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The Capacity of Institutional Innovation Following the Diffusion of Urban Plans: Explorations of the Impact of an Urban Master Plan in Kigali, Rwanda

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The Capacity of Institutional Innovation Following the Diffusion of Urban Plans: Explorations of the Impact of an Urban Master Plan in Kigali, Rwanda The capacity of institutional innovation following the diffusion of urban plans: Explorations of the impact of an urban master plan in Kigali, Rwanda Von der Fakultät Architektur, Bauingenieurwesen und Stadtplanung der Brandenburgischen Technischen Universität Cottbus-Senftenberg zur Erlangung des akademischen Grades eines Doktor-Ingenieurs genehmigte Dissertation vorlegt von Dipl.-Ing. Carolin Pätsch aus Schwedt/Oder Gutachterin: Prof. Dr. Silke Weidner Gutachter: Prof. Dr.-Ing. Michael Peterek Gutachter: Prof. Dipl.-Ing. Frank Schwartze Tag der Disputation: 18.01.2017 The capacity of institutional innovation following the diffusion of urban plans: Explorations of the impact of an urban master plan in Kigali, Rwanda Carolin Pätsch Thesis submitted to the Faculty of Architecture, Civil Engineering and Urban Planning of the Brandenburg University of Technology Cottbus-Senftenberg for the degree of Doktor-Ingenieur Editorial © 2017 Dipl.-Ing. Carolin Pätsch Brandenburg University of Technology Cottbus-Senftenberg Faculty Architecture, Civil Engineering and Urban Planning Alle Rechte vorbehalten / All rights reserved Printed in Germany ISBN: 978-3-00-057610-2 Preface This dissertation is the result of four years of purposeful study and research on innovation and planning diffusion in Kigali, Rwanda. The majority of this exploration of urban planning in Kigali took place while I was in Berlin. My research, however, would not have been possible without the experience of previ- ously working as a junior expert of urban planning for the DED in the ‘Land Use Management and GIS Department’ in Kigali. My knowledge of and personal contact to Rwanda supported my work from afar. My fi eldwork in Kigali in 2012 and 2014 benefi tted from people there still remembering me and opening their door to me and to my questions. I want thank many people. I will not be naming them, but those concerned know that I will be thanking them individually. I want to, therefore, deeply thank all my Rwandan friends and colleagues as well as international experts working in Rwanda, who helped me to realise my research. This research would not have been possi- ble without their friendliness and support in the fi eld as well as discussion partners from afar. I want to especially thank my Rwandan friends, who always gave me the feeling that I was ‘coming home to Rwanda’. Murakoze Cyane! Thanks to my supervisors and PhD colleagues, who supported my research with questions and critical remarks in various phases. Last but not least, I want to thank all of you very much who helped with the critical reading of my texts, the conceptualisation and editing of this dissertation. Thanks also to my family and friends, who offered ideal support and tolerated my stress. Berlin, August 2016 Carolin Pätsch The research was conducted with the permission of the Ministry of Education of the Republic of Rwanda No. MINEDUC/S&T/320/2015 (20/07/2015). Table of content Figures 10 Tables 12 Acronyms 13 1 Introduction to innovation and planning diffusion in Kigali, Rwanda 14 1.1 Objective – innovation and urban issues 16 1.2 The state of research – the current research base and research gap 18 1.2.1 Research base and research gap of institutional innovation in urban issues 18 1.2.2 Research base and research gap of planning diffusion in urban issues 19 1.2.3 Research base and research gap of master plan application 19 1.3 The value of the research 20 1.4 Interim conclusion 21 2 The strategy of research on institutional innovation and planning diffusion 22 2.1 Single case study methodology 22 2.2 Research methods 24 2.2.1 Primary data 24 2.2.2 Secondary data 25 2.2.3 Analytical approach 25 2.2.4 Research results 27 2.3 Methodological limitations 28 2.4 Interim conclusion 29 3 Spatial urban planning and its framework systems 30 3.1 An approach to urban planning – objectives, instruments and processes 30 3.1.1 The paradigm of strategic planning 31 3.1.2 Spatial urban planning 31 3.2 Urban master plans 32 3.2.1 Meaning, content and history of urban master plans 32 3.2.2 Application and critical assessment of master plans in Africa 32 3.3 Institutional background of urban planning 33 3.3.1 The political and institutional systems of urban planning 34 3.3.2 The planning system and its stakeholders 34 3.3.3 Culture and urban planning 35 3.4 Challenges of urban planning and the institutional situation in East Africa 36 3.5 Interim conclusion – spatial urban planning and its framework system 37 4 The case study – Kigali, Rwanda 39 4.1 Approach to Rwanda 39 4.2 Institutional setting of Rwanda 43 4.2.1 The City of Kigali and the Districts 46 4.2.2 Internationally trained urban planners in the administration 48 4.2.3 Decentralisation in Rwanda 49 4.2.4 Urban regulation and guidelines at the national level 50 4.2.5 Management and working cultures in Rwanda 53 4.3 Challenges of the institutional system in Rwanda (focussed on Kigali) 55 4.4 Kigali – urban development 60 4.5 Kigali’s urban strategies and physical plans 64 4.5.1 City and District Development Plans 65 4.5.2 Kigali Conceptual Master Plan (KCMP) of 2008 66 4.6 Detailed District Physical Plans of 2013 (Detailed Master Plan) 67 4.6.1 Content and objective of the Detailed District Physical Plans 67 4.6.2 Urban design strategies 76 4.6.3 Challenges of implementing the Detailed Master Plan 79 4.7 Interim conclusions on the case study of Kigali, Rwanda 81 5 Innovation phenomena and the urban 82 5.1 Innovation – an approach to the term 82 5.2 Academic differentiations of the term innovation 83 5.3 The special character of institutional innovation in urban planning 84 5.3.1 Enabling factors of institutional innovation – the framework system 84 5.3.2 The innovator 85 5.4 The global circulation of planning strategies 86 5.4.1 Planning diffusion 86 5.4.2 Historical perspective on planning diffusion in Africa 86 5.5 Current phenomenon of global circulating strategies and its results 87 5.5.1 Porters and agents of planning diffusion 88 5.5.2 International urban consultancy 88 5.6 Interim conclusion – innovation phenomenon and the urban 89 6 Analysing institutional innovation 90 6.1 Concepts of innovation 90 6.1.1 Relational-referential concept 90 6.1.2 Comprehensive concept 92 6.1.3 Comparative research concept 93 6.2 Operationalisation of institutional innovation for urban planning 94 6.2.1 The delimitation 95 6.2.2 The descriptive dimension 95 6.2.3 The normative dimension 95 6.2.4 The framework system 96 6.3 Interim conclusion – analysing institutional innovation 97 7 Potential institutional innovations and planning diffusion in Kigali 98 7.1 The delimitation of institutional innovation 98 7.2 Description of potential institutional innovations 99 7.2.1 Stakeholders and networks 100 7.2.2 New channels of articulation 102 7.2.3 Instruments 104 7.3 Planning diffusion through the Detailed Master Plan 106 7.4 Spatial distribution of Detailed Master Plan projects 109 7.5 Interim conclusion on potential institutional innovation 112 8 Relevant institutional innovations in Kigali 116 8.1 The normative assessment of institutional innovations 116 8.1.1 Stakeholders and networks 116 8.1.2 Channels of articulation 118 8.1.3 Instruments 118 8.2 Negative consequences of a change to the institutional system 120 8.3 Infl uences of the framework system on institutional innovation in Kigali 121 8.3.1 Infl uences by the institutional system and political situation 121 8.3.2 Infl uences of culture 122 8.4 Innovators of institutional innovation in Kigali 123 8.5 Recommendations for institutional innovation in Kigali 124 8.6 Interim conclusion on relevant institutional innovation 126 9 Refl ections on institutional innovation and planning diffusion in Kigali 130 9.1 Refl ections on the results 130 9.2 Methodological challenges 132 9.3 Need of further research 133 Bibliography 134 Interviews 142 Appendix 1 - Urban plans and their content 144 Appendix 2 - System of targets of the Detailed Master Plan 160 Appendix 3 - Photo documentation 166 Appendix 4 - Information of interviews and talks 184 Figures Figure 1: Concept of the research [Illustration Pätsch] 17 Figure 2: Strategy of research [Illustration Pätsch] 23 Figure 3: Data sources of the research [Illustration Pätsch] 24 Figure 4: Process of identifying institutional innovation [Illustration Pätsch] 26 Figure 5: Process of identifying planning diffusion (Planning Diffusion Check) [Illustration Pätsch] 27 Figure 6: Types of master plans [Illustration Pätsch] 31 Figure 7: Ideal process of master plan performance [Illustration Pätsch based on Albers 2005: 1086-1087] 32 Figure 8: The institutional system of urban planning [Illustration Pätsch based on Friedmann 2005: 29] 33 Figure 9: Rwanda’s Geographical Location within Africa [Illustration Pätsch based on http://www.ezilon. com/maps/images/Africa-physical-map.gif, accessed 13.07.2016] 38 Figure 10: Rwanda and its major cities [https://commons.wikimedia.org/wiki/Rwanda#/media/File:Rw- map.png, accessed 13.07.2016] 39 Figure 11: Terrassed agricultural land in 2008 [Pätsch] 40 Figure 12: Dispersed settlement structure in 2008 [Pätsch] 40 Figure 13: Countryside of Rwanda in 2008 [Pätsch] 41 Figure 14: Subsistence farming dwelling in the countryside in 2008 [Pätsch] 42 Figure 15: Institutions concerned with urban issues [Illustration Pätsch] 44 Figure 16: Stakeholders of the Integrated Development Program [Illustration Pätsch based on i-Mininfra 2014a] 45 Figure 17: Sector working groups of urban issues and their stakeholder structure [Illustration Pätsch based on i-Mininfra 2014a]
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