 at the time. Population without safe water and sanitation Approximately 40 percent of informal settlers have no

adequate sanitation. Number of Informal Settlements 33 registered groups plus self-help groups, backyard

shack dwellers living between Dev. Levels 1-3 in “new” resettlement areas.

Population/households in informal settlements (based on 2000 highest growth scenario projection)

57,000 people approximately. The current program aims to upgrade approx. 32,700 on about 8,000 plots.

Table 1-1 Information about area of interest (World Bank, 2002)

In 2001 it is estimated that almost 30 percent of the population living in Windhoek (including nearby Katatura) live in informal, unplanned communities, in sub-standard structures on un-surveyed land without legal title. Although most households in the informal areas have access to safe water, com-munal taps are within considerable walking distance and fewer than 20 percent of the households are connected to a waterborne sewerage network. Presently there are at least 8,000 informal settlement households excluding backyard shacks. Of these approximately 3,000 are settled in Reception Areas with communal services provided by the city and the remainder elsewhere on open land with few ba-sic services. Private and public sector developers (e.g., National Housing Enterprise) provide housing but this is limited and available only to the middle and upper-income households. Although the challenges are great, the city has a number of advantages that should assist it in facing the challenges:

1. Most vacant land is Council owned thus providing easier access to, and acquisition of, land. 2. City of Windhoek (CoW) is the provider of most basic municipal services (e.g., roads, water,

sewer, electricity distribution, refuse collection). This makes the development and implementation of integrated upgrading programs to appropriate and affordable standards easier than if a number of delivery agencies were involved (World Bank, 2002)


BEGU 3 2003

a) Upgrading Projects and Guidelines Where it has been determined that an informal settlement group will be assisted by CoW by providing services, a feasibility study will be carried out before goal formulation of the upgrading project. In Windhoek, instruments appear to be in place to permit the upgrading and regularization of informal settlements. Generally, there is recognition that the old policy of temporary reception areas is no longer a viable option. The CoW together with some donor support is beginning the attempt to address upgrading the informal settlements and has formulated a program and engaged consultants for the planning and engineering of initial schemes. The new schemes are based on provision or improvement of basic services and security of tenure. They include specific initiatives that recognize what the beneficiaries can afford. For instance, acknowledging that not all settlers will be able to afford to purchase their plot, the CoW offers renting as an option for tenure. The CoW Access to Land and Housing Policy takes a holistic approach by aiming to develop new sites for low-income families in tandem with upgrading existing areas. The model proposed by the CoW is the upgrading of settlements, or “blocks” within settlements, with basic infrastructure and services, the standards of which are matched to the affordability of the existing occupiers. The model also allows residents to be able to purchase and obtain title (lease) to their plots (erven). That model which attempts to achieve substantial cost recovery (although it is presently unclear what value/cost should be placed on the land) is largely sustainable.

b) Upgrading policy and geo-information access The informal settlements are, by their nature, multi-functional environments. Hence any attempt to upgrade them in a sustainable manner has to recognize and support this multi-functionality. Informal Settlement upgrading is not primarily a spatial planning issue. It is a process of development that is intended to achieve, first and foremost, social and economic objectives. It has to recognize that people already live on the site and work and interact there. Spatial planning and physical development must play a supportive role to improve the quality of life whilst at the same time causing a minimum of dis-ruption to the way in which people interact with each other. This requires a different way of working, which attaches a greater importance of information about settlements. In one side, physical develop-ment is likely to be incremental, which means that is crucial to have in place a management informa-tion system that can work with changes in, close to, real time. On the other side, it is also very impor-tant to track the social and demographic changes taking place, as it is to track the physical changes. From the information perspective, information about the settlements began to play a much more im-portant role, with the result that geo-spatial information management became one of the two pillars of the upgrading methodology in conjunction with the social process. An upgrading policy can be suc-cessful only when management of geo-information is the core activity around which this policy is con-structed (Abbott, 2001). One of the main advantages of developing multi-purpose and multi-user GIS is the increasing capacity for data sharing. It has been pointed out that “ The value and social utility of geographic information is important because the more it is shared the more it is used and the greater become society’s ability to evaluate and address the wide range of pressing problems to which such information may be applied” (Onsrud and Rushton, 1995). There are cases when the users tend to


BEGU 4 2003

to develop their own data sets, even if there are existing geo-spatial data sets available for them, be-cause:

• They may not know availability of the existing data sets that could be appropriately used for their applications; or access to these data sets is difficult

• They are not used to share data sets with other sectors and/or organizations • Existing geo-spatial data sets stored in a certain GIS system may not be easily exported to an-

other system. These problems arise from the fact that existing geo-spatial data sets have been poorly documented in a standardized manner. Consequently, there have been duplicate efforts in geo-spatial data develop-ment, which sometimes hinders further dissemination of GIS applications in local, national, regional and global circumstances (Masser, 1998). As a result, the new era of GI use is still characterized by:

• Many actors involved in data collection and distribution; • A proliferation of GI applications, product types, and formats; • Duplication as a consequence of the difficulties to access the existing data and the highly spe-

cific quality of the data collected; • Increasing difficulty in the exchange and use of data that came from different organizations;

1.3. Research Framework

Spatial data is an essential component that planners and decision-makers use in feasibility study for upgrading informal settlements. In this research, it is intended to study two important aspects of GI (reefer to figure 1-1). Firstly, policy issues that would facilitate access/use of data required for feasibility study concern institutional, legal, financial and technical aspects. Secondly, reflecting on these policy issues, the management of GI processes has to characterize a complete coordinated thread of all the serial and parallel activities needed to deliver value (i.e. feasibility reports) to the customers such as decision makers and representatives of settlers.

Figure 1-1 Research framework

In GI Policy, institutional aspect is major driver for accessing geographic data. The issue deals with: a) Political perspectives that determine how much control is exercised over data, that is, whether there

Feasibility study for informal settlement

upgrading

GI Policy - Institutional aspect - Legal and financial aspects - Technical aspects

GI Processes Management - Data discovery and access - Data processing and analysing - Data dissemination

Feasibility Study Report


BEGU 5 2003

will be free, unlimited access or whether users must pay for it; b) political accountability; c) policies for organisation and management of data; d) cultural habits of the society, especially those that are unwritten, and e) education, training and re-training of personnel. Second important issue is related to technical aspect. It has to deal with the adoption of data and metadata standards for exchanging data, maintaining integrity of data, physical data security (copies or ‘backups’), and control or autonomy of individual databases with respect to database design, communication and association with other databases. The third issue is the legal one, which deals with right of access to and use of geo-information, restrictions and copyrights, liability of data providers and indemnity of inaccurate data, and the protection of privacy and organizations. Financial issues deal with determination of data prices and maintenance fees, development of financing and maintenance, and justification of costs in relation to social benefits – tangible and intangible. Keeping the above policy issues in mind, it is utmost important to place GI process management in the organizations so that there are transparencies of responsibilities and accountability to both data producers and data consumers. The management of GI processes relates to the activities such as discovering, accessing, process and analysing data, and finally disseminating final products to the decision makers or representatives of urban settlers. Such activities need technologies for the management of GI processes that are genuinely usable, very flexible and capable of integrating systems across all kinds of data and technical barriers.

1.4. Research Objectives

This research aims to identify the role of geo-information management to support feasibility study of upgrading informal settlements. The main objectives of this research are to: - Review phases of feasibility study for upgrading informal settlement areas; investigate the

processes, data requirements and problems in relation to GI policy and management issues. - Formulate a strategic plan and GI policy that will support geo-information management in

feasibility study. - Identify the implications of such policy for managing GI processes and feasibility study overall

performance.


BEGU 6 2003

1.5. Research Questions

To fulfil the above objectives, the research questions have been divided into three groups focusing on each of above objectives: Group1 concerns on current phases of feasibility study:

• Who are in charge of performing feasibility study for informal settlement upgrading? • For whom the feasibility study is conducted? • What are the phases undertaken during feasibility study? • What geo-information is needed in feasibility study and what are their sources? • What geo-information is currently used? Is there any specific procedure for data supply-

ing/accessing? How it is done? • What are the qualities of geo-information used? • How are final products (i.e. feasibility study reports) delivered and to whom? • Are there any negotiations involved during feasibility study periods with Clients?

Group 2 concerns on GI policy and management issues:

• What are the main components of GI policy and management? • What is the state of GI policy components experienced by feasibility study designers? • What are the problems they are facing in regards to these elements? • What are the strength, weaknesses, opportunities and threats in current geo-information man-

agement? • What strategies/policies can be formulated to improve current situation of Geo-Information

use? Group 3 relates with management of GI processes for improving performance of feasibility study.

• What are main processes/activities for feasibility study in business process environment? • How can GI policy support the management of geo-information for feasibility study? • Can be applied the concepts of business process management? • What are the implications of GI policy and new management approach for feasibility study

overall performance?


BEGU 7 2003

1.6. Research Methodology

The figure below illustrates the methodology followed in this research.

Figure 1-2 Research Methodology

Below are listed the tasks and tools needed to achieve research objectives: Task 1: Structural analyses of current feasibility study phases The aim of this task is to answer research questions indicated in the group 1 of the section 1.5. Task will be carried out in three subsequence phases: a) by study of available literatures related to feasibil-ity study for informal settlement upgrading, b) by field visits and discussing with responsible planners in the municipality of Windhoek City and other related organizations, and collecting necessary data from the organizations using carefully formulated interviews, and c) carrying out structural analysis of data and processing phases (emphasis on functions) using structured system development methodol-ogy (SDM) .

Strategies Formulation

Fieldwork

Data Identification

Literature Review

General Introduction

Research Background

Objective Formulation

Informal Settlements Upgrading

Feasibility study

GI Policy

GI Management

Data requirements

Interview preparation

Collect data

Organize data

Validate data

Data Analysis

Strategic Plan

GI Policy

BPR

Conclusions

Recommendations


BEGU 8 2003

Task 2: Strategic analysis on the components of Geo-information policy and management The aim of this task is to achieve second objective by answering questions indicated in the group 2 of the section 1.5. Since this task is related to policy issues on Geo-data access at strategic level, the ap-proach we take would be firstly on fieldwork a) to identify organizations involved in the data supply and data consumers in the feasibility study activity, b) to identify strength, weakness, opportunities and threats to the municipality. SWOT Analysis toll will be used for this purpose. Secondly a Strate-gic plan will be formulated and used to derive policies that need to be adopted for geo-information management in feasibility study. Task 3: Adoption of Business Process Re-design concepts Reflecting on the GI policy elements, processes for feasibility study will be redesigned by answering research questions in the group 3 of the section 1.5. Business process management concepts will be utilized for this task and UML will be the modelling language.

1.7. Fieldwork and Data requirements

a) Fieldwork Requirements Since this research is based on a case study, carrying a fieldwork is very important. It will serve as the main source of data and help to fully understand how the process of feasibility for upgrading informal settlements works in this specific area, identify the planners needs and problems appeared on the process of geo- information management. Only these data available will ensure the objective achieve-ments. The area of fieldwork will be in Africa – Namibia. Municipality of Windhoek will be the target envi-ronment since it is responsible for monitoring feasibility study procedure. Other organizations and institutions involved in geo-information supply for the above purpose will be part of the study as well. In order to achieve research objectives, during the fieldwork a user need survey and a personal inves-tigation techniques will be used. As mentioned in the introduction, the research will cover two aspects related to geo-information: policy issues for facilitating GI use and issues of managing GI processes in feasibility study for informal settlements upgrading under such a policy.

In order to understand the current management issues related to the use of geo-information in per-forming feasibility study the following techniques will take place: - Interviews in the Municipality of Windhoek to identify the designers of feasibility study and users of its output. - Interviews will be formulated to find out the kind of geo-information used in feasibility study, iden-tify its use vs. its need, its quality and procedure of data access/supply.


BEGU 9 2003

The policy aspect is based on analysing legal, financial, technical and institutional issues of a GI ac-cess policy therefore data that cover these topics are needed to realize how the procedure of geo-information access works. - Performing interviews with the key persons in organizations and institutes involved in geo-information supply for feasibility study will be the source of the above data.

b) Data Requirements During this research the primary data will be those collected from the fieldwork. Literature review will provide the necessary information regarding to informal settlement, feasibility study, GI policy and GI management issues.

c) Resources Requirements a) Hardware: A personal computer with Internet access and connected to LAN. Printer (colour) b) Software: - Microsoft Word 2000 - EndNote5 - SDW - Microsoft Visio (UML template)

1.8. Structure of the Thesis

The structure of this thesis is as follows: Chapter 1 – General Introduction This chapter will include background of the research, problem statement, aim of the research, objec-tives and research questions, research methodology and structure of thesis. Chapter 2 – Review on Informal Settlements and Geo-information Management Referring to the existing literature the basics concepts that this research deals with will be presented in this chapter. Chapter 3 - Feasibility study for informal settlements upgrading - City of Windhoek, Namibia This chapter will be structured in the following sections:


BEGU 10 2003

a) Introduction to the case study, description of area of interest and its problems regarding to informal settlements situation and the need for upgrading. b) Feasibility study process for informal settlements upgrading and its actors. c) Geo-information used for feasibility study designers. Chapter 4 – Strategic Planning and Geo-information policy In this chapter a detailed analysis of geo- information supply/access procedure will be performed and the bottlenecks will be identified. The need for a strategic approach to develop a GI policy will be identified and the elements of such an approach will be given. Chapter 5 – Applying Business Process Re-design concept in feasibility study This chapter will identify the directions and dimensions in which a GI policy affects the management of geo-information process and overall performance of feasibility study for informal settlements up-grading. A new activity model will be designed, based on introduced GI policy elements. Chapter 6 - Conclusions and Recommendations Conclusion and recommendation will be given in this chapter.

1.9. Time schedule

RESEARCH PHASES MONTHS

6.02 7 8 9 10 11 12 1.03 2 3

1. Literature search Concept proposal submission

�

2. Detailed proposal submission �

3. Additional literature search / Final proposal submission

� �

4. Fieldwork �

5. Data analysis/processing � �

6. First draft preparation �

7. First draft presentation �

8. Working on final report � �

9. Thesis submission ��

10.Presentation/examination/graduation �

Figure 1-3 Time schedule of the research


BEGU 11 2003

2. Review on Informal Settlements and Geo-information Management

2.1. Introduction

In order to carry out the research on the issues discussed in the previous chapter, it is important to re-view the essential related concepts and techniques in existing literature. This includes reviewing of informal settlements upgrading programs, the need to upgrade informal settlements, what the upgrad-ing consist of, the role of feasibility study in the upgrading process, the feasibility study actors and those who benefit from it. This chapter also aims to introduce the fundamental elements of geo-information policy and management issues.

2.2. Informal Settlements

Informal settlements are common features of developing countries and are typically the product of an urgent need for shelter by the urban poor. As such they are characterized by a dense proliferation of small, makeshift shelters built from diverse materials, degradation of the local ecosystem and by se-vere social problems. The UN habitat Program of 1995 defines informal settlements as: - Residential areas where a group of housing units has been constructed on land to which the occupant has no legal claim, or which they occupy illegally. - Unplanned settlements and areas where housing is not in compliance with current planning and building regulations (unauthorized housing) Based on this definition informal settlements may be categorized in the three following groups:

• Slums: Are legal but overcrowded, under serviced settlements. They are normally found in the centre of the cities but are not uncommon to find them also where the land is rented, in the urban periphery.

• Squatter settlements: Are settlements were the land has been occupied illegally. They are un-

planned and often un-serviced. Can be found on marginal or environmentally hazardous lands, which can be a government land or whose ownership is unclear.

• Illegal/unplanned subdivisions: Are settlements were the land is again illegally occupied.

They occur in the periphery of the cities where the government owns large tracts of vacant land, with low cost.

In all the above cases, these groups of settlements have in common the lack of:


BEGU 12 2003

• Basic municipal services - water, sanitation, waste collection, storm drainage, street lighting, paved footpaths, roads for emergency access. • Schools and clinics within reach, safe areas for children to play. • Places for the community to meet and socialize. Their situation is worsening because: • The average age of people in cities is increasing, the average age of slum dwellers is decreasing, so the youth suffer most from unhealthy conditions. • There are visible disparities between slums and better-off neighbourhoods increase the social ten-sions in poorer areas. • Unplanned growth of settlements makes conventional service provision complicated. (http://web.mit.edu/urbanupgrading/upgrading)

2.2.1. Informal Settlements Upgrading

Development and Upgrading Strategy of Windhoek Municipality Council defines Informal Settle-ments Upgrading as “An action whereby an existing formal or informal settlement is regularized to provide a form of security of tenure or where new or additional municipal services are installed or a combination of these is pursued. An upgrading programme may comprise of various combination, depending on the target community’s needs, priority’s and affordability levels” (Development and Upgrading Strategy, 1999). Upgrading - or slum improvement as it is also called - in low income urban communities means a package of basic services: clean water supply and adequate sewage disposal to improve the well being of the community. But fundamental is legalizing and ‘regularizing’ the properties in situations of in-secure or unclear tenure. Upgrading provides a package of improvements in streets, footpaths and drainage as well. Solid waste collection is frequently included with its positive impact on health, along with streetlights for security and night activity. Electricity to homes is often initiated later - and sometimes even before - by private companies. What are the benefits of upgrading? The benefits are simply that people obtain an improved, healthy and secure living environment with-out being displaced. The investments they have already made to their properties remain and are en-hanced - this is significantly better than removing them to costlier alternatives that are less acceptable to them. Recognizing title and security of tenure makes a positive contribution to both the economic prospects of the poor, as well as to the national economy. Experience has shown that slum-upgrading projects are associated with social and economic benefits that are particularly high. Upgrading is the start to become a recognized citizen (http://web.mit.edu/urbanupgrading/upgrading).


BEGU 13 2003

2.3. Feasibility Study for Informal Settlements Upgrading

Feasibility study forms the initial part of upgrading project preparation. Its purpose is to establish whether or not the project might be successful before committing the substantial funds to it. They provide a general indication of what services are needed, which of these services can be provided and the suitability of project sites (Urban Projects Manual, 2000).

2.3.1. Feasibility Study Tasks

Feasibility study is achieved through four main groups of tasks. These are as follows (Urban Projects Manual, 2000): Group A: Identification of target population and data collection for:

• Economic characteristics of area • Household characteristics • Housing demand

Group B: Assessment of the project site to determine its suitability for upgrading. This include data collection and analysis on the following issues:

• Determine site availability • Define site location • Evaluate site area/shape • Verify existing land tenure • Determine site boundaries • Evaluate site topography/landscape in relation with possibilities for upgrading. • Identify ground conditions and level of pollution

Group C: Identify site development level and check the status of area in urban planning program of the area

• Identify and plan housing densities and current plot development • Check if there exist any type of commerce/industry or public facilities/recreation • Identify and plan other land uses • Identify and plan in regard to transportation and utilities issues

Group D: Evaluate the specific upgrading project from the institutional and financial point of view.

• Identify institutional and financial framework within the project will work

2.3.2. Main actors involved in Feasibility Study

As an important decision-making process, feasibility study involves many actors. They are as follows:


BEGU 14 2003

i) Decision makers A decision maker is a person, or group of people (e.g., a committee), who makes the final choice among the alternatives. According to Gilpin, 1995 a decision-maker is the body or e person responsi-ble for deciding on the proposed project, whether a project should proceed or not, or proceed subject to conditions and constraints. Obviously, the decision-maker group differs from country to country, as it is related to country institutional structure. ii) Feasibility study professionals These professionals are those who perform the tasks of feasibility study discussed in paragraph 2.3.2. iii) Community of informal settlements They represent the group of people who benefits from the upgrading programs. Usually they act as one unit when the need for upgrading is in place. However, public participation is an issue where each country has its own experience. iv) Data providers This group is composed of different organizations, institutes and agencies, governmental or non-governmental offices, that provide the necessary information for feasibility study professionals in or-der to carry out their tasks.

2.4. GI Policy issues

Generally speaking, a policy is a broad guideline for decision-making that serves to link the formula-tion of strategy with its implementation. Policies provide clear guidance to managers throughout the organization (Hunger&Wheelen, 1996). A geo-information policy is that part of the organization policy that deals with geo-information. It serves to the organization activity as a guideline in order to enhance geo-information availability, accessibility and use. It concerning the coordination of data collection; data sharing; commitment to standards; right of use; copyrights; privacy; pricing and more (Radwan, 2000). The importance of de-veloping data access policies is felt almost equally strong by public agencies and the private sector (Masser et al, 1997)

2.4.1. Why is a need for geo-information policy?

The opportunities that the use of geographic information brings to solve problems are nowadays very evident. However a number of obstacles are still playing an important role in the process of geo-information access and management by the users. As defined in GSDI cookbook, lack of institutional co-ordination, insufficient legal framework of in-formation, overlapping of initiatives, duplication of field activities and results, poor management of


BEGU 15 2003

resources and insufficient qualification of the technical staff are some of the most pressing problems. In addition, there is a lack of standardized metadata and poor documentation on who is doing what and the types of available information. This has a double negative effect. On one hand, potential data and information users have difficulty finding or having access to needed relevant information and, on the other hand, information suppliers do not know what they have which in turn prevents better or-ganization of information for dissemination and enhanced value of the information. There are few national policy initiatives underway to encourage sharing and collaboration on geo-graphic data and practices. There are also only a few formalized institutional links to share data. Prac-tically every organization has its own way of producing digital data. Some departments are developing their own data standards including classification schemes for their own use. The awareness of copy-right issues is rising, but there is often a complete lack of policy around information management - it has not been addressed simply because it is not seen as a priority. Vertical organization within government and administration is limiting cross-sectoral communication. Due to the strong vertical organization culture of government and administration, there is no real en-couragement of cross-sectoral communication. Each ministry or department undertakes its own man-date, trying to create it's own database and information system, following it's own needs, point of views and priorities. Information is handled in a strictly vertical direction, following hierarchies. In-formation seems always to be linked to persons and their status within the hierarchy. Cross-sectoral information exchange is strictly limited to informal organization. The handling of information is a political issue, a cultural topic. Access to information is hindered by a lack of transparency. Access to information is not only a ques-tion of ownership and attitude to communication. Transparency is not yet the main characteristic of communication culture and remains a major problem. Nobody really knows who disposes of what, where what is available or who is in charge to produce what. Without an overall information concept, without clear mandates, tasks and responsibilities, without a metadata-database, access to information remains a casual event, a question of personal relationships and good or bad luck. Users of informa-tion have to know about and in some cases hunt for information. To collect precise information one needs either a very good personal network, based on personal relationships, or a lot of time and good nerves. The major technical obstacles to data sharing reside in the lack of application of a national standard for spatial data, incompatible classification schemes and the almost total absence of data documentation or metadata. Additional difficulty stems from restrictions on spatial dissemination for maps of border areas (GSDI cookbook, 2001). All the issues mentioned above are the reason for developing a geo-information policy for decision-making process.

2.4.2. The components of GI Policy

The issue of data access has many facets: legal, technical, economic, institutional and organizational. There are different viewpoints regarding to the most important issue that will affect the policy. This reflects the complexity of the challenge to formulate it (Masser et al, 1997).


BEGU 16 2003

A. Institutional aspect

The institutional elements of GI policy are related to the following issues: (Radwan&Bishr, 98) - Political control over data and political commitment on data sharing policy - Political stability that will ensure sustained political commitment - Policies for organization and management - Training in information technology - Cultural habits of the society

Cultural habits of the society Questions about the acceptability of geo-spatial technologies revolve around two fundamentally dif-ferent stages: their desirability within specific cultural connotation, and their feasibility with respect to organizational and practical ways for implementation. Cultural conditions determine the propensity to socially accept information technologies such as GIS, i.e. cultural conditions primarily determine the desirability. The cultural desirability specifically re-lates to functionality of GIS: communication and information sharing, strategic planning, operational planning and management, and monitoring and evaluation. Four main dimensions of national culture can influence the acceptance of information technology (Groot&McLaughlin, 2000). These are: - Power distance: Society’s way of accommodating human inequality - Uncertainty avoidance: Society’s way of accommodating uncertainty. - Masculinity versus Femininity: Society’s way of accommodating masculine and feminine values - Individualism versus collectivism: Society’s way of accommodating the individual and the group B. Technical aspect The technical aspect of geo-information policy deal with issues of:

- Networking/Communication between different information systems - Development and maintenance of systems for the federation and interoperability of databases - Data Standards and Metadata - Data quality and security (Radwan&Bishr, 98).

Networking/Communication between different information systems A Wide Area Network (WAN) in inter-organizational level or a Local Area Network (LAN) within an organization can achieve access to sets of distributed databases. In both cases, WAN and LAN, there are different computers, different hardware configurations and different operating systems that have to communicate with each other. Standards as ISO/OSI or TCP/IP are needed to make possible that communication (Groot&McLaughlin, 2000).


BEGU 17 2003

Development and maintenance of systems for the federation and interoperability of data-bases A distributed system design refers to a collection of users, data software and hardware, whose purpose is to meet some pre-defined objectives. In order to develop this system are required three levels of specifications: the physical networking, system services and application software. Inter-operability is the ability of a system or components of a system to provide information sharing and inter-application co-operative process control (Groot&McLaughlin, 2000). Concept of Geo Data Standards Referring to FGDC Standards Reference Model: ”Data standards describe objects, features or items that are collected, automated, or affected by activities or functions of agencies. They are semantic definitions that are structured in a model”. This Standard Reference Model identifies five types of data standards, which are: data classification, data content, data symbology or presentation, data trans-fer and data usability. While speaking about geo data standards, we are referring to standards that applied to geographic data. The increased demand for geo data availability, accessibility and sharing is associated with in-crease awareness for geo data standards need. These standards are currently being developed within national standards organizations such as the American National Standards Institute (ANSI) within the United States of America and internationally within the (ISO) International Organization for Stan-dardization (UN, 1998). The objectives of geo data standards are:

• Increasing use and understanding of geo-information through providing a increase common set of terminology and definitions,

• Increase the availability, access, integration and sharing of geographic information, • Improve quality of data documentation • Reduce information loss in data exchange • Avoid duplication of data acquisition and information generation • Ease the establishment of geo-spatial data infrastructure on local, regional and global level

(http://www.opengis.org).

However, the attempts to standardize geographic data have been challenged by constant resistance for the following reasons:

• There is no common understanding or agreement on spatial data models. The definitions of spatial data models by different vendors vary significantly; therefore, the common logical specifications on the spatial data structures have not been achieved;

• As a result of enormous variety and multidisciplinary nature of GIS applications, it is difficult to establish a single standard that can cover every kind of geographic data;

• It is often the case that issues of GIS standards are in fact the standards of application fields.

Geo data standardization typically involves the following fields:


BEGU 18 2003

• Map coordinate system and projection • Quality of map data (location and attribute) • Place names (standard and official names of places) • Classification of soils, vegetation, land use and other elements • Attribute field of map data (e.g. cadastre and land use) (UN, 1998).

Standards may be formal or informal. Formal Standards tends to be long, complex, scientific in nature, and focused on future requirements. Target bodies, such as governments, universities and large private companies that need to manage or use large data set, usually embrace them. Informal standards tend to be only as long and involved as required to address and immediate issue and to solve a particular problem (Groot&McLaughlin, 2000). Concept of Metadata Metadata are simply that type of descriptive information applied to a digital spatial file. They are a common set of terms and definitions to use when documenting spatial data. The major uses of metadata are:

• To help organize and maintain an organization’s internal investment in spatial data; • To provide information about an organization’s data holdings to data catalogues,

clearing houses and brokerages; • To provide information to process and interpret data received through a transfer from

an external source (UN, 1996). Discovery Metadata is the minimum amount of information that needs to be provided to convey to the inquirer the nature and content of the data resource. This falls into broad categories to answer the ”what, why when who, where and how” questions about geo-spatial data. What - title and description of the data set. Why - abstract detailing reasons for the data collection and its uses. When - when the data set was created and the update cycles if any. Who – originator, data supplier, and possibly intended audience. Where - the geographical extent based on latitude / longitude, co-ordinates, geographical names or administrative areas. How – how it was built and how to access the data. (GSDI cookbook, 2001). Concept of Data Quality and Security Data quality is usually defined by factors such as:

• Data lineage, which includes information such as description of source materials, methods of derivation and all data transformations.

• Data consistency, which describes the fidelity of relationships in a dataset, the logical rules of structure and the attribute rules for spatial data


BEGU 19 2003

• Data completeness varies significantly with the intended application and is usually defined as including information about the selection criteria, definition used, and other relevant mapping rules.

• Semantic accuracy refers to the quality with which spatial objects are described according to a selected model. It is seen as an element of fitness-for-use in the evaluation performed by us-ers.

• Temporal accuracy describes the date of observation, type of update, creation, modification, deletion and the validity periods of geo-spatial records.

• Positional accuracy testifies to the degree of compliance with some preconceived standard of accuracy

• Attribute accuracy describes how attributes are positioned and how they are measured or de-termined.

Data Security is a requirement from the provider part. It concerns the protection of data from the un-authorized or accidental modification, destruction, disclosure and use. As an aid to determine whether the established security measures are adequate, the information qualities of integrity, availability and confidentiality must be monitored (Groot&McLaughlin, 2000). C. Legal aspect of GI policy The development of an efficient and effective geographical information sector demands an adequate legal framework. This framework should facilitate the distribution and use of geographic information. Legal issues that merit attention are, among others:

- Copyright/intellectual property rights, - Liability, - Privacy, - Data protection and access/commercialisation issues (Masser&Burrough, 1998).

Copyright Copyright is generally divided into two different types of right. One sort is labelled moral rights, which denote rights of the actual creator, described as the author, to oppose mutilation of his /her work and so on. Moral rights primarily serve the immaterial interests of the author. The other category of the rights is the economic or exploitation right, also referred to as the exclusive right to reproduce and publish or disseminate the work. These are the rights that make it possible to exploit the product and they are utmost relevance in the geographic information sector. Normally the creator of work is the first owner of copyright (Masser&Burruough, 1998). International treats on copyright The two treaties that deal with the copyright are the Universal copyright Convention (1952) and the Berne Convention (1886, latest revision: Paris Act 1971). An essential demand to be met in copyright is that a work is original, which usually means that the work should show creative/intellectual effort by the author. This requirement is not expressly stated in


BEGU 20 2003

the Berne Convention, nor it is in many copyright laws. It is, however, generally accepted that the concept of a work in the sense of copyright implies originality. The interpretation of “originality” may differ from country to country. Copyright encompasses the exclusive right to reproduce a work and to publish or disseminate it. The reproduction right envisages both the production of exact copies and of adaptations. The right to pub-lish or disseminate includes the right to sell copies of a work or to exploit it through rental or lending. Copyrights may, however, be transferred or given in license. Intellectual property rights Intellectual property is a subtle and esoteric area of the law that evolves in response to technological change. Advances in technology particularly affect the operation and effectiveness of copyright law. Changes in technology generate new industries and new methods for reproduction and dissemination of works of authorship, which may present new opportunities for authors, but also create additional challenges. Copyright law has had to respond to those challenges. However, the extent of the distribution right under the present law may be somewhat uncertain and subject to challenge. Therefore, the Copyright Act should expressly recognize that copies of works can be distributed to the public by transmission, and that such transmissions fall within the exclusive distribution right of the copyright owner (http://www.uspto.gov). As explained before, one objective of copyright law is to encourage expression of ideas in tangible form so that the ideas become accessible to and can benefit the community at large Copyright com-pensates creators of original expressions as an incentive for them to continue to bring forth knowledge and information that others in the community might be able to exploit for social or commercial gain (Masser&Burruough, 1998). Data protection Many geographic information products either (paper) map and plan, or databases. In various coun-tries, courts have decided that maps and plans can be original and therefore protected by copyright. It’s recognized that the design of a map (that is to say colouring, typesetting, symbols used, etc) can make it original. In databases the original character must be perceptible in the selection and the ar-rangement of the content. However, the functional and technical demands that the databases need to meet (for reasons of quality, accuracy, completeness, user friendliness etc.) adversely affect original-ity. Thus the use of, for instance, technical standards (whether local, national, or international such as CEN standards) and standard classifications make the product less original. The reason why protection of each element in the map is important is that digital technology makes it possible to separate elements and re-use them in a very efficient way. It is therefore important that the elements that represent the real creative work are protected. The period of protection would run from the moment that a record of fact was created. Determining what constitutes an adequate period of pro-tection for a data set is an economic question. For this reasons are found different positions in the le-gal frameworks of data protection for different countries (Masser&Burruough, 1998).


BEGU 21 2003

Liability It deals with the liability of data providers for errors. Data liability becomes a crucial issue when data are needed to be integrating from different sources and used for operational purposes (Burrough et al 1997). However, liability is not only important for the producers of the information but also for inter-mediaries, since the latter depend on producers so far as the reliability of information is concerned (Groot&McLaughlin, 2001) Privacy The issue deals with personal data and postal addresses that disseminated information contains. (Burrough et al 1997). Access/Commercialisation of data The access of data is related to the question: How to find data? Who may access it? At what price? (Burrough et al 1997). The commercialisation of data is related to government information and concern questions of unfair competitions from public bodies. In GDI book are treated the pros and cons of this issue. Among those would be:

• The collecting and processing of public sector information has been paid by everybody and therefore should not be sold on an exclusive basis.

• For the same reason this information should be a common property • A public body behaves unfairly in market competition since it has advantages, like tax-

exemptions etc. D. Financial aspects of GI policy The financial aspect of deals with determination of:

- Data prices and maintenance fees, - Justification of costs in relation to social benefits – tangible and intangible.

2.5. Geo-information Management issues

The aspects of geo-information management that will be treated in this research are related to the is-sues of data discovery and access, data processing and analysing and data dissemination.

1. Discovery (find, locate) involves the use of services such as metadata catalogues to find data of particular interest over a specific geographic region.


BEGU 22 2003

2. Evaluation involves detailed reports, sample data and visualization (e.g., in the recent form of web mapping through gifs or simple vector representations of the data) to help the consumer determine whether the data is of interest.

3. Access involves the order, packaging and delivery, offline or online, of the data (coordinate

and attributes according to the form of the data) specified. 4. Finally exploitation (use, employ) is what the consumer does with the data for their own pur-

pose. Figure 2-1 illustrates these processes.

Figure 2-1 Geo-spatial Data Access Paradigm (GSDI cookbook, 2001)

2.6. Concluding remarks

In this chapter are given some important definitions and concepts, based on current literature on issues related to the research. It presents all the elements of a GI and management policy that must be ana-lysed in relation to geo-information used in feasibility study. Keeping these concepts in mind an ex-tensive analysis of feasibility study procedure will be undertaken in the coming chapters.

Resource Discovery Resource Evaluation Resource Access

Browse and Search Directory

Search remote database

Subscribe to the services of interest

View detailed Metadata

Visualize Data and Metadata

View User and Technical guides

Products Services

Price on-line

Order on-line

Purchase on-line

Deliver on-line

Invoke Remote services

Run interactive services

Chain and integrate services


BEGU 23 2003

3. Feasibility Study for Informal Settlement Upgrading – City of Windhoek, Namibia

3.1. Introduction

The aim of this chapter is to introduce: a) the case study situation related to informal settlements along with the way of response from Windhoek City and b) investigate the processes and data re-quirements in current Feasibility study procedure, in relation to GI policy and management issues. The case study is Havana Section2/Extension 1 area located in Windhoek City, Namibia-Africa. Based on data collected during the fieldwork the phases of feasibility study are reviewed and its ac-tors are identified.

Figure 3-1 Administrative Map of Namibia (http://www.graphicmaps.com/aatlas/africa)

Figure 3-2 Topographic Map of Windhoek Figure 3-3 Map of Windhoek showing location of Havana

(Original scale 1:50 000 (Feasibility Study Project Profile, 2000)

Published by Survey General, Windhoek, 1983)


BEGU 24 2003

3.2. Background of the case study area

Over the past decade the city of Windhoek came under increased pressure from rural to urban migra-tion. This resulted in a number of informal settlements being established on vacant land around the city. In 1995 these settlements already accommodated around 25% of the total population of the city and it was expected that this proportion would increase in future. One of the major reasons given for movement into Windhoek is unemployment and at least 43% of the settlers come in order to obtain employment. Another reason for migration is better living condi-tions, such as access to schooling and health care. The informal settlers are predominantly economi-cally active, with 72% being between 20 and 44 years old. In addition to these statistics is the harsh reality of land scarcity. Each new area for settlement is lo-cated further and further away from the places of employment opportunity, hence more and more time and money is spent in getting to places of work and work opportunities. At the same time the expan-sion is spilling over into new drainage basins and this means that new infrastructure, such as water, sewage and storm water provisions have to be planned and constructed anew, or at least contingency plans have to be made to meet the need for basic services. Realizing that this is an untenable situation, the city of Windhoek, drafted and adopted a Settlement and Upgrading Strategy with the objective of guiding the establishment of new settlements and the upgrading of existing settlements in the capital. The first step in the upgrading process is to conduct a feasibility study to validate the possibilities that the area has to be upgraded. The aim of the feasibility study is to determine affordable and environ-mentally acceptable upgrading options, sensitive to the needs and demands of the different communi-ties. In order to define the above options, the feasibility study should follow the objectives and princi-ples of Upgrading Strategy in Windhoek city, which are as follows: Objectives

• To strive towards providing all lower income target groups of the city with a range of land development options in accordance with their levels of affordability.

• To establish uniform service standards for each of the development options. • To set parameters for orderly incremental upgrading. • To facilitate self-help development.

Principles

• Services in all development options, especially lower levels, should be based on reasonable health standards.

• All development levels should be technically appropriate. • Reasonable social acceptance and understanding of the development options should be en-

sured. • Community initiative shall be encouraged for gradual improvement of own living conditions


BEGU 25 2003

• Such initiative should be facilitated in an orderly manner, yet optimising financial and institu-tional resources.

• Permanency and forms of ownership of land (security of tenure) should be promoted. • Financial risk for Council and its clients should be minimized in the development and

upgrading of serviced land • Costing, pricing and administrative systems for land sales and leases of each development

level should be standardized yet flexible. • Resource use (natural, financial and human resources) should be optimised in the land devel-

opment process. • All low and ultra low-income land development should be aimed at financial, social and

environmental sustainability. • The concepts of full cost recovery and “user pay” should be the underlying principles of any

low and ultra low-income land development project or program. In Namibia there are two approaches in informal settlements up-grading: a) Self-help group approach. In this case the community of informal settlement area is the initiator of the process. With the help of an NGO they get in contact with a private consultancy group. This consultancy group will conduct a feasibility study to determine the options of upgrading. b) Windhoek City (CoW) approach This is done on two steps. First Municipality conducts a preliminary feasibility study in 20% sample area and in the second step the Municipality will appoint a consultancy group and in close collabora-tion with municipality professionals a full feasibility study will be conducted with the aim of investigating the physical and socio-economical conditions and to design the upgrading project. All of the above had to be achieved with the full involvement of the beneficiary community. The consultancy group in the case of Havana Section2/Extension 1 informal settlement area was Urban Dynamics of Africa. In collaboration with municipality professionals they prepared the feasibility study and the project design for township establishment and the servicing of the to be created Havana Extension 1. This resulted in a project profile for the entire development of the Township (layout included) and a Social Compact between the City Council of Windhoek and the Havana Community. This so-called feasibility study report is then passed to Chief Executive and Management Committee. They evaluate the feasibility report from technical and institutional point of view. If it is evaluated to be in accordance with these issues then it is sent further to City Council, which takes the final deci-sion.

3.3. Description of Development Interventions of Windhoek City

The provision of municipal services by the City of Windhoek (CoW) to its clients progressed through 3 different phases, namely Pre-Independence, Post-Independence from 1991 up to October 1999 and Post October 1999 (after the adoption of the Development and Upgrading Strategy).


BEGU 26 2003

In the “Pre-Independence Servicing Phase” there were no informal settlers residing on open blocks of land in the City. Land occupation and influx in the City was strictly controlled through pass low. Al-though there were no visible informal developments it does not mean that there were no poor people in the City. It is assumed that overcrowding occurred all over Katatura and its surrounding township extensions. Poor people did not resort to “squatting” for fear of evictions or reprisal. All services to citizens were supplied to individual households (each household having its own water, sewer and electrical connection). Following the Independence, informal settlers appeared in a few areas, giving rise to the City’s first “reception area” then called Big bend Township then Havana Township. Although the residents were to an extent fortunate in the sense that they have at least been provided with some services and legal occupation leases, it appears that these developments did not satisfy their payments abilities, needs or expectations. This period is characterized by communal services in informal areas, irrespective of affordability; lit-tle choice; minimal community consultation or participation in development choice. In the third phase, land and basic service delivery in the City followed the guidelines of the Develop-ment and Upgrading Strategy. All projects were in situ upgrading is envisaged (e.g. Havana 2) have been subject to feasibility studies to determine financial, social and environmental risks. In all cases the chosen development and land tenure level was arrived at through a community consultative proc-ess, taking into account the realities of affordability and choice. Following the Independence, informal settlers appeared in a few areas, giving rise to the City’s first “reception area” then called Big bend Township then Havana Township. Although the residents were to an extent fortunate in the sense that they have at least been provided with some services and legal occupation leases, it appears that these developments did not satisfy their payments abilities, needs or expectations. This period is characterized by communal services in informal areas, irrespective of affordability; lit-tle choice; minimal community consultation or participation in development choice. In the third phase, land and basic service delivery in the City followed the guidelines of the Develop-ment and Upgrading Strategy. All projects were in situ upgrading is envisaged (e.g. Havana 2) have been subject to feasibility studies to determine financial, social and environmental risks. In all cases the chosen development and land tenure level was arrived at through a community consultative proc-ess, taking into account the realities of affordability and choice.

3.3.1. Brief Description of Development and Upgrading Strategy

The main objectives of this Strategy are to adopt a minimum development option to be offered to all communities (in interest of health, humanity and the environment); to introduce a range of develop-ment levels corresponding with the diverse affordability levels of the poorer communities; to set pa-rameters for incremental service and tenure upgrading and to encourage self-help group development.


BEGU 27 2003

The key aspects that are addressed by the strategy are as follow: • The establishment of a set of land development options for the City’s low and ultra low-

income population. This involves that introduction of a range of standard levels of services to be installed in low and ultra low-income townships depending on the affordability levels of the low and ultra low-income clients.

• Consideration as to which would be the minimum service level to be provided in the City to

all clients for improvement of overall living conditions.

• Guidelines and parameters within which upgrading of ultra and low income townships may be upgraded in terms of priorities, tenureship and infrastructure services.

• Guidelines within which self-help development may be promoted and facilitated

Land and affordability CoW has designed a system of “development levels” that define the level of services that are provided (reefer table 3-1). Associated with the development levels is an analysis of affordability that links family income to a development level.

Table 3-1 Development options in the City of Windhoek (source: Development and Upgrading Strategy, 1999)

Income level N$ per month

% of city population

Development level

Provision of services and infrastructure Access to land

N$0-166 22% 0 Communal water points with payment by meter and private refuse collection

No access

N$ 167-666 32% 1 Communal water and latrines (two per 80 people). Some roads gravelled where possible. Private refuse collection.

Rent and purchase by group is possible

N$ 667 – 1.202 28% 2 Communal water and latrines with full reticula-tion planned. Some roads gravelled where possi-ble. Private refuse collection.

Individual erven, two families per plot and group purchase possi-ble.

N$ 1.203-2.814 14% 3 Individual water taps and sewerage connections. Some roads gravelled where possible. Private refuse collection.

Individual erven

N$ 2.815-3.436 2% 4 Individual water taps and sewerage connections All access roads surfaced; others gravelled. Indi-vidual connection by bin system

Individual erven

N$ 3.437 – 4.505 1% 5 As above, but individual sewer connections for flush toilets.

Individual erven

N$ >4.505 1% 6 As above, but roads fully serviced and individual sewer connections for flush toilets.

Individual toilets.


BEGU 28 2003

3.4. Self-help group approach and the role of NGOs

During 1987 a group of women formed a CBO called Saamstaan (“stand together”) with the aim of helping themselves. This became the first saving groups in Namibia, with the aim of using the money to help themselves building houses. Conventional approaches to house construction and group mem-bership did not work. The members could not sustain the building approach and the dependency on the CBO, and later Namibia Housing Action Group (NHAG) a voluntary association, was not that effective. In 1998 the Shack Dwellers Federation of Namibia (SDFN) was launched and NHAG took on a sup-port role. Together they have made decisive inroads into the issues of land acquisition and housing for the most disadvantages groups. Their aim include the followings:

• Organizing communities through saving schemas • Making land infrastructure and services affordable • Accessing funds from the saving schemas for income generation, housing and services • The construction of houses • Improving living conditions

The role of NGO-s In upgrading process of informal settlements NGO-s play the role of facilitator. This consist on:

• Work with the communities to find out their level of affordability for upgrading the area.

• Organize meetings with community to establish a level of awareness about the CoW Upgrad-ing Strategy and possibilities that it offers.

• Help the communities to form saving groups

• Help the communities to form the Community Committees, which will contact with CoW

representatives during the upgrading process.

• Negotiate with donors to help financially the community to afford the upgrading costs.

3.5. Situation of Informal Settlements in Havana Section2/Extension1

The informal settlement area Havana Section 2 is suited to the far northwest of the Windhoek city. The Monte Christo Road borders it to the south and west, which provides high order access to the northwestern suburbs of the city.Havana section 2, when measured along its extension boundary, cov-ers an area of approximately 42.8ha. The project team has established that there are presently 1 783 households in the area.


BEGU 29 2003

The average density of the construction varies due to the occurrence of irregular slopes, river courses and other landforms. The community has informally created internal roads for access to their plots. There are few areas where the density is high a 1 dwelling per 120m2 although the more common den-sity is in the region of 1 dwelling per 150-200m2. The majority of the dwellings (in local language: kambashos) serve not only as residences for the poor urban dwellers, but many households also augment their incomes through selling basic commodities from home. It was observed that many dwellers serve as both residence and business. The land pattern and character of Havana section 2 has mostly been shaped as informal settlers improvise to meet their basic needs in terms of food, shelter, and infrastructure and social services. The only services pres-ently available in Havana Section2 are the following:

- One communal water tap - Four telecom payphones - A communal refuse removal system (one man contractors gather refuse throughout the area

and deliver it at open spaces for collection by the Council).

3.6. Feasibility Study Procedure and GI processes – CoW approach

Feasibility study is project-base and will be done upon reception of an upgrading request. It takes into cognisance factors such as the community’s willingness and ability to pay, various technical options and associated costs, social acceptance and environmental aspects. The concepts of full cost recovery and user pay should be the underlying principle of the project. Approval and conditions of an upgrad-ing request will depend on the outcome of the feasibility study. Feasibility study for the upgrading of the informal settlement, Havana section 2/Extension 1 was completed in June 2000 by Consultancy Group – Urban Dynamics of Africa. The following figure introduces the actors involved in feasibility study process. They can be classified in three main groups, which are:

a) Data providers represented by Ministry of Land and Municipality Divisions listed in the figure.

b) Decision-making group, in charge of taking the decision for upgrading upon feasibility study results.

c) Consultancy Group hired by CoW to conduct the feasibility study.


BEGU 30 2003

Figure 3-4 Feasibility Study actors chart

Feasibility Study is the first step undertaken by City of Windhoek to evaluate the possibilities that a certain area has in order to be upgraded. It’s goals and objectives are illustrated in the figure below.

Figure 3-5 Feasibility study components chart

OBJECTIVE 1: Determine the level of affordability of services and the development cost.

OBJECTIVE 2: Evaluate site conditions. Identify the potential risks.

GOAL: To support upgrading process with detail studies on the area of interest, evaluating its possibilities.

OBJECTIVE: To determine affordable and environmentally acceptable upgrad-ing options, sensitive to the needs and demands of the different communities.

TASKS: 2.1 Evaluate the site location and identify level of upgrading.

TASKS: 1.1 Identification and study of target population.

OUTPUT: Project Profile Social Compact

Conduct Feasibility Study

Decision-making group

Ministry of Land

Sustainable Development Div.

Community Development Div.

Land Valuation Division

Infrastructures Divisions

Environmental Division

Data providers for FS

FS Report

Windhoek City Council

Management Committee

Chief Executive

City of Windhoek

Consultancy Group


BEGU 31 2003

Feasibility study of the informal settlement area is completed in two phases. In the first phase Municipality conducts a so-called pre-feasibility study. In this phase mainly Sustain-able Development and Community Development Divisions of Windhoek Municipality (CoW) are in-volved. It consists on the following tasks:

- Conducting a general socio-economic baseline survey in a sample area (20%). Through this survey it collects data about the target population, their level of income and information on what services they expect from the upgrading process.

- Evaluate the topographical location of the area, using topographical maps and aerial photos - Investigating if the area is already planned for other purposes or not - Identify the status current of services and their vicinity with the formal services

In this case the above information is collected by the officials of these divisions through filed survey in 20% sample area. No digital data analysis is used in this phase. In the second phase the Municipality, through tender, will point a consultancy group that will prepare a full feasibility study with the aim of investigating the physical and socio-economical conditions in informal settlements area and to design the upgrading project. The professionals from Sustainable development Division of Municipality will work in close collaboration with consultancy profession-als. Preparation of feasibility study includes:

- Ensure the optimal application of financial and environmental resources to minimize the risk of the upgrading project to all stakeholders;

- Clarify the project goals; - Ensure social acceptance of project goals - Record the agreements in a social compact - Prepare a detailed profile of the project (planning design)

In order to perform a structural analysis of data and processing phases (emphasis on functions) struc-tured system development methodology (SDM) is used. The Function Analysis module is used from this technique. The Function Analysis has as main objective to structure the information system functions and to de-fine the data processing processes and their inter-relations. The techniques use the top-down ap-proach. Data Flow Diagram represents this technique. It is a network representation of the system showing the processes and data interfaces between them. Elementary functions have to be included in the Data Dictionary (DD) to complement the documentation of the DFD. Based on observations and data analysis of interviews performed during the fieldwork the following Context Diagram and Top Level Diagram have been created. The Context Diagram, in fig.3-6 identi-fies the stakeholders involved in feasibility study procedure and the tasks they carry in this process. The Top Level Diagram in figure 3-7 emphasises the procedure of data sharing in “AS IS” situation for feasibility study. In appendixes 5 and 6 data and process dictionary are completed providing addi-tional information such as process description, data storage, access method etc.


BEGU 32 2003

Figure 3-6 Context Diagram for Feasibility Study

Figure 3-7 Top Level Diagram for Feasibility Study

Symbols: Process Terminators Data Flow


BEGU 33 2003

From the Top Level Diagram seven main processes can be distinguished: 1/2 Receive Request for Upgrading. The Community of Informal Settlements send a request for up-grading the area to Community Development Division (process 1) who forwards it to Sustainable De-velopment Division (process 2) 3. Geo-information processing for Pre-feasibility study. This process consists on collecting data on 20% sample area. This is done through field survey for soc-economic data and receiving topographi-cal maps, aerial photos and cadastre plans from Ministry of land. Utility data are viewed online via LAN/MAN. The following Divisions are involved in this procedure: Sustainable Development, Community Development and Geomatics Divisions and Ministry of Land. 4. Pre-feasibility Study process. Town planners in Sustainable Development division are in charge of preparing this study. It consists mainly in a general assessment of the territory occupied by informal settlers, focusing on 20% sample area. Ground and landscape condition, population characteristics and vicinity with formal utility services are the main tasks of this process. The output is a report on the above study. 5. Decision/Notification. This process aims to take a decision on pre-feasibility and feasibility studies by assessing their reports. Part of this process is also notifying the informal communities about these decisions. 6. Feasibility Study Process. As it is mentioned before, CoW will point a Consultancy Group to con-duct Feasibility Study, however there is collaboration between them consisting on data and informa-tion sharing. The activities of feasibility study are described in details in the section below. 7. Geo-information request. Consultancy Group chosen to perform feasibility study will request data on the informal area that are available in CoW databases. Geo-information processes of feasibility study can be described as follows: i) Slope and Aspect analysis of informal settlement area is done using DTM data in Geomatics Divi-sion. Here is located the Central Database of CoW. Digitising topographical maps, cadastre plans and aerial photos generates the data (contour lines, area and erf boundaries). General Survey Department provides those. Data on ground conditions are received from Bulk Water Division. There is only one person in charge of this task. The outcome information is given to Sustainable Development Division via LAN and Consultancy group via CD. What was observed during the fieldwork is that:

- There is no metadata for the data they use and information generated. Finding what is where is based on personal knowledge of the staff involved in this task.

- The generated information is not saved for further uses (Because feasibility study is project base).

- There is no quality control on data received from other divisions. The quality control is done only for the design work.

- The data are given for free to the consultancy companies, based on an agreement that the data will be used only for this project.

- They are working to finalize an agreement among divisions for the frequency of updating the data.


BEGU 34 2003

ii) The Environmental Impact Assessment to identify the possible changes in environment as a result of services implementation. This tasks is carried in the following phases: a) The Environmental Division prepares an Environmental Assessment Form (Environmental Quality Review), with 5 sections. Each section contains groups of questions formulated in order to retrieve information about the impact of upgrading on land, water, air, plants and animals, agricultural land resources, aesthetic resources, historic and archaeological resources, open space and recreation, trans-portation, public health, growth and character of community neighbourhood. b) In order to fill this form a full study on environmental impact need to be conducted. For this pur-pose a consultancy group is selected by tender and will be in charge of undertaking the full study on upgrading impact. d) Environmental Division of CoW checks the results of consultancy group study for their reliability and quality. This double check is done in the areas that show doubts by using survey techniques. e) The final step is preparation of an Environmental Management Plan that contains recommendations and guidelines for implementation of services (upgrading phase) with respect to environmental issues. The observations of fieldwork are:

- Because the lack of people this division decided to hire a consultancy group for EIA prepara-tion.

- There is a procedure for data quality control, which is done by double check the EIA result via field survey.

iii) Estimate the price of land according to affordability levels defined in Development and Upgrading Strategy. Land Valuation department carries this task. The needed data for price calculation are provided for them in an excel sheet form by Sustainable De-velopment Division in collaboration with Infrastructure Department. This form contains the following data:

- Cost of services for each affordability level: survey cost, roads and storm water, electricity services, sewer, water.

- Surface of erf types for each affordability level The information generated is also an excel sheet containing the above information together with the price of land per sqr. It is given to SDD and Consultancy Group. The observations of fieldwork are:

- This division has also access to IT database from where it can be checked the land market situation.

iv) In order to plan the future services information on the existing formal and their vicinity with in-formal ones is needed. The above information is in digital form. It is stored in the central database of CoW and in the peripheral ones of the following divisions: Bulk Water Division, Transportation Divi-sion, and Electricity Division. It is generated by digitising process of topographical maps, cadastre plans and aerial photos and updated by using survey techniques. The data contain information on: electricity network, road and storm water locations, and water and sewer systems. They are in Auto-CAD format in the peripheral databases and are converted in Map Guide format in the central one. Here they are used only for viewing purposes.


BEGU 35 2003

Spatial analyses with digital data are done only in Transportation Division to evaluate the possibility of roads constructions. The observations during the fieldwork are:

- There is not yet an agreement for the frequency of up-dating these data among divisions. - There is no metadata for the data and only those who use them know in general what is avail-

able. - There is also no price policy and the data are given for free to the Consultancy groups. - There is no copyright protection of the above data. - Data stored in CoW database are converted in MapGuide and used only for viewing purpose. - Sustainable Development Division and Consultancy Group use these data to evaluate the pos-

sibility of extending or linking these services with the area under study. v) To define the affordability level of informal settlement community a user need assessment is needed. Community Development Division, helped by Consultancy Group experts, does it through Baseline Survey. There are a lot of satellite offices close to informal settlement area, which do the registration of com-munity and collect the above data. The data that these baseline forms contain deals with:

• Community identity, (community registration) • The current state of services in the area • Housing structure and use • Their preferences for upgrading, • Their income level

The above data are analysed in this division and information on the below issues is generated:

• Personal identification data • Plot occupancy/rooms/buildings • Current housing structure • Number of household with bank account • Employment data • Ranking of preferences for public services facilities • Ranking of preferences for communal facilities • % Of preferences for transportation means • Monthly incomes for each household head • Monthly expenses per household

Consultancy Group and Sustainable Development division analyse the above information and make decision on affordability level of this community and what services they need. The observations of fieldwork are as follows:

- The form (questionnaires) preparation and survey was done with the assistances of consul-tancy group (Urban Dynamics). This is because of lack of experience and lack of trained peo-ple in this field. This division makes also use of students to fill the baseline survey forms.

vi) Feasibility study report is compiled from Consultancy Group called Urban Dynamics of Africa. This is a private company hired by the Municipality through tender to prepare full feasibility study of


BEGU 36 2003

informal settlement area that is part of the specific upgrading project. They work in close collabora-tion with the experts of municipality divisions in order to:

• Make use of the existing database • To take decisions in consensus

The output of feasibility study, Project Profile and Social Compact are then sent to hierarchical struc-tures of CoW (see 3.2) for approval. If the layout is approved by City Council, Survey General gives the approval for the layout subdivisions and the next step is their registration in the Deed’s office. The final result is communicated to the Community of Informal area. Table 3 provides an overview of organizations/departments involved in Feasibility study and their respective tasks. The fieldwork observation would be:

- There is a GIS unit in UD Company using ARC View software. - Digital data analyses are part of their work, however they need to convert the data taken from

Municipality in shape file format. - The additional information that they generate by field survey and data analysis is not recorded

back in Municipality database. The following table provides an overview of stakeholders involved in feasibility study and their role in it.

Table 3-2 Overview of actors contribution in Feasibility study

3.7. Types of geo-information and sharing procedure

There are three data sets currently used in feasibility study task. These are as follows:

Organization/Department Name

Contribution on Feasibility Study

Sustainable Development Division *Perform the preliminary feasibility study; *Close collaboration with UD in the full feasibility study;

Environmental Division *Prepare Environmental Assessment Form; Land Valuation Division *Determine the price of the land; Community Development Division *Facilitate the process conducting Baseline Survey Geomatics Division *Perform Slope analysis and Aspect analysis Survey General *Provide Cadastre data (boundaries and ownership), Aerial Photos and Topog-

raphical Maps Electricity Divisions *Provide information on location and vicinity of electricity network Bulk Water Divisions * Provide info on location of existing and vicinity of services of water and

sewer. Transportation Divisions *Provides information on road network and storm water locations. Deed Registration Office *Register the subdivisions of Feasibility Study layout approved by Council Urban Dynamics of Africa (Consultancy group)

*Conduct a full feasibility study, in close collaboration with Municipality pro-fessionals.


BEGU 37 2003

Foundation Data This data set is fundamental for all the divisions. It includes geographic names, DTM, geodetic con-trol. Framework Data These data includes cadastral data, administrative boundaries, utilities etc. This information is directly collected from field survey or digitised from cadastre and topographical maps. Specialized divisions in CoW are responsible for collecting and distributing these data. Mission Specific Data These data are collected and used for problem solving purpose e.g. determine if the informal settle-ment is located in a suitable terrain or not. Among them could be: geological data, demographic and cultural data, atmospheric data etc.

Figure 3-5 illustrates these types of data set, in relation to their sources and storage.

Figure 3-8 Types of geo-information used for feasibility study

The above geo-information is shared among users identified in Context Diagram. Figure 3-9 illus-trates data sharing procedure. LAN/MAN enable data sharing among divisions in CoW. Geomatics Divisions, where the Central DB is located retrieve framework data from local databases. Topo maps, cadastre data and aerial photos are accessed offline in hard copy from Ministry of land and digitised in this division. However, here only slope and aspect analysis are conducted for Feasibility Study. Framework data are used for other purposes (map preparation). Framework and foundation data are given to Consultancy group via CD. The data generated from Feasibility Study (mission specific data) are not recorded back in any of CoW databases.

FRAMEWORK DATA

CoW Databases (Central/Peripheral)

Ministry of Land

• DTM • Geo. Names

• Cadastral

• Topographical maps • Utilities network • Land use

Ministry of Land Field Survey

MISSION SPECIFIC DATA

Ministry of Land Field Survey/CoW DB

FOUNDATION DATA

• Demographic

• Cultural • Geology

Consultancy Group Database


BEGU 38 2003

Figure 3-9 Architecture of data sharing in current situation

3.8. Outcome of Feasibility study

The final products of feasibility study are the Project Profile and a Social Compact between the City Council of Windhoek and the Havana Community. These are hard copy report handed through the steps of the hierarchy mentioned in Section 3.2. The Project Profile includes:

- Background information about the area; - Project goals - Information on affordability level (% of population) - Development type and cost information - Chosen development levels - Proposed Layout - Possible problems and risks for the implementation of the project - Funds required for the implementation

F r q m e w o r k D a t a

Central DB

Slope/Aspect

Foundation data

Ministry of Land

��

��

Offline (Via CD)

Offline (Via CD)

FS report

Mission Specific Data.

Field survey

- Data Analysis

- Field survey

LDB1

Road Net

Electric

Water

Land Price

EAF

Soc.-Ec

LDB1

LDB1

LDB1

LDB1

LDB1

Local Server

Local Server

Local Server

Local Server

Local Server

Local Server

- Elevation - Boundaries

Data on Informal Settlements area: - Communal services; - envi-ronmental data; - soc.ec data

Consultancy Group DB

LAN/MAN


BEGU 39 2003

A Social compact has been drawn up to serve as conformation between the service provider, City of Windhoek, and the user Havana Section 2 community that the services as discussed will be rendered. Typically, not all residents will agree on the desirable and affordable level of service improvement. Hence, some will have to be moved out of the area to alternative sites, prior to upgrading taking place. There are obvious difficulties in securing agreement about what improvement will take place and what will happen to the families that need to be moved. In this context the Social Compact aims:

- To confirm acceptance of the levels of services to be provided under the project - To confirm l acceptance of the payments due for such services; - To confirm acceptance of the broad management and maintenance; procedures and responsi-

bilities of the parties to this agreement; - To confirm acceptance of the institutional framework to be created to guide implementation,

maintenance and management.

Figure 3-10 Proposed Layout of Havana area - Section 2/Extension 1.

3.9. Proposed Development Level for Havana section 2/Extension 1

In accordance with the results of the completed feasibility study, the following table summarizes the service level proposed for Havana area.


BEGU 40 2003

Type of service Specifications Subdivision Blocks with an average of 18 households per block.

Blocks optimised in terms of potential future subdivision. Adequate provision to be made for non-residential uses.

Tenure Lease, however, future purchase options should be fully explained to the community. Water Water point at each communal block. Blocks evenly spread through the area. One tap

per block. Provision for fire hydrants. Sewer Communal blocks serving 18 households on average. Communal flush latrines with

water borne reticulation will serve 60 people. Lighting 25 m masts with overhead cabling. Roads Access collector. Internal streets. Refuse removal Self-containment and collection by private contractors.

Figure 3-11 Proposed Development level

3.10. Concluding Remarks

This chapter introduce the case study. Feasibility study is identified as first step on the long process of upgrading and City of Windhoek as the government body responsible for guiding this process. Based on fieldwork data analyses the following issues are presented: an overview of the case study area with regard to informal settlement situation and upgrading approaches, analysis of feasibility study proce-dure focusing on stakeholders, data requirements and geo-information use. In the next chapter a de-tailed analysis of GI policy and management issues will be performed and a strategic plan and GI pol-icy will be formulated.


BEGU 41 2003

4. Strategic Planning and Geo-information Policy

4.1. Introduction

This chapter aims to achieve the second objective of this research. In order to identify the elements of a GI policy and its implications on geo-information management for feasibility study a strategic plan will be formulated. Its formulation will follow the Strategic Planning Model. An analysis of the cur-rent situation of GI policy and management issues will be undertaken, supported by SWOT analysis to identify the weaknesses, strengths, opportunities and threats that current procedure of feasibility study is facing. The results of these analyses are then used to identify the elements for a desired future and to assess the resources needed to achieve this future. Formulating a GI Policy that provides major guidelines for geo-information use on feasibility study process will follow this.

4.2. Strategic Planning Model

Strategic planning is an analytical tool that serves to take decisions on the use of resources. The Stra-tegic Planning Model indicates the steps to be undertaken in order to develop a strategic plan that will support geo-information processes in feasibility study procedure. The following figure illustrates the phases carried in the research.

Figure 4-1 Strategic Planning Model (Adopted from van der Molen et al, 2002)

Assess Current Status Environmental Analysis

Determine the Desired Future

Undertake Gap Analysis

Develop a Strategic Plan

Elements of GI Policy

Formulate GI Policy


BEGU 42 2003

4.3. Assessment of Current Situation

This assessment consists in an internal analysis carried out by collecting and assessing data on the inputs, processes and output of feasibility study. The information is collected during the fieldwork using User Requirement Survey technique. A number of interviews were performed with representa-tives from all the stakeholders involved in feasibility study procedure. The interviews were designed to capture information in relation with geo-information policy and management status and existing awareness on these issues among all data users.

4.3.1. Current status of GI Policy in Feasibility study

Informal settlement is a new phenomenon for Namibian urban environment. As a result there is an evident lack of experience in dealing with the situation from the geo-information policy point of view and all the issues related to its use. Based on the observation during the fieldwork and the analysis of data collected from the interviews the current situation appears as follows: Institutional issues • Existence of Development and Upgrading Strategy provides the necessary institutional, legal, so-

cial and financial background that the feasibility study designers can follow in order to define the upgrading conditions of a certain area.

• There is a limited knowledge among the staff with regard to the potentials of IT in geo-

information handling to support decision-making process. • There is no specific policy for data organization and management that will be used only for Feasi-

bility study. • Namibia is a new country, only ten years from its creation. However the political situation is quite

stable and the country is getting involved in recent development of information technology. Technical issues • The geo-information used for feasibility study of informal settlements is in two forms: analogue

and digital. The analogue data consist of topographical maps, aerial photos, cadastre plans, town plans, land use maps. The up dating is done in hard copy format. Because of they state in hard copy the process of up-dating takes a lot of time and efforts.

• Concerning digital data, there is a Central Database in Geomatics divisions and peripheral data-

bases in other divisions. They are all part of a LAN/MAN’s but up to now the spatial information is used mainly for viewing purposes and for feasibility study digital spatial analysis is done only in few tasks, even there are all the data possible (Reefer table 4-1).


BEGU 43 2003

• All the divisions use MUNSYS and AutoCAD system to work with their data. These data are

converted in Map Guide in Geomatics division. This software allows only visualization of data and simple location queries.

• There is no metadata for this information. As a result not everybody knows what data is where,

what data are up-dated and when. • There is no policy to assure the quality of information. Except for environmental data, quality

evaluation is not applied to other data sources. • There is an initial stage of data security policy. Only one division that is in charge of managing

central database has access to the data stored in peripheral databases. The others only can view the data through Map Guide but cannot edit them.

• There are no standards applied for the data. Legal issues With regard to legal aspects of geo-information use the main observations made during the fieldwork would be: • There is no copyright and intellectual property right of information. • The data are given for free to the consultancy groups that are hired to conduct the feasibility

study. Even there is an agreement that these data can be used only for the current project it is not possible to control it.

• There is not yet any agreement on up-dating frequency. This in turn affects the liability of

generated information. Financial issues: • There is no data price and maintenance fee policy. Data are free for internal use and also for con-

sultancy groups. On the other hand CoW pays Consultancy group for conducting feasibility study.


BEGU 44 2003

4.3.2. Current status of GI Management issues in Feasibility study

There are three main processes identified in relation with geo-information management for feasibility study purpose. They are:

1. Data Discovery/Acquisition 2. Data Processing 3. Data Dissemination

Figure 4-2 gives an overview of these processes in feasibility study procedure of CoW. Because there is no metadata for the information possessed by CoW and other organizations involved in data shar-ing, the process of data discovery is done based on personal knowledge and staffs experience. For this reason this process is not included in the above-mentioned figure.

• Data Acquisition consist of three types of processes:

a) Data digitising. This includes digitising of three kinds of data used for feasibility study (discussed in 3.7). The sources of these data are aerial photos, cadastre plans, topographical or other thematic maps.

b) Data capturing. In this process the data are collected via field survey techniques using questionnaires and interviews with informal settlers.

c) Data extraction. This includes data identification and retrieving via LAN/MAN-s of CoW.

• Data Processing. This process includes working on recorded data in both in peripheral and central database of CoW in order to make them ready for use. Geo-referencing, topology building, attribute specification etc are part of it.

• Data Dissemination This process deals with two aspects: dissemination of data throughout the procedure of feasibility study and dissemination of the end product. As a result of LAN/WAN data are provided and ex-changed among users inside CoW. To Consultancy Group data are given using CDs. The final output is a hardcopy document that is handed to CoW (Sustainable Development Division) by Consultancy Group.

These processes are illustrated in figure 4-2.


BEGU 45 2003

Figure 4-2 Processes of Data Acquisition/Analysis/Dissemination for Feasibility Study

Table 4-1 outlines these processes in relation with each feasibility study task.

Topographical Maps

Limited analysis for Feasibility Study Data used for Pre-feasibility Study

Processes Input/Output

Feasibility Study Report

Digitise

Windhoek City Council

Decision Maker

Aerial Photos

Cadastre plans

Existing database

Field Survey

Geo-information

Extract

Capture

Community Requirements data

Capture

Data stored in central DB Data stored in peripherals DB

Data stored in CG DB

Data analysis in CG GIS system

Data acquisition

Offline (Via CD)


BEGU 46 2003

Data Acquisition Data Proc-essing

Data Dissemination

Feasibility study

tasks Method of data

Acquisition

Source of data

Type of data

Method of data

Analysis

Method of data Dissemination

Economic charac-teristics of the area

Baseline Survey Questionnaires Provider Community Devel-opment Division

employment details; monthly incomes; savings and afforda-bility;

Record in CDD Data-base

Via LAN/MAN; CD for C.Group Format: DBF file

Household charac-teristics

Baseline Survey Questionnaires Provider Community Devel-opment Division

number of people per household; relations;


Via LAN; CD for C.Group Format: DBF file

Housing demand Baseline Survey Questionnaires Provider Community Devel-opment Division

occupants expecta-tions;


Via LAN; CD for C.Group Format: DBF file

Determine site availability

Survey tech-nique; Receive foun-dation data in analogue form

Aerial photos; Cadas-tre plans. Provider: Ministry of Land; Sustainable Dev. Div

Spatial data Format: analogue

Checking the availability of the land

Prepare/send report (Hard copy)

Define site location Survey tech-nique; Digitising

Survey technique; Aerial photos; Cadas-tre plans. Provider: Ministry of Land; Sustainable Dev. Div


Delineate the location of the site

Hard copy for C.Group

Evaluate site area/shape

Survey tech-nique; Digitising

Survey technique; Aerial photos; Cadas-tre plans. Provider: Ministry of Land; Geomatics

Spatial data Features: lines Format: dwg

No digital data analysis in WCC

Via LAN CD for C.Group

Verify existing land tenure

Digitising Cadastre plans Provider: Ministry of Land;

Spatial and non-spatial data Format: analogue DBF files with owner-ship data

Checking the ownership on cadastre data

Via LAN/Associated report; CD for C. Group Format: DBF file

Determine site boundaries


Cadastre plans Spatial data Format: analogue

No digital data process-ing in CoW

Via LAN; CD for C.Group

Evaluate site topogra-phy/landscape


Aerial photos; Cadas-tre plans. Provider: Ministry of Land; Geomatics

Spatial data Features: lines Format: dwg

Slope/Aspect analysis

CD for C.Group Format: Raster

Identify ground conditions and level of pollution

Survey tech-nique;

Survey technique; Provider: Environmental Divi-sion

Non-spatial data No digital data analysis in CoW; EAF prepara-tion

Send hard copy for C.Group


BEGU 47 2003

Identify housing densities and cur-rent plot develop-ment/Plan new plot development

Survey tech-nique;

Survey technique; Spatial and non-spatial data



Identify and plan utilities and trans-portation

Digitising Aerial photos; Survey technique; Provider: Ministry of Land;




Table 4-1 Geo-Information used and the relation with three main aspects of GI management

4.4. Environmental Analysis

Using SWOT analysis tool will do the Environmental Analysis for geo-information management in feasibility study procedure. The purpose is to identify strengths and weaknesses in relation to oppor-tunities and threats posed by the external environment, in relation with the GI policy and management issues. The basic principle in the SWOT analysis is the idea that good strategy means ensuring a fit between the external situation or environment (threats and opportunities) and the internal qualities or characteristics (strengths and weaknesses) of the organization. For this reason, identifying all these elements regarding current feasibility study procedure will help formulating strategic choices with the aim of facilitating it. The SWOT analysis will consists of following basic steps

- External Strategic Factor Analysis - Internal Strategic Factors Analysis - Generating Alternative strategies - Formulation of Strategic Choice

4.4.1. External Scanning

The external scanning will help to assess the key external factors that affect the environment in which feasibility study is conducted. The characteristics of these forces can be: political, legal, economical, technological, socio-cultural and demographic ones. Opportunities

• There is an increasing demand from the informal settlement areas for upgrading. This in re-turn increases the awareness of the Municipality for the necessity of faster response.

• Existence of consultancy groups with a very good professional experience in conducting fea-sibility studies for upgrading informal settlements. They can use the experience of consul-tancy groups and gain their own one by doing.


BEGU 48 2003

• The information generated from UDA during feasibility studies preparation and recorded in their database, in the future can be recorded back to Municipality Central Database.

• Growing power of GI technology. Threats

• There is no copyright and intellectual property right formulated by Municipality for the use of their data fund. So these data can be re-used illegally.

4.4.2. Internal Scanning

The internal scanning will serve to evaluate feasibility study’s potentials and problems, in regard with geo-information policy and management issues. Based on case study data, below are given the factors considered as strengths and weaknesses that the Municipality is actually facing in this procedure. Strengths

• All the departments/divisions in Municipality store they data in central database. • Because they all work in AutoCAD environment there is no problem in data integration.

These data can also be used in future for spatial analysis in-house. • There is a rich fund of digital spatial data, collected by survey or generated by digitising using

topographical maps or aerial photos. • Development and Upgrading Strategy forms a solid institutional base for feasibility study pro-

cedure and output. • Available hardware and software equipments. • Municipality owns Havana Section2 land so there is no conflict in land tenure issues.

Weaknesses

• There is a severe shortage of human resources capacity and they experience in upgrading process is limited. This result in a lack of experienced people in conducting feasibility study for this purpose.

• Limited use of digital data for spatial analysis. • There is no metadata for the data. The information is not making known by any means, so not

everybody knows what is available, where and in what conditions. This affects the process of data discovery and evaluation.

• The data generated by Consultancy group during the feasibility study are not recorded back to any of the municipality databases.

• It is very difficult and some time not possible to find even the data of previous preliminary feasibility studies, collected and recorded by Municipality itself because of a lack manage-ment system of stored data.

• No satellite images were used during feasibility studies. The existing ones are old and do not mirror the last development of informal settlement areas.


BEGU 49 2003

• The approval of preliminary and full feasibility study in both cases goes through the same procedure. This prolongs beginning of project implementation.

• There is no copyright policy. • There are no data standards. • Limited knowledge in IT potentials among staff. • Feasibility study is project base and the data used for a specific project are not saved for fur-

ther steps in upgrading process. • There is no specific policy for data organization and management that will be used only for

feasibility study These elements are summarized in the following tables.

Internal Strategic Factors STRENGTHS

Weight Rate Weighted score

• Divisions in Municipality store their data in central database. 0.03 2 0.06

• Rich fund of spatial data (digital and non digital) 0.07 3 0.21

• Institutional base for feasibility study output. 0.05 5 0.25

• Available hard and soft equipments 0.07 3 0.21

• No conflict to be solved in land tenure issues. 0.01 1 0.02

• Initial stage of data security policy 0.04 2 0.08

WEAKNESSES

• Shortage of human resources 0.10 2 0.2

• Limited knowledge in IT potentials 0.07 2 0.14

• Limited use of digital data for spatial analysis. 0.09 2 0.18

• Lack of metadata 0.10 1 0.1

• Lack of data standards 0.07 1 0.07

• No recording back in Municipality DB of information gener-ated by consultancy group

0.10 1 0.1

• Same hierarchical procedure for preliminary and full feasibil-ity study approval

0.06 2 0.12

• No copyright policy 0.05 3 0.15

• Project data are not saved for further steps in upgrading proc-ess

0.04 1 0.04

• No policy for data organization and management that will be used of Feasibility study

0.05 1 0.05

TOTAL �1.00 � 1.94

Table 4-2 Internal Strategic Factors Analysis Summary (IFAS)

External Strategic Factors

OPPORTUNITIES Weight Rate Weighted score

• Increasing demand for informal settlement upgrading 0.10 3 0.3

• Making use of Consultancy Group’s experience. 0.30 4 1.2

• In the future the data stored in CG database can be recorded in WCC database

0.20 2 0.4

• Growing power of GI technology 0.10 2 0.2

THREATS

• Their data can be re-used illegally 0.30 1 0.3

TOTAL �1.00 �2.4

Table 4-3 External Strategic Factors Analysis Summary (EFAS)


BEGU 50 2003

The process of assigning the weight/rank is done based on a) personal fieldwork observation and b) using a survey technique to validate them with CoW professionals (Reefer Appendix 4). A list of Stra-tegic Factors was distributed to them and for each element of these factors they had to vote using a 5-point scale method of weighting (from 5 –“most important” till 1 –“not important”). These data were then compared with my weighting and an average for the elements was chosen. IFAS and EFAS con-tain this information. The total weighted score for strengths and weaknesses is below the average (1.94). This means that WCC reaction towards internal issues is poor. The factors that influence this level of response are:

• Lack of experienced staff in upgrading process of informal settlements and conducting feasi-bility studies,

• Limited staff with the necessary skills to operate GIS and digital data, • Limited knowledge about IT and its potentials and benefits.

The result of scores in EFAS shows that WCC responds stronger to the external factors. This means that they know how to make use of external opportunities in these case Consultancy Group specialists.

4.5. Determine the Desired Future

To determine the desired future of geo-information processes it is important to distinguish between the status of GI policy and management elements in current feasibility study procedure and how these issues should be. The bases for this assessment are current status analysis and environmental analysis discussed above. The SWOT Matrix shows that there are issues of GI policy and management that must be applied in geo-information use for feasibility study procedure. However in reality the limited knowledge in IT technology is a barrier for the appliance of missing GI policy elements. In spite of the difficulties the desired future for the GI policy and management issues is a situation when:

• A strategic plan for feasibility study procedure has to be established. The following issues should be addressed in it:

i) Training courses in IT technology and its benefits for decision-making process.

These trainings will increase the level of knowledge in IT technology and make possible the use of the existing resources inside the Municipality. ii) Data documentation policy. This is very important because it will make possible the re-use of existing data fund; save time for field survey in cases where data are available and speed up the upgrading procedure. iii) Metadata and Data Standards establishment


BEGU 51 2003

In this case the professionals involved in feasibility study will be aware of available data in time and will take proper decision for the data to be collected in the filed. iv) Copyright policy This policy will protect their data from illegal use. v) Quality control policy. This will assure data reliability and affect their effectiveness.

4.6. Gap Analysis

This type of analysis consists on comparing the current situation analysis of GI policy and manage-ment issues in feasibility study procedure with the desired future and identifies the gaps that exist. The gap specifications should be focused on: a) Differences between present and required inputs (re-sources, skills, organizations), b) Differences between present and desired output, c) Identify probable resources and limitations.

4.6.1. Differences between present and required inputs

Present Inputs:

- In the peripheral databases exist a rich fund of foundation and framework data and all the di-visions have available equipment to operate these data. However for feasibility study purpose analysis on these data in CoW are done in a limited level.

- There are not specialized staffs to conduct feasibility study therefore only few tasks of it are

supported with digital analysis from these divisions.

- The management of data suffers from the issues discussed so far in this chapter. Required inputs: The issues that relates to required inputs would be as follows:

- Increase capacity building to make use of inner resources (data and equipments).

- Data management and archiving policy in order to make the data collected for a specific pro-ject reusable for the ongoing process of upgrading.

- Introduce a quality control manual and apply it in existing and to be created data. This must

be done in both peripheral and central database of CoW in order to assure data quality ele-ments.


BEGU 52 2003

Geo-informationquality and availability

Geo-informationpolicy

Geo-informationmanagement

Lack ofstandards

No up-datingagreements No quality

control

No qualityassuarance

No transparency ondata discovering

Lack ofmetadata Data are re-collected for

each phase of upgrading

No storing system formission specific data

Shortage ofhuman resources

Limited knowledgein IT potentials

4.6.2. Differences between present and required outputs

Present output:

- The output information generated from feasibility study by Consultancy Group is not re-corded back in CoW database.

Desired output: Comparison of the current situation results with the desired ones shows that what is required in terms of outputs are:

- Shortening the response time to the community - Increased efficiency of CoW data fund.

4.6.3. Cause-Effect Diagram to support Gap Analysis

The Cause-Effect diagram is a tool for discovering the possible causes for a particular effect. The use of this tool will help for a better understanding of bottlenecks in geo-information use of the current situation. The major purpose of this diagram is to act as a first step in problem solving by generating a comprehensive list of possible causes. Figure 4-3 represents the cause-effect diagram. The horizontal line represents the primary effect. The lines coming off the core horizontal line are the main causes and the lines coming off those are sub causes.

Figure 4-3 Cause-Effect Diagram

The elements that represent the causes form the gaps needed to be overcome.


BEGU 53 2003

4.6.4. Identify probable resources and limitations

The following are considered as currently available recourses to overcome the gaps:

- Consultancy Group experience, which can be utilized to improve the staff skills. - Available equipments and rich data set.

The existing level of knowledge on IT technology and geo-information management among staff is-sues is seen as a limitation.

4.7. Development of a Strategic Plan

The reason of developing a Strategic Plan is to identify and select the most appropriate strategies that will support GI processes in feasibility study. This strategic plan aims to guide the actors involved in this process in implementing solutions to improve the situation in regard to geo-information use. It contains:

- Goals that are needed to achieve this objective, - Associated performance indicators to measure the level of goals achievements - Linked strategies that represents the steps to achieve the goals - Actions, logical steps towards the goal fulfilment

An overview of Strategic Plan for feasibility study procedure is given in table 4-4. Associated with it a Work Breakdown Structure (WBS) Chart is created. WBS is a planning tool that is used to illustrate the structure of a project and showing how it is organized into phases. Figure 4-4 represents this chart summarizing the main phases needed to implement the strategic planning.

Start1

DesignPhase1.1 Implementation

Phase1.2 Test Phase1.3

Design Phase A Design Phase B1.1.1 1.1.2

Define areas that needstraining

Select staff to be trainned

Select expertise for trainningcourses

Schedule trainningprogramme

Design an Information sytemfor Informal settlements data

Design sharing schemas fordata needed in FS

Identify activities for geo-information management

Inmplement the tasks ofDesign Phase

Test the tasksof Design

Phase

End Design Phase

End Implementation Phase

End Testphase

Figure 4-4 WBS chart


BEGU 54 2003

Table 4-4 Overview of goals, associated performance indicators, linked strategies and actions

G: Goals P: Performance Indicators S: Strategies A: Actions

G1 Human resource development

P1.1 Number of staff trained per year

S1.1 Develop internal training program to improve quality of staff in regard to GI policy and management issues.

A1.1 Identify the areas of training A1.2 Identify the staff to be trained. A1.3 Organize training courses, seminars in and out house. A1.4 Involve consultancy group experts to share their experience.

S1.2 Make use of foreign experts to improve technical and management skills of existing staff.

G2.Design & implement an archiving system of Feasibility study data (to use for on going process of upgrading).

P2.1Number of new data entries in CoW DB in relation with number of feasibility studies conducted per year.

S2.1. Design and develop an information system for Informal Settlement development.

S2.2. Establish a procedure for: a) Recording data generated from CG b) Data management and reviewing

S2.3 Improve the procedure of physical data security

G3.Provide data that is accurate, current and complete.

P3.1 % of data not more then 2 years old.

P3.2 % of data associated with Quality Assurance Form

S3.1 Develop an up-dating procedure to create up to date information

S3.2 Apply Quality Control system to create reliable information

A2.1 Design& implement a schema to solve heterogeneity issues in data. A2.2 Specify tasks for FS data management and reviewing A2.3 Sign an agreement with CG for information to be recorded in CoW DB. A2.4 Specify the data to be recorded A2.5 Specify the method and frequency of back-up procedure

A3.1 Establish agreement on data up dating frequency among divisions A3.2 Identify staff to perform quality control of data A3.3 Develop a quality instruction manual to determine the quality elements to be checked

G4. Increase the efficiency of CoW data fund

P4.1% of data associated with metadata.

P4.2 % of data under copyright

S4.1 Develop Metadata and their associated standards

S4.2 Introduce a copyright policy

A4.1 Formulate a procedure for metadata creation and issues to be addressed in it for all actors involved in data sharing. A4.2 Create metadata for the existing data and establish their standards. A4.3. Formulate copyright policy A4.4 Define the types of standards to be developed based on a standard need assessment A4.5 Implement the defined standards.

G5. Reduce the time of feasibility study procedure (Improve response time in data providing)

P5.1 Types of data accessed online in a specified amount of time.

S5.2. On-line data acquisition

A5.1 Update technology

S4.3 Develop standards for data sharing

P4.3 Types of standards established


BEGU 55 2003

4.8. GI Policy to support Geo-information Manegement in Informal Settlement Upgrading process

As it mentioned in the previous chapters policies serves to give direction on inputs and processes. An appropriate plan and management of data, technology and human resources will affect the overall pro-cedure performance and output quality of Feasibility Study, as the first step in Upgrading Project. The formulated Geo-information Policy is composed by principles, independent from any particular projects, which guide the use of geo-information in the process of Informal Settlement Upgrading. These principles provide the basis for management to evaluate given specifications on this issue and upgrading project results. If a policy framework is not established it will be difficult to set direction and evaluate the progress. A set of guiding principles permits each aspect of geo-information use to be compared against a corre-sponding guiding principle. If the use complies with the guideline then no concerns exist. If it does not then further investigation need to be done in geo-information use issues. Figure 4-5 gives an overview of the geo-information policy frame and the areas that it should cover.

Figure 4-5 Geo-information policy frame

The Policy for Geo-information Management in Feasibility Study process shall include the following principles: Geo-information Planning:

Principle A Geo-information is a valuable asset that should be managed rigorously in order to contribute to a successful Upgrading Process. Determining what data are needed for Feasibility Study - the first stage of this process - is of high impor-tance since it will not only provide a comprehensive approach to project need assessment but also will contribute on FS process design. Developing and maintaining of a Geo-Information Needs Inventory for FS procedure can achieve this. It’s aim is to keep record of what data are needed to perform a certain task, where they come from, what are the data produced by this tasks and where are they sent to.

MANAGEMENT of Geo-information

GI POLICY Formulation

Guiding Principles

Information Technology Specifications Geo-Information Planning Human Resource Development


BEGU 56 2003

Referring to S.Aronoff (1989): “The most cost-effective data collection is to collect only the data you need”. The Inventory must also record information about problems or inefficiencies in the current use of geographic information, which can be addressed and possibly corrected later on. As a result GI Needs Inventory may have an important impact on changes in the overall procedure in the future.

Principle B Geo-Information must be available all the time in order to efficiently assist Upgrading Process. Informal Settlement Upgrading is not one-shot process but is completed in several stages, according to community level of affordability in a certain period of time. As a result the need to conduct Feasibility Study for each stage will appear. If the data are recorded in a specific information system called Informal Settlement Service Centre it will be easy to monitor the development of the area and respond to commu-nity needs without re-collecting the data. The geo-information stored in this system must be associated by metadata. This will allow flexible access to data. Using a standardized geo-information is also very important amongst the others because it improves information loss in data sharing, increase integration of geo-information from different sources and speed up data analysis. However no data should be captured and processed without an associated plan for maintaining them. “Data is of no value unless the right data are in the right place at the right time” (Aronoff, 1989).

Principle C A reliable output of Feasibility Study process needs high quality and up to date geo-information. Data are of little value if they cannot be trusted to be current therefore the updating process must be a priority. Procedures and associated standards should be developed providing detail specifications on this issue. Quality of data is another important factor that affects the reliability of output. For this purpose is needed the development of a Quality Manual followed by a Quality Control Procedure to assure that input data and output information of each Feasibility Study task match with the quality requirements.

Information Technology Specifications: Principle D A user-friendly information technology must be chosen, that best serve to the process by making possible a satisfactory use of geo-information and at a reasonable cost. Some of the characteristics that should be included in the technology selection would be as follows:

a) Hardware performance specifications (geo-information processing capabilities, mem-ory capacity, etc).

b) Application software specifications, which consist of minimum requirements for soft-ware that will be used.

c) Operating system characteristics (ability to multitask, support application software etc).

d) Communication protocol standards, which ensure that the selected technology will be capable of communication over a network.


BEGU 57 2003

Human Resource Development:

Principle E Staffs of trained, motivated and dedicated people are crucial to a successful Upgrading Process. The process can be successful only if it is carried by people with the appropriate level of both technical and communication skills that share understanding and vision of the information technology potentials. Technical problems can be resolved during the time but staff without the motivation, creativity and willingness to accept new ideas are likely to ruin the process.


The SWOT analysis identified the external and internal strategic factors that feasibility study is currently facing, in regard to GI policy and management issues. This leaded to formulation of a number of strategies that will support its GI processes. Four goals have been defined along with actions for their fulfilment. The gap analysis shows that geo-information use lack important elements of GI policy and management. These are introduced in the formulation of Strategic Plan, which aims to overcome these gaps. A number of actions need to be undertaken in order to insure the use of geo-information in accordance with policy issues discussed in this research. In the next chapter the implications of the identified goals and strategies will be discussed.


BEGU 58 2003


BEGU 59 2003

5. Applying Business Process Re-design concept in Feasibility Study

5.1. Introduction

In the previous chapters a detailed analysis of geo-information processes for the Feasibility study is carried out. Additionally GI policy and strategic plan are formulated. In this chapter geo-information processes are seen as business processes, which manipulate and share data to support decision-making process for Feasibility study and Business Process Re-design concept will be used. For any Business Process Re-design three main phases can be identified in its life cycle (Radwan et al 2001). The initiation phase is part of the pre-BPR and involves definition of organization’s mission and vision; analysis of AS-IS situation including identification of the core processes, deficiencies and bottle-necks; strategic plan and policy formulation. In this research this phase has been considered in the previous chapters. Business Process Re-design represents next phase. The new TO-BE situation that reflects changes in process management will be developed in this phase in chapter 5. The Mainte-nance phase closes the cycle, concerning on the continuous improvement of the business process. The last phase is beyond the scope of this research.

5.2. Why BPR for GI processes?

The situation analysis in the previous chapter suggests a number of gaps in the management of Geo-information processes. This lead to the need of “re-designing” those processes in accordance with es-tablished GI policy and Strategic Planning. The Business Process Re-design concept has been chosen for this purpose. Hammer&Champy define the Business Process as "A collection of activities that takes one or more kinds of input and creates an output that is of value to the customer". Considering this definition geo-information processes are considered as business processes that use foundation and thematic data of an informal settlement area and create new information about it that is used directly in the decision-making process.

5.2.1. Business Process Re-design trends

Over the last few years, the reengineering concept has evolved from a "radical change" to account for the contextual realism (Caron et. al 1994, Earl 1994), and to reconcile with more incremental process change methods such as TQM, towards a broader, yet more comprehensive process management con-cept (Davenport 1995). Based upon a theoretical analysis and survey of literature relevant to reengi-


BEGU 60 2003

neering, Kettinger & Grover (1995) outline some propositions to guide future inquiry into the phe-nomenon of BPR. Their propositions centre around the concepts of knowledge management, em-ployee empowerment, adoption of new IT's, and a shared vision. However, King (1994) believes that although the current enthusiasm for BPR may end, process reengineering in some form or known by some other name (cf: Davenport & Stoddard 1994) would be of enduring importance. Davenport observed that quality specialists tend to focus on incremental change and gradual im-provement of processes, while proponents of reengineering often seek radical redesign and drastic improvement of processes. Davenport (1993) notes that Quality management, often referred to as total quality management (TQM) or continuous improvement, refers to programs and initiatives that emphasize incremental im-provement in work processes and outputs over an open-ended period of time. In contrast, Reengineer-ing, also known as business process redesign or process innovation, refers to discrete initiatives that are intended to achieve radically redesigned and improved work processes in a bounded time frame. Contrast between the two is provided by Davenport (1993):

Table 5-1 Process Improvement versus Process Innovation (Davenport, 1993)

5.3. Choosing the approach

Based on the above discussions a hybrid approach for this research seems to be more suitable. Several reasons can be given as follows: - SWOT analysis shows that there is a need to perform quality control over the input data and output information in all tasks of feasibility study. This can be achieved only by managing the process qual-ity (It requires innovation: reefer goal 3/actionA3.1 of Strategic Plan). - A new information system must be created for informal settlement data management (It requires in-novation: reefer principle B of GI Policy).

BP Elements Improvement Innovation • Level of Change Incremental Radical

• Starting Point Existing Process Clean Slate

• Frequency of Change One-time/Continuous One-time

• Time Required Short Long

• Participation Bottom-Up Top-Down

• Typical Scope Narrow, within functions Broad, cross-functional

• Risk Moderate High

• Primary Enabler Statistical Control Information Technology

• Type of Change Cultural Cultural/Structural


BEGU 61 2003

- In terms of capacity building development special training courses should be established (It requires improvements: reefer goal 1 of Strategic Planning). - An Informal Settlement data inventory must be developed (It requires innovation: reefer principle A of GI Policy). - An improvement approach provides a moderate risk. - An improvement approach requires less time to be applied. Based on the above arguments the characteristics of the chosen approach would be as illustrated in table 5-2.

Table 5-2 Characteristics of the Proposed Hybrid BPR approach for GI Processes

The proposed approach focuses towards strategic and operational level and ensures two important aspects in GI Management: 1. Product Quality This is related to the quality assessment of geo-information shared in feasibility study procedure. 2. Process Quality This deals with the quality of GI processes. It can be achieved by following a structured approach in the design stage removing non-value added activities. Performance indicators established in strategic planning will guide the choice for the best alternatives.

5.3.1. Conceptual Frame of the approach

The conceptual frame of proposed geo-information processes in the TO-BE situation is given in Fig-ure 5-4. It illustrates the elements that should be introduced in order to achieve a geo-information management in accordance with GI policy principles and to fulfil the goals of strategic planning.

BP Elements Hybrid BPR • Level of Change Incremental

• Starting Point Existing Process

• Frequency of Change One-time/Continuous

• Time Required Short

• Participation Bottom-Up

• Typical Scope Within functions/ Cross-functional

• Risk Moderate

• Primary Enabler Information Technology

• Type of Change Cultural/Structural


BEGU 62 2003

Figure 5-1 Conceptual Frame for proposed Hybrid BPR Model

5.3.2. Data View

Data View aims to introduce a new approach on geo-information management, involving rules and specifications for data sharing among the data users. Figure 5-2 illustrates the frame of this view. The data that will be shared in this approach are: - Foundation data, composed by elevation and boundaries. The sources of these data are Min-istry of Land and Field survey technique. These data are used in pre-feasibility and feasibility studies preparation by Sustainable development Division and Consultancy Group. - Framework data, composed by public utilities, environmental and socio-economic data. The sources for these data and their users are the same with the foundation data set.

- Mission Specific data include information about informal settlement areas like: communal service, environmental data and socio-economic data. To generate these kinds of data is needed Field survey technique and analysis on foundation and framework data (from the above mention sources) to evaluate the possibilities of the area upgrading. These data will are generated by Consultancy Group and should be integrated in CoW peripheral databases after the implementation of these features in the reality.

The following new elements will be included in the proposed Data View:

� Geo-spatial Data Service Centre (GDSC) � Informal Settlements Service Centre (ISSC)

Geo-spatial Data Service Centre will be responsible for the integrity of the service, which matches data demand and supply in two directions. It will facilitate data discovery, evaluation, access and dis-semination by providing the following functions:

Data View

Strategic Planning Goals/Strategies/Actions

Institutional Technical

Legal

�� Data Standards �� Metadata �� Data sharing/integration rules �� Data quality assurance

�� Copyright protection

�� Re-design GI Management structure (Establish GDSC/ISSC) �� Capacity building

Process View

BPR

GI Policy


BEGU 63 2003

- Co-ordinate the access to data sources for both external (Consultancy Group) and internal users (CoW Divisions, Informal Settlement Service Centre). This co-ordination must be in compliance with geo-information policy of all data sources and assure that the data will fit to the specified standards of GI processes in feasibility study procedure. This includes: a) Convert the sharable data in the required data exchange standard and deliver it online. The World Wide Web technology will assure data sharing between external users and internal ones through GDSC. LAN/MAN will still enable data sharing among internal users. In this data exchange model syntactic data heterogeneity will be solved (Reefer Appendix 7). Applying standards to data will solve schematic and semantic heterogeneities.

b) The design of specific GUIs for different users will control their access to data and assure data protection. At the same time it will give the possibility to the users to view and evaluate only the data they are interested in. c) The development of an abstraction mechanism will converts local metadata into global metadata. - Provide access to global and local metadata. This function has two aims:

a) To allow all users (external/internal) to know exactly where the data are, evaluate data status and get instructions on their rights/restrictions and method for the access.

b) To provide a metadata entry tool to all the data users inside CoW in order to allow register-ing and up dating of their metadata. The metadata must be standardized and all internal divisions and consultancy groups involved in data sharing must apply them (Reefer Appendix 8). Geo-spatial Data Service Centre is composed by: (Groot&Mc.Laughlin 2000)

• Local Server The local server provides three main services to the users: access to the local metadata, access to the local geo-spatial databases, and online transmission of datasets. They are responsible for maintaining transactions, data conversion and delivery mechanisms. Data and associated local metadata are stored in them. Its functionality in terms of data providers includes:

- converting existing metadata information into metadata standard compliant format - abstracting metadata into the global metadata - registering metadata into the clearinghouse server using metadata entry tool provided - sending up-to date information for global metadata - providing metadata information to all users - providing a transaction mechanism - converting the shareable part of the database into the required data exchange standard and de-

liver it - accessing control for the user joined to the distributed system, in order to allow the user direct

access to the data.

• Clearinghouse server


BEGU 64 2003

It is a mediator that links data provider and data user. This server provides two main services to the user: searching the global metadata and providing links to the local metadata. The main functions of the clearinghouse server include:

- providing a metadata entry tool to the data provider in order to allow registering and updating and updating of the metadata after checking the user name and password.

- providing a user interface for queries to the users - receiving query parameters from the users - processing the query against the global metadata - sending the query results to the users with links to the local metadata.

• GUI

A GUI contains communication protocols allowing interaction with the clearinghouse server and the local server. Its main functions are:

- providing query forms to select or key-in search parameters - passing the query parameters to the clearinghouse server - providing a result for the users to browse through - requesting local metadata from the local server - sending order information or requesting data sets - providing a means to access the metadata entry/update tools

• Local metadata

Local metadata contain detail information about a specific database.

• Global Metadata Global metadata contains generalized information about all databases connected with GDSC. Informal Settlement Service Centre (ISSC) will be introduced in Sustainable Development Division, which will also be responsible for the centre maintenance. The establishment of ISSC is needed to assure the new approach in geo-information management since it will fulfil Goal2 in the formulated strategic plan. This Centre will be the mediator between CoW divisions and Consultancy Group in data sharing procedure. The ISSC has the following functions: - Access the Mission Specific Data provided by Consultancy Group. These data will be temporary stored in the local server of the Centre until the services that these data represents are not imple-mented in the reality. After the implementation CoW divisions will have access to these data and they will be stored respectively in local servers in accordance with their thematic. - Provide and Control the access of foundation and framework data owned by CoW to Consultancy Group. - Provide access of Mission Specific Data to CoW divisions after the implementation of upgrading services. - The Centre will be in charge to assure quality of mission specific data.


BEGU 65 2003

- Use the mission specific data to inform decision makers and public opinion. - Use the above data for the next stages of the area upgrading. This will provide two main advan-tages: first, there will be no need to re-collect the data for the same area, though will save time and money; second, feasibility study phases can be conducted in-house if the data are available, though there will be no need to pay again a consultancy group. This will have an impact on the whole upgrad-ing process by reducing the study phase. - Facilitate Pre-feasibility study process because:

• Having access to metadata will reduce the time of data searching for pre-feasibility study and eliminate the possibility of collecting data that are already available.

• Accessing data online will make possible that assessment on 20% area can be done not only

by visualizing the data (as it is done so far) but also performing simple spatial analysis, in-creasing the level of accuracy of generated information.

Considerations for data sharing: Some considerations can be laid down for geo-information sharing inside CoW and between CoW and Consultancy Group. It is very important to ensure that copyright of geo-information shared is pro-tected, the access and use of data is controlled, metadata specification are followed and the quality assurance form is completed for each data set that is going to be shared.


BEGU 66 2003

Figure 5-2 Conceptual Data View in the “TO BE” situation for managing GI processes

Internet

Mission Specific Data Source

F r a m e w o r k D a t a

LDB1

PFS report Monitor Informal Settlement Upgrad-

Foundation Data

Central DB

Ministry of Land DB

��

��

Mission Specific Data

SDD DB

Field survey

Geo-spatial Data Service Centre

L O C A L

M E T A D A T A

LOCAL METADATA

Road Net

Electric Net

Water Net

Land Price

EAF

Soc.-Ec data

LDB1

LDB1

LDB1

LDB1

LDB1

Local Server

Local Server

Local Server

Local Server

Local Server

Local Server

Informal Settlements Service Centre

Web browser

GDSC Server

LAN/ MAN

GLOBAL METADATA

GUI

Local Server

WWW server

- Elevation - Boundaries - Slope/Aspect Analysis

Data on Informal Settlements area: - communal services; - environ-mental data; - soc.ec data

LOCAL METADATA

CG DB

Data on Informal Settlements area: - communal services; - environ-mental data; - soc.ec data

- Data Analysis - Field survey

Web browser

GUI

WWW server

LAN/ MAN

LOCAL METADATA

Local server

Decision Makers

FS report

Public opinion

Web browser

GUI

WWW server

Web browser

GUI

WWW server

Information on Informal Settlements


BEGU 67 2003

5.3.3. Process View

The Process View of a system describes the system’s decomposition into processes and tasks and the communication and synchronization among these elements (Radwan et al, 2001). To design the Proc-ess View for geo-information processes in feasibility study the Activity Modelling technique can be used. In this technique, a business process is decomposed step-by-step into activities that make up the process. This result in a multi-level diagram that corresponds to the way the whole process will work. Each activity is shown in a diagram, complete with the inputs to that activity, the outputs of that activ-ity, the controls or constraints on the way the activity will be performed, and the mechanisms or fac-tors of production consumed by the activity in transforming inputs to outputs. In this study Activity Diagram of the Unified Modelling Language (UML) is used to describe activities and workflows re-lated to GI processes in Feasibility Study. They are basically flowcharts that are used to show the workflow of the system and describe the roles and areas of responsibilities in the business (Tuladhar, 2002). The aim of this new model is to replace the existing non-value added geo-information processes and creates new ones that will be in alliance with GI policy and strategic planning. The comparison of this model with AS-IS situation model shows that some of the existing processes are not needed any more. New ones replace them, intending to achieve time saving and better geo-information management. In the activity diagram illustrated in figure 5-3 the process view as a whole is described. The design of the above processes was guided by goals of strategic planning. The following processes are the new ones:

• Register/ Notify request: The upgrading request from community is registered in local database of Community Development Division. This process will facilitate management of this kind of data in comparison with analogue archiving system that currently exists. At the same time a notification will be send to Sustainable De-velopment Division to let them know about the request.

• Access request: Existing LAN/MAN will make the access on-line possible for Sustainable Development Division (SDD). The introduction of this process aims to eliminate queuing time by replacing “receive request” off-line.

• Access/View metadata: (Reefer appendix 8) SDD division will view metadata about the existing data in CoW peripheral and central databases.

• Access data on-line: This process gives the possibility to SDD to have access for data stored in local and central databases and not only viewing them as it is currently been done.


BEGU 68 2003

• Perform Pre-feasibility study: Advantages of automation in replacing analogue analysis with digital ones would be related to issues like time saving, additional techniques for data analysis and possibilities to visualize the results.

• Store data: This process aims to archive the information generated from pre-feasibility study in ISSC database for further upgrading phases.

• Prepare data for access: This preparation includes establishment of rules for data sharing that will facilitate and control this procedure.

• Access/View metadata:

(Reefer appendix 8)Through this process external users will get information about CoW data set.

• Access data on-line: Consultancy Group (external users) will be able to access data online. This will eliminate their queu-ing time in the current procedure. CoW divisions will also save their time by not being involved in data preparation. A user name and password provided for CG will make possible the control of data access.

• Provide access for FS data: Consultancy Group prepares data for sharing (create metadata according to specifications, sign quality assurance form) and provides access to CoW.

Activity diagram in figure 5-4 illustrates data sharing process among CoW divisions and Consultancy group. The key processes in this model are related to data discovery and evaluation through metadata and access of data online using web technology.

AS

SE

SIN

G F

EA

SIB

ILIT

Y S

TU

DY

OF

INFO

RM

AL

SE

TT

LEM

EN

T U

PG

RA

DIN

G: A

RE

TH

ER

E G

I PO

LIC

Y A

ND

MA

NA

GE

ME

NT

IMP

LIC

AT

ION

S?

BE

GU

6

9

2

003

Co

ns

ult

an

cy

Gro

up

De

cis

ion

-ma

kin

g g

rou

p

Su

sta

ina

ble

De

ve

lop

me

nt

Div

isio

n

Co

mm

un

ity

De

ve

lop

me

nt

Div

isio

n

Re

cie

ve U

pg

rad

ing

Re

qu

est

Re

gis

ter/

No

tify

Re

qu

est

Acc

ess

Re

qu

est

Pre

pa

re f

or

Pre

-fe

asi

bili

ty S

tud

y

Acc

ess

/Vie

w M

eta

da

ta

An

aly

se d

ata

Co

nd

uct

Fie

ld s

urv

ey

[no

t a

ll d

ata

ava

ilab

le]

[all

da

ta a

vaila

ble

]

[no

]

Pe

rfo

rm P

re-f

esi

bili

ty s

tud

y[y

es]

Sto

re d

ata

Pre

pa

re d

ata

fo

r a

cce

ss

Se

nd

PF

S r

ep

ort

Re

cie

ve P

FS

Eva

lua

te P

FS

Ta

ke d

eci

sio

n

Se

nd

de

cisi

on

No

tify

the

co

mm

un

ity

Re

cie

ve P

FS

de

cisi

on

[ca

n't

up

gra

de

]

[ne

ed

imp

rove

me

nt]

Pre

pa

re f

or

Fe

asi

bili

ty S

tud

y

[ok]

An

no

un

ce/O

rga

niz

e t

he

te

nd

er

Acc

ess

/Vie

w M

eta

da

ta

Co

nd

uct

Fie

ld S

urv

ey

Acc

ess

da

ta o

n-l

ine

[mis

s d

ata

][a

ll d

ata

avi

lab

le]

Co

nd

uct

Fe

asi

bili

ty S

tud

y

Pro

vid

e a

cce

ss f

or

FS

da

taP

rep

are

FS

re

po

rt

Se

nd

FS

re

po

rt

Re

cie

ve F

S r

ep

ort

No

tify

the

Co

mm

un

ity

Se

nd

de

cisi

on

Figu

re 5

-3 A

ctiv

ity D

iagr

am fo

r Pro

cess

es V

iew

in “

TO

BE

” si

tuat

ion


BEGU 70 2003

Access of Mission specific data from CoWAccess of foundation/framework data from Consultancy Group

Access WW W server

Access/View metadata

Access data on-line

[all data available]

[data missed]

Inform CoWConduct Field Survey

Collect data needed Analyse data

Prepare FS report

Send FS reportPrepare data FS for sharing

Establish metadata

Sign Quality Assuarance Form Provide access for FS data

Access WW W server

Access/View metadata

Access data

Tarnsform data

Store datain ISSC Database

Check data quality

Vizualize data for notification purpose Check implementation/up-date data

Provide data access to divisions

Figure 5-4 Activities for data sharing among users


BEGU 71 2003

5.4. GI Policy issues

This section aims to introduce the status of geo-information policy issues in the “TO BE” situation. It discusses the advantages that the introduction of new elements brings for GI processes in feasibility study. With regards to institutional issues the new model provides strategies for organization and manage-ment of geo-information processes and introduce the necessity for training in information technology. The strategies include specifications on technical and legal aspects of geo-information policy. In rela-tion to technical issues the following elements are introduced in the new model:

• Development of Metadata This element is seen as the most important one. The assessment of current situation carried in the pre-vious chapters identified a gap in data communication because geo-information users depend on their experiences and knowledge about data location, availability and quality. The establishment of meta-data will solve this problem.

• Assurance of Data quality A Quality Assurance Form is introduced in appendix 9. All data users should fill it and accompany the data their share. This will make evident problems in relation to existing data quality and lead to establishment of procedures towards its improvement. The responsibilities for data quality will also be shown.

• Establishment of Standards Both Data and Process View incorporate new elements that need to be standardized. Establishment of standards is of a high importance because they will facilitate the sharing of the information by solving particular problems like: how to represent data efficiently or manage a communication system. They create benefits as interoperability and help the creation and maintenance of data with a high level of quality, which in turn increase data value in decision-making. From the legal perspective elements of GI policy are also taken in consideration in the TO-BE situa-tion. They are incorporated with the above-discussed elements and are facilitated by them. Liability and access commercialisation of data are now ensured in the new model as a result of quality assur-ance strategies and metadata establishment. The formulation of a copyright policy will ensure data protection and intellectual property rights. With regard to financial aspect some concluding remarks can be laid down. CoW represents the major public body that provides all types of geo-information. As a governmental institution it’s his duty to provide free access to this information in private companies that are involved in join projects for con-ducting feasibility study. For this reason formulating a price policy is not introduced as an element in GI policy for TO-BE situation.


BEGU 72 2003

5.5. GI Management issues

With regard to geo-information management the processes of data discovery, access, processing and dissemination in the TO-BE situation can be addressed as follows:

• Data Discovery and Access:

In this model the questions: How to find data? How can I access data? - are answered by metadata development. The information that they provide will make the process of data discovery transparent and easy by letting everyone know where the data are stored, what is their format, quality, age etc. They will guide users in data accessing too. The introduction of Geo-spatial Data Centre in the Data View aims to provide access of foundation and framework data on-line for consultancy group and mission specific data for CoW. As it is mention before the queuing time for data access off-line will be eliminated.

• Data Processing and Analysing: One of main issues discussed in current situation analysis carried in previous chapters was lack of people with proper skills to run information technology. As a result the awareness for training courses in this field was raised in geo-information policy and strategic planning. It is believed that when this gap will be overcome the data processing and analysing will be improved. Supported by the rich fund data analysis process can cover more tasks then it actually does. In this way there will be less money spend for hiring consultancy group in every phase of upgrading.

• Data Dissemination The new model for data dissemination process provides deliver data and information generated on-line. The benefit of this will be time saving. *Al the above processes need to be supported by a trained staff.


BEGU 73 2003

5.6. GI Policy and Management implications

This research raised the question: Are GI policy and management implications for feasibility study of informal settlement upgrading? The answer is yes. So far a new approach for geo-information man-agement is introduced and it has shown that the specified elements will affect the feasibility study performance. The implications that this approach is foreseen to cause are as follows: - Collecting geo-information is an expensive task. As a result storing mission specific data in CoW database will reduce cost of mission specific data collection for further upgrading phases and elimi-nate data duplication. In the mean time these data can be used to provide information on this area to public opinion and politicians. - Setting standards will make databases easier to use and maintain by all stakeholders. This will save the time in data processing and make the output understandable by everybody. Standards also ensure the inter-operability between systems involved in data sharing (CoW and Consultancy Group infor-mation systems) and generate information with a high level of quality and consistency which directly influence the output quality of the decision making. - Establishing metadata will save time by facilitating data discovery and evaluation process. - Introduction of GSDC will ensure data accessibility of data at any time hence will speed up the fea-sibility study phase. The figure below represents an overview of the above implications.

Figure 5-5 Overview of GI policy and management implications

DECISION-MAKING (Feasibility Study)

Effectiveness Efficiency

Introduction of ISSC Standards development

Increase output quality and reliability Reduce cost of data collection Eliminate data duplication

Make data available and accessible at any time

Introduce GDSC

Supported by Training Programs


BEGU 74 2003


This chapter aimed to fulfil the last objective of this research. It introduced geo-information processes of feasibility study as business processes and give reasons for choosing the suitable approach among trends. A Data and Process View are developed to address the bottlenecks identified in previous chap-ters in relation with geo-information management. These Views represents new business models for geo-information processes in alliance with Strategic Plan goals and GI Policy principles. All the above mentioned is hoping to increase the awareness of stakeholders involved in feasibility study for the importance of a proper use of geo-information.


BEGU 75 2003

6. Conclusions and Recommendations

6.1. Introduction

This research introduced key elements of geo-information management to support the decision-making process. Feasibility study for informal settlement upgrading was chosen for this purpose as it represents the first step to decide if the area has upgrading opportunities and identifying the possible upgrading options. This research tackled the situation by raising the question: are there GI policy and management implications for feasibility study of informal settlements upgrading? To answer it three main objectives were identified and several tasks were needed to carry out in order to address them. This chapter summarizes the research conclusions and provides some recommendations.

6.2. Conclusions

There are a number of conclusions that can be drawn from the various research issues. They are as follows:

- Feasibility study is the first step in informal settlement upgrading project. It is a very impor-tant decision-making process as it determines the upgrading options of the area.

- Geo-information is a vital component for feasibility study. Good results from such an activ-ity can be highly attributed to the generation of good information. Thus, there exists a strong depend-ency between decision-making quality and geo-information management. To achieve a reliable and effective output a good management of the geo-information is needed. This entails the establishment of policies, standards and agreements for geo-information use in order to make it available, accessible and affordable for all the stakeholders; provision of the proper technology to support this use; devel-opment of the necessary human resources able to put in action the above elements.

- The existing situation was analysed with regards to institutional, technical, legal and finan-cial aspects of geo-information use. Processes of data discovery, evaluation, access and dissemination are investigated as well. These analyses identifies that the use of geo-information for feasibility study lacks important geo-information policy and management elements.

- To improve the situation a Strategic Planning Model can be used. It includes several stages that allow assessing the existing situation, identifying gaps and revealing strategic choices with re-spect to geo-information use. As result a Strategic Plan (SP) and GI Policy has been formulated. SP incorporates goals, which indicates areas that need to pay attention in order to overcome the identified gaps. At the same time it provides strategies and actions needed to achieve the goals. GI policy repre-sents a general guideline that underlines the most important factors that must be considered in geo-information use for feasibility study preparation.

- To introduce the approach for GI management where the above strategies and policy elements are reflected, BPR concept can be utilized. Based on this concept GI processes are seen as business


BEGU 76 2003

processes that use as input foundation and framework data and create as output mission specific data that are used to take decision for upgrading. As a result Business Process Re-design (BPR) concept can be used to introduce changes in the existing situation. The designed Data and process Views rep-resent the Hybrid BPR Model chosen. They incorporate the elements of geo-information use that the present situation lacks. The approach is expected to facilitate the performance of feasibility study by introducing the following components in geo-information management:

• Provide access to data on-line will reduce the time in data request/access procedure and make data available all the time for the users.

• Develop data standards will solve data heterogeneity and increase information quality. • Establish quality assurance procedure will ensure data quality and reliability, directly affect-

ing the quality of output. • Develop metadata will facilitate the processes of data discovery/evaluation and access and in-

crease the transparency of data sharing among users. • Developing data up-dating agreements among stakeholders will ensure output reliability

- Introduction of Informal Settlements Service Centre makes possible to store the mission specific

data in-house. This makes possible: • The re-use of data in further steps of upgrading without need of re-collection. • Provision of up-dated information on existing situation of informal settlement area for public

opinion and decision-makers. - To implement the GI management elements that the approach introduces establishment of train-

ing courses are required to ensure the necessary skills among staff.

6.3. Recommendations

- The proposed Data and Process View need to be evaluated operationally, technically and

economically before implementation.

- Introduction of these views will be associated with changes in organizational structure. Therefore a detailed study on cultural issues must be conducted prior to their implementation.

- Development of professional training programs is a necessity to ensure the human capability for geo-information management.


BEGU 77 2003

Bibliography and References

Literature

ABBOTT, J; 2001 “Use of spatial data to support the integration of informal settlements into the formal city”, Published in ITC journal, Enschede, The Netherlands

ARONOFF, S; 1989 “Geographic Information Systems – A Management Perspective” Published by WDL Applications, Ottawa, Canada. BARRY.M, RUTHER.H; 2001 “Data collection and management for informal settlements upgrades”, Pre-sented in International Conference on Spatial Information for Sustainable Development, Nairobi, Kenya.

BISHR, Y.A and RADWAN, M.M; 2002 “Technical aspects of GII” Lecture notes on GII, ITC, Enschede, The Netherlands CHARLES, H.S; 2002 “GIS implementation, a study of issues related to the Grenada Electricity Services Ltd.”, IFA report, ITC, Enschede, The Netherlands CASTLE, H.G; 1993 “Profiting from a Geographic Information System”, Third Edition, GIS World book, Colorado USA.

CASSETTARI, S; 1993 “Introduction to integrated geo-information management”, Published by Chapman & Hall, London, UK. DAVIDSON, F and PAYNE, G (editors); 2000 “Urban Projects Manual - A guide to preparing upgrading and new developments projects accessible to low income groups”, Published by Liverpool University Press, UK. DRAFT DEVELOPMENT & UPGRADING STRATEGY; 1999 – published by City of Windhoek, Na-mibia. ESRI’ White Paper Series SDTS; 1995 “Supporting The Spatial Data Transfer Standard In Arc/Info” GILLESPIE, R; 2000 “An empirical approach to estimate GIS benefits”, URISA journal, vol.12, nr.1. GILPIN, A; 1995 “Environmental Impact Assessment cutting edge for the twenty – first century” The press syndicate of the University of Cambridge, UK.

GROENENDIJK, L; 2001 “SWOT Analysis”, ITC, Enschede, The Netherlands GROOT, R; 1997 “Spatial Data Infrastructure (SDI) for sustainable land management”, Presented at the Conference on Geo-information for sustainable Land Management, Enschede, the Netherlands.


BEGU 78 2003

GROOT, R and McLAUGHLIN, J; 2000 “Geospatial Data Infrastructure concepts: cases and good prac-tice”, Published by oxford University Press, New York, USA. GAMAGE.P; 2001 “Geo-information Infrastructure to support the Development Planning Process”, MSc thesis, ITC, Enschede, The Netherlands HAWRYSZKIEWYCZ; 2001 “Introduction to Systems Analysis and Design”, Fifth edition, Published by Pearson Education Australia. HUNGER, D and WHEELEN, T; 1996 “Essentials of strategic management”, Published by Edison-Wesley. LAURINI, R and THOMPSON, D; 1992 “Fundamentals of Spatial Information Systems”, Published by Academic Press, London, UK. MOELLERING, H and HOGAN, R; 1997 “Spatial Database Transfer standards2: characteristics for assess-ing standards and full description of the national and international standards in the world”, Published by El-sevier Science Ltd. MASSER. J, BURROUGH.P, CRAGLIA.M, RHIND.D; “Decision maker’s perspectives on European geo-graphic information policy issues”, Transactions in GIS, 1997, vol. 2, no.1 MASSER. J; 1999 “All shapes and sizes: the first generation of national spatial data infrastructures”, International Journal of Geographic Information science, vol.13, no1. MASSER. J, OTTENS. H; 1999 “Urban planning and geographic information systems”, Published in Geo-graphical Information and Planning, Berlin, Germany. MASSER, J and BURROUGH, P (editors); 1998 “European Geographic Information Infrastructures –opportunities and pitfalls”, GISDATA no.5, Published by Taylor & Francis – USA. MASSER, J and BLAKEMORE, M; 1991 “Handling geographical information – methodology and potential applications”, Published by Longman Group UK. MASSER, J; 1995 “Strategic Monitoring for Urban planning in developing Countries: Some guidelines from British and Dutch Experience”, United Nations Centre For Regional Development, Nagoya, Japan. MASSON.S, BALTSAVIAS.E, BISHOP.I; 1997 “Spatial decision support systems for the management of the informal settlements”, Comput. Environ. And Urban Systems, vol.21, Published by Elsevier Science Ltd, UK. OXFORD UNIVERSITY PRESS; 2000 “Geo-spatial data infrastructure: concepts, cases and good practice” OBERMEYER, N.J and PINTO, J.K; 1994 “Managing Geographic Information Systems”, Published by the Guilford Press, New York, USA. ONSRUD, H.J, and RUSHTON, G.R; 1995 “Sharing geographic information”, Published by New Bruns-wick – The State of University of New Jersey, Centre for Urban Policy research, USA.


BEGU 79 2003

PARESI, M.C and RADWAN, M.M; 1996 “Guidelines for the development and maintenance of a Geo-information Utility in a distributed environment”, Published in International Archives for Photogrammetry and Remote Sensing, vol. XXXI, part B4, Vienna, Austria. RADWAN.M, SANI.H, MORALES.J; 1999 “Business Process Re-design &Process Modelling”, Lecture Notes, ITC, Enschede, The Netherlands RADWAN.M, ONCHAGA.R, MORALES.J; 2001 “A structural approach to the management and optimisa-tion of geo-information processes”, OEEPE Official Publication no.41 SCHOLTEN, H.J and STILLWELL, C.H; 1990 “Geographical Information systems for Urban and Regional Planning”, The GeoJournal Library, Published by Kluwer Academic, The Netherlands. TULADHAR.A.M; 2002 “Why is Unified Modelling Language (UML) for Cadastral Systems?, Workshop of EU Cost Action G9, Delft University – The Netherlands UNITED NATIONS; 1998 “GIS and standardization: a handbook”, New York, USA. UNITED NATIONS, ECONOMIC AND SOCIAL COMMISION FOR ASIA AND THE PACIFIC; 1996 “Manual on GIS for planners and decision makers” URBAN GIS – DATA SHARING Guide Book; 1990 National computer Graphics association and Urban Regional Information Systems Association VAN der MOELEN, P and GEORGIADOU, Y; 2002 “Introduction to the GIM program”, Lecture notes ITC, Enschede, The Netherlands

WWW sites Upgrading of Low Income Settlements – Country Assessment Report, Namibia – January 2002 the World Bank Accessed on September 2002 http://web.mit.edu/urbanupgrading/upgrading/case-examples/overview-africa/country-assessments/reports/namibia-report.html#annex_G Upgrading Urban Communities – A resource for practitioners; Version 04-16-01 Accessed on September 2002 http://web.mit.edu/urbanupgrading/upgrading/whatis/what-is.html#Anchor-What-10518 Asian Conference on Remote Sensing, 2000 “Prospect for the Method of Urban Safety Analysis and Envi-ronmental Design” Accessed on November 2002 http://gisdevelopment.net/aars/acrs/2000/ps3/ps309a.shtml “Problem and prospects of adopting GIS in urban development” Accessed on September 2002 http://gisdevelopment.net/application/urban/overview/urbano0006.htm “Regulatory guidelines for urban upgrading” Accessed on September 2002 http://www.itdg.org/html/shelter/docs/rguu_e-conference.doc


BEGU 80 2003

“En empirical approach to estimate GIS benefits”, URISA Journal, vol.12 nr.1 Accessed on November 2002 http://www.urisa.org/Journal/protect/vol12no1/gillespie/gillespie.pdf GSDI cookbook, 2001version 1.1 Accessed on December 2002 http://www.gsdi.org

Federal Geographic Data Committee, Accessed on December 2002 http://fgdc.gov “The difficult process of identifying processes”, Articles by Fred Nickols, Accessed on January 2003 http://home.att.net/~nickols/diffcult.htm “BPR online – learning centre”, BPR tutorial series, Accesses on January 2003 http://www.prosci.com/intro.htm “Planning for Business Process Re-engineering”, The Electronic College for Process Innovation, Accessed on January 2003 http://www.c3i.osd.mil/bpr/bprcd/7224c1.htm Scheduling Techniques & Project Management, Accessed on February 2003 http://www.doc.mmu.ac.uk/online/SAD/T04/projman.htm Project Planning & Graphing software, WBS Chart, Accessed on February 2003 http://www.criticaltools.com/wbsmain.htm


BEGU 81 2003

Appendix 1 Definitions of Terms

Strategy: A strategy is a course of action involving a logical combination of actors, factors and ac-tions chosen to reach a long-term goal or vision (van der Molen et al, 2002). It maximizes competitive advantages and minimizes competitive disadvantages (Hunger&Wheelen, 1996). Policy: Major guidelines for reaching end in accordance with priorities. Policies should be formulated after, or as a consequence of the formulation of the organization’s mission and objectives. Policies give direction to decisions on inputs and processes (van der Molen et al, 2002). Strategic Management

• Strategic management consist of four basic elements: • Environmental scanning • Strategy formulation • Strategy implementation • Evaluation and control (Hunger&Wheelen, 1996).

Strategic Planning: “Planning is an analytical process which involves the assessment of the future, the determination of desired objectives in the context of that future, the development of alternative courses of action to achieve such objectives and the selection of a course or courses of action from among those alternatives” (Scott, 1963 cited by Obermyer&Pinto). "Strategic planning is a disciplined effort to produce fundamental decisions and actions that shape and guide what an organization (or other entity) is, what it does and why it does it” A strategic plan

• Represents a shared vision of what will be • Provides a framework which will be consistent over a specific period of time • Identifies an overall direction but not the means of achieving it • Identifies the predetermined direction toward which short term actions will be pointed • Identified the context within which the organization accepts or rejects new products and op-

portunities and assigns its resources to current services (http://www.hhpl.on.ca/halinet/stratplandef.htm)

Environmental scanning: Environmental scanning is the monitoring, evaluating, and disseminating of information from the external and internal environments to key people within the corporation. The external environment consists of variables (opportunities and threats) that are outside the organization and not typically within the short-run control of top-management. These variables form the context within which the corporation exists. They may be general forces and trends within the overall societal environment or specific factors that operate within an organization’s specific task environment –often called industry. The internal environment of a corporation consists of variables (Strength and Weaknesses) that are within the organization itself and are not usually within the short-run control of top management.


BEGU 82 2003

These variables form the context in which the work is done. They include the corporation’s structure, culture, and resources (Hunger&Wheelen, 1996). Strategy formulation: Strategy formulation is the development of long-range plans for the effective management of environmental opportunities and threats, in light of corporate strength and weak-nesses. It includes defining the corporate mission, specifying achievable objectives, developing strategies, and setting policy guidelines. Mission: An organization’s mission is its purpose, or the reason for its existence. Objectives: Objectives are the end result of planned activity. They state what is to be accomplished by when and should be quantified if possible. The achievements of objectives should result in the fulfil-ment of the corporation’s mission (Hunger&Wheelen, 1996). SWOT Analysis: SWOT is an acronym used to describe four strategic factors Strength, Weaknesses, Opportunities and Threats.The SWOT analysis is a tool design to be used in the preliminary stages of decision-making, often as a precursor to strategic planning. It is a common tool in evaluation studies. The SWOT analysis consists of following basic steps: the external analysis to identify opportunities and threats, the internal analysis of the organization to identify the existing strengths and weaknesses, the generation of alternative strategies and the formulation of a strategic choice (Groenendijk, 2001). SFAS Strategic Factors Analysis Matrix: SFAS summarizes a corporation’s strategic factors by combining the external factors from the EFAS matrix (External Strategic Factors Analysis Summary) with the internal factors from the IFAS matrix (Internal Strategic Factors Analysis Summary) (Hun-ger&Wheelen, 1996). System environment: Things outside the system study that can affect system behaviour (Hawrysz-kiewycz, 2001) Erf: one plot (parcel) of land Upgrading (in situ upgrading): Any upgrading (or improvement) of a community living conditions (such as installing additional services and subdivision for individual ownership) on the site where it is settled. Self-help group: A group of low-income residents who come together to save voluntarily, with an approved constitution, who initiate the improvement of their own living conditions in terms of order, tenurship and services or a combination of these.


BEGU 83 2003

Appendix 2 City of Windhoek – Organizational Structure

Planning,Urbanization&Environment

Infrastructure,Water&Technical

services

The Mayer

Chief Executive Officer

Community Services

Economicdevelopment,Tourism andrecreation

TransportationHuman resourcesFinance andInformationTechnology

Electricity

Existing Organizational Structure of CoW

Bulk Water

Solid waste disposal

Building Maintanace

EnvironmentalDivision

SustainableDevelopment

Division

Housing andProperties

Geomatics Division

Valuation services

CommunityDevelopment

Emergency Services

DisasterManagement

Health Services

Tourism

Sport, Art andCulture

Recreation andCemeteries

Economicdevelopment

Marketing andComunication

Public Transport

Municipal Fleet

TransportationPolicy, Development

and Coordination

Roads andstormwater

Staffing Management

Org.development&Industr

ial relations

Trainning anddevelopment

Health and safety

Legal division

Architecture

Technical support

Budget,services andfinancial statements

Procurement

Information services

Distribution

Technical support

* Rectangles in gray color illustrates departments/divisions involved in feasibility study.


BEGU 84 2003

Appendix 3 Project Process Design by Consultancy Group (UDA)

The figure below illustrates the phases followed by Consultancy Group – Urban Dynamics of Africa (UDA) for feasibility study preparation.

Phase 1 INCEPTION

Phase 2 COMMUNITY INTRODUCTION

COST ESTIMATES BASELINE STUDIES

Consult with Community Committees, the target Com-munity and other stakeholders to confirm the nature of the project and broad spatial structure

Phase 3 SOCIAL ACCEPTANCE

WORK OUT WHAT IS AFFORDABLE AND ACCEPTABLE TO ALL PARTIES

Meeting with the target communities to establish the level of acceptance of the proposals and to design the project

Phase 4 ENVIRONMENTAL IMPACT ASSESSMENT

AND MANAGEMENT PLANS

Phase 5 FINAL SOCIAL ACCEPTANCE

[Social Compact]

Phase 6 STUDY REPORT


BEGU 85 2003

Appendix 4 SWOT Validation

-

Questions

What is considered as STRENGTH FACTOR of Municipality for GI processes of feasibility study are:

Weighting pro-vided from SDD

My weighting

Average Weighting

• Divisions in Municipality store their data in central database 4 0.04 0.03

• Rich fund of spatial data (digital and non digital) 5 0.07 0.07

• Institutional base for feasibility study output 4 0.04 0.05

• Available hard and soft equipments 5 0.07 0.07

• No conflict to be solved in land tenure issues (For Havana case) 4 0.01 0.01

• Initial stage of data security policy 4 0.03 0.04

What is consider as WEAKNESSES FACTOR are: • Shortage of human resources 5 0.08 0.10

• Limited knowledge in IT potentials 3 0.09 0.07

• Limited use of digital spatial data for analysis 3 0.10 0.07

• Lack of metadata 5 0.9 0.09

• Lack of data standards 5 0.08 0.10

• No recording back in Municipality DB of information generated by Consul-tancy Group

4 0.09 0.07

• Same hierarchical procedure for preliminary and full feasibility study ap-proval

5 0.08 0.10

• No copyright policy 3 0.03 0.05

• Project data are not saved for further steps in upgrading process 3 0.03 0.06 • No policy for data organization and management that will be used for Feasibility study

4 0.07 0.05

What is consider as OPPORTUNITIES FACTOR from the External environment with which Municipality collaborate are:

• Increasing demand for informal settlement upgrading 1 0.20 0.10

• Making use of Consultancy Group's experience 4 0.10 0.30

• In the future the data stored in CG database can be recorded in WCC Database

4 0.30 0.20

• Enabling power of GI technology 5 0.10 0.10

What is consider as THREATS FACTOR from the External environment are:

• Their data can be re-used illegally for other purposes 5 0.30 0.30

• Professionals of Sustainable Development Division (SDD) were asked to weight each factor as follow: For the importance of each factor in the strategic position of CoW in relation with GI processes for Feasibility Study: 5. Most important 4.Important 3. Average importance 2.Below average importance 1. Not important • Based on fieldwork observation I weighted each factor from 1.0 (most important) to 0.0 (not important). • Comparing both weightings an average weight was chosen. • Rating was assigned based on fieldwork data analysis.


BEGU 86 2003

Appendix 5 Processes Dictionary

Proc-ess No

Process Name Process Description Input Flows Output Flows Data Storage Process Type

1/2 Receive request for upgrading A request for upgrading is submitted by IS community to the office of Community Development Division of CoW. CDD send it to SDD.

Community’s Request for Upgrading.

Request geo-information for Pre-Feasibility study

Community Development Archive and Sustainable De-velopment Archive

Offline Document delivery

3 GI processing for PFS Request, data for 20% sample area Request geo-information for PFS

Request geo-information for PFS

Data in analogue form are temporary been kept in Sus-tainable Development Division (during the PFS)

Foundation data are re-trieved in analogue form by SDD. Framework data are viewed online via Map Guide. Soc.Ec data are collected by field survey.

4 Pre-Feasibility Study Process This process includes assessment of the area in regard to site suitability and socio-economic characteristics of the community.

Data retrieve/Notify data avail-ability/Decision on PFS

PFS Report Data in analogue form are temporary been kept in Sus-tainable Development Division (during the PFS)

Retrieve data in analogue form (topo maps, aerial photos). View data online in MapGuide through LAN

5 Decision/Notification In this process WCC: -study PFS/FS and take a decision -notifies the Informal settlers about the decision on PFS/FS

PFS Report FS Report

Notify the Informal Settlement Community about the results of PFS and FS.

WCC archive Document delivery

6 Feasibility Study process SDD in charge of supervising the upgrading process will announce a tender to point a private consultancy group to conduct FS. This CG will be in charge of preparing FS.

- Request to conduct FS - CG request data for FS

- FS report from Consultancy Group - Decision on FS report from WCC

Contract for CG; FS report -CoW DBs -Consultancy Group DB

Feasibility study is con-ducted by CG. CoW is the main data provider for this process.

7 Geo-information Request for FS Upon the request from CG Sustain-able Development Division ask for foundation and framework data the providers in CoW.

Geo-information request from Consultancy Group

Request for geo-information to other divisions.

Data are retrieved from CoW division’s central and periph-eral databases.

Data delivery to CG offline (via CD)


BEGU 87 2003

Appendix 6 Data Dictionary

Data Flow Name Description Source Data structure Data Flow Type Process number

where it occurs. Data Flow Trans-

fer Type Send a request for Upgrading A document where the Community of IS request

upgrading of that area. Community of IS Hard copy document Incoming 2 Hard copy handed

Request geo-information for PFS

A document where SDD ask to provide the requested data

Sustainable Development Divi-sion (SDD)

Hard copy document Outgoing 3

Request Infrastructure data for Pre-Feasibility Study

Geomatics Division request Infrastructure data in 20% sample area from: 1. Electrical Division - Current electrical network data 2. Bulk Water Division - Current water &sewer services data 3. Transportation Division - Current road network and storm water data

Geomatics Division Digital data – Can be viewed online through MapGuide

Outgoing 3 Geo-information is accessed online through LAN

Request Socio-Economic data Sustainable Development Division request So.-Economic. Data in 20% sample area from Community Development Division


DBF file Outgoing 3 Hard copy handed

Request A.P; Topo &Cadastre data

Sustainable Development Division request Aerial Pho-tos, Topo maps and Cadastre data from Geomatics Divi-sion.


Analogue form of maps, plans and aerial photos.

Outgoing 3 Hard copy handed

Receive Infrastructure data Aerial Photos, Topo and cadastre data are received in hard copy

Infrastructure Divisions View data in Map-Guide

Incoming 3 Access data through LAN

Receive Socio-Economic data Community Development Division in 20% sample area collects socio-Economic data by conducting a baseline survey.

Community Development Divi-sion

Analogue Document (Questionnaires)

Incoming 3 Hard copy handed

Data access SDD view data provided by Geomatics division via Map Guide software.

Geomatics Division MapGuide extension Incoming 4 Online via LAN

Notify data availability Geomatics Division notify about the availability of data. Geomatics Division Document Incoming 4 Hard copy handed

PFS Report SDD prepare a report containing the results of pre-feasibility study.


Document Outgoing 4 Hard copy handed

Notify Windhoek City Council (WCC) notify the Informal Settlers about the results of PFS

Windhoek City Council (WCC Document Outgoing 5 Announcement

Decision on PFS Windhoek City Council (WCC) inform SDD about the decision on PFS quality

Windhoek City Council (WCC) Document Outgoing 5 Hard copy handed


BEGU 88 2003

FS report CG send the FS report to SDD Consultancy Group Study report Incoming 6 Hard copy handed Request data for FS CG in charge of conducting FS request data to CoW. Consultancy Group Document where is

specified the data needed for FS

Incoming 6 Hard copy handed

FS report SDD send the report on FS to WCC. Sustainable Development Divi-sion (SDD)

Study report Outgoing 5 Hard copy handed

Decision on FS Windhoek City Council (WCC) inform SDD about the decision on PFS quality

Windhoek City Council (WCC Document Outgoing 6 Hard copy handed

FS request On the base of PFS results WCC send a request to SDD to proceed with FS procedure

Windhoek City Council (WCC Document Outgoing 6 Hard copy handed

Contract for FS SDD based on tender results sign a contract with a pri-vate consultancy group which will be in charge to con-duct FS


Document Outgoing 6 Sign a contract

Geo-info Request Upon the request for data sent by CG, SDD request these data to provider in CoW


Document Outgoing 5 Deliver the docu-ment offline to the divisions

Request Infrastructure data for FS

SDD send a request to Infrastructure divisions for: - Current electrical network data

- Current water &sewer services data - Current road network and storm water data



Request Socio-Economic data for FS

Sustainable Development Division send a request to Community Development Division for So. -Economic. Data in informal settlements area.



Request Slope/Aspect analysis Sustainable Development Division send a request to Geomatics division to prepare Slope/Aspect analysis for project area.



Request Land Price Sustainable Development Division send a request to Land Valuation Division to prepare land price data.



Request EAF Sustainable Development Division send a request to prepare EAF



Request A.P; Topo &Cadastre data

Sustainable Development Division send a request to Ministry of Land to provide Aerial Photos, Topo Maps and Cadastre plans on project area.


Document Outgoing 7 Deliver the docu-ment offlineto the divisions


BEGU 89 2003

Appendix 7 Proposed System Architecture for data sharing

Conceptual System Architecture for the proposed data sharing (Adopted by Groot&McLaughlin 2000)

Architecture of data access from Consultancy Group (CG) (Adopted by Groot&McLaughlin 2000)

Graphic USER interface Consultancy Group

Web Browser

Local server1

Request for metadata/data

Local Metadata

Global Metadata

Data

Local server2

Local server3

Query

Query results

Send metadata/data

GDSC server

Request Meta-data

Informal Settlements Service Centre (Local Server)

LDB1…n Local Metadata

Service Module

Remote

data access

module

Format Converter

Data sets trans-mission module

Data set delivery

Service controller

Security controller GUI generator

WWW server

Access data CG Local Server

GDSC Server

Global Metadata

DBMS

Service Module

Bridge or driver

Metadata Manager

Query

processor

Service connector 2 Service connector 1

WWW server

Update metadata

Metadata entry/update

Web browser

GUI Consultancy

Group

Request data

Service provision

WWW server

Retrieve metadata

Linkage to Local metadata


BEGU 90 2003

Appendix 8 Local Metadata specification

The Federal Geographic Data Committee approved the Content Standard for Digital Geo-spatial Metadata (FGDC-STD-001-1998) in June 1998. These metadata are used in Internet-based clearing-house to facilitate searching of a certain data set. An overview of the metadata content is given in fig-ure below:

(Source: FGDC Metadata Standards)

However there are three levels of metadata specifications, each containing different level of details in accordance with user needs. The following figure illustrates this: Pre-order

Levels of details for metadata (Groot&McLaughlin, 2000)

Citation Information; Description; Time-Period of Content; Status; Spatial Domain; Key words; Access Con-strains; Use Constrains, Point of Contact; Browse Graphics, Native Data Set Environment; Cross reference

Attribute accuracy; Logical consistency report; Completeness report; Positional accuracy; Lineage;

Direct Spatial Reference Method; Type Object Information

Coordinate System Definition

Entity Type; Attribute domain information etc.

Distributor; Resource description; Distribution Liability; Standard order process;

Metadata Date; Metadata Contact; Metadata Standard Name; Metadata Standard Version;

Identification

Data Quality Information

Spatial Data Organization

Spatial Reference Information

Entity / attribute information

Distribution information

Metadata Reference Information

Metadata for advertising

Metadata for final judgement

Technical metadata

Post-Order


BEGU 91 2003

Appendix 9 Quality Assurance Form

Quality Assurance is defined as all those planned and systematic actions necessary to provide ade-quate confidence that a product or service will satisfy given quality requirements (Radwan et al, 2001). The quality requirements should be specified in quality manual and professionals from CoW and Consultancy Groups must follow these requirements by checking the data quality elements. A sample form of quality assurance is given below:

General Description: (What type of data it is, what it will be used for, by whom etc)

Source of data: Format: Scale: Captured Time:

Acquiesced by: Date of Acquisition Method of acquisition Type of equipments used: Hardware: Software: Data transformation types:

Format after transformation: Spatial Data features: Topology presence: (yes/no) Attribute rules: Structure rules: Positional accuracy: (RMS error if digitised): Completeness: Data structure: (attributes and coding system). Date of up dating: Method: Reason: By whom: Currently Data stored in: Responsible for data maintenance: Date: Signature:

Data Source Information

Data Acquisition Information

Data Structure

Other information


BEGU 92 2003

Assessing Feasibility Study of informal settlements upgrading - ITC

Documents

Transcript of Assessing Feasibility Study of informal settlements upgrading - ITC